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ISSUED BY

State Purchasing Division of the General Services Departmentand

The New Mexico Human Services Department

For the provision of

ASPEN IT Maintenance and Operations Services

RFP Number: 50-630-14-27039

ISSUE DATE: November 18, 2014

ContentsI. INTRODUCTION....................................................................................................................................................4

A. PURPOSE OF THIS REQUEST FOR PROPOSALS...........................................................................................4B. SUMMARY SCOPE OF WORK.....................................................................................................................4C. SCOPE OF PROCUREMENT.........................................................................................................................5D. PROCUREMENT MANAGER.......................................................................................................................5E. DEFINITION OF TERMINOLOGY.................................................................................................................6F. DEPARTMENT BACKGROUND INFORMATION............................................................................................8G. PROCUREMENT LIBRARY.........................................................................................................................13

II. CONDITIONS GOVERNING THE PROCUREMENT................................................................................................14A. SEQUENCE OF EVENTS............................................................................................................................14B. EXPLANATION OF EVENTS.......................................................................................................................151. Issue RFP.....................................................................................................................................................152. Acknowledgement of Receipt Form.........................................................................................................153. RFP Pre-Proposal Conference..................................................................................................................154. Deadline to Submit Additional Questions................................................................................................155. Response to Written Questions/RFP Amendments..................................................................................166. Submission of Proposals..........................................................................................................................167. Proposal Evaluation................................................................................................................................168. Selection of Finalists................................................................................................................................169. Oral Presentations and Best/Final Offers................................................................................................1710. Selection of Finalist.................................................................................................................................1711. Prepare, Negotiate and Finalize Contract................................................................................................1712. Contract Award.......................................................................................................................................1813. Protest Deadline......................................................................................................................................19C. GENERAL REQUIREMENTS.......................................................................................................................191. Acceptance of Conditions Governing the Procurement...........................................................................192. Incurring Cost..........................................................................................................................................193. Prime Contractor Responsibility..............................................................................................................204. Use of Subcontractors.............................................................................................................................205. Amended Proposals.................................................................................................................................206. Offeror’s Rights to Withdraw Proposal....................................................................................................207. Proposal Offer Firm.................................................................................................................................208. Disclosure of Proposal Contents..............................................................................................................219. No Obligation..........................................................................................................................................2110. Termination.............................................................................................................................................2111. Sufficient Appropriation..........................................................................................................................2112. Compliance with Procurement Requirements\Legal Review...................................................................2213. Governing Law........................................................................................................................................2214. Basis for Proposal....................................................................................................................................2215. Sample Contract Terms and Conditions...................................................................................................2216. Offeror Terms and Conditions..................................................................................................................2317. Contract Deviations....................................................................................................................................2318. Offeror Qualifications..............................................................................................................................2319. Right to Waive Minor Irregularities.........................................................................................................2320. Change in Contractor Representatives....................................................................................................2321. Notice of Penalties...................................................................................................................................2322. Department Rights..................................................................................................................................2323. Right to Publish.......................................................................................................................................2424. Ownership of Proposals...........................................................................................................................24

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25. Electronic Mail Address Required............................................................................................................2426. Use of Electronic Versions of this RFP.........................................................................................................2427. Disclosure Regarding Responsibility............................................................................................................2428. New Mexico Employees Health Coverage...................................................................................................2629. Employee Pay Equity Reporting..................................................................................................................2630. Compliance with Federal Clean Air and Clean Water Acts..........................................................................2731. Facility / Collocation Costs:.........................................................................................................................2832. Campaign Contribution Disclosure Form.....................................................................................................29

III. RESPONSE FORMAT AND ORGANIZATION........................................................................................................29NUMBER OF RESPONSES..................................................................................................................................291. NUMBER OF COPIES................................................................................................................................292. Proposal Content and Organization........................................................................................................303. Letter of Transmittal................................................................................................................................31

IV. BACKGROUND, REQUIREMENTS, SPECIFICATIONS, AND QUESTIONS.................................................................32A. SYSTEM BACKGROUND.................................................................................................................................32B. GOALS AND VISION FOR ASPEN AND RELATED APPLICATIONS......................................................................35C. GENERAL DESCRIPTION OF SCOPE OF WORK................................................................................................37D. REQUIREMENTS............................................................................................................................................38E. SPECIFICATIONS............................................................................................................................................40

V. EVALUATION......................................................................................................................................................65A. EVALUATION CRITERIA.............................................................................................................................65B. EVALUATION PROCESS.............................................................................................................................71

VI. APPENDICES.....................................................................................................................................................72A. FORMS APPENDICES.....................................................................................................................................721.1 APPENDIX 1-A ACKNOWLEDGEMENT OF RECEIPT FORM............................................................................731.2 APPENDIX 1-B SUSPENSION AND DEBARMENT REQUIREMENT FORM.......................................................741.3 APPENDIX 1-C CAMPAIGN CONTRIBUTION DISCLOSURE FORM..................................................................761.4 APPENDIX 1-D STAFF ROLES FORM.............................................................................................................791.4 APPENDIX 1-D STAFF ROLES FORM (continued)..........................................................................................801.5 APPENDIX 1-E STAFF WORKSHEET FORM....................................................................................................811.6 APPENDIX 1-F KEY STAFF REFERENCE FORM...............................................................................................821.7 APPENDIX 1-G KEY STAFF LETTER OF COMMITMENT FORM.......................................................................831.8 APPENDIX 1-H Cost Response Form (to be included ONLY in Binder 2)........................................................841.8 APPENDIX 1-H Cost Response Form CONTINUED (to be included ONLY in Binder 2)...................................851.8 APPENDIX 1-H Cost Response Form CONTINUED (to be included ONLY in Binder 2)...................................861.9 APPENDIX 1-I OFFEROR’S ADDITIONAL TERMS AND CONDITIONS FORM...................................................871.10 APPENDIX 1-J THREE-YEAR FINANCIAL HISTORY FORM.............................................................................891.11 APPENDIX 1-K OFFEROR’S CORPORATE REFERENCE FORM.......................................................................901.12 APPENDIX 1-L OFFEROR’S QUESTION SUBMITTAL FORMAT FORM...........................................................911.13 APPENDIX 1-M Transmittal Form..............................................................................................................92B. REFERENCE APPENDICES..............................................................................................................................932.1 APPENDIX 2-A SAMPLE CONTRACT TERMS AND CONDITIONS....................................................................932.2 APPENDIX 2-B Functional Specifications...................................................................................................1192.3 APPENDIX 2-B Technical Specifications.....................................................................................................159

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I. INTRODUCTION

A. PURPOSE OF THIS REQUEST FOR PROPOSALS

The purpose of this Request for Proposals (RFP) is to select an Offeror, to provide the State of New Mexico Human Services Department (“HSD” or “Department”) with maintenance and operations support for its ASPEN Eligibility System.

The Offeror selected will provide a mix of software, hardware, network, security, change management, and other onsite maintenance and support for operation of the NM ASPEN Eligibility System.

The procurement will result in a single source award to an Offeror that shall be wholly responsible for maintaining and operating the ASPEN System.

The Offeror must demonstrate experience and knowledge necessary to perform the services described in this RFP.

Pursuant to §10-16-13 NMSA 1978 Prohibited Bidding—No state agency shall accept any bid (proposal) from a person who directly or indirectly participated in the preparation of specifications on which the competitive bidding was held.

B. SUMMARY SCOPE OF WORK

While this section describes a summary of the work that will be required, it is not an exhaustive list of services expected.

Under this intended procurement, the Contractor will plan, organize, and oversee the transition of the system from the current Contractor. Upon transition, the Contractor will maintain and enhance the ASPEN system to include systems, application, and network support services in the Department’s IT environments. This will include responsibility for software development to support operations compliance with state or federal regulations, day to day management of hardware and software configurations, web portal support, interactive voice response functionality support, system security compliance, periodic Disaster Recovery testing and support, and 24/7 support and on call ability to maintain system functionality as required by the Department. In some cases, large separate enhancements may be required and would be negotiated under separate service orders.

Services will be contracted under a combination of a deliverables-based agreement and enhancement staff to include Contractor posting a performance bond to assure delivery compliance, service level agreement related to Contractor performance, and other federal security or performance conditions. The Department may require the Contractor to submit a copy of its most current OMB Circular A-133 Audit (or equivalent).

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System Location - The ASPEN Eligibility System is comprised of a one-terabyte database with 21 schemas supporting approximately 5 million transactions per day for 1,100 users located in more than 36 offices statewide. It uses a vBlock environment. Support applications include FAST4J application development framework, Oracle Enterprise Manager, and IBM Rational Clear Case/Quest applications. ASPEN is hosted at a state operated data center in Santa Fe, NM with a backup system in Albuquerque. The Department uses the Cherwell change ticket tracking system to manage its change process.

Contractor Experience - For a successful outcome, the Department believes the Contractor should be experienced in the full maintenance and operation of similar large-scale information technology systems (such as other state eligibility systems, or other systems in similar highly regulated government, banking, or financial services environments). Regarding staffing, at a minimum, the Department believes the Contractor should be able to organize multiple experienced support staff to include Application Development, Testing, Operations management overseeing the work of systems or business analysts, Java programmers, Oracle database administrators, and QA analysts. See Section IV Requirements, Questions and Requests for further requirements of Offeror responsibilities and Appendix 2-A and Appendix 2-B for more detailed support requirements.

C. SCOPE OF PROCUREMENT

The scope of the procurement will result in a four (4) year contract (sample contract incorporated in this RFP) with four (4) optional one-year extensions not to exceed eight (8) years. The contract will begin upon final approval by the State Purchasing Agent. At the discretion of the HSD, the contract may be amended as needed in order to meet the requirements of this procurement or any future related federal or state requirements to support eligibility functions for HSD or other agencies and governmental entities, or other technology related changes that would enable the Department, other agencies, or other governmental entities to meet its strategic goals.

D. PROCUREMENT MANAGER

The Department has designated a Procurement Manager who is responsible for the conduct of this procurement whose name, address, telephone number and email address is listed below.

Mario GonzalezProject Management Bureau ChiefInformation Technology DivisionNM Human Services Department

Phone: 505-476-3948Fax: 505-476-3950

Email: [email protected]

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All deliveries via express carrier should be addressed and delivered to as follows (except for electronic submissions that may be submitted through the eProNM system):

Mario GonzalezProject Management Bureau Chief

c/o Kathy SanchezBuying Agent

State Purchasing DivisionJoseph Montoya Building, Room 2016

1100 St. Francis DriveSanta Fe, New Mexico 87505

Any inquiries, requests, or additional material regarding this procurement must be submitted to the Procurement Manager in writing via email. New Mexico State email system does not accept compressed files (zip files) and electronic mailboxes may have file size limitations. Please request confirmation of receipt as needed.

Offerors may contact ONLY the Procurement Manager regarding the procurement. Other state employees do not have the authority to respond on behalf of the Department.

E. DEFINITION OF TERMINOLOGY

This section contains definitions of terminology.

“Contract" means a written agreement for the procurement of items of tangible personal property or services. For this procurement, the Contract will be based on the most recent approved contract standard approved by the Department.

"Contractor" means a successful Offeror who enters into a binding contract.

“Design” means the process of creating a specification for software to meet requirements, problem solve and plan a software solution. This includes front and back end configuration for system performance and user interface to improve efficiency and increase elegance and usability to reduce user learning curve.

"Desirable" means the terms "may", "can", "should", "preferably", or "prefers" identify a desirable or discretionary item or factor (as opposed to "mandatory”).

"Determination" means the written documentation of a decision by the Procurement Manager, including findings of fact supporting a decision. A determination becomes part of the procurement file.

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“Electronic Version/Copy” means a digital form consisting of text, images or both readable on computers or other electronic devices that includes all content that the Original and Hard Copy proposals contain. The digital form may be submitted using a compact disc (cd) or USB flash drive. The electronic version/copy can NOT be emailed.

"Evaluation Committee" means a body appointed by the Department management to evaluate Offeror proposals.

"Evaluation Committee Report" means a document prepared by the Procurement Manager and the Evaluation Committee for submission to the Secretary of HSD for contract award. It contains all written determinations resulting from the procurement.

"Finalist" means an Offeror that meets all the requirements of this Request for Proposals and whose score on evaluation factors is sufficiently high to merit further consideration by the Evaluation Committee.

“Full Time Equivalent” means a person who is a resource equivalent of 2,080 hours per year.

“Major Subcontractor” means a subcontractor that is awarded a subcontract that equals or exceeds ten percent (10%) of the value of the contract.

"Mandatory" means the terms "must", "shall", "will", "is required", or "are required", identify a mandatory item or factor (as opposed to “desirable”). The Evaluation Committee reserves the right to waive mandatory requirements when all or the majority of the otherwise responsive proposals failed to meet the mandatory requirements and/or doing so does not otherwise materially affect the procurement. This right is at the sole discretion of the Evaluation Committee.

“Minor Technical Irregularities” means anything in the proposal that does not affect the price, quality, quantity, or any other mandatory requirement.

“Most Advantageous” means the Offer deemed most advantageous to the Department in its effort to secure professional services based on the mix of services and the pricing for those services.

"Offeror" means any person, corporation, or partnership that chooses to submit a proposal.

“Procurement Library” means documents related to this request for proposal that may be stored in an HSD website to support this procurement.

“Procurement Management” means the process of managing costs associated with contractors completing work on a project.

"Procurement Manager" means the person or designee authorized by the Department to manage or administer a procurement requiring the evaluation of competitive sealed proposals.

"Request for Proposals" or "RFP" means all documents, including those attached or incorporated by reference, used for soliciting proposals.

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"Responsible Offeror" means an Offeror that submits a responsive proposal and who has furnished, when required, information and data to prove that its financial resources, production or service facilities, personnel, service reputation and experience are adequate to make satisfactory delivery of the services or items of tangible personal property described in the proposal.

"Responsive Offer" or "Responsive Proposal" means an offer or proposal that conforms in all material respects to the requirements set forth in the request for proposals. Material respects of a request for proposal include, but are not limited to, price, quality, quantity and delivery requirements.

“Secretary” means the Cabinet Secretary of the New Mexico Human Services Department.

“Written” means typewritten on standard 8 ½ x 11 inch paper. Larger paper is permissible for charts, spreadsheets, etc.

F. DEPARTMENT BACKGROUND INFORMATION

The Human Services Department (HSD) is the fifth largest state agency in New Mexico with approximately 2,000 full time equivalent positions in 56 office locations statewide. The Department manages a budget of more than $5.43 billion in State and Federal funds that provide life’s most fundamental needs to New Mexico’s poorest individuals and families. Nearly 800,000 New Mexicans are assisted with medical care, food assistance and income support through HSD’s programs.

Organization of the Agency

The State of New Mexico Human Services Department is a cabinet-level Agency in the Executive Branch of New Mexico State government. The Agency is headed by a Cabinet Secretary appointed by the Governor and confirmed by the New Mexico State Senate. The Agency consists of the Office of the Secretary and the following Divisions and Offices:

Administrative Services Division (ASD) Child Support Enforcement Division (CSED) Information Technology Division (ITD) Income Support Division (ISD) Medical Assistance Division (MAD) Office of General Counsel (OGC) Office of Human Resources (OHR) Office of Inspector General (OIG) Behavioral Health Services Division (BHSD)

The Income Support Division (ISD) is the primary business owner of the ASPEN System.

The ISD administers public assistance programs for the State of New Mexico, such as Temporary Assistance for Needy Families (TANF), Supplemental Nutrition Assistance Program (SNAP), Food Distribution, Nutrition Education, General Assistance (GA), Community Services Block

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Grant, Low Income Home Energy Assistance Program (LIHEAP), State-funded Homeless Meals Program, State-funded Homeless Shelter Program, Education Works Program (EWP), Adult Supplemental for Residential Care Program (ARSCH), and the Refugee Resettlement Program (RRP). ISD also determines and re-certifies eligibility for the Medical Assistance (Medicaid) programs. The division has a field staff of approximately 900 employees and a Central Office staff of approximately 80 employees. ISD is also responsible for the ISD2 and HSD Low Income Energy Assistance (HLEA), the HSD eligibility system. ISD2 is the maintained and operated primarily by a Contractor and ITD provides project management for this system.

The following is a general list of subunits that comprise the Income Support Division:

The Benefit Delivery & Data Reporting Bureau supports ISD by completing the HSD Monthly Statistical Report, The Monthly Statistical Report and the Help Desk provide data and support for SNAP, TANF, LIHEAP, Medicaid, and Child Support Enforcement cases. The Bureau also administers the Incapacity Review Unit (IRU), Medicaid Renewal Project (MRP), the Change Processing Unit (CPU), the Combined Application Unit, QMB SLIMB Unit and the North and South SCI Units. Included in this bureau is the New Mexico In-House Works Unit that services the NM TANF clients/recipients on the eastern side of the state.

The Help Desk provides support to ASPEN users and works closely with the ASPEN contractor to maintain system integrity. The Help Desk is responsible for reporting system trends; generating analysis on reported issues; and troubleshooting complex issues received by system users.

ASPEN Operations Bureau maintains the ASPEN system; YNM! constituent facing portal; Electronic document management; and IVR and provides training and support for users. The ASPEN Operations Bureau is comprised of the ASPEN Help Desk, ISD statewide trainers and ASPEN user acceptance testers (UAT). Release planning management is a vital responsibility of this bureau and members work closely with ITD and the ASPEN contractor to prioritize, data fixes, work requests, and enhancements.

The Incapacity Review Unit reviews all medical reports and documents related to an applicant’s request for State funded GA, TANF, disability, Domestic Violence Waivers and hardship extension, and determines disability and eligibility for these programs. Staff regularly participates in the fair hearings process and provides support to field staff relating to disability determinations.

Change Processing Unit (CPU) processes changes to client information, including address updates, name changes social security number corrections and demographic data.

Combined Application Project (CAP) Unit accepts and processes recertification for the New Mexico Combined Application Project. This is a USDA/Food and Nutrition Services demonstration project that provides set SNAP benefit allotments to one and two person households in receipt of Supplemental Security Income (SSI)

QMB SLIMB Unit processes applications and recertification for the Medicare Savings Program (Qualified Medicare Beneficiary and Simplified Low Income Medicare Beneficiary)

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NM In-House Works Unit conducts case management for TANF and Employment and Training clients.

The Food and Nutrition Services Bureau supports ISD by administering and monitoring a number of programs that assist people with low income. These include USDA commodities, food programs for schools, summer feeding, Farm to School, Homeless Meals Program, SNAP Nutrition Education Program and The Emergency Food Assistance Program (TEFAP), the community food and nutrition program. The Bureau orders and allocates USDA commodities based on the entitlement funding received for the State and the needs of recipient agencies. The warehouse receives stores and delivers those commodities statewide. The section also initiates and completes all contracts for these programs, Requests for proposals (RFP’s) and amendments with agencies as required. The bureau is also responsible for the Commodity Distribution System used to receive, distribute and ship commodities.

The Policy and Program Development Bureau analyzes, develops, and promulgates State regulations to administer the SNAP Program, TANF cash assistance, State funded General Assistance, Education Works Program, State Funded Adult Residential Support Services, Burial Assistance and Refugee Cash Assistance. The Bureau works directly with the Medical Assistance Division to develop Medicaid rules and processes related to the eligibility work ISD field staff performs. Specifically, staff participates in county office management evaluations to determine program access inclusive of Medicaid. Staff also participates in the development and implementation of program changes to the automated eligibility system (ASPEN) and policy changes from all programs inclusive of Medicaid. The development and implementation include review of rules, development of notices, assist with training and testing of the changes as they impact the eligibility of all programs. The Bureau Chief is responsible for the overall management of bureau activities. The Bureau Chief participates in quality assurance of SNAP and Medicaid corrective action activities regarding programs administered by the bureau and many Medicaid related eligibility processes and procedures, specifically, development and implementation of program changes and the implications on eligibility staff.

The Work and Family Support Bureau manages multiple programs: (1) New Mexico Works (NMW), (2) Low Income Home Energy Assistance Program (LIHEAP), (3) Community Services Block Grant Program (CSBG), (4) Refugee Resettlement Social Services (RRSS) and Health Screening (RRHS) Programs, and (5) Special State Funded Initiatives such as the Homeless Shelter Program. The Bureau develops the state plans for each of these programs and is responsible for monitoring the performance of each program as services are delivered by means of external contractors or other state agencies. The Bureau initiates and negotiates contacts with service providers, develops scopes of work, approves contract budgets and tracks expenditures, and through management evaluation, monitors and reports on program performance. Regular fiscal and program outcomes reports are provided to the federal funding source. The bureau also reviews, analyzes and interprets federal and state regulations, and analyzes state legislation.

The Low Income Heat and Energy Assistance Program is a federal grant program that helps New Mexico low income families meet the costs of home heating and cooling one time per year

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and increase energy self-sufficiency. The staff assigned to this program manage the entire program, including tracking and reporting on the budget and the number of families served, initiating and completing all state plans, multiple fuel vendor agreements, program contracts/agreements, RFPs and amendments. In addition staff monitors and provides training and technical assistance to ISD field offices statewide.

The Community Services Block Grant Program is a federal block grant program that provides a flexible funding source for local communities through a network of community action agencies for the reduction of poverty. The staff assigned to this program manages the entire program including the tracking and reporting on the budget, initiating and completing all state plans, contracts/agreements and related scopes of work, RFPs and amendments. In addition, staff monitors and provides training and technical assistance to each community action agency.

The Refugee Resettlement Program is cash assistance, medical screenings, after school activities for youth and case management funded through multiple federal Refugee Resettlement grants. Contactors provide a broad range of services including employment preparation and job placement, skills training, English language training, after school care, social adjustment and health screenings. The staff assigned to this program manages the entire program including tracking and reporting on the budget and the number of families served, initiating and completing contracts/agreements, scopes of work, and amendments. In addition, staff monitors and provides training and technical assistance to ISD field offices and New Mexico Works service providers statewide. ISD field offices determine eligibility for medical services and cash assistance.

The New Mexico Works (NMW) Program is the work and family support program for the federal TANF block grant program. The NMW program uses a case management model to assist cash recipients with work activities and supportive services. The staff assigned to this program manages the entire program including tracking and reporting on the budget and the number of families served, initiating and completing contracts/agreements, scopes of work, RFPs and amendments. In addition, staff monitors and provides training and technical assistance to ISD field offices and NMW providers statewide.

The Reporting Section supports the ISD Work and Family Support Bureau, by completing and reporting TANF work participation rate information, and completing many various ISD program federal reports.

The Program Administration Bureau manages the financial planning and financial policy affairs of the Division. The Employee Administration Section processes personnel action forms including: new hire packets, promotions, retirements, and employee evaluations. This section also reports on the division’s staffing pattern, the vacancy report and monitors timesheet approval. The Fiscal Section monitors budget activity, reviews spending for administrative and contract accounts. The section develops spending plans and provides the division with fiscal guidance. This section also tracks federal reports for timeliness and provides technical assistance to various program related activities throughout the division. The bureau is responsible for providing guidance and reports of all of the forecasts, projections, and analysis of administrative expenditures and revenue, either directly or through coordination with other units within the

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Department. The administrative budget exceeds $70 million annually and has over 1,000 FTE. Staff also provides supplies and purchasing guidance for central office and the rest of the division. This bureau also administers the EBT administration toll free Client Help Desk for general program questions.

Field Operations are divided into five regions; a Regional Operations Manager supervises each region. The county field offices administer more than twenty categories of assistance, including SNAPs, TANF/GA cash assistance and Medicaid. The five regions have approximately 900 field staff. This number is comprised of support staff, family assistance analysts, supervisors, county directors, trainers, and regional managers. In addition to supervising field operations, regional operations managers oversee contractors who provide assessment, training, job placement, and case management to TANF and SNAP participants. Costs for these staff members are allocated as specified below.

Staff without Specialized Caseloads determines eligibility of clients for financial, food and medical assistance.

Medical Assistance Staff determine eligibility for institutional care and handle Medical Assistance for Women and Children (MAWC).

TANF Staff determine eligibility for TANF cases, and follow up on employment related activities for these families.

LIHEAP Field Staff accept LIHEAP applications, interviews clients, determines eligibility, and responds to LIHEAP related inquires, during the main LIHEAP season September through March. During the non-heating season, this staff performs other non-LIHEAP duties.

The Quality Assessment Bureau audits and reports on the performance of programs as delivered by the field offices including SNAP, Medicaid (PERM reviews) and TANF Cash Assistance. In addition, staff compiles, investigates, audits, and reports on civil rights complaints and alleged violations for all programs. The bureau monitors field staff performance through QC payment accuracy reviews, the management evaluation, and program access reviews in compliance with federal statute.

The Income Support Division (ISD) served 199,316 families (443,784 individuals), or 1 in 5 New Mexicans this past year. Of these, many were receiving Supplemental Nutrition Assistance Program (SNAP) benefits and 17,394 families (37,669 individuals) were receiving Temporary Assistance for Needy Families (TANF). Over 68,462 families received an average benefit of $122 for the Low Income Home Energy Assistance Program (LIHEAP) during FFY13.The total number of persons served by ISD, including those covered by Medicaid, has grown to 869,034 (over 1 in 3 New Mexicans).

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G. PROCUREMENT LIBRARY

The Procurement Manager has established a Procurement Library. Offerors are encouraged to review any material contained in the Procurement Library by accessing the online website with documents and materials related to this Request for Proposal.

Procurement Regulations and Request for Proposal – RFP instructions: http://www.generalservices.state.nm.us/statepurchasing/ITBs_RFPs_and_Bid_Tabulation.aspx.

The Procurement Library related to this RFP can also be found at the HSD website: www.hsd.state.nm.us.

The Procurement Manager may expand the documents in the Procurement Library after the initial RFP release.

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http://www.hsd.state.nm.us/

http://www.generalservices.state.nm.us/statepurchasing/ITBs_RFPs_and_Bid_Tabulation.aspx

II. CONDITIONS GOVERNING THE PROCUREMENT

This section of the RFP contains the schedule for the procurement and describes the major procurement events and the conditions governing the procurement. The Procurement Manager will make every effort to adhere to the following schedule:

A. SEQUENCE OF EVENTS

The table below describes the general sequence of events for this procurement. Offerors are advised that these dates are subject to change at the discretion of the Department

TABLE 1 - Sequence of Events

Action Responsible Party

Due Date *

1 Issue RFP Department 11/18/20142 Acknowledgement of Receipt Form Due Potential Offerors 12/04/20143 RFP Pre-Proposal Conference Department 12/04/20144 Deadline to Submit Additional Questions Potential Offerors 12/05/2014

5 Response to Written Questions/RFP Amendments Department 12/12/2014

6 Submission of Proposal Offerors 01/06/2015

7 Proposal Evaluation Evaluation Committee

01/07 to 01/13/2015

8 Selection of Finalists Evaluation Committee

01/14/2015

9Proposal Oral Presentation / Demonstration by Finalists* / Best and Final Offer Reviews

Finalists 01/21/2015

10 Finalist Chosen based on Best and Final Offers Department 01/28/2015

11 Prepare, Negotiate and Finalize Contract Department / Finalist

03/13/2015

12 Contract Award Department 03/31/2015

13 Protest Deadline Offerors15 calendar days

after contract award notice

* Dates subject to change at the discretion of the Department

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B. EXPLANATION OF EVENTS

The following paragraphs describe the activities listed in the sequence of events shown in Section II, Paragraph A.

1. Issue RFPThis RFP is being issued on the date indicated in the Sequence of Events by the Human Services Department. HSD reserves the right to adjust, shorten or extend the schedule at its sole discretion.

2. Acknowledgement of Receipt Form

Potential Offerors should hand deliver or return by facsimile or by registered or certified mail or scanned and attached to email to the Procurement Manager, the "Acknowledgement of Receipt of Request for Proposals Form" that accompanies this document (See Appendix 1-A) to have their organizations placed on the procurement distribution list. The form should be signed by an authorized representative of the organization, dated and returned by the deadline as stated in Section II, Paragraph A. Failure to return this form shall constitute a presumption of receipt and rejection of the RFP and the potential Offeror’s organization name shall not appear on the distribution list. This will not restrict potential Offerors from submitting proposals.

3. RFP Pre-Proposal Conference

A Pre-Proposal Conference will be held as indicated in the sequence of events beginning at 2pm Mountain Standard Time in the HSD ITD Main Conference Room at 1301 Siler Road, Building B/C, Santa Fe, New Mexico. Attendance at the conference is recommended, but not a pre-requisite for a submission of a proposal. Tele-Conference access will be made available by request to the Procurement Manager as indicated in Section I.D. Potential Offeror(s) are encouraged to submit written questions in advance of the conference to the Procurement Manager (see Section I, Paragraph D). The identity of the organization submitting the question(s) will not be revealed. Additional written questions may be submitted at the conference. All written questions will be addressed in writing on the date listed in the Sequence of Events. A public log will be recorded and posted on the HSD website with the names of potential Offerors that attend the Pre-Proposal Conference.

4. Deadline to Submit Additional Questions

Potential Offerors may submit additional written questions regarding the intent or clarity of this RFP until 5 PM Mountain Daylight Time, according to the date established in the schedule in Table 1. All written questions must be submitted (preferably by email) using the format in Appendix 1-N Offeror’s Question Submittal Form to the Procurement Manager (see Section I, Paragraph D).

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5. Response to Written Questions/RFP Amendments

Written responses to written questions and any RFP amendments will be distributed according to the schedule in Table 1, to all potential Offerors whose organization name appears on the procurement distribution list based on the information provided in Section II, B, 2. above. They will also be posted to the following websites: www.hsd.state.nm.us or http://www.generalservices.state.nm.us/statepurchasing/ITBs_RFPs_and_Bid_Tabulation.aspx.

Additional written requests for clarification of distributed answers and/or amendments must be received by the Procurement Manager according to the date in Section II A. Sequence of Events.

6. Submission of Proposals

ALL OFFEROR PROPOSALS MUST BE RECEIVED FOR REVIEW AND EVALUATION BY THE PROCUREMENT MANAGER OR DESIGNEE NO LATER THAN 3:00 P.M. MOUNTAIN STANDARD TIME ACCORDING TO THE SCHEDULE IN TABLE 1 ABOVE. Proposals received after this deadline will not be accepted.

The date and time will be recorded on each proposal. Proposals must be addressed and delivered to the Procurement Manager at the address listed in Section I, Paragraph D. Proposals must be sealed and clearly labeled on the outside of the package to indicate a response to the “ASPEN M&O Request for Proposals.” Proposals submitted by facsimile or other electronic means will not be accepted.

A public log will be kept of the names of all Offeror organizations that submit proposals. Pursuant to §13-1-116 NMSA 1978, the contents of any proposal shall not be disclosed to competing Offerors prior to contract award. The log will be posted on the HSD website at the date of contract award.

7. Proposal Evaluation

The evaluation of proposals will be performed by an evaluation committee appointed by Department management. The evaluation process will take place according to the schedule in Table 1 above. During this time, the Procurement Manager may, at his or her option, initiate discussion with Offerors that submit responsive or potentially responsive proposals for the purpose of clarifying aspects of the proposals, but proposals may be accepted and evaluated without such discussion. Discussions SHALL NOT be initiated by the Offerors.

8. Selection of Finalists

The Evaluation Committee will select and the Procurement Manager will notify the finalist Offerors according to the schedule in Table 1. Only finalists will be invited to participate in the subsequent steps of the procurement. The schedule for the oral presentations and demonstrations will be determined at this time.

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http://www.generalservices.state.nm.us/statepurchasing/ITBs_RFPs_and_Bid_Tabulation.aspx

http://www.hsd.state.nm.us/

9. Oral Presentations and Best/Final Offers

Prior to presentations, Finalists will be required to submit their best and final offers. Finalists will be required to present their proposals and their key staff to the Evaluation Committee. The presentations will be held in Santa Fe, New Mexico at a specific location to be determined. An agenda will be provided by the Department.

Based on its evaluation of proposals, the Department will determine the final agenda, set up schedule, and presentation schedule. The proposal presentations may not add new or additional information and must be based on the submitted proposals.

Finalists are expected to present their approaches to the work required as indicated in this RFP. Finalists are encouraged to demonstrate their understanding of the Department’s requirements, their ability to meet those requirements, and their experience related to similar engagements. Finalists are also requested to articulate the proposed solutions discussed in their proposals.

10. Selection of Finalist

The Evaluation Committee will select the final offer that best meets the Departments requirements. A report will be submitted to the Cabinet Secretary to confirm final selection. After review and acceptance of the Evaluation Committee Report, the Secretary will award the Contract as stated in Section II, Paragraph A. This date is subject to change at the discretion of the Secretary.

11. Prepare, Negotiate and Finalize Contract

The Contract will be finalized based on the most advantageous offer to the Department as stated in Section II, Paragraph A. In the event that mutually agreeable terms cannot be reached within the Department’s schedule, the Department reserves the right to finalize a Contract with the next most advantageous offer without undertaking a new procurement process.

Offerors are advised that state contracts may require a retainage of up to 20% for work performed and payable upon completion of various operations and maintenance deliverables at contract year end.

Offerors are advised that New Mexico imposes a “gross receipts tax” on certain goods and services which must be paid by government entities based on the location of services provided. Amounts of these taxes vary based on changes approved by local governing bodies, the state legislature, or if the Offeror is an out of state business entity. Offerors proposed fees must include tax.

Offerors are advised to consider tax aspects in pricing their proposals for the full contracted period. The Offeror who is selected as the finalist will be required to obtain a NM Vendor number from the Department of Finance and Administration (DFA).

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The negotiated agreement will be reviewed by the Department for technical and legal requirements prior to submission for final signature.

The negotiated agreement will be reviewed by the NM Department of Information Technology and other state and federal entities as needed, prior to final approval.

The finalized agreement will be processed for final budget processing and routing for signature. The contract will be made effective upon final approval by the State Purchasing Agent.

During contract negotiation, terms related to a performance bond will be finalized. Currently the Department is considering up to a three million dollar ($3,000,000) performance bond requirement, to be renewed annually.

The Department may include warranty provisions in the final agreement.

Because of the use of federal funds, this procurement does not qualify for a NM Resident Business Preference or a NM Veteran’s Business Preference per NMSA 1978 §13-1-21.

Offerors are advised that this procurement does not require any individuals, organizations, or other parties to limit their participation to one Offeror only. Such individuals, organizations, or other parties may participate in proposals submitted by multiple Offerors to this procurement.

Offerors are advised that the Department may require Offeror to execute a separate HIPAA Business Associate Agreement with final contract award.

Offerors are advised that the work required under this procurement requires compliance with federal regulations as they apply to Protected Health Information (PHI), Personally Identifiable Information (PII), and Federal Tax Information (FTI).

Offerors are advised that the Department will require a copy of Offeror’s “OMB Circular A-133 audit,” (or current federal equivalent), to be submitted if requested during the term of contracted services.

12. Contract Award

Upon approval by the General Services Department (GSD), State Purchasing Division (SPD), the Contract will be considered awarded and work may formally begin. This date will also mark the point in which the protest period may begin. Only one contract will be awarded through this procurement.

The contract shall be awarded to the Offeror (or Offerors) whose proposals are most advantageous to the State of New Mexico and the Human Services Department, taking into consideration the evaluation factors set forth in this RFP. The most advantageous proposal may or may not have received the most points. The award is subject to

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approval by the Department of Information Technology, State Purchasing Agent, and appropriate state and federal agencies. .

13. Protest Deadline

Any protest by an Offeror must be timely and in conformance with NMSA 1978, §13-1-172 and applicable procurement regulations. The fifteen (15) calendar day protest period for responsive Offerors shall begin on the day after notification of the contract award and will end as of close of business as stated in Section II, Paragraph A. Protests must be in writing and must include the name and address of the protestor and the request for proposals number. They must also contain a statement of grounds for protest including appropriate supporting exhibits, and must specify the ruling requested from the Secretary.

The protest must be physically delivered no later than 5:00 pm Mountain Daylight Time on the 15th day of protest period to:

Lawrence MaxwellState Purchasing Agent

State Purchasing DivisionJoseph Montoya Building, Room 2016

1100 St. Francis DriveSanta Fe, New Mexico 87505

Protests received after the deadline will not be accepted.

C. GENERAL REQUIREMENTS

This procurement will be conducted in accordance with the NM Procurement Code and all applicable state and federal regulations and laws. Final contract discussions and negotiations are subject to federal review and may be modified consistent with federal or other regulations.

1. Acceptance of Conditions Governing the Procurement

Offerors must indicate their acceptance of the Conditions Governing the Procurement section in their letter of transmittal. Submission of a proposal constitutes acceptance of the Evaluation Factors contained in this RFP.

2. Incurring Cost

Any cost incurred by the Offeror in preparation, transmittal, presentation of any proposal or material submitted in response to this RFP shall be borne solely by the Offeror.

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3. Prime Contractor Responsibility

Any contract that may result from this RFP shall specify that the prime Contractor is solely responsible for fulfillment of the contract with the Department. The Department will make contract payments only to the prime Contractor. The Contractor will be required to comply with all Department-related security and privacy directives, standards and policies, including the codes of conduct. Required HSD online training will be provided on an annual basis.

4. Use of Subcontractors

Use of subcontractors must be clearly explained in the proposal, and major subcontractors must be identified by name. The prime Contractor shall be wholly responsible for the entire performance whether or not subcontractors are used. Subcontractors will be required to comply with various Department-related security and privacy directives, standards and policies, including the codes of conduct. Required HSD online training will be provided on an annual basis.

As a clarification, major subcontractors would be identified by their critical role or responsibility to the success of the Offerors proposal. Changes in major subcontractors would impact, or possibly cause risks, to schedule or technical performance in performing system support. Supporting subcontractors or minor subcontractors, that could change, with no or very limited impact, can be considered part of the ongoing operational functions of the Offeror. These would not be required to be addressed as major subcontractors.

5. Amended Proposals

An Offeror may submit an amended proposal before the deadline for receipt of proposals. Such amended proposals must be complete replacements for a previously submitted proposal and must be clearly identified as such in the transmittal letter. The Department personnel will not merge, collate, or assemble proposal materials.

6. Offeror’s Rights to Withdraw Proposal

Offerors will be allowed to withdraw their proposals at any time prior to the deadline for receipt of proposals. The Offeror must submit a written withdrawal request addressed to the Procurement Manager and signed by the Offeror's duly authorized representative.

The approval or denial of withdrawal requests received after the deadline for receipt of the proposals is governed by the applicable procurement regulations.

7. Proposal Offer Firm

Responses to this RFP, including proposal prices, will be considered firm for one hundred twenty (120) days after the due date for receipt of proposals.

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8. Disclosure of Proposal Contents

The proposals will be kept confidential until a contract is awarded. At that time, all proposals and documents pertaining to the proposals will be made available for public inspection, except for material labeled by the Offeror as proprietary or confidential. The Procurement Manager will generally not disclose or make public any pages of a proposal on which the Offeror has stamped or imprinted "proprietary" or "confidential" subject to the following requirements:

i. Proprietary or confidential data shall be readily separable from the proposal in order to facilitate eventual public inspection of the non-confidential portion of the proposal. Offeror shall insure that the designated proprietary or confidential information shall also be separable in the electronic versions of the proposal.

ii. Confidential data is restricted to confidential financial information concerning the Offeror's organization and data that qualifies as a trade secret in accordance with the Uniform Trade Secrets Act NMSA 1978, Sections 57-3A-1 to 57-3A-7.

iii. The price of products offered or the cost of services proposed shall not be designated as proprietary or confidential information.

iv. If a request is received for disclosure of data for which an Offeror has made a written request for confidentiality, the Secretary or the Secretary’s designee shall examine the Offeror's request and make a written determination, consistent with applicable laws, that specifies which portions of the proposal should be disclosed. Unless the Offeror takes legal action to prevent the disclosure, the proposal will be so disclosed. The proposal shall be open to public inspection subject to any continuing prohibition on the disclosure of confidential data.

9. No Obligation

This procurement in no manner obligates the State of New Mexico or any of its agencies to the use of any proposed Offerors services until a valid written contract is awarded and approved by the appropriate authorities.

10. Termination

This RFP may be canceled at any time and any and all proposals may be rejected in whole or in part if the Department determines such action to be in the best interest of the State of New Mexico.

11. Sufficient Appropriation

Any contract awarded as a result of this RFP process may be terminated or adjusted if sufficient appropriations or authorizations do not exist or are reduced. Such termination or adjustment will be effected by sending written notice to the Contractor. The Department's decision as to whether sufficient appropriations and authorizations are available will be

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accepted by the Contractor as final. For the purposes of this procurement, this may include reducing the level or scope of required support.

12. Compliance with Procurement Requirements\Legal Review

The Department requires that all Offerors agree to be bound by the General Requirements contained in this RFP. Any Offeror concerns must be promptly brought to the attention of the Procurement Manager.

13. Governing Law

This procurement and any agreement with Offerors that may result shall be governed by the laws of the State of New Mexico.

14. Basis for Proposal

Only information supplied by the Department in writing through the Procurement Manager or in this RFP should be used as the basis for the preparation of Offeror proposals.

15. Sample Contract Terms and Conditions

The Contract between the Department and a Contractor will follow the format specified by the Department and may generally contain the terms and conditions set forth in the sample provided in "Sample Contract Terms and Conditions." However, the Department reserves the right to negotiate with a successful Offeror provisions in addition to those contained in this RFP.

The requested performance in this Request for Proposal, as revised and/or supplemented, and the proposed performance of the successful Offeror's Final Accepted Proposal will be incorporated into and become part of the Contract.

Should an Offeror object to any of the Department's terms and conditions, as contained in this Section or in Appendix 2-A, the Offeror must propose specific, alternative language in writing and submit it with its proposal (see Offeror’s Additional Terms and Conditions form in Appendix 1-K). Contract variations received after the award will not be considered. The Department may or may not accept the alternative language. General references to the Offeror's terms and conditions or attempts at complete substitutions are not acceptable to the Department and may result in disqualification of the Offeror’s proposal.

Offerors must provide a brief discussion of the purpose and impact, if any, of each proposed change followed by the specific proposed alternate wording.

All contracts for Offerors services related to this procurement are subject to the review and approval of the State Purchasing Agent and the Department of Information Technology.

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16. Offeror Terms and Conditions

Offerors may request changes in the HSD contract terms and conditions. Offerors must submit with the proposal a complete set of any additional terms and conditions which they request to have included in a contract negotiated with the Department, using Appendix 1-K Offerors Additional Terms and Conditions Form.

Offerors should not rely on acceptance of any changes in terms or conditions.

17. Contract Deviations

Any additional terms and conditions, which may be the subject of negotiation, will be discussed only between the Department and the selected Offeror and shall not be deemed an opportunity to amend the Offeror's proposal.

18. Offeror Qualifications

The Evaluation Committee may make such investigations as necessary to determine the ability of the Offeror to adhere to the requirements specified within this RFP. The Evaluation Committee will reject the proposal of any Offeror that is not a responsible Offeror or that fails to submit a responsive offer as defined in NMSA 1978, Sections 13-1-83 and 13-1-85.

19. Right to Waive Minor Irregularities

The Evaluation Committee reserves the right to waive minor irregularities. The Evaluation Committee also reserves the right to waive mandatory requirements if all or the majority of the otherwise responsive proposals failed to meet the mandatory requirements and/or doing so does not otherwise materially affect the procurement. This right is at the sole discretion of the Evaluation Committee.

20. Change in Contractor Representatives

The Department reserves the right to require a change in Contractor representatives if the assigned representatives are not, in the opinion of the Department, meeting its needs adequately.

21. Notice of Penalties

The Procurement Code, NMSA 1978, Sections 13-1-28 through 13-1-199, imposes civil and misdemeanor criminal penalties for its violation. In addition, the New Mexico criminal statutes impose felony penalties for bribes, gratuities and kickbacks.

22. Department Rights

The Department reserves the right to accept all or a portion of an Offeror's proposal.

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23. Right to Publish

Throughout the duration of this procurement process and contract term, potential Offerors and Contractors must secure from the Department written approval prior to the release of any information that pertains to the potential work or activities covered by this procurement or the subsequent contract. Failure to adhere to this requirement may result in disqualification of the Offeror's proposal or termination of the contract.

24. Ownership of Proposals

All documents submitted in response to this Request for Proposals shall become the property of the Department and the State of New Mexico.

25. Electronic Mail Address Required

A large part of the communication regarding this procurement will be conducted by electronic mail (e-mail). Offerors must have a valid e-mail address to receive this correspondence.

26. Use of Electronic Versions of this RFP

This RFP is being made available by electronic means. If accepted by such means, the Offeror acknowledges and accepts full responsibility for maintaining consistency with the original RFP and amendments as issued. In the event of conflict between a version of the RFP in the Offeror’s possession and the version maintained by the Department, the version maintained by the Department shall govern. Offerors should note that, in some cases, procurement search services or websites may download this document and redistribute it. Offerors are advised to refer to the version posted at the Department’s website to confirm they have obtained a complete and accurate version.

27. Disclosure Regarding Responsibility

Any prospective Offeror and/or any of the Principals that seek to enter into a contract greater than twenty thousand dollars ($20,000.00) with any state agency or local public body for professional services, tangible personal property, services or construction agrees to disclose whether they, or any principal of their company:

a. Are presently debarred, suspended, proposed for debarment or declared ineligible for award of contract by any federal entity, state agency or local public body.

b. Are delinquent in making a taxpayer payment. A taxpayer is delinquent if the taxpayer has failed to pay the tax liability when full payment was due and required. A taxpayer is not delinquent in cases where enforced collection action is precluded.

c. Are presently indicted for, or otherwise criminally or civilly charged by any (Federal, state or local) government entity with commission of any offenses.

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d. Have, preceding this offer, been notified of any delinquent federal or state taxes in an account that exceeds three thousand dollars ($3,000.00) of which the liability remains unsatisfied. Taxes are considered delinquent if both of the following criteria apply:

1) The tax liability is finally determined. The liability has been finally determined if it has been assessed. A liability is not finally determined if there is a pending administrative or judicial challenge. In the case of a judicial challenge of the liability, the liability is not finally determined until all judicial appeal rights have been exhausted.

2) The taxpayer is delinquent in making payment. A taxpayer is delinquent if a taxpayer has failed to pay the tax liability when full payment was due and required. A taxpayer is not delinquent in cases where enforced collection action is precluded.

e. Have within a three year period preceding this offer, had one or more contracts terminated for default by any federal or state agency or local public body.

Principal, for the purpose of this disclosure, means an officer, director, owner partner, or a person having primary management or supervisory responsibilities within a business entity or related entities.

The Offeror shall provide immediate written notice to the Procurement Manager if, at any time prior to contract award, the Offeror learns that its disclosure was erroneous when submitted or became erroneous by reason of changed circumstances.

A disclosure that any of the items in this requirement exist will not necessarily result in withholding an award under this solicitation. However, the disclosure will be considered in the determination of the Offeror’s responsibility. Failure of the Offeror to furnish a disclosure or provide additional information as requested will render the Offeror nonresponsive.

Nothing contained in the foregoing shall be construed to require establishment of a system of record in order to render, in good faith, the disclosure required by this RFP. The knowledge and information of an Offeror is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

The disclosure requirement provided is a material representation of fact upon which reliance was placed when making an award and is a continuing material representation of the facts. If during the performance of the contract, the Offeror is indicted for or otherwise criminally or civilly charged by any government entity (federal, state or local) with commission of any offenses named in this document the Offeror must provide immediate written notice to the Procurement Manager. If it is later determined that the Offeror knowingly rendered an erroneous disclosure, in addition to other remedies available to the Government, the Secretary may terminate the involved contract for cause. Still further the Secretary may suspend or debar the Offeror from eligibility for further solicitations until such time as the matter is resolved to the satisfaction of the Secretary.

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28. New Mexico Employees Health Coverage

a. If Contractor has, or grows to, six (6) or more New Mexico employees who work, or who are expected to work, an average of at least twenty (20) hours per week over a six (6) month period during the term of the Contract, Contractor certifies, by signing this agreement, to have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those employees if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed two hundred and fifty thousand dollars ($250,000).

b. Contractor agrees to maintain a record, subject to review and audit by a representative of the state, of the number of employees who have:

1) accepted health insurance; 2) declined health insurance due to other health insurance coverage already in place; or 3) declined health insurance for other reasons.

c. Contractor agrees to advise all employees of the availability of state publicly financed health care coverage programs by providing each employee with, as a minimum, the following web site link to additional information: http://www.hsd.state.nm.us/mad/

29. Employee Pay Equity Reporting

Contractor agrees if it has ten (10) or more New Mexico employees OR eight (8) or more employees in the same job classification, at any time during the term of this Contract, to complete and submit the PE 10-249 form on the annual anniversary of the initial report submittal for contracts up to one (1) year in duration. If Contractor has two hundred and fifty (250) or more employees, Contractor must complete and submit the PE 250 form on the annual anniversary of the initial report submittal for contracts up to one (1) year in duration. For contracts that extend beyond one (1) calendar year, or are extended beyond one (1) calendar year, Contractor also agrees to complete and submit the PE 10-249 or PE 250 form, whichever is applicable, within thirty (30) days of the annual contract anniversary date of the initial submittal date or, if more than one hundred and eighty (180) days has elapsed since submittal of the last report, at the completion of the contract, whichever comes first.

Should Contractor not meet the size requirement for reporting at contract award but subsequently grows such that it meets or exceeds the size requirement for reporting, Contractor agrees to provide the required report within ninety (90 days) of meeting or exceeding the size requirement. That submittal date shall serve as the basis for submittals required thereafter. Contractor also agrees to levy this requirement on any subcontractor(s) performing more than ten percent (10%) of the dollar value of this Contract if said subcontractor(s) meets, or grows to meet, the stated employee size thresholds during the term of the contract. Contractor further agrees that, should one or more subcontractor not meet the size requirement for reporting at contract award but subsequently grows such that they meet or exceed the size requirement for reporting, Contractor will submit the required report, for

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http://www.hsd.state.nm.us/mad/

each such subcontractor, within ninety (90 days) of that subcontractor meeting or exceeding the size requirement. Subsequent report submittals, on behalf of each such subcontractor, shall be due on the annual anniversary of the initial report submittal. Contractor shall submit the required form(s) to the State Purchasing Division of the General Services Department, and other departments as may be determined, on behalf of the applicable subcontractor(s) in accordance with the schedule contained in this paragraph. Contractor acknowledges that this subcontractor requirement applies even though Contractor itself may not meet the size requirement for reporting and therefore is not required to report itself. Notwithstanding the foregoing, if this Contract was procured pursuant to a solicitation, and if Contractor has already submitted the required report accompanying its response to such solicitation, Contractor does not need to re-submit the report with this Agreement.

30. Compliance with Federal Clean Air and Clean Water Acts

Consistent with federal requirements, Offerors are advised that the contract to be awarded includes funding by the US Department of Agriculture / Food and Nutrition Services. As such, the USDA requires federal some restrictions consistent with federal procurement requirements. Consistent with applicable federal contracting regulations, this procurement requires Offerors to have corrected any violations related to the federal Clean Air Act or Clean Water Act as follows:

Clean Air Act, Section 306. No Federal agency may enter into any contract with any person who is convicted of any offense under section 113(c) for the procurement of goods, materials, and services to perform such contract at any facility at which the violation which gave rise to such conviction occurred if such facility is owned, leased, or supervised by such person. The prohibition in the preceding sentence shall continue until the Administrator certifies that the condition giving rise to such a conviction has been corrected. For convictions arising under section 113(c)(2), the condition giving rise to the conviction also shall be considered to include any substantive violation of this Act associated with the violation of 113(c)(2). The Administrator may extend this prohibition to other facilities owned or operated by the convicted person.

Clean Water Act, Section 309. No Federal agency may enter into any contract with any person who has been convicted of any offense under Section 309(c) of this Act for the procurement of goods, materials, and services if such contract is to be performed at any facility at which the violation which gave rise to such conviction occurred, and if such facility is owned, leased, or supervised by such person. The prohibition in preceding sentence shall continue until the Administrator certifies that the condition giving rise to such conviction has been corrected.

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31. Facility / Collocation Costs:

In order to improve coordination of operations between the Department and Contractor, the Department may sublease a portion of its leased office space located at 1301 Siler Road, Suite B/C, Santa Fe, NM, 87507.

The Contractor will be required to reimburse the Department the Department’s lease costs for this space. The rate for fiscal year starting July 1, 2015 (FY 16) is $19.11 for 2,500 square feet for a total of $47,775.00 per year and will escalate based on the following schedule:

Fiscal Year Lease Rate Space Annual Total

7/1/2016 $19.11 2,500 $ 47,775.007/1/2017 $19.43 2,500 $ 48,575.007/1/2018 $19.76 2,500 $ 49,400.007/1/2019 $20.09 2,500 $ 50,225.007/1/2020 $20.44 2,500 $ 51,100.007/1/2021 $20.80 2,500 $ 52,000.007/1/2022 $21.17 2,500 $ 52,925.007/1/2023 $21.55 2,500 $53,875.00

Contractor staff will share common space with Department staff including building accommodations and parking. Contractor staff will be required to adhere to Department security, evacuation, access, and other requirements.

A sample standard Department sublease agreement is included in the Procurement Library. It is understood that the Contractor will pass this cost through to the Department in its proposal and a separate line section is provided in the cost proposal section of this procurement. Offerors may use this rate for colocation option. The Offerors also have an option to secure facility space in Santa Fe or Albuquerque and is not required to co-locate with HSD. However, if this option is proposed, HSD IT resources, such as computers, network printers, etc. will not be made available to the Contractor. In addition, if this option is chosen, the Offeror must indicate the cost of this facility space on the Facility Line identified on the on Cost Spreadsheet.

If the Offeror opts to collocate but needs additional facility space in addition to the collocation space, the Offeror must include the collocation costs in the Cost Spreadsheet and add the additional facility costs in the Other Facility Costs line indicated on the Cost Spreadsheet.

Beyond the requirements listed in this RFP, the Offeror should confirm that it will maintain staffing and resources during Department work hours and secure office space in Santa Fe

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and/or Albuquerque, New Mexico, as needed to facilitate communication and collaboration with the Department staff.

32. Campaign Contribution Disclosure Form

Offeror must complete, sign, and return the Campaign Contribution Disclosure Form, in the APPENDIX 1-C, as a part of their proposal. This requirement applies regardless whether a covered contribution was made or not made for the positions of Governor and Lieutenant Governor or other identified official. Failure to complete and return the signed unaltered form will result in disqualification.

III. RESPONSE FORMAT AND ORGANIZATION

This section describes the format and organization of the Offeror's response. Failure to conform to these specifications may result in the disqualification of the proposal.

NUMBER OF RESPONSES

Offerors shall submit only one proposal in response to this RFP.

1. NUMBER OF COPIES

Offerors should deliver:

One (1) ORIGINAL and seven (7) HARD COPIES of Binder 1 (Technical Proposal); ORIGINAL and COPY shall be in separate labeled binders; all confidential information in the proposal shall be clearly identified and easily segregated from the rest of the proposal.

One (1) ORIGINAL and one (1) HARD COPIES of Binder 2 (Cost Proposal); ORIGINAL and COPY of Cost Proposal shall be in separate labeled binders from Binder 1.

One (1) ORIGINAL and seven (7) HARD COPIES of Binder 3 Supporting Documentation, if Offeror chooses to include such information in their proposal;.

One (1) electronic version/copy of the proposal containing ONLY the Technical Proposal. This copy must not contain any Cost information.

One (1) electronic version/copy of the Cost Proposal. All Confidential Information shall be clearly identified and segregated on the electronic

version mirroring the hard copy submitted.

Any proposal that does not adhere to the requirements of Section III.B, Response Format and Organization, may be deemed non-responsive and rejected on that basis.

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PROPOSAL FORMAT

All proposals must be submitted as follows: Typewritten on standard 8 ½ x 11 inch paper (larger paper is permissible for charts, spreadsheets, etc.) and placed within binders with tabs delineating each section.

2. Proposal Content and Organization

Direct reference to pre-prepared or promotional material may be used if referenced and clearly marked. Promotional material should be minimal. The proposal must be organized and indexed in the following format and must contain, at a minimum, all listed items in the sequence indicated.

Technical Proposal (Binder 1):a) Signed Letter of Transmittalb) Table of Contentsc) Proposal Summary (Optional)d) Response to Specifications (except cost information which shall be included in

Cost Proposal/Binder 2 only) to include the following:Suspension and Debarment Requirement Appendix 1- B FormCampaign Contribution Disclosure Appendix 1- C FormStaff Roles Appendix 1- D FormStaff Worksheet Appendix 1- E FormKey Staff References Appendix 1- F FormKey Staff Letters of Commitment Appendix 1- G FormOfferor’s Additional Terms and Conditions Appendix 1- I FormThree Year Financial History Appendix 1- J Form Offeror’s Corporate References Appendix 1- K Form

Cost Proposal (Binder 2):a) Completed Cost Response Form

Supporting Documentation (Binder 3):Any relevant information related to this proposal.

In addition, the entire proposal including all materials in binders 1 and 3 (not binder 2) shall be submitted on a single CD. Contents of binder 2 must be submitted on a separate CD. Proposals submitted on CD should include TWO versions: (1) a version in secure PDF and (2) a version in unsecured Microsoft WORD and/or Excel to enable the Department to organize comparative review of submitted documents.

Documentation relevant to the proposal

Within each section of the proposal, Offerors should address the items in the order in which they appear in this RFP. All forms provided in this RFP must be thoroughly completed and included in the appropriate section of the proposal. All discussion of

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proposed costs, rates or expenses must occur only in Binder #2 on the cost response form.

The proposal summary may be included by potential Offerors to provide the Evaluation Committee with an overview of the proposal; however, this material will not be used in the evaluation process unless specifically referenced from other portions of the Offeror’s proposal.

3. Letter of Transmittal

Offeror’s proposal must be accompanied by the Letter of Transmittal Form located in APPENDIX 1-M which must be completed and signed by an individual person authorized to obligate the company. The letter of transmittal MUST:

1. Identify the submitting business entity.2. Identify the name, title, telephone, and e-mail address of the person authorized by the

Offeror organization to contractually obligate the business entity providing the Offer.3. Identify the name, title, telephone, and e-mail address of the person authorized to

negotiate the contract on behalf of the organization (if different than (2) above). 4. Identify the names, titles, telephone, and e-mail addresses of persons to be contacted

for clarification/questions regarding proposal content.5. Identify sub-contractors (if any) anticipated to be utilized in the performance of any

resultant contract award.6. Describe the relationship with any other entity which will be used in the performance

of this awarded contract.7. Identify the following with a check mark and signature where required:

a. Explicitly indicate acceptance of the Conditions Governing the Procurement stated in Section II. C.1;

b. Acceptance of Section V of this RFP; and c. Acknowledge receipt of any and all amendments to this RFP.

8. Be signed by the person identified in para 2 above.

PLEASE NOTE: If the proposal is submitted through State Purchasing’s electronic submission system, the Offeror need only submit a single electronic copy of each binder of the proposal (the other paper copies requested must be submitted to the State Purchasing Division Office).

Please separate the proposal for the technical specifications and the proposal for the cost as well as the proposal for the confidential information into separate files in your submission. Each “envelope” (file) location for each of the three sections of the RFP will be specified in the upload section of the Offeror’s electronic submission.

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IV. BACKGROUND, REQUIREMENTS, SPECIFICATIONS, and QUESTIONS

Overview

The following provides System Background, Department’s Requirements, and Questions for responding to this RFP. Technical and Functional Specifications are included in the appendices.

A. SYSTEM BACKGROUND

The State of New Mexico Human Services Department (NMHSD) implemented a new integrated human services eligibility system (ASPEN) between July 2013 and January 2014. The purpose of this RFP is to provide ongoing maintenance and support to this system beginning July 1, 2015 and ending June 30, 2023.

The Automated System Program and Eligibility Network (ASPEN) - ASPEN is New Mexico’s public assistance eligibility system. It replaced a 25+ year mainframe eligibility determination, benefit delivery and case management system (ISD2). It supports public assistance program administration for Medicaid, the Children’s Health Insurance Program (CHIP), Supplemental Nutrition Assistance Program (SNAP), cash assistance and other human services programs. In addition it consolidated related siloed systems such as the Client Tracking System (CTS), Incapacity Review Unit (IRU), Low Income Energy Assistance Program (LIHEAP) and Claims. ASPEN adheres to federal Medicaid eligibility determination, Health Insurance Portability and Accountability Act (HIPAA) rules, Section 504 and 508 accessibility requirements, and Section 1561 recommendations from the Department of Health and Human Services (DHHS). In addition, the architecture of ASPEN meets or exceeds the Medicaid Information Technology Architecture (MITA) standards.

With ASPEN implementation, HSD has introduced a web portal with a client-facing system allowing clients “self-service” capabilities. This system, called YES-NM (Your Eligibility System – New Mexico), allows clients to screen themselves for potential benefit eligibility, apply on-line for select benefit programs, check the status of their food assistance benefits and report changes to their case worker. YES-NM is integrated with ASPEN.

HSD introduced an Interactive Voice Response (IVR) service in February 2014. It allows clients to call a toll-free phone number and receive predetermined information about their cases. The information comes from the YES-NM database.

ASPEN will include a real time Medicaid eligibility interface with the State Based Marketplace (SBM) (Health Insurance Exchange) in November 2015. This will be fully integrated with ASPEN and automatically create cases and determine real-time Medicaid eligibility when possible using an account transfer from the SBM.

ASPEN is also used to establish eligibility for Medicaid and transmit data to the Medicaid Management Information System (MMIS). MMIS is used to enroll individuals with Medicaid managed care organization (MCO) vendors in the managed Medicaid program, to pay MCOs,

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and to process Medicaid fee-for-service claims. MMIS is currently administered by Xerox Corporation using a system called Omnicaid and other systems.

ASPEN is used by approximately 1,300 end users. Approximately one half of these users determine eligibility for public assistance benefits for New Mexico residents. There are also users who provide supervision or administrative support to the eligibility staff. Another population of users has “inquiry only” access and uses ASPEN to retrieve case information or reports from ASPEN. The majority of HSD staff are housed in 36 field offices located throughout New Mexico as well as in the Central Administration building located in Santa Fe. There are also a small number of staff that have the same objective in determining eligibility and issuing assistance benefits to those in need stationed at community resource centers, hospitals and schools.

With ASPEN implementation, HSD introduced electronic document management process using ImageNow software. ImageNow scans and indexes client documentation into the client’s electronic case file in ASPEN.

Currently HSD provides at least one public assistance benefit to more than 800,000 low-income New Mexicans. In addition, field staff members complete eligibility determinations on new applications, a significant portion of which will not be eligible for benefits.

Active Case and Recipient Counts by Program as of JULY 2014

TANF SNAP

MEDICAID* based on

April 2014 data

General Assistance

LIHEAP* YTD

Active Cases 14,154 207,171 n/a 2,700 68,867Active Clients 39,967 454,997 678,576 2,767 n/a

Use of the term “ASPEN” in this RFP shall include the ASPEN application, YES-NM web service support with ASPEN, Electronic Document Management (EDM), all Interfaces, and xml support to the IVR system.

The support and enhancements to be provided for ASPEN include but are not limited to:

1. Business requirements definition, documentation, validation and verification for modifications of the existing applications.

2. Applications and interface support and maintenance to include design, development, quality assurance testing, regression testing, support of user acceptance testing, configuration management, build and release management, environment management; incident reporting, resolution and management; and interface design and batch support.

3. Systems and communications software, hardware and network support.4. 24/7/365 monitoring and maintenance, including staff on call. 5. Other operations and maintenance tasks required to assure satisfactory performance of all

applications.

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The Contractor shall provide staff and will be responsible for the outcomes and for adhering to the methods, procedures, conventions and standards detailed in the Functional Requirements and Technical Requirements matrices in Appendices of this RFP.

Principal stakeholder and user communities include ASPEN clients, HSD’s Income Support Division (ISD), Medical Assistance Division (MAD), other HSD Divisions (Office of Inspector General, Administrative Services Division) Information Technology Division (ITD), organizations with which HSD exchanges data via systems interfaces (trading partners), and other organizations and groups representing New Mexicans.

Other General Information:

ASPEN is an integrated eligibility system that uses rules engine logic, applying various data inputs across multiple public assistance program rules to determine eligibility for assistance benefits. As of last estimates, some current characteristics of ASPEN are as follows:

Item NumberUser Base 1,300Trading Partners 27Financial and Management Reports 234Data Base Tables 7,500End User Screens 1,800Total Number of Batch Jobs 1,457 Daily Batch 858 Weekly Batch 48 Monthly Batch 456 Quarterly Batch 26 Yearly Batch 12

The Contractor shall work with the HSD to coordinate complex policy changes among multiple stakeholder groups and shall work with HSD to seek system compliance with new regulations while satisfying the service delivery needs across a vast enterprise of stakeholders.

ASPEN is a complex environment, with many established HSD, other State Agencies and third-party resources providing support and services that may overlap with Contractor activities defined in this contract. It is essential to the success of ASPEN M&O that the Contractor collaborates with and supports the resources working on activities defined in this contract.

The Contractor and HSD will jointly work to improve their understanding of ASPEN functionality, technology and maintenance and operational activities so that HSD and the Contractor can collaboratively maintain and support the application. The integrated team shall be involved in the release processes, development activities, operational activities and technical meetings.

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Members of the team will work together during each release to analyze and develop work requests for various functional areas. This method of development will facilitate an integrated team, creating an atmosphere conducive to knowledge sharing.

Organization of ASPEN Teams All Contractor staff will function as part of an Application Support team residing within ITD to support HSD. The Contractor’s staff shall work alongside HSD employees to develop and maintain all aspects of ASPEN, including benefits processing, state and federal reporting, associated interfaces, and batch processes. These resources shall become familiar with ITD and HSD personnel, HSD’s business processes, and ITD’s established processes and procedures, and function under the direction of the HSD ITD ASPEN Bureau Chief or designee.

To provide the highest quality of services to HSD the team will collaborate on and document important procedures, processes and tasks that are critical to the successful operation of ASPEN including but not limited to:

1. Existing or potential risks and problems 2. Action items 3. Changes to technical or business processes 4. Recommendations5. Factors with the potential to impact the scope of work or affect ongoing releases6. Production support 7. Business problems occurring in the field 8. Steps taken to resolve critical issues in any area of application maintenance and support

These activities will be directed and tracked by HSD management based on the availability of resources and ongoing priorities. This knowledge base will improve process compliance, reduce training expenses and greatly improve the ability of the HSD and Contractor staff to deliver efficient and timely services to HSD.

Purchase of hardware, software or other commodities is not within the scope of the RFP.

B. GOALS AND VISION FOR ASPEN AND RELATED APPLICATIONS

The Department Goals and Vision for ASPEN and its Related Applications are listed below and should be considered in any responses to this RFP:

The overarching vision for this RFP award is an integrated team of awarded Contractor staff and HSD technical and business staff that will continuously improve the ASPEN system, meet changes in federal and state requirements, provide tools and information necessary to provide world-class human services eligibility decisions to the citizens of New Mexico and continuously improve our relationships and technology interfaces with state and federal partners.

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More specific Goals and Objectives include:

Goal Objectives / DetailsImprove caseworker ability to serve the client

• Streamline and simplify policy and procedure• Data sharing across programs, services, and systems• Support or enhance NM’s process model

Improve client access to benefits and services

• Increase options for client access• Provide eligible clients the assistance/service for which they qualify

Improve program accuracy and efficiency

• Decrease error rates in all programs• Serve clients in a more timely manner at lower cost to State

Use technology to improve business operations

• Provide efficient and effective adaptation to changing business needs• Reduce maintenance effort and cost

Fully automate eligibility and benefits determination

• Eliminate manual workarounds• Integrate policy and system• Increase client access to automated processes• Automate support for standardization of processes and codes• Increase automation of eligibility and benefit determination calculations and

decisions• Eliminate redundant data entry• Reduce error rates

Provide rapid IT response to changing business needs

• Use rules-based design• Enable easy addition or modification of functionality• Reduce service requests by using configurable rules and parameters that can be

easily modified

Maintain ASPEN to accommodate business growth

• Maintain system architecture and design to readily handle growth in transaction load

• Design components that are compatible and can be easily modified for other programs that may be added in future releases

Align ASPEN with HSD statutory responsibilities and strategic goals

• Use standard technology and reduce the number of technologies• Use standard project and development methodologies• Use an open architecture• Maintain a design that is flexible and easy to maintain• Enable easy addition or modification of interfaces• Update the security infrastructure as needed to support improved security

standards• Avoid outdated and high-maintenance hardware, software and programming

languagesDevelop and implement an enterprise-wide Health and Human Services Information Technology model across all state agencies who deliver those services using ASPEN.

• Expand ASPEN to be an eligibility, enrollment, and human services system for other agencies and governmental entities.

• Include business and technology functions from other HSD programs such as Child Support Enforcement, Medicaid, Behavioral Health, and others.

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C. GENERAL DESCRIPTION OF SCOPE OF WORK

The Contractor shall perform specific ASPEN maintenance and operations activities as described in the RFP requirements, including those in the Functional and Technical Requirements appendix to this RFP. The Contractor shall report to the HSD ITD ASPEN Bureau Chief or designee.

Additionally, the Contractor shall provide application enhancement support staff, as specified in this RFP, who will work closely with ISD and ITD personnel on a daily basis to identify and improve application functionality as it relates to business users throughout the state and the citizens of NM. Throughout the duration of this contract, application enhancements will be required to achieve HSD’s goals for ASPEN. Enhancements are needed when program source code, reference tables, business rules, configuration, data elements, reports, or interfaces must be changed to implement a system, functional, or performance requirement. The primary drivers of enhancements include:

1. Implementation of new or modified functionality required to support programmatic or policy changes and/or new state or federal statutes or regulations

2. The need for operational improvements and/or efficiencies prioritized by the State.3. Major upgrades and/or replacement of one or more application components prioritized by the

State to fulfill HSD, Federal, ITD or NM Department of Information Technology (DoIT) vision or mandates.

The development, support, maintenance and enhancement of ASPEN is an ongoing activity triggered by changes in federal and state regulations, evolving business needs, opportunities for improving business processes, continued software and hardware upgrades, and break fixes. The applications developed and maintained using resources from this contract are vital to HSD’s day-to-day business operations.

The HSD Project Management Bureau Project Management Office (PMO) will define work requirements for the Contractor and the HSD ASPEN team to track ASPEN system activities and confirm compliance with business, technology and application standards as follows:

1. Application Maintenance will include:a. Analysisb. Business Requirements definition, documentation, validation and verification for

modifications of the existing applications.c. Functional and Technical design, development, configuration management, build

and release management, environment management; and incident reporting, resolution, and management

d. Source code changese. Screen modificationsf. Addition, deletion, or modification of data elements or system reference tables.

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2. Testing will include:a. Unit/Integration Testingb. System Testing (i.e. Quality Assurance Testing)c. Regression Testingd. Performance and Load Testinge. Security Testingf. Disaster Recovery/Business Continuity Testing

3. User Acceptance Testing Support4. Batch and interface support, and design as required.5. Systems and communications software, hardware and network support.6. Technical operations, communications, and documentation of processes and technical

specifications7. 24/7/365 monitoring and maintenance, including staff on call. 8. Other operations and maintenance tasks required to assure satisfactory performance of all

applications.

The critical nature of the ASPEN application demands corrective, adaptive, and preventive software maintenance across each of the component parts of ASPEN, in addition to implementing enhancements from needed initiatives and changes in policy. The scope of services defined for ASPEN maintenance and operations includes maintenance work requests such as source code changes for identified issues, screen modifications, addition, deletion, or modification of data elements or system reference tables.

D. REQUIREMENTS

There are three major deliverables related to this RFP: ASPEN ENHANCEMENTS, MAINTENANCE AND OPERATIONS and SYSTEMS TRANSITION

These are detailed below and should be incorporated into responses.

Aspen Enhancements

The Contractor shall provide onsite software and database staff of specific job classifications and quantities which, under the direction of the ITD ASPEN Bureau Chief or designee, will work collaboratively with HSD ASPEN staff. These staff will be proposed at hourly rates and must meet minimum experience requirements as defined in this RFP. These personnel will provide software development, testing and release management support for changes to ASPEN functionality, as required by policy, state legislative or federal rules and benefits program changes. The scope includes specific ASPEN enhancement activities described in the Appendix:

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Title Number of Positions Key Personnel?Application Development Manager 1 YesSenior Systems/Business Analysts 3 2-Yes 1-NoJava Programmer Analysts 20 10-Yes, 10-NoOracle Database Administrators 2 1-Yes, 1-NoQuality Assurance Testing Analysts 2 No

The Department, based on final evaluation of Offerors proposal and final contract determinations, will specify the number and mix of staff it deems necessary to enhance the ASPEN System. The number and mix of staff required may change over the life of the contract. The Department may increase the number of staff throughout the contract in order to meet changing business and technology needs. The number listed in above table is the minimum number of enhancement staff that will be included in this deliverable.

Maintenance and Operations of Current System

The Contractor will update weekly an electronic status dashboard system that summarizes specific activities performed by the M&O team. These activities will be performed as per the priorities communicated by the HSD ITD Bureau Chief and HSD ASPEN ISD Bureau Chief or designee and approved by the Release Planning Team. This weekly update will constitute the deliverable for this section and will focus on the day to day management of hardware and software configurations; COTS integration; capacity planning and management; planning and management of specific existing ASPEN environments; tuning; interfaces; ad-hoc reports; application defects and rule change configurations to support known scheduled activities, which may include the following:

1. Annual FPL and COLA changes2. Annual Recipient Benefit Statement and 1099 production3. Patching and COTS software related to ASPEN application4. DIFSLA.5. CSMIA (Community spouse income allowance)6. Quarterly Medicare Premium Payments.7. Monthly Issuance8. Annual school subsidy for TANF recipients9. Support of ISD staff for reference table changes10. Creating and maintaining logs in order to diagnose application performance problems.11. Proactively managing the application tier to test and ensure proper operation and load

balancing.12. Performing assigned failover duties in the event of hardware failure or disaster. 13. Assuming all Application maintenance and operation activities for Enhancement work

included in this contract 14. Database Administration Tasks15. Database Changes16. WebSphere Support

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17. MQ Support18. Build Script Changes19. Daily Builds and Promotion20. IIR Support21. Data Services Support22. Opus Administration23. ImageNow Support24. Informatica Administration25. Other ASPEN application COTS support26. Framework Tools support27. CCD Generation28. ASPEN Application Unix support29. All ASPEN Interfaces support30. Federally Facilitated Marketplace (FFM) and State Based Marketplace (SBM) support

The work will be performed onsite at the direction of the HSD ITD Bureau Chief or designee. This M&O team will be responsible for maintaining delivered ASPEN code as well as integrating work produced by the Enhancements into core ASPEN application and test it for stability before moving to production.

Contractor will provide a staff mix and size to support the scope of this Deliverable. Current contractor staff supporting ASPEN M&O excluding any enhancement staff is 26. These resources will be dedicated to the performance of M&O Deliverable-related services. The deployment of these resources can be modified as needed in order to ensure the system is well maintained and supported. Such changes must be submitted to the Department for review and acceptance. Contractor Maintenance and Operations staff will work collaboratively with Enhancement staff and HSD ITD staff to integrate new functionality into ASPEN.

System Transition

Offerors are to address their approach to transitioning of maintenance and operations of the ASPEN system from the current Contractor to the Offeror’s organization. Offerors are to describe information required of HSD and current Contractor, assumptions related to acquiring system or other operational documentation, and a detailed transition checklist to be used to initiate transition from one organization to another. Offerors are to also describe HOW it will confirm it has transitioned all assets and materials needed to continue systems operations. Offerors must fully describe how they will be fully operational by July 1, 2015.

E. SPECIFICATIONS

INFORMATION TO AID IN THE DEVELOPMENT OF THE PROPOSAL

This section contains system, technical, organizational, and other relevant information Offerors should use for the preparation of their proposals. The Offeror is responsible for using the documentation provided to develop a comprehensive understanding of the ASPEN system and the requirements for operating and maintaining it, and for asking any questions if there are any aspects that are unclear.

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ASPEN Network, Technical Environment and Tools

For information about the existing technical, environment and tools, refer to the “Procurement Library.”

ASPEN ArchitectureArchitecture refers to the manner in which hardware or software is constructed and integrated. It specifies the components of the system; what interfaces and communication protocols will be used; and how they will interact. The components can be grouped into these categories: hardware and operating system (OS) environment (logical and physical) software environments storage network infrastructure

The architecture for the ASPEN system is an n-Tier architecture. This design allows for the separation of specific application responsibilities across several logical and physical tiers. This architecture is comprehensive. It supports the full complement of ASPEN functions in a unified and tightly-integrated environment designed to provide adequate capacity and scalability. It uses a VBLOCK hardware platform, Exadata and software tools such as WebSphere and Oracle DBMS. The architecture is flexible, using an n-tier design in a distributed systems environment. It is a scalable, using hardware clustering and load balancing to support throughput without changing portions of application code. The Contractor shall update Technical Architecture Plan periodically throughout the life of the contract.

For information about the HSD network and ASPEN technical components, refer to the “Procurement Library” which includes:a. ASPEN architecture overviewb. ASPEN Network Diagramc. VBlock Infrastructure Platforms Series 300 Architecture Overviewd. Exadata Architecture Overviewe. ASPEN System Security Plan f. Technical Reference Modelg. Current HSD Software Licenses Related to ASPEN

The HSD currently uses Microsoft Project 2010, and Microsoft Office Suite (Word, Excel, PowerPoint, & Visio). The Contractor shall use these products in preparing its contract deliverables.

Data Center

ASPEN’s primary infrastructure is hosted in the State Data Center located in the John F. Simms Jr. Building in Santa Fe, NM; and its secondary (All non-production environments including Disaster Recovery) infrastructure is hosted in State’s Tiwa Building Data Center in Albuquerque,

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NM. The Offeror may, at the discretion of the Department, have 24/7 supervised access and monitored control of all equipment within this area.

ASPEN Eligibility Service

Following is a list of ASPEN Functional Areas. These areas are a framework for the maintenance and operations activities expected of the Contractor. Assigned tasks will vary according to specific needs at any time during the term of this contract. The number of development and maintenance initiatives will vary throughout the period of the contract resulting from this RFP. Work peformed must conform to project management, systems engineering methodology, and other IT standards in effect for HSD.

ASPEN’s Current Functionality

Summary of functional areas in ASPEN

Benefit Issuance: Benefit Issuance provides mechanisms to deliver benefits to eligible recipients through multiple payment methods while maintaining a detailed benefit history. ASPEN supports the rapid delivery (i.e. near real time) of benefits depending on the Electronic Benefit Transfer (EBT) Contractor. Workers can research issuances by drilling-down to the individual level for each benefit month.

Benefit Recovery: ASPEN functionality determines when benefits have been over-issued based on date and data dependent logic built in to the rules engine. When appropriate benefit recovery claims are generated for certification by field staff or sent as an alert to specialized staff, ASPEN will establish automated recoupment processing or repayment plans for the case.

Case Maintenance: ASPEN provides functionality to support the many tasks that Workers have to perform throughout the lifecycle of a case. ASPEN tracks due dates, receipt of verifications, and historical records, and, based upon the data in the system, it will recalculate benefits. ASPEN also schedules appointments and provides calendaring with distinct options that can be modified at the worker level; in addition there are other options that are controlled at the supervisor level. Some of the key Case Maintenance features within ASPEN includes: recertification, provider management, mass change, and inquiry.

Client correspondence: Notices, Forms, and Referrals are dynamically generated within ASPEN from a library of templates. Fields on the correspondences are populated with data entered or calculated in the system.

Caseload Management: ASPEN functionality keeps staff informed of their workloads and facilitates management with automated caseload realignment and reminder capabilities. The caseload management feature is comprised of three major functions: task and reminder alerts, case transfers, and caseload reassignment.

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Eligibility Determination/Benefit Calculation (EDBC): This functionality is the focal point of the ASPEN system and supports the base business rules that determine the Client’s eligibility across all requested programs. EDBC is based on a Rules Engine that reads a series of Decision Tables based on program policies and procedures.

Historic User and Data Maintenance: ASPEN allows for audit trails that create records of data changes and specific user actions. This information allows case data updates to be viewed for auditing and management purposes.

Registration / Intake functions: Registration and Intake functionality includes recording the Client application, assigning cases, and collecting Client data. The process guides the Worker through a complete series of steps and questions. The Worker enters data collected via the application for public assistance, gathers basic household and demographic information, identifies individuals known/unknown to the system, identifies expedited cases, and tracks requests for assistance. The underlying philosophy within this track is that raw data is captured once and used across all assistance programs for as many months of eligibility determination as is applicable.

Interfaces: Interfaces within ASPEN automate processes that exchange data with other organizations. ASPEN has the capability to interface online, real-time, or in batch. A broad array of information is exchanged between systems internal to HSD and external systems, with minimal manual intervention. An example is income changes from a trusted source such as SSA that will auto-populate and trigger mass update of affected program eligibility determinations and benefit calculations. ASPEN exchanges over 120 interface files with a variety of other systems.

Management and Financial Reporting: Report Extracts are generated from which management reports are created. Crystal Decisions products (Crystal Reports and Crystal Enterprises) are used to generate reports automatically according to specified timeframes, or manually by the Worker, as needed. Most management reports are canned reports and are hence pre-defined in terms of structure, layout, sorts and frequency. For identified reports that can be scheduled by the user to be created during batch, ASPEN has the ability to define sorting rules through parameters on the report. Some reports can also be rendered in Microsoft Excel format for additional sorting capabilities. Financial Management involves two main tasks: the ability to issue, modify or stop payments to and from another financial entity; and, the ability to accurately and logically report on all such transactions. The focus of the Financial Management Reports from ASPEN is the cash and food assistance benefits issued to Clients and providers/contractors through EBT, EFT, and the warrant processing system. These reports are used to track, monitor, reconcile benefits, and report to required entities at the Federal and State level. In addition to the above recurring reports, there is a requirement that ad-hoc reporting be carried out upon request. Ad-hoc reports needed to pull instances or outcomes of specific situations. These reports assist the state in making operational, policy or technical decisions that may affect department clients.

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Mass Change: Mass changes affect client eligibility and benefit amounts at various times during the year. Some mass changes are expected at a specific time in the year based upon known inputs while others may occur with shorter notice due to changes in state or federal legislation.

Master Client and Provider Index: ASPEN functionality includes the use of a Master Client Index (MCI). This index is used to identify known clients. Through ASPEN, creation of new clients and providers is possible, in addition to updating, changing or end-dating these records.

Provider/Resource Management: ASPEN functionality provides for the enrollment and maintenance of providers who receive payment from the state or on behalf of clients receiving benefits from the state.

Quality Control and Disaggregation Universe: Several monthly quality control samples are created from ASPEN data using set requirements for specified programs.

YES-New Mexico: ASPEN provides a public facing self-service application, YES-New Mexico, to assist applicants and recipients of public assistance programs. YES-New Mexico integrates directly with ASPEN to provide a seamless transition between the externally entered client requests for assistance and the ability for HSD workers to immediately process these applications within ASPEN proper. The support and enhancement of the YES New Mexico Portal is not required by the Contractor, however the integration via several web services with ASPEN is required.

Electronic Document Management (EDM): A central feature of ASPEN is the use of EDM to receive, enter and store required client documents. Receipt of these documents in ASPEN triggers subsequent steps in the eligibility and benefits processes. Documents can be scanned at each ISD office or they can be mailed or faxed to the Centralized Scanning center (“CASA”). Additionally, clients can scan their documents into YES-New Mexico from kiosks located in every ISD office. Clients may also scan and submit from home.

Interactive Voice Response (IVR): By dialing a toll-free number ASPEN clients can access YES-New Mexico for inquiries about the current status of applications and benefits.

Fair Hearings: The Fair Hearings Bureau provides aggrieved individuals an opportunity to confront the evidence against them and have their evidence considered by an impartial finder of fact. The Administrative Law Judge (ALJ) uses ASPEN to schedule, track and capture information pertaining to these legal reviews. The data collected includes Fair Hearing Requests, hearing times and outcomes. ASPEN also includes a series of reports to track ALJ case throughput and analyze case outcomes and trends.

New Mexico Works (NMW): A module within ASPEN that HSD’s NMW Contractor staff use to track work requirements and reimbursements for TANF and SNAP Education

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and Training participants, including tasks and alerts that notify workers that a requirement is due or overdue.

Incapacity Review Unit (IRU): The Incapacity Review Unit (IRU) tracks clients drawing benefits due to disability. ASPEN sends tasks and alerts to IRU when medical reviews are due for clients that need a disability determination. It also provides IRU to document their decisions and notify ISD staff upon entering of the decision into ASPEN. The application includes a series of reports to track staff productivity and analyze case demographic trends.

Verification

Federal Data Sources Request and store results of Title II and Title XVI, SSN, Citizenship, 40 Quarters, IAR,

SDX, BENDATA, SOLQ and Prisoners verification from SSA. Request and store results of Federal earned and Unearned Income, VA and interstate

benefits from PARIS. Request and store results of IPV Sanctions from eDRS. Request and store results of Address and Collections Requests from FNS TOP. State Data Sources Request and store results of Employment Security quarterly wage data verification Request and store results of Experian – Equifax wage verification or similar vendor Request and store results of Eligible children who have been adjudicated and Child Care

benefits from CYFD. Request and Store results of Incarceration and Absconders information from NMCD. Request and Store results of Collections from TRD. Request and store results of Child Support income verification. Request and Store Medicaid Individual and Support Service Plans from four MCOs. Other Data Sources Request and store results of verification of individual’s other existing minimum essential

coverage Store results/client attestation of Indian Status Store results/client attestation of Residency Store results/client attestation of Individual Exemption qualification Store results of alternate client verifications for income from the Work Number or

similar vendor Store results of alternate client verifications for Citizenship / Lawful presence. Request and Store LIHEAP payment information from energy providing vendors. Other Interfaces Submission of all Eligible Medicaid changes to eligibility to Omnicaid (MMIS). Submission of all Benefits Issuance to EBT vendor. Submission of all Certified Children under 18 for free school lunch to PED. Submission of EBT, L Warrant and SSIR Warrant Information to SHARE. Submission of L Warrant, SSIR Warrant and CMT Warrant information to BOC. Submission of LIHEAP payment information for 1099’s to DFA. Submission of EFT and Warrant Information to Wells Fargo.

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Submission of Correspondence files for printing and mailing to Lithexcel. State based marketplace (NMHIX) referrals (inbound and outbound) including real-time

Medicaid eligibility and APTC/CSR determinations and assessments (effective November 2015).

Eligibility Determination

Medicaid/CHIP; Supplemental Nutrition Assistance Program (SNAP), Temporary Assistance for Needy Families (TANF), State funded Cash Assistance Programs (Burial Assistance, General Assistance for Disabled Adults and Unrelated Children, Education Works Program, Transitional Bonus and Adult Residential Shelter Care Program) and Low Income Home Energy Assistance Program (LIHEAP):

Determine Federal Poverty Limit percentage for individuals based verified income Determine non‐financial program eligibility based on:

Citizenship Residency Incarceration Relationship and Other program specific regulatory requirements.

Determine benefit level for SNAP, Cash Assistance and LIHEAP based on: Household size determined on mandatory benefit group members Household gross and net income in relation to benefit maximums Allowable deductions

Medicaid/CHIP Cost Sharing Reductions Request and store results Cost Sharing Reductions

Provide results of eligibility determination to the Federal Health Insurance Marketplace

Exchange for Medicaid/CHIP ProgramsTransmit the electronic benefit file for SNAP and Cash Assistance to the electronic benefit vendor; transmit the electronic benefit file for LIHEAP to the energy company vendor

NotificationGenerate approval, denial, change and closure notices upon completion of eligibility determination

Medicaid/CHIP EnrollmentCoordinate enrollment/disenrollment into Medicaid/CHIP into Omnicaid

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RenewalsRequest and store data from state identified trusted sources.

Generate semi and annual interim reports and recertification notifications to the correspondence vendor responsible for printing and mailing.

ReferralsAcceptance of referrals from other human services programs or non-Modified Adjusted Gross Income (MAGI)‐based Medicaid programs to the Exchange

AppealsProvide the capability to calculate eligibility to support appealsProvide the capability to implement final eligibility decisions that result from appeals

For Collocating Contractors

Facility space in Santa Fe to accommodate 45 staff will be provided to the awarded vendor (see cost proposal section for further details). If the Offeror chooses to be located in another location in the Santa Fe or Albuquerque area that cost will be included in the M&O deliverable as part of the total price for that item. If an Albuquerque location is chosen, the Offeror will be required to attend meetings in Santa Fe at the request of the ASPEN ITD Bureau Chief.

Contractors who collocate with HSD at the Siler Road facility will be offered the following resources based on HSD standard issue: work office space, desk, telephone, PC workstation, printer, and access to copiers and fax machine. All such resources will be returned to HSD inventory at the end of the contract in good working order outside of normal usage wear. Contractor will provide desktop support for contractor employees. Contractor will follow HSD security and network use standards as established by HSD Security Policies or other HSD codes of conduct.

For non-collocating Contractors

As previously described, Contractors are not required to collocate with HSD/ITD. However, if the Contractor chooses to not collocate, the ITD resources identified above as part of the collocation ITD resources, will not be made available to the Contractor.

Note: If the Contractor chooses to collocate, but needs additional facility space, the ITD resources will only be made available as part of the collocation space.

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Transition Activities

Orientation Meeting

1. Within ten (10) calendar days after execution of the Contract resulting from this RFP, the Contractor shall be required to attend an orientation meeting to discuss the content and procedures of the Contract.

2. The meeting will be held in Santa Fe, New Mexico, at a date and time mutually acceptable to the State and the Contractor. The State shall bear no cost for the time and travel of the Contractor for attendance at the meeting.

Performance Review Meetings

The State will require the Contractor to attend monthly meetings, at a minimum, to review the Contractor’s performance under the contract. The meetings will be held in Santa Fe, New Mexico, as mutually agreed by the State and the Contractor. HSD shall bear no cost for the time and travel of the Contractor for attendance at the meeting.

ASPEN GOVERNANCE

HSD Roles and Responsibilities

The ISD Director and HSD CIO maintain the overall authority and control over the ASPEN M&O efforts. The ASPEN Steering Committee (ASC) will meet to review overall plans – and progress against those plans – on a regular basis. A clear and transparent governance structure ties all these together to create efficient and effective processes. This structure drives complete and transparent communication throughout all aspects of the system maintenance and operations. It connects owners with processes (issue resolution, schedule reviews, budget reviews, etc.), and defines meeting structures for clear transparent communication and overall governance of the system. The goal is to: Involve all stakeholders; Communicate early and often; provide a structure to reach all stakeholders to create Involvement, Commitment, Buy-in, Accountability, and Ownership.

ASPEN Steering Committee (ASC)

The ASC provides overall strategic direction and decision making for the ASPEN systems. Ultimate decision and budget authorities are with the ISD Director and the HSD CIO and are conducted through the ASPEN Steering Committee meetings. The ASPEN Steering Committee (ASC) is comprised of the ISD Director, the Deputy Director – Programs, the Deputy Director - Field Offices, the Policy Bureau Chief, the MAD Deputy Director, the ITD Bureau Chief, the Office of the Inspector General, the Director of the Child Support Enforcement Division, and the Director of the Administrative Services Division.

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Meetings with the ASPEN Steering Committee will occur as needed for: Overall leadership, direction and approvals, Change Control signoff, Ultimate decision point, final issue resolution, and budget approval.

The ASPEN Steering Committee is responsible for establishing the change control process, including the impact assessment, change control review, and formalization of the acceptance or denial of the proposed change. Similar to issues and risk management, the ASPEN Bureau Chief owns the processes related to change management. This process will be used to suggest modifications to agreed-upon releases, as well as enhancement requests.

The ISD Director has primary responsibility for establishing Maintenance, Operations and Enhancement goals, and the HSD CIO is responsible for assigning and managing personnel and the budget.

ASPEN Core Team

The ASPEN Core team is the heart of operations. It is the transition from strategic to tactical. All strategy and direction from the ASC flow to the ASPEN M&O through this team. All status, issues or decisions are worked with this team prior to the ASC. The group is responsible for managing all aspects of the system including schedule, scope and budget. The Core Team is led as a partnership between ASPEN Business Owner and the ASPEN ITD Bureau Chief.

This ASPEN Core Team will meet weekly on a specifically defined schedule. The team will review schedules, scope, budget, issues and risk to determine necessary actions or communications. Other meetings, structures or actions will be recommended or decided by this team.

The team members report directly to the steering committee members. Other constituent representatives include the system network and technical leads, project managers, the ASPEN contract manager, and other key Contractor staff as identified in this RFP.

Sub Teams

Sub teams are formed as necessary. Sub Teams will be led by Leads or key Contractor staff as identified in this RFP. Sub Teams will be focused with specific tasks or deliverables and primarily managed by the ASPEN Core Team.

Other Governance Meetings

The Department will establish its meeting requirements and schedules and Contractor attendance and participation will be required. Below, several key meetings are identified:

Issue Resolution Meeting – As issues are captured with the date, owner, description and due date, they will be monitored until they are resolved. The approach for the issues resolution process is: Identify ownership clearly, Monitor status constantly, Address concerns directly, and Escalate unresolved concerns and issues promptly. The issue owner is required to attend each

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week and provide a status until it has been resolved. If the issues cannot be resolved or are passing the due date, they will be escalated to the ASPEN Core Team and ultimately the ASC if necessary.

Daily Defect Meeting – When in the user acceptance testing (UAT) phase of a release, daily meetings will take place to assess the defects, prioritize and plan testing activities.

Release Management Meeting – As defects are being fixed and released to production, they will be scheduled through the Release Management Process.

Database Review Board – This board considers all proposed changes to the database. This board enforces naming conventions, metadata, constraints and constraint mapping; limits redundancy; and maintains data dictionary.

State ASPEN Management Office Organization Chart

An organizational chart is available at the Procurement Library website for reference, but Offerors are advised this may change as HSD further develops its systems. The Contractor Staff will be part of the ITDASPEN Bureau Chief’s Organization

Contractor Staff, Roles, and Responsibilities

The Contractor will be accountable to the ASPEN Bureau Chief. The Offeror shall have state eligibility systems industry experience, as well as industry product (solution) knowledge required for a successful maintenance and operation of the ASPEN system. The Offeror staff roles identified as “Key Personnel” and desired qualifications for these persons can be found in this RFP.

The State-led ASPEN support organization is outlined in this RFP. At a minimum the Contractor’s Operations Manager and Application Manager will be part of the ASPEN Core team and participate in all activities and meetings. Additionally, other Contractor staff will participate in ASPEN Core activities and meetings as required throughout the duration of the contract.

The Contractor shall attend and participate in all M&O-related meetings requested, as well as ASPEN Steering Committee meetings if requested by the ASPEN ITD Bureau Chief. The Contractor shall prepare materials or briefings for these meetings as requested by the ASPEN ITD Bureau Chief.

Staffing Responsibilities

The Offeror/Contractor must report staff role changes to HSD in advance of the change.All key personnel proposed and accepted by the State must report to work on the date(s) assigned. The Offeror/Contractor must notify HSD at least thirty (30) calendar days in advance of any plans to change, hire, or re-assign designated Key Personnel.

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To the extent possible, the Contractor shall ensure that knowledge is transferred from an employee leaving a position to a new employee.

The Contractor must fill key positions within thirty (30) calendar days of anticipated departure, unless a different timeframe is approved by HSD. Any replacement must be a qualified individual approved by HSD. For the maintenance and operations work, the Offeror shall identify a minimum staffing level defined over time in its proposal, and if awarded the contract, shall maintain that defined minimum staffing level at all times during designated business hours.

The HSD has a right to reject any Contractor staff as a result of poor performance. HSD technical staff has right to interview and select the developers and other technical staff. The Contractor may not prohibit any staff or management working on the ASPEN M&O contract from choosing to accept a position with a successor ASPEN Contractor or the State of New Mexico.

The HSD reserves the right to require a change in Contractor’s personnel if the assigned personnel are not, in the sole opinion of the HSD, meeting the HSD’s expectations.

Management Process Roles and Responsibilities

Issue Management

An issue is an identified event that, if not addressed, may affect schedule, scope, quality and/or cost. The Contractor shall communicate issues to the State and log issues in the agreed upon tracking tool.

The Contractor will adhere to the steps in the HSD Issue Management process to include use of HSD documents and forms for logging, tracking, and escalating issues through their life cycle.The Contractor shall use the specified tracking tool and document details related to the issues including the following minimum elements: description of issue, issue identification date, and responsibility for resolving issue. Priority for issue resolution (ongoing priority level to be approved by the Department) to include: Resources assigned responsibility for resolutionExpected Resolution date, Actual Resolution date (Entered after resolution), Resolution description, and Issues that required escalation, will follow the agreed upon and documented escalation process.

Change Control

A change control process prescribed by the HSD will be used to communicate, assess, monitor, and control changes to the scope of releases, allocation of resources, schedules and processes.

The Contractor will follow the HSD established change control process. The Contractor shall provide inputs to manage scope and number of changes in every release with the knowledge that extensive changes jeopardize progress, schedule, budget, and stability of the application. The Change Control mechanism must provide for controlled and orderly modifications to the approved plan including timing, scope and staffing. The Contractor shall present change

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controls at the Release Planning meeting or ASPEN Change Control Board meeting, where the change control will be logged and tracked.

The Contractor shall provide the following minimum elements to the meeting facilitator:Description of change controlChange control identification dateResponsibility for the change control if it is approvedPriority for the change control (to be mutually agreed upon by the State and the Contractor)Resources assigned responsibility for analysis and completionSuggested release to complete the change

General Responsibilities and Requirements of the Contractor

The Contractor must provide services during normal working hours (Monday through Saturday, 7:00 a.m. to 7:00 p.m.) and night and weekend hours as established by HSD to assure full functioning of ASPEN. HSD reserves the right to modify the work hours. Contractor shall not observe standard holidays other than the standard holidays for State employees. Contractor shall provide staff for this assignment that are trained and meet the skill set requirements of the job position being filled. HSD makes changes to its technical architectures from time to time. If an individual is assigned to a change request or support area and the technology associated with their assignment changes, the Contractor is responsible for training in the new or changed technology (e.g., Contractor personnel needs training in a particular tool in order to perform their State assignment.) or providing new resources who are trained in the new tool, at the State’s discretion. The cost of the course, including any travel expenses, and the training hours will not be billable to the State.

Contractor staff will be subject to the rules, regulations, and policies of HSD.

Contractor staff will be subject to HSD rules for computer and Internet usage and will be required to sign an acceptable use agreement, as required of HSD’s own employees.

Contractor staff must complete HSD security training, IRS Training and any other relevant security and/or confidentiality training. Contractor staff must sign any appropriate agreements or training certifications.

Contractor staff assigned to work with restricted or sensitive data has an obligation to safeguard and protect the confidentiality of such data. Further, if the staff member accidentally or purposefully releases restricted or sensitive data, the Contractor assumes full responsibility for any resulting penalties.

Contractor staff will exhibit professional conduct and act in the best interest of the State.

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Federal Cost Allocation Reporting

The Contractor will assist the HSD in determining cost allocation as required. The Contractor shall adhere to the Cost Allocation Methodology by reporting and providing guidance to HSD on any changes or alterations to the costs identified with development of individual program modules for the proposed system.

ASPEN status reporting responsibilities of the Contractor

The Contractor’s manager of Maintenance and Operations shall provide weekly updates to the electronic status dashboard provided by HSD. The status dashboard shall include, but not be limited to, the following: Overall completion status of the work in terms of the ASPEN ITD Bureau Chief approved project work plans and schedules; Accomplishments during the period, including HSD staff/stakeholders interviewed, meetings held, JAD sessions and conclusions/decisions determined; Upcoming Milestones, completed Milestones, slipping Milestones; Problems encountered and proposed/actual resolutions; What is to be accomplished during the next reporting period; Issues that need to be addressed, including Contractual items;Quality Assurance status; Updated work time line showing percentage completed, high-level tasks assigned, completed and remaining and Milestone variance; Identification of schedule slippage and strategy for resolution; Contractor staff assigned and their locations and schedules;HSD resources required for activities during the next time period; and Resource allocation percentages including planned versus actual by Milestone.

Work Location

For the purpose of preparing proposals, Offerors shall assume the following:

Space for 45 Contractor staff will be provided at the HSD ITD offices located at 1301 Siler Road, Building B/C, Santa Fe, NM. HSD will provide Contractor personnel with the required portable computing equipment and software. Contractors can propose another location in Santa Fe or Albuquerque however the cost for these facilities must be included in the total M&O cost item. No work for any deliverable shall be performed outside of New Mexico. Contractor management staff will be expected to attend scheduled system related meetings with HSD staff at various meeting locations by request of the ASPEN ITD Bureau Chief. The ASPEN System is installed and operated on HSD owned equipment at the State Data Center located in Santa Fe, New Mexico and a back-up location in Albuquerque, New Mexico.

PROPOSED PLAN

All of the specifications in the Technical Requirements matrix and the Functional Requirements matrix are MANDATORY. Offerors shall include a response to the Mandatory specifications in their proposal. The failure of an Offeror to address a Mandatory specification will result in disqualification of the proposal. Each matrix maps the requirements to the Deliverable areas. The proposal should be organized and written to show how the bidder will fulfill the requirements for these areas:

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Transition. Transition from the existing M&O Contractor to the new M&O Contractor, including both the planning and the execution of a complete and orderly transition. Provide a proposed transition plan. Explain the resources, timing, approach and milestones to become fully accountable for Maintenance, Operations and Enhancements effective July 1, 2015. The plan must address how knowledge transfer from the existing Contractor will occur and how proficiency will be demonstrated during the transition period. The plan also must address onboarding of staff for the transition period and starting July 1, 2015. Provide all required information for onsite staff specified in this RFP.

ASPEN enhancements. Specify how the enhancement tasks and responsibilities in the Functional Requirements and Technical Requirements (see appendix) will be performed.

The HSD requires that the Offeror provide a cost for twenty-eight (28) full-time equivalent employees (FTEs) for system enhancements. Costs must be provided in Binder 2 – Cost Proposal, using the forms in the RFP appendix, “Proposal Cost Response Forms”.

Maintenance and Operation of the existing as-built ASPEN system. Describe the proposed approach to perform Operations and Maintenance of the existing as-built ASPEN system as of July 1, 2015. Specify how the M&O tasks and responsibilities in the Functional Requirements and Technical Requirements will be performed. These tasks and responsibilities include, among others, hardware and software configurations; COTS integration; capacity planning and management; planning and management of training and test environments; tuning; interfaces; reports; and rule change configurations. This proposal must provide the staff position titles, number of staff members for each title, and define responsibilities for each title.

Offerors should respond, in the form of a thorough descriptive narrative, to each requirement in this RFP, including those in Functional Requirements and Technical Requirements. Proposals must provide traceability or other clear evidence that all mandatory requirements will be met. The Offerors will document the page number locations in their responses to each of these areas, showing where each requirement is met. Optionally, or in addition, the Offerors may reference supporting materials provided in Binder #3 of their response.

A proposed plan that does not address the mandatory requirements may result in the rejection of the proposal. Properly submitted narratives and the required or optional supporting material will be evaluated and awarded points accordingly. The responses should be based upon the information provided in the information paragraphs of this section of the RFP, as well as the supporting documents contained in the Procurement Library.

STAFFING SPECIFICATIONS FOR THE THREE DELIVERABLE AREAS

The Contractor shall provide staff that has the appropriate IT Classifications/Skills Sets that meet or exceed the state’s expectations in relation to tasks associated with the ongoing maintenance and operations of ASPEN. The overriding requirement is that the individuals must have the skills, knowledge, and experience required to perform the duties effectively and efficiently at the level specified in the RFP so that ASPEN functionality and data is not compromised.

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The Offeror shall clearly identify all Subcontractor(s) proposed, as well as the names of subcontractor employees.

The Offeror shall provide a preliminary ASPEN Staffing Plan for its entire ASPEN organization. This plan must include at a minimum:

The Offeror’s ASPEN organization including a resource plan defining roles and responsibilities for the Offeror and Subcontractors;

Staff management plan and resource allocation with preliminary dates indicating when resources will begin work.

The proposal shall demonstrate how the staffing plan will achieve consistent, dependable service regardless of changes that may directly influence work volume. The Offeror shall provide a general description of its proposed staff with number of years of experience in the IT field and number of years of experience in developing and maintaining eligibility determination systems.Each proposal must describe its back-up personnel plan, including a discussion of the staffing contingency plan for:

The process for replacement of personnel in the event of the loss of key personnel or other personnel before or after signing a contract.

Allocation of additional resources to this contract in the event of inability to meet a performance standard.

Replacement of staff with key qualifications and experience and new staff with similar qualifications and experience.

The timeframes necessary for obtaining replacements. Method of bringing replacements or additions up-to-date regarding ASPEN M&O.

PLANNING ASSUMPTIONS AND DEPENDENCIES

Offerors shall clearly identify all planning assumptions and dependencies in their proposals. Offerors should describe what is required of the HSD to ensure the successful transition of the ASPEN system. Planning assumptions or dependencies shall be submitted as a single, comprehensive list accompanied by an appropriate descriptive narrative. Planning assumptions or dependencies appearing in any other places in the Offeror’s proposal are null and void.

RISK MANAGEMENT

Offerors shall submit with their proposals a risk assessment approach using the methodology published by the Project Management Institute or other comparable methodology. Offerors should describe their risk mitigation strategies, approach and any resources the HSD may utilize to reduce risk.

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ISSUE MANAGEMENT

Problems and issues are a common occurrence for any development work and can occur within any level, stage or component. The Contractor, following ASPEN issue management processes, will identify and track issues to facilitate their resolution using an issue management tool to be provided by HSD. The Contractor will exercise issue management at regularly scheduled meetings and assign responsibility and accountability to appropriate personnel who are tasked with resolving the issue at the lowest level.

The Offeror shall include its agreement to use existing ASPEN issues collection tool for the tracking and reporting of issues. This tool must be used by everyone so collection and resolution happen quickly. Minimally, the issue date, issue description, owner, target resolution time, resolution description and resolution date should be captured. Reports showing open, closed or ageing, issue details and escalated issues should be readily available. Unresolved issues on ASPEN M&O will be assigned an escalation level that generates a review at the regularly scheduled steering committee meeting.

The ASPEN Core Team leader is responsible for establishing the issues management process, including the meetings to prioritize, review, and resolve issues; and the development and execution of an issues escalation procedure.

Key Staff Experience

The following information is included to describe experience expectations for several key positions consistent with the above Personnel Experience requirements:

Application Development Manager. The Application Development Manager will be the primary point of contact with the ASPEN Business Owner and user community for requirements leading to design of new or changed ASPEN features and programs. This manager will be responsible for these general areas:

Requirements gathering and validation, including functional designs, use cases and logical data models.

Estimation of levels of effort and schedules for changes.

Technical design and associated documentation.

Construction – software development in accordance with the technical design.

Quality assurance: Code review and testing, and associated records and artifacts.

Support of user acceptance testing.

Release planning and management, and post-release monitoring.

Trouble and incident management and support the ASPEN Help Desk.

Break-fix documentation and improvement plans.

The Application Manager must have a minimum of five years’ experience in all aspects of application management. This person will be the primary point of contact for the State for all

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development activity. The Application Manager should also have the following required experience: 5 years of direct analysis, design, development, implementation, and maintenance experience

with automated eligibility systems Two (2) years of experience using the development and testing methodologies currently in

use by ASPEN. Three (3) years of experience of application development management Five (5) years of experience in leadership roles overall Two (2) years of experience managing J2EE systems Three (3) years of experience working with Microsoft Project (or equivalent)

Operations Manager. The Operations Manager will be the primary point of contact with the ITD ASPEN Bureau Chief regarding maintenance and operations activities. This manager will be responsible for these general areas:

Maintaining the integrity of the ASPEN architecture and assuring timeliness and effectiveness of all changes, with no regression.

Systematic monitoring and action plans for assuring availability and performance of the system, including all tiers of the architecture and their components.

Capacity planning and management.

Emergency preparedness and plans.

Database design changes, maintenance, enhancements, statistical reports, and backup and recovery.

File management, batch operations, interface performance and maintenance, and associated reports.

On-line availability and monitoring.

Load balancing and system performance planning and improvements.

Upgrades and patches to all levels of the architecture, including tools.

Environment maintenance, support and creation.

Configuration Management including enhancements.

Monthly status report encompassing both M&O performance and the application software development staff’s performance.

The Operations Manager will also be responsible for the content, implementation and fulfillment of the ASPEN Security plan as “security lead.” The security lead role will require coordination and compliance with Department security requirements through the Department’s Information Security Officer. This includes defining and implementing all policies and procedures required by the security controls and safeguards outlined in the Exchange Security Blueprint. The Security Lead will be responsible for establishing the security office and defining and managing each position within the security office. The Security Lead will work with HSD’s ASPEN business owner, systems architects and others to ensure that the information resources and infrastructure, including electronic and non‐

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electronic processes and data, network and computing utilities and all ASPEN facilities meet the requirements outlined in the Security Blueprint. The Security Lead will implement an operate a Security Program along with security training and awareness to ensure that ASPEN meets the Health Insurance Portability Act (HIPPA) security and confidentiality requirements, the Federal Information Security Management Act of 2002 (FISMA), the Health Information Technology for Economic and Clinical Health Act (HITECH Act), the Social Security Administration Office of System Security Operations management Guidelines, and the federal tax information safeguarding requirements defined by the IRS in the Title 26 of the United States Code (U.S.C) section 6103, and IRS Publication 1075 governing the safeguarding requirements for sensitive data. For the Minimum Experience Requirements, the referenced projects must be for implementation and/or operations of systems for large organizations subject to the HIPAA Security Rule. The Operations Manager should have at least six (6) years of experience in managing technical support/architecture teams, at least five (5) years of experience supporting object oriented web applications, at least three (3) years of experience managing the services in each layer of the ASPEN Technical Architecture and at least three (3) years’ experience securing virtualized data centers.

Quality Assurance Testing Analyst. The Quality Assurance Testing Analyst position shall report to the State Testing Manager and shall be responsible for these general areas: Development of test plans and test cases; Execution of test cases; Documenting of test results; Reporting and tracking of all software deficiencies; Development of automated test scripts utilizing Commercial-Off-the-Shelf (COTS) tools such as HP Quick Test Pro; and Development of automated load testing scripts utilizing COTS tools such as HP Load Runner. These personnel should have a minimum of two (2) years of experience in software quality assurance, and have demonstrated experience working with mission critical enterprise class systems. This individual must have hands-on experience with Systems Design Life Cycle (SDLC) issue tracking and versioning tools such as IBM Rational ClearQuest and ClearCase. This individual should have demonstrable experience in the complete suite of software quality assurance skills including functional, integration, regression and load testing experience.

Senior Systems/Business Analyst. The Senior Systems/Business Analyst will be a primary point of contact with the ASPEN user community for requirements gathering and analysis leading to design of new or changed ASPEN features and programs. They are expected to serve as the leads for one or more of the functional areas. These analysts will be responsible for these general areas: Soliciting requirements from business team members and documenting these requirements in the form of formal business requirements; Conduct use case analysis; Converting the documented formal business requirements into corresponding technical requirements from which the development team may base their design; and working with business partners to rigorously document all proposed Change Requests; working with the technical team members to develop software design documents and storyboards; participate in and lead JAD sessions composed of both business and technical groups. These personnel should have a minimum of five (5) years of experience developing business and technical requirements. This individual have demonstrable experience in working in an agile development environment in which priorities and deliverables are subject to change based on evolving business needs.

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Java Programmer Analysts. The Java Programmer Analysts shall report to the Application Manager and will provide the technical expertise to facilitate direct changes to the ASPEN codebase for both ongoing maintenance and future enhancements. This position will be responsible for these general areas: Ongoing maintenance and enhancements of the core ASPEN codebase utilizing the Java programming language; Maintenance of existing and implementation of new EJB modules to enhance interoperability between the presentation and business layers of the ASPEN solution; Maintain and develop Web Services utilizing industry standard technologies including XML/SOAP, REST, JAX WS and JAX RPC; Design and maintain presentation layer artifacts utilizing JSP, JSTL, JavaScript, HTML5 and CSS3; Provide enhanced real time interactive presentation layer functionality through utilization of AJAX technologies; Maintain and enhance the persistence layer of the ASPEN implementation through the use of JDBC and SQL statements and queries; Maintain and enhance the core business logic of the ASPEN implementation through use of the Progress Corticon rules engine; and Develop and maintain custom reporting utilizing Crystal Reports and Elixir Opus Reports Designer. These personnel must have a minimum of five (5) years of experience developing mission-critical enterprise class systems utilizing Java/J2EE and related technologies. This individual must have demonstrated success in development of complex object oriented business solutions based on n-tier and MVC architecture, design and implementation.

Oracle Database Administrator. The following is a general description of requirements for a Oracle Database Administrator One:

Performs administration of the ASPEN Oracle Database. Monitors and optimizes system performance; performs capacity planning; researches and

develops solutions to enhance system usability and functionality. Ensures data integrity by developing, managing, and testing backup and recovery

procedures; ensures adequate database security; controls access permissions and privileges.

Works closely with IT project managers, application developers, fellow DBAs, and system administrators in support of business systems and processes.

Helps create conceptual, logical, and physical designs of databases. Understands normalization/de-normalization techniques.

Installs, tests, clones, and deploys databases and performs data conversions. Installs, tests, and deploys patches.

Creates, maintains and implements database practices and standards to comply with applicable regulations; reviews, writes, and maintains database documentation, including data management standards, procedures and maintenance of the data dictionary (metadata).

Works successfully in a team environment, as well as independently with minimum management oversight.

Qualifications: Education: Bachelors at a minimum Eight to ten (8-10) years of solid experience in Oracle database administration, design

and development. Oracle Certified Professional certification preferred

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Experience handling and managing Oracle databases in a real time production environment with sizes around 600+ GB.

Experience in troubleshooting and resolving database integrity issues, performance issues, blocking/deadlocking issues, connectivity issues, data replication issues etc.

Ability to detect and troubleshoot database related CPU, memory, I/O, disk space and other resource contention issues.

Experience in performance tuning, query optimization using performance monitoring and troubleshooting tools.

Experience with database maintenance activities such as backup/recovery & capacity monitoring/management.

Strong knowledge of how indexes work and management of index statistics & fragmentation.

Experience with HA/Failover technologies such as Clustering, SAN & Replication. Experience collaborating with development teams on physical database design activities

and performance tuning. Experience in managing and making software deployments/changes in real time

production environments. Must have good problem-solving, trouble-shooting and communication skills. Experience in agile development practices. Experience collaborating with application developers and other cross-functional teams. Ability to work on multiple tasks at one time with minimal supervision and ensure high

quality, timely delivery.

Oracle Database Administrator II. In addition to tasks described above under Oracle DBA I above, a level two would be required to have the following experience:

Reviews, evaluates, designs, implements and maintains company database[s]. Identifies data sources, constructs data decomposition diagrams, provides data flow

diagrams and documents the process. Writes code for database access, modifications, and constructions including stored

procedures. Deeply understands Oracle tools, programming languages (including PL/SQL), tuning

techniques and best practices. Understands methods to optimize application performance in an Exadata environment. Has knowledge and experience in resolving problems by interfacing with Oracle Corp.

Qualifications: More than eight (8+) years of Oracle database programming experience; more than five (5+) years of experience with multi-tiered J2EE application with an Oracle database; and Oracle Certified Professional "SQL Expert" certification desired.

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Corporate Personnel Experience

Given the requirements established in this RFP and the Procurement Library, please describe Offeror’s corporate experience and Non Key Personnel Experience as it applies to verifying the Offeror has the relevant organizational experience, processes, and technical expertise to support both its Key Staff and Non Key Personnel. The Department is interested in Offeror’s documented experience with similar clients, similar systems maintenance responsibilities, and organizational resources. If any subcontractors are proposed, their qualifications will be included in this evaluation category.

Offerors should consider the following in drafting their response:

Corporate Experience. Please describe Offeror’s corporate or organizational experience in supporting similar large and complex public eligibility systems. Include description of role of management and oversight of subcontractors.

Corporate Past Performance. Offerors shall include in their proposals the completed Corporate and Subcontractor reference forms provided in a, “Corporate/Subcontractor Reference Form” which includes three external references from clients who are willing to validate the Offeror’s and Offeror’s Subcontractor’s past performance on similar work. Offerors and their Subcontractors are encouraged to include additional references that they believe the Evaluation Committee would find helpful in thoroughly evaluating their past performance.

Corporate Past Experience. Offerors shall submit a Statement of relevant company experience. The documentation should thoroughly describe the Offeror’s experience with similar contracts and work related to eligibility and enrollment systems of similar size and scope to ASPEN.

General Corporate Experience and Information. Proposal must identify the company name and business address including headquarters, offices (if any) within the State, telephone numbers, and jurisdiction in which the Offeror is organized and the date of such organization. Provide a description of the Offeror's organization, including names of principals, number of employees, client base, areas of specialization and expertise, and any other information that will assist the Evaluation Committee in formulating an opinion about the stability and strength of the organization. Provide a list of all current contractual relationships, if any, with the State of New Mexico or those completed within the previous five-year period. The listing should include the contract number, contract term, and agency name for each engagement. Provide a high level description of the experience level, technical and eligibility application knowledge, and government experience of the company technical resources that may be used for this or future contracts with HSD.

System Experience. Proposal must describe description of the depth of its experience implementing, installing and supporting enrollment and eligibility application systems. It should include a thorough description of the depth of its experience designing, implementing, installing and supporting consumer-facing web portals to include identification of the customer base, including previous or ongoing related engagements, including but not limited to the dates of the period of service, a description of the products and/or service provided plus the current status of the engagement. It should describe the extent of its experience and expertise in defining

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eligibility requirements, risk assessment and gap analysis. It should describe the extent of its experience and expertise in meeting security related standards and requirements including HIPAA, and Federal Tax Information (FTI).

Subcontractor Experience. Offerors shall submit a statement of relevant experience of Subcontractors. The documentation should thoroughly describe the Subcontractor’s experience with similar engagements and/or work related to health insurance and enrollment systems. The Offeror shall provide the following information as evidence of each Subcontractor’s experience.

Subcontractor’s General Experience and Information. Offerors shall submit subcontractor’s company name and business address including headquarters, offices (if any) within the State, telephone number, and the name of the jurisdiction in which the subcontractor is organized and the date of such organization. Provide a description of the Subcontractor’s organization, including names of principals, number of employees, client base, areas of specialization and expertise, and any other information that will assist the Evaluation Committee in formulating an opinion about the stability and strength of the organization. Provide a list, if any, of all current contractual relationships with the State of New Mexico or those completed within the previous five-year period. The listing should include the contract number, contract term, and HSD’s name for each engagement. Provide a high level description of the experience level, technical and eligibility application knowledge, and government experience of the Subcontractor’s technical resources that may be used for this or future contracts with the HSD.

Subcontractor’s Experience Relative to this RFP. Offerors should provide a thorough description of the purpose of this Subcontractor’s involvement in the work to include a description of the extent of its experience and expertise in the work effort for which this Subcontractor was selected. It should also provide identification of the customer base including previous or ongoing engagements of similar scope and magnitude, including but not limited to the dates of the period of service, a description of the products and/or service provided plus the current status of the engagement, if applicable.

Contractor’s Contract Administrator. Offeror will identify a Contract Administrator for this Contract for the contract to be awarded. The contract administrator will be accountable to the ITD CIO for services to include: Supporting the management of the Contract on behalf of the Contractor’s organization; Facilitating dispute resolution; Advising the HSD of performance under the terms and conditions of the Contract; Managing Contractor’s subcontractors; Serving as the single point of contact for all contract issues; Assessing and reporting contract feedback and status; Escalating contract issues, risks, and other concerns; and Managing and reporting on the contract budget. HSD reserves the right to require a change in the assigned Contract Administrator if the assigned Contract Administrator is not, in the opinion of the HSD, adequately serving the needs of the Department.

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Oral Presentations:

Points may be awarded based on the ability of the Offeror’s key personnel to demonstrate to the evaluation committee that the Offeror’s proposal meets the Department’s requirements as well as answer evaluation committee questions related to the proposed approach.

Offerors should consider the following in organizing their presentation if invited:

Finalist Offerors agree to present their proposals in a location to be determined by the Department in Santa Fe, NM. The Department will set a specific agenda prior to presentation. Presentations are limited to clarifying the information already included in the original proposal or expanding on the proposal contents. The Finalist Offerors’ proposed Key Personnel must conduct their relevant portion of the presentation in person. Finalist Offerors agree to provide the Evaluation Committee an opportunity to interview additional proposed Key Personnel that may be identified in the Finalist Offerors’ notification letter. NOTE: Finalist Offerors shall provide all of the required computer equipment, computer projector and internet access required for the demonstration of their proposed approach, methodology, and transition plan. The HSD will provide the conference room and a projection screen. The conference room also has a telephone connection.

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COST SPECIFICATIONS:

Proposed costs should take into consideration the following information:

Technical Environments, Development, Implementation and Deployment. The proposed costs shall directly relate to the Offeror’s response to the specifications found in this RFP. Offerors are advised that their proposed fee must be related only to the fulfillment of the terms of this RFP. The Department will not separately reimburse NM Gross Receipts Tax, travel, administrative overhead, software, hardware, or other expenses. Offerors may factor in such costs in their proposed fee in the cost proposal. Twenty-eight (28) full-time equivalent employees (FTEs) must be included in the Contractor’s development, delivery and implementation response to cover additional HSD-requested system enhancements and modifications. Actual funding for enhancements will be at the HSD’s discretion, and there is no guarantee as to the level of funding for enhancements, if any, available to the work. Note: All Offerors’ Cost Proposals must include New Mexico Gross Receipts Tax (GRT) in their proposed cost. For estimation purposes, current GRT rates can be reviewed at the following website: http://www.tax.newmexico.gov and review the “All NM Taxes” tab.

Facility Costs. Offerors have several options for collocation.

They may share office space with the ITD at its Siler Road facility. Facility costs have been identified as an escalating monthly expense included in the Cost Proposal Form.

Offerors may choose to collocate, but may also need additional facility space. Offerors may locate their staff in Albuquerque and/or Santa Fe in separate facilities.

Regardless of selection, Offerors must identify their expected facility costs in the appropriate lines of the cost proposal.

Transition Costs. Offerors are required to identify their one-time costs related to deploy resources in preparation to initiate maintenance and operations services under this procurement.

Annual Fixed Maintenance and Operations Costs. Offerors are required to identify their annual fixed costs related to delivery of maintenance and operations services as required in the technical and functional sections of this RFP.

Enhancement Staffing Costs. The table should reflect the total annual cost of staffing listed positions at a rate of 2,080 hours per year.

Category/Staff Position TotalApplication Development Manager 1Senior Systems/Business Analysts 3Java Programmer Analysts 20Oracle Database Administrators 2Quality Assurance Testing Analysts 2Total 28

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http://www.tax.newmexico.gov/

V. EVALUATION

A. EVALUATION CRITERIA

The following is a summary of evaluation factors with point value assigned to each. These, along with the general requirements, will be used in the evaluation of Offeror proposals. The evaluation team will use a consensus scoring process. Only the final committee score sheet will be retained.

TABLE 2 - Evaluation Scoring Summary

EVALUATION FACTORS POINTS AVAILABLE

1 Proposed Plan 3002 Key Staff Experience 1503 Corporate and Non-key personnel Experience 1504 Oral Presentations 1005 Cost 3006 Campaign Contribution Disclosure Form P/F7 Financial Stability P/F8 Performance Bond P/F

TOTAL 1,000

EVALUATION FACTORS

A maximum of 1,000 points may be awarded based upon the quality and thoroughness of the Offeror's response to each evaluation factor as follows.

1. Offeror Proposed Plan (300 points): Points will be awarded based on the thoroughness and clarify of Offeror’s proposed plan for all deliverable areas which should address specific HSD issues.

Given the information in this RFP and Procurement Library, please describe Offeror’s proposed plan to meeting the Department’s needs in maintaining and operating the ASPEN Eligibility System.

Offerors should consider addressing aspects included in the background sections of this proposal that address specific HSD issues rather than general issues facing maintenance and operations needs of a state agency.

All of the specifications in the Technical Requirements matrix and the Functional Requirements matrix are MANDATORY. Offerors shall include a response to the Mandatory specifications in their proposal. The failure of an Offeror to address a Mandatory specification will result in disqualification of the proposal. Each matrix maps the requirements to the Deliverable areas.

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Offerors should respond, in the form of a thorough descriptive narrative, to each requirement in this RFP, including those in Functional Requirements and Technical Requirements. Proposals must provide traceability or other clear evidence that all mandatory requirements will be met. The Offerors will document the page number locations in their responses to each of these areas, showing where each requirement is met. Optionally, or in addition, the Offerors may reference supporting materials provided in Binder #3 of their response.

A proposed plan that does not address the mandatory requirements may result in the rejection of the proposal. Properly submitted narratives and the required or optional supporting material will be evaluated and awarded points accordingly. The responses should be based upon the information provided in the information paragraphs of this section of the RFP, as well as the supporting documents contained in the Procurement Library.

Offerors shall clearly identify all planning assumptions and dependencies in their proposals. Offerors should describe what is required of the HSD to ensure the successful transition of the ASPEN system. Planning assumptions or dependencies shall be submitted as a single, comprehensive list accompanied by an appropriate descriptive narrative. Planning assumptions or dependencies appearing in any other places in the Offeror’s proposal are null and void.

Offerors shall submit with their proposals a risk assessment approach using the methodology published by the Project Management Institute or other comparable methodology. Offerors should describe their risk mitigation strategies, approach and any resources the HSD may utilize to reduce risk.

2. Key Staff Experience (150 points): Points will be awarded based on an evaluation and verification of the qualifications of the key personnel. The experience of all proposed staff must be described as well as a chart showing positions. The description shall include experience with similar systems or work as described in Section IV. The resumes must include at a minimum the experience requested in the RFP.


Requirements for the Contractor's Staff. The Offeror must provide staff to perform all tasks specified in this RFP. The Contractor is responsible for maintaining a level of staffing necessary to perform and carry out all of the functions, requirements, roles, and duties as contained herein, regardless of the level of staffing included in the Offeror’s proposal. The Offeror shall provide a staffing chart showing all positions proposed for all deliverable areas.

Proposed Staffing. The Offeror shall propose key personnel who are fully qualified for those positions. Offerors shall provide a resume for each person proposed for a key personnel position. Qualifications will be measured by experience, with particular reference to experience on systems or work similar to that described in this RFP.

Resumes. The submitted resumes for all proposed staff must include at a minimum: Education and training and dates for each degree or certification; Recent relevant experience (including start and end dates); Size and scope of systems supported; and Reference contact information,

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including e-mail address and telephone numbers. The reference information shall be provided using the form in the appendix, “Staff Reference Form”. The reference form requests two external references from clients who are willing to validate the individual’s past performance. Note that these persons must demonstrate the minimum experience requirements.

3. Corporate Personnel Experience (150 points): Points will be awarded based on the thoroughness and clarify of the Offeror’s documented experience with similar clients, similar systems maintenance responsibilities, and organizational resources. If any subcontractors are proposed, their qualifications will be included in this evaluation category.

Given the requirements established in this RFP and the Procurement Library, please describe Offeror’s corporate experience and Non Key Personnel Experience as it applies to verifying the Offeror has the relevant organizational experience, processes, and technical expertise to support both its Key Staff and Non Key Personnel.


Corporate Experience. Please describe Offeror’s corporate or organizational experience in supporting similar large and complex public eligibility systems. Include description of role of management and oversight of subcontractors.

Corporate Past Performance. Offerors shall include in their proposals the completed Corporate and Subcontractor reference forms provided in a, “Corporate/Subcontractor Reference Form” which includes three external references from clients who are willing to validate the Offeror’s and Offeror’s Subcontractor’s past performance on similar work. Offerors and their Subcontractors are encouraged to include additional references that they believe the Evaluation Committee would find helpful in thoroughly evaluating their past performance.

Corporate Past Experience. Offerors shall submit a Statement of relevant company experience. The documentation should thoroughly describe the Offeror’s experience with similar contracts and work related to eligibility and enrollment systems of similar size and scope to ASPEN.

General Corporate Experience and Information. Proposal must identify the company name and business address including headquarters, offices (if any) within the State, telephone numbers, and jurisdiction in which the Offeror is organized and the date of such organization. Provide a description of the Offeror's organization, including names of principals, number of employees, client base, areas of specialization and expertise, and any other information that will assist the Evaluation Committee in formulating an opinion about the stability and strength of the organization. Provide a list of all current contractual relationships, if any, with the State of New Mexico or those completed within the previous five-year period. The listing should include the contract number, contract term, and agency name for each engagement. Provide a high level description of the experience level, technical and eligibility application knowledge, and government experience of the company technical resources that may be used for this or future contracts with HSD.

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System Experience. Proposal must describe description of the depth of its experience implementing, installing and supporting enrollment and eligibility application systems. It should include a thorough description of the depth of its experience designing, implementing, installing and supporting consumer-facing web portals to include identification of the customer base, including previous or ongoing related engagements, including but not limited to the dates of the period of service, a description of the products and/or service provided plus the current status of the engagement. It should describe the extent of its experience and expertise in defining eligibility requirements, risk assessment and gap analysis. It should describe the extent of its experience and expertise in meeting security related standards and requirements including HIPAA, and Federal Tax Information (FTI).

Subcontractor Experience. Offerors shall submit a statement of relevant experience of Subcontractors. The documentation should thoroughly describe the Subcontractor’s experience with similar engagements and/or work related to health insurance and enrollment systems. The Offeror shall provide the following information as evidence of each Subcontractor’s experience.

Subcontractor’s General Experience and Information. Offerors shall submit subcontractor’s company name and business address including headquarters, offices (if any) within the State, telephone number, and the name of the jurisdiction in which the subcontractor is organized and the date of such organization. Provide a description of the Subcontractor’s organization, including names of principals, number of employees, client base, areas of specialization and expertise, and any other information that will assist the Evaluation Committee in formulating an opinion about the stability and strength of the organization. Provide a list, if any, of all current contractual relationships with the State of New Mexico or those completed within the previous five-year period. The listing should include the contract number, contract term, and HSD’s name for each engagement. Provide a high level description of the experience level, technical and eligibility application knowledge, and government experience of the Subcontractor’s technical resources that may be used for this or future contracts with the HSD.

Subcontractor’s Experience Relative to this RFP. Offerors should provide a thorough description of the purpose of this Subcontractor’s involvement in the work to include a description of the extent of its experience and expertise in the work effort for which this Subcontractor was selected. It should also provide identification of the customer base including previous or ongoing engagements of similar scope and magnitude, including but not limited to the dates of the period of service, a description of the products and/or service provided plus the current status of the engagement, if applicable.

Contractor’s Contract Administrator. Offeror will identify a Contract Administrator for this Contract for the contract to be awarded. The contract administrator will be accountable to the ITD CIO for services to include: Supporting the management of the Contract on behalf of the Contractor’s organization; Facilitating dispute resolution; Advising the HSD of performance under the terms and conditions of the Contract; Managing Contractor’s subcontractors; Serving as the single point of contact for all contract issues; Assessing and reporting contract feedback and status; Escalating contract issues, risks, and other concerns; and Managing and reporting on the contract budget. HSD reserves the right to require a change in the assigned Contract

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Administrator if the assigned Contract Administrator is not, in the opinion of the HSD, adequately serving the needs of the Department.

4. Oral Presentation (100 points): Points may be awarded based on the ability of the Offeror’s key personnel to demonstrate to the evaluation committee that the Offeror’s proposal meets the Department’s requirements as well as answer evaluation committee questions related to the proposed approach.

Finalist Offerors agree to present their proposals in a location to be determined by the Department in Santa Fe, NM. The Department will set a specific agenda prior to presentation. Presentations are limited to clarifying the information already included in the original proposal or expanding on the proposal contents. The Finalist Offerors’ proposed Key Personnel must conduct their relevant portion of the presentation in person. Finalist Offerors agree to provide the Evaluation Committee an opportunity to interview additional proposed Key Personnel that may be identified in the Finalist Offerors’ notification letter.

5. Cost (300 points)

Each Offeror’s technical proposal will be adjusted, or normalized, using the following formula: (Lowest Offeror Proposed Cost) divided by (This Offeror's Proposed Cost) multiplied by 300 to produce the (Total Award Points).

Lowest Equivalent Total CostOfferor’s Points = ---------------------------------------- X 300 Points Allowed

Offeror's Total Cost

This will earn the Lowest Offeror Proposed Cost the highest cost award of 300 points. Each of the other Offerors will earn a declining proportional level of points based on the cost proposed in their offer.

Offerors must complete the Cost Response Form required by the Department in Appendix of this RFP.

6. Campaign Contribution Disclosure Form (Pass/Fail)

Offerors shall complete, sign, and return the Campaign Contribution Disclosure Form (See Appendix 1-C, “Campaign Contributions Disclosure Form”) as a part of their proposal. This requirement applies regardless of whether a covered contribution was made or not for the positions of Governor and Lieutenant Governor. Failure to complete and return the form with the proposal will result in disqualification.

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7. Financial Stability (Pass/Fail):

Offerors shall submit copies of their organizations' independently audited financial Statements for the preceding three (3) years. The financial Statement submitted shall be solely for the Offeror. The submissions shall include the audit opinion, the balance sheet, Statements of income, retained earnings, cash flows, and the notes to the financial Statements. If independently audited financial Statements do not exist for the Offeror, the Offeror shall state the reason and instead submit sufficient information to enable the Evaluation Committee to determine the financial stability of the Offeror. Financial Statements and company sensitive information provided may be marked confidential. Offerors shall provide a Statement as to whether there is any pending litigation against the Offeror which may impair the Offeror’s performance in a Contract under this RFP. Likewise, Offerors shall provide a Statement as to whether the Offeror or any of the Offeror’s employees, agents, independent Contractors, or Subcontractors assigned have been convicted of, pled guilty to, or pled nolo contendere to any felony, and if so provide an explanation with relevant details. The Evaluation Committee reserves the right to require the Offeror to submit additional financial information it believes is necessary to complete its evaluation. Offerors shall also submit the estimated cost of the performance bond in this section of their proposals.

8. Performance Bond (Pass/Fail):

The Offeror shall include a statement in the transmittal letter of its intention and written evidence of its ability to procure, submit to the HSD, and maintain throughout the duration of the initial Contract term, a Performance Bond in an amount up to $3,000,000.00 in favor of the HSD insuring the Contractor’s performance under the Contract at the time of contracting. The written evidence shall consist of a commitment letter from a licensed bonding/insurance company supported by rating or regulatory Statements concerning the financial worthiness of the bonding/insurance company. The bond shall be delivered to the HSD on a mutually agreeable date. If the bond is not delivered on time, the HSD reserves the right to cancel the Contract award and proceed with Contract negotiations with another Offeror.

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B. EVALUATION PROCESS

The evaluation process will follow the steps listed below:

1. All Offeror proposals will be reviewed for compliance with the requirements stated within the RFP. Proposals deemed non-responsive may be eliminated from further consideration.

2. The Procurement Manager may contact the Offeror for clarification of the response as specified in Section II, Paragraph B.7.

3. Responsive proposals will be evaluated on the factors in Section V that have been assigned a point value. The responsible Offerors with the highest scores, as determined by the Evaluation Committee, will be selected as Finalists based upon the proposals submitted. Finalists will be required to participate in an Oral Presentation. Points awarded from the oral presentations will be used for final evaluation and calculation of final scores. The Finalist whose proposal is most advantageous to the Department, taking into consideration the evaluation items in Section V, will be recommended for contract award as specified in Section II, Paragraph B.11.

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VI. APPENDICES

A. FORMS APPENDICES

Except for Appendices 1-A and 1-L which may be submitted prior to the Proposal, all other Appendices must be completed and submitted with Offeror’s Proposal.

1.1 Appendix 1-A Acknowledgment of Receipt Form (Submit early)1.2 Appendix 1-B Suspension and Debarment Requirement Form1.3 Appendix 1-C Campaign Contribution Disclosure Form1.4 Appendix 1-D Staff Roles Form1.5 Appendix 1-E Staff Worksheet1.6 Appendix 1-F Key Staff Reference Form1.7 Appendix 1-G Key Staff Letter of Commitment1.8 Appendix 1-H Cost Response Table (Place in Binder Two)1.9 Appendix 1-I Offeror’s Additional Terms and Conditions1.10 Appendix 1-J Three Year Financial History1.11 Appendix 1-K Offeror’s Corporate Reference Form1.12 Appendix 1-L Offeror's Question Submittal Format1.13 Appendix 1-M Transmittal Form

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1.1 APPENDIX 1-A ACKNOWLEDGEMENT OF RECEIPT FORM

In acknowledgement of receipt of this Request for Proposal the undersigned agrees that he/she has received a complete copy, beginning with the title page and table of contents, and ending with the last Appendix of this document.

The acknowledgement of receipt should be signed and returned to the Procurement Manager no later than close of business as per Section II, Paragraph A. Only potential Offerors who elect to return this form completed with the indicated intention of submitting a proposal will receive copies of all Offeror written questions and the Department's written responses to those questions as well as RFP amendments, if any are issued.

FIRM NAME: ______________________________________________________________________________

REPRESENTED BY: ______________________________________________________________________________

TITLE: ______________________________ PHONE NO.: ________________________

E-MAIL: ____________________________ FAX NO.: ________________________

ADDRESS: _____________________________________________________________________________

CITY: _____________________________ STATE: ________ ZIP CODE: _____________

SIGNATURE: ____________________________________ DATE: _________________

This name and address will be used for all correspondence related to the Request for Proposal.The above named firm DOES or DOES NOT (circle one) intend to respond to this Request for Proposals.

Please return this document by mail, fax, or email (scanned PDF format) to:

Mario GonzalezProject Management Bureau ChiefInformation Technology DivisionNM Human Services Department

P.O. Box 2348Santa Fe, New Mexico 87504-2348

Fax: 505-476-3950Email: [email protected]

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mailto:[email protected]

1.2 APPENDIX 1-B SUSPENSION AND DEBARMENT REQUIREMENT FORMCERTIFICATION REGARDING DEBARMENT, SUSPENSION, PROPOSED DEBARMENT AND OTHER RESPONSIBILITY MATTERS

The entering of a contract between HSD and the successful Offeror pursuant to this RFP is a “covered transaction,” as defined by 45 C.F.R. Part 76. HSD’s contract with the successor Offeror shall contain a provision relating to debarment, suspension, and responsibility. All Offerors must provide as a part of their proposals a certification to HSD in the form provided below. Failure of an Offeror to furnish a certification or provide such additional information as requested by the Procurement Manager for this RFP will render the Offeror non-responsible. Furthermore, the Offeror shall provide immediate written notice to the Procurement Manager for this RFP if, at any time prior to contract award, the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

Although HSD may review the veracity of the certification through the use of the federal Excluded Parties Listing System or by other means, the certification provided by the Offeror in paragraph A., below, is a material representation of fact upon which HSD will rely when making a contract award. If it is later determined that the Offeror knowingly rendered an erroneous certification, in addition to other remedies available to HSD, HSD may terminate the contract resulting from this request for proposals for default.

The certification provided by the Offeror in paragraph A., below, will be considered in connection with a determination of the Offeror's responsibility. A certification that any of the items in paragraph A., below, exists may result in rejection of the Offeror’s proposal for non-responsibility and the withholding of an award under this RFP. If the Offeror’s certification indicates that any of the items in paragraph A., below, exists, the Offeror shall provide with its proposal a full written explanation of the specific basis for, and circumstances connected to, the item; the Offeror’s failure to provide such explanation will result in rejection of the Offeror’s proposal. If the Offeror’s certification indicates that that any of the items in paragraph A., below, exists, HSD, in its sole discretion, may request, that the U.S. Department of Health and Human Services grant an exception under 45 C.F.R. §§ 76.120 and 76.305 if HSD believes that the procurement schedule so permits and an exception is applicable and warranted under the circumstances. In no event will HSD award a contract to an Offeror if the requested exception is not granted for the Offeror. By signing and submitting a proposal in response to this RFP, the Offeror certifies, to the best of its knowledge and belief, that:

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A. The Offeror and/or any of its Principals (check applicable blocks):

Status Yes No

Are presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal department or agency.

Have, within a three-year period preceding the date of the Offeror’s proposal, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) contract or subcontract; violation of federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property.

Are presently indicted for, or otherwise criminally or civilly charged by a governmental entity (federal, state or local) with, commission of any of the offenses enumerated in paragraph A. (2) of this certification.

Have, within a three-year period preceding the date of Offeror’s proposal, had one or more public agreements or transactions (federal, state or local) terminated for cause or default.

Have been excluded from participation from Medicare, Medicaid or other federal health care programs pursuant to Title XI of the Social Security Act, 42 U.S.C. § 1320a-7.

B. "Principal," for the purposes of this certification, shall have the meaning set forth in 45 C.F.R. § 76.995 and shall include an officer, director; owner, partner, principal investigator, or other person having management or supervisory responsibilities related to a covered transaction. “Principal” also includes a consultant or other person, whether or not employed by the participant or paid with federal funds, who: is in a position to handle federal funds; is in a position to influence or control the use of those funds; or occupies a technical or professional position capable of substantially influencing the development or outcome of an activity required to perform the covered transaction.

C. For the purposes of this certification, the terms used in the certification, such as covered transaction, debarred, excluded, exclusion, ineligible, ineligibility, participant, and person have the meanings set forth in the definitions and coverage rules of 45 C.F.R. Part 76.

D. Nothing contained in the foregoing certification shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph A. of this provision. The knowledge and information of an Offeror is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

Signature of Offeror ____________________________ Date_________________

Printed Name: ____________________________ Title: ____________________________

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1.3 APPENDIX 1-C CAMPAIGN CONTRIBUTION DISCLOSURE FORM

Pursuant to NMSA 1978, § 13-1-191.1 (2006), any person seeking to enter into a contract with any state agency or local public body for professional services, a design and build project delivery system, or the design and installation of measures the primary purpose of which is to conserve natural resources must file this form with that state agency or local public body. This form must be filed even if the contract qualifies as a small purchase or a sole source contract. The prospective Contractor must disclose whether they, a family member or a representative of the prospective Contractor has made a campaign contribution to an applicable public official of the state or a local public body during the two years prior to the date on which the Contractor submits a proposal or, in the case of a sole source or small purchase contract, the two years prior to the date the Contractor signs the contract, if the aggregate total of contributions given by the prospective Contractor, a family member or a representative of the prospective Contractor to the public official exceeds two hundred and fifty dollars ($250) over the two year period.

Furthermore, the state agency or local public body shall void an executed contract or cancel a solicitation or proposed award for a proposed contract if: 1) a prospective Contractor, a family member of the prospective Contractor, or a representative of the prospective Contractor gives a campaign contribution or other thing of value to an applicable public official or the applicable public official’s employees during the pendency of the procurement process or 2) a prospective Contractor fails to submit a fully completed disclosure statement pursuant to the law.

THIS FORM MUST BE FILED BY ANY PROSPECTIVE CONTRACTOR WHETHER OR NOT HE/SHE/IT, HIS/HER/ITS FAMILY MEMBER, OR REPRESENTATIVE HAS MADE ANY CONTRIBUTIONS SUBJECT TO DISCLOSURE.

The following definitions apply:

“Applicable public official” means a person elected to an office or a person appointed to complete a term of an elected office, who has the authority to award or influence the award of the contract for which the prospective Contractor is submitting a competitive sealed proposal or who has the authority to negotiate a sole source or small purchase contract that may be awarded without submission of a sealed competitive proposal.

“Campaign Contribution” means a gift, subscription, loan, advance or deposit of money or other thing of value, including the estimated value of an in-kind contribution, that is made to or received by an applicable public official or any person authorized to raise, collect or expend contributions on that official’s behalf for the purpose of electing the official to either statewide or local office. “Campaign Contribution” includes the payment of a debt incurred in an election campaign, but does not include the value of services provided without compensation or unreimbursed travel or other personal expenses of individuals who volunteer a portion or all of their time on behalf of a candidate or political committee, nor does it include the administrative or solicitation expenses of a political committee that are paid by an organization that sponsors the committee.

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“Family member” means spouse, father, mother, child, father-in-law, mother-in-law, daughter-in-law or son-in-law.

“Pendency of the procurement process” means the time period commencing with the public notice of the request for proposals and ending with the award of the contract or the cancellation of the request for proposals.

“Person” means any corporation, partnership, individual, joint venture, association or any other private legal entity.

“Prospective Contractor” means a person who is subject to the competitive sealed proposal process set forth in the Procurement Code or is not required to submit a competitive sealed proposal because that person qualifies for a sole source or a small purchase contract.

“Representative of a prospective Contractor” means an officer or director of a corporation, a member or manager of a limited liability corporation, a partner of a partnership or a trustee of a trust of the prospective Contractor.

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DISCLOSURE OF CONTRIBUTIONS:

Item Description

Contribution Made By

Relation to Prospective Contractor

Name of Applicable Public Official

Date Contribution(s) Made

Amount(s) of Contribution(s)

Nature of Contribution(s)

Purpose of Contribution(s)

(Attach extra pages if necessary)

Signature of Offeror ____________________________ Date_______________

Printed Name: ____________________________ Title: _________________

─ OR ─

NO CONTRIBUTIONS IN THE AGGREGATE TOTAL OVER TWO HUNDRED FIFTY DOLLARS ($250) WERE MADE TO AN APPLICABLE PUBLIC OFFICIAL BY ME, A FAMILY MEMBER OR REPRESENTATIVE.

Offeror: __________________________________________________________________

Signature of Offeror ____________________________ Date_______________

Printed Name: ____________________________ Title: _________________

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1.4 APPENDIX 1-D STAFF ROLES FORM

There are two tables in this section. Offerors must provide information about their expectations for role, responsibilities, education level, experience, and certifications for onsite staffing and successful support of the Department’s requirements. Positions that are “key” to the successful outcomes should be marked with an asterisk.

In the next table, list the role and name of staff who will fulfill these roles as listed in the first table. If no staff has been selected at the time of submission of Offeror’s proposal, the Offeror will be expected to staff open positions to the expected criteria listed in the first table. Resumes for each key position should be submitted with roles identified on resume.

The following tables must include both M&O deliverable staff and enhancement deliverable staff.

Role Title Expected ResponsibilitiesEducation Level

Required by Offeror

Experience Required by

Offeror

Other Certifications, Credentials, or Training &

Training Required by Offeror

[Continue listing as needed.]

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Proposed Staff Person/Role

Key Accomplishments (list no more than three per person)

Education Level

Year’s Experience

related to this role

Other Certifications, Credentials, or

Training & Training

1.4 APPENDIX 1-D STAFF ROLES FORM (continued)

Note: Supplemental information in support of the key staff may be included. HSD requests that any supplemental information provided be kept brief and strictly related to this Proposal.

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1.5 APPENDIX 1-E STAFF WORKSHEET FORM

The purpose of this form is to identify how Offerors staffing model will be resourced over the term of the contract. The estimated number of staff for each identified staff position should be extended through the contract term. All staff will be considered full-time equivalents unless identified by half-time (.5) or quarter-time (.25). Example: if 2-1/2 System Managers will be on staff during first year, then indicate 2.5 in table. Add cells as required.

RoleNUMBER OF

STAFF IN SFY1

NUMBER OF STAFF IN

SFY2

NUMBER OF STAFF IN

SFY3

NUMBER OF STAFF IN

SFY4

NUMBER OF STAFF IN

Optional SFY5

NUMBER OF STAFF IN

Optional SFY6

NUMBER OF STAFF IN

Optional SFY7

NUMBER OF STAFF IN

Optional SFY8

[Continue listing as needed.]

Total Positions

* Key Staff

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1.6 APPENDIX 1-F KEY STAFF REFERENCE FORM

Using this format as a template, summarize key staff references and include in Offerors proposal.

NameTitleSummary of Proposed Responsibilities

Past Performance Reference #1Name of governmental entity or company where services were provided:Address of governmental entity or company where services were provided:Name of contact person:Telephone number of the contact person:Email address of contact person:Summary description of services provided and dates when the services were provided

Past Performance Reference #2Name of governmental entity or company where services were provided:Address of governmental entity or company where services were provided:Name of contact person:Telephone number of the contact person:Email address of contact person:Summary description of services provided and dates when the services were provided

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1.7 APPENDIX 1-G KEY STAFF LETTER OF COMMITMENT FORM

Using the statement below, please Offerors are requested to confirm participation of key staff by having key staff complete and sign the following statement to be included in the proposal.

Name of the Offeror: Name of the proposed key employee:Title of key proposed employee: Date of statement submission:

I, (Insert Proposed Candidate), certify that I wish to participate in the response for NM Request for Proposal No. ____________ with (Insert Name of Offeror) for the services to be procured under this RFP.

I have read and understand the candidate responsibilities identified in the Request for Proposal and that it is for a period up to eight (8) years in duration. I also realize that that this position is contingent upon award and does not guarantee an offer of employment at any time with the State of New Mexico Human Services Department.

I also understand that my role as a (Insert Key Personnel Role) is a significant responsibility and will make it a priority to support (Name of Offeror) to ensure that NM HSD State Agency’s Mission, Vision, Values and Goals are met or exceeded. As such, I understand that I will be expected to:

A. Offer my expertise to help ensure the health and success the services procured; B. Contribute significantly to program activities, processes, and financial goals;C. Collaborate with the NM Human Services Department as well as to communicate

with NM HSD’s most important stakeholders;D. Attend leadership meetings as required and continually and respectfully communicate

with the stakeholders and the NM State Human Services Department to ensure I understand all support requirements;

E. Actively participate in all requests for my assistance and response.F.

I have read and fully agree to this Letter of Commitment to assisting (Name of Offeror) organization in this role.

Candidate Signature __________________________________________ Date ______________

Candidate Printed Name _________________________________

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1.8 APPENDIX 1-H Cost Response Form (to be included ONLY in Binder 2)

Name of Offeror: ____________________________________________

Note: For each category of service or position proposed, insert total expected cost for each year and total as appropriate. The proposed costs shall directly relate to the Offeror’s response to the specifications found in this RFP. Offerors are advised that their proposed fee must be related only to the fulfillment of the terms of this RFP. The Department will not separately reimburse NM Gross Receipts Tax, travel, administrative overhead, software, hardware, or other expenses. Offerors may factor in such costs in their proposed fee in the cost proposal.

Cost Category Year 1 Year 2 Year 3 Year 4 First Period Total

One Time Transition Cost in Year OneAnnual Fixed M&O CostsEnhancements Staffing – FTE Annual Costs based on number of staff x Hourly Rate (fully burdened with expected increases over term of agreement)Application Development Manager (1)Senior Systems/Business Analysts (3)Java Programmer Analysts (20)Oracle Database Administrators (2)Quality Assurance Testing Analysts (2)Collocation Facility Costs $47,775 $48,575 49,400 50,225Other Facility CostsTotals (inclusive of NM GRT)

Grand total inclusive of NMGRT for the FOUR (4) year period is: $

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1.8 APPENDIX 1-H Cost Response Form CONTINUED (to be included ONLY in Binder 2)

The following are estimated costs related to optional extensions of the contract.

OPTIONAL Estimated Costs Optional Year 5

Optional Year 6

Optional Year 7

Optional Year 8 Total

OPTIONAL Annual Fixed M&O CostsOPTIONAL Enhancements Staffing – FTE Annual Costs based on number of staff x Hourly Rate (fully burdened with expected increases over term of agreement)Application Development Manager (1)Senior Systems/Business Analysts (3)Java Programmer Analysts (20)Oracle Database Administrators (2)Quality Assurance Testing Analysts (2)Collocation Facility Costs $51,100 $52,000 $52,925 $53,875Other Facility Costs

Totals (inclusive of NM GRT)

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1.8 APPENDIX 1-H Cost Response Form CONTINUED (to be included ONLY in Binder 2)

Offerors are requested to detail rates for fees for staff or services in this section.

Hourly Rates per FTE (fully burdened with expected increases over term of agreement)

Position Year 1 Year 2 Year 3 Year 4 OptionalYear 5

OptionalYear 6

OptionalYear 7

OptionalYear 8

Application Development Manager

Senior Systems/Business Analysts

Java Programmer Analysts

Oracle Database Administrators

Quality Assurance Testing Analysts

Application Development Manager

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1.9 APPENDIX 1-I OFFEROR’S ADDITIONAL TERMS AND CONDITIONS FORM

Offeror’s Organization Name: ________________________________________________

Check here if Offeror has no recommended changes to Sample Contract Terms and Conditions (Appendix 2-A)

If the Offeror requests modifications to the specific terms or conditions as stated in Appendix 2-A, Sample Contract Terms and Conditions, requests should be documented in Table 1 below along with an explanation of why the term or condition should be modified.

The Offeror may include additional terms and conditions in Table 2 below that, subject to negotiation, it would like to see in the final contract.

Please note that some contract terms are required due to state or federal procurement, liability, or security requirements.

Table 1: Offeror’s Changes to NM HSD’s Contract Terms and Conditions(Please refer to Appendix 2-A, for NM HSD’s Sample Contract Terms and Conditions)

HSD Sample Contract Page Number

HSD Contract Term or Condition

Modified or Suggested Term or Condition

Reason for Change Request

EXAMPLE:Page 13

EXAMPLE:C. Rejection. Unless the

Executive Level Representative gives notice of rejection within the fifteen (15) Business Day Acceptance period, the Deliverable(s) will be deemed to have been Accepted.

EXAMPLE:C. Rejection. Unless the Executive Level Representative gives notice of rejection within the fifteen (15) Business Day Acceptance period to Contractor’s Contract Manager, the Deliverable(s) will be deemed to have been Accepted.

Request specific point of contact receives this notice to prevent communication confusion.

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OFFEROR’S ADDITIONAL TERMS AND CONDITIONS FORM, (Continued)

Offeror’s Organization Name: ________________________________________________

Table 2: Offeror’s Requested Additions to NM HSD Contract Terms and Conditions

Title of Suggested Change

Suggested Language for new Contract Term or Condition

Reason for Additional Term or Condition

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1.10 APPENDIX 1-J THREE-YEAR FINANCIAL HISTORY FORM

OFFEROR NAME: ________________________________________________

MEASURE YEAR END 2011 YEAR END 2012 YEAR END 2013Total Current Assets

Total Current LiabilitiesCash & Equivalents

Trade Receivables

Net Sales

Cost of Sales

Annual Interest ExpensesNet Fixed Assets

Tangible Net Worth

Profit Before Taxes

TOTAL ASSETS

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1.11 APPENDIX 1-K OFFEROR’S CORPORATE REFERENCE FORM

The Offeror must use this form for submission of its corporate references (organizations currently or previously served by the Offeror). The Department may phone direct or request an email survey to be completed by contact person in order to confirm reference.

1. The Offeror must provide three (3) client references, each one under separate copy of this Appendix.

2. If the Offeror is proposing major subcontractors in response to this RFP, the Offeror must also provide two (2) client references for each of the subcontractor firms.

3. For key staff proposed by the Offeror, including at a minimum those required by Appendices 1F and 1G of this RFP, the Offeror should use the reference forms in Appendix 1-H.

Name of Client Organization

Contact Person (who worked with Offeror or Offeror staff)Contact Phone Number

Email address of contact person:

Summary description of services provided and dates when the services were provided

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1.12 APPENDIX 1-L OFFEROR’S QUESTION SUBMITTAL FORMAT FORM

The Offeror must submit all questions using the question submittal table format below. Add lines as required. Answers will be posted to the Department website as well as returned to those Offerors who have submitted an Acknowledgement form.

In order to ensure that your question is addressed accurately and in the most expeditious manner, please complete all requested information in the question submittal table and use one of the following categories for each question.

Category Description

AdministrativeQuestions related to expectations related to performing or meeting the non- technical functions related to maintenance and operations over the life of the contract.

Contract Questions specifically related to the Contract Terms and Conditions (Appendix 2-A), future amendments, etc.

ProcessQuestions related to expectations related to Offerors proposing options for service delivery processes (unique models of defect tracking, technical support, service levels, etc.).

Cost Questions specifically related to proposing costs or completing the cost proposal.

Scope Questions related to the expected scope of work to maintain and support the system, service level exceptions, etc.

TechnicalQuestions related to technical issues related to required staff experience, application languages, hardware in use, network or storage systems, methods for testing, etc.

Other Questions which don’t fit in the above categories.

Question #

Page/Section

Question Category

Question

SAMPLE:1

SAMPLE: Page 52

SAMPLE:Cost

SAMPLE:If we don’t have any recommended terms and conditions, and don’t have any issues with the terms and conditions in the contract in Appendix 2-A, do we still have to include Appendix1-N in the cost proposal?

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1.13 APPENDIX 1-M Transmittal Form Letter of Transmittal Form

RFP Number 50-630-14-27039

Offeror Name: ___________________________________

Items #1 to #7 EACH MUST BE COMPLETED IN FULL Failure to respond to all seven items WILL RESULT IN THE DISQUALIFICATION OF THE PROPOSAL!

1. Identity (Name) and Mailing Address of the submitting organization: ________________________________________________________________________________________________________________________________________________________

2. For the person authorized by the organization to contractually obligate on behalf of this Offer:Name _______________________________________________________________________Title ________________________________________________________________________E-Mail Address _______________________________________________________________Telephone Number _________________________________________________________

3. For the person authorized by the organization to negotiate on behalf of this Offer:Name _______________________________________________________________________Title ________________________________________________________________________E-Mail Address _______________________________________________________________Telephone Number _________________________________________________________

4. For the person authorized by the organization to clarify/respond to queries regarding this Offer:Name _______________________________________________________________________Title ________________________________________________________________________E-Mail Address _______________________________________________________________Telephone Number _________________________________________________________

5. Use of Sub-Contractors (Select one)____ No sub-contractors will be used in the performance of any resultant contract OR____ The following sub-contractors will be used in the performance of any resultant contract:_________________________________________________________________________________(Attach extra sheets, as needed)

6. Please describe any relationship with any entity (other than Subcontractors listed in (5) above) which will be used in the performance of any resultant contract. ______________________________________________________________________________(Attach extra sheets, as needed)

7. ___ On behalf of the submitting organization named in item #1, above, I accept the Conditions Governing the Procurement as required in Section II. C.1.

___ I concur that submission of our proposal constitutes acceptance of the Evaluation Factors contained in Section V of this RFP.

___ I acknowledge receipt of any and all amendments to this RFP.________________________________________________ _____________________, 2015Authorized Signature and Date (Must be signed by the person identified in item #2, above.)

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B. REFERENCE APPENDICES

2.1 APPENDIX 2-A SAMPLE CONTRACT TERMS AND CONDITIONS

The contract in this Appendix is included as a sample of the type of contract the Department will issue for this procurement. Upon finalization of this procurement, the Department will issue a contract based on the Department’s most current approved version.

Offerors may suggest changes to this agreement by completing the suggested changes table in the Appendix.

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State of New MexicoHUMAN SERVICES DEPARTMENT

ASPEN Maintenance and Operations Information Technology Agreement

Contract No. 50-630-14-27039

THIS Information Technology Agreement (“Agreement” or “Contract”) is made by and between the Human Services Department], hereinafter referred to as “HSD” or the “Procuring Agency”,” and [Insert Contractor Name], hereinafter referred to as the “Contractor” and collectively referred to as the “Parties”.

WHEREAS, pursuant to the Procurement Code, NMSA 1978 13-1-28 et. seq; and Procurement Code Regulations, NMAC 1.4.1 et.seq, the Contractor has held itself out as expert in implementing the Scope of Work as contained herein and the Procuring Agency has selected the Contractor as the Offeror most advantageous to the State of New Mexico; and

WHEREAS, all terms and conditions of RFP Number 50-630-14-27039 and the Contractor’s response to such document(s) are incorporated herein by reference; and

WHEREAS, all Parties agree that, pursuant to the Procurement Code, 1.4.1.52 et. seq. the total amount of this Agreement is $60,000.00 or more, excluding taxes; and

NOW, THEREFORE, IT IS MUTUALLY AGREED BETWEEN THE PARTIES:

ARTICLE 1 – DEFINITIONS

“Acceptance” or “Accepted” shall mean the approval, after Quality Assurance, of all Deliverables by an Executive Level Representative of the Procuring Agency.“Application Deployment Package” shall mean the centralized delivery of business critical applications including the source code (for custom software), documentation, executable code and deployment tools required to successfully install application software fixes including additions, modifications, or deletions produced by the Contractor. “Business Days” shall mean Monday through Friday, 7:30 a.m. (MST or MDT) to 5:30 p.m. except for federal or state holidays.“Change Request” shall mean the document utilized to request changes or revisions in the Scope of Work – Exhibit A, attached hereto and incorporated herein.“Chief Information Officer (“CIO”)” shall mean the Cabinet Secretary/CIO of the Department of Information Technology for the State of New Mexico or Designated Representative.“Confidential Information” means any communication or record (whether oral, written, electronically stored or transmitted, or in any other form) that consists of: (1) confidential client information as such term is defined in State or Federal statutes and/or regulations; (2) all non-public State budget, expense, payment and other financial information; (3) all attorney-client privileged work product; (4) all information designated by the Procuring Agency or any other State agency as confidential, including all information designated as confidential under federal or state law or regulations; (5) unless publicly disclosed by the Procuring Agency or the State of New Mexico, the pricing, payments, and terms and conditions of this Agreement, and (6) State information that is utilized, received, or maintained by the Procuring Agency, the Contractor, or other participating State agencies for the purpose of fulfilling a duty or obligation under this Agreement and that has not been publicly disclosed.“Contract Manager” shall mean a Qualified person from the Procuring Agency responsible for all aspects of the administration of this Agreement. Under the terms of this Agreement, the Contract Manager shall be [Insert Name] or his/her Designated Representative.“Default” or “Breach” shall mean a violation of this Agreement by either failing to perform one’s own contractual obligations or by interfering with another Party’s performance of its obligations.

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“Deliverable” shall mean any verifiable outcome, result, service or product that must be delivered, developed, performed or produced by the Contractor as defined by the Scope of Work. “Designated Representative” shall mean a substitute(s) for a title or role, e.g. Contract Manager, when the primary is not available. “DoIT” shall mean the Department of Information Technology."DFA" shall mean the Department of Finance and Administration; “DFA/CRB” shall mean the Department of Finance and Administration, Contracts Review Bureau.“Escrow” shall mean a legal document (such as the software source code) delivered by the Contractor into the hands of a third party, and to be held by that party until the performance of a condition is Accepted; in the event Contractor fails to perform, the Procuring Agency receives the legal document, in this case, Source Code.“Enhancement” means any modification including addition(s), modification(s), or deletion(s) that, when made or added to the program, materially changes its or their utility, efficiency, functional capability, or application, but does not constitute solely an error correction. "Executive Level Representative" shall mean the individual empowered with the authority to represent and make decisions on behalf of the Procuring Agency's executives or his/her Designated Representative.“GRT” shall mean New Mexico gross receipts tax.“Intellectual Property” shall mean any and all proprietary information developed pursuant to the terms of this Agreement.“Independent Verification and Validation (“IV&V”)” shall mean the process of evaluating a Project and the Project’s product to determine compliance with specified requirements and the process of determining whether the products of a given development phase fulfill the requirements established during the previous stage, both of which are performed by an entity independent of the Procuring Agency.“Know How” shall mean all technical information and knowledge including, but not limited to, all documents, computer storage devices, drawings, flow charts, plans, proposals, records, notes, memoranda, manuals and other tangible items containing, relating or causing the enablement of any Intellectual Property developed under this Agreement.“Payment Invoice” shall mean a detailed, certified and written request for payment of Services by and rendered from the Contractor to the Procuring Agency. Payment Invoice(s) must contain the fixed price Deliverable cost and identify the Deliverable for which the Payment Invoice is submitted.“Performance Bond” shall mean a surety bond which guarantees that the Contractor will fully perform the Contract and guarantees against breach of contract.“Project” shall mean a temporary endeavor undertaken to solve a well-defined goal or objective with clearly defined start and end times, a set of clearly defined tasks, and a budget. The Project terminates once the Project scope is achieved and the Project approval is given by the Executive Level Representative and verified by the Procuring Agency CIO to the DoIT. If applicable, under the terms of this Agreement the Project is [Insert Name of Project, if applicable; otherwise delete sentence].“Project Manager” shall mean a Qualified person from the Procuring Agency responsible for the application of knowledge, skills, tools, and techniques to the Project activities to meet the Project requirements from initiation to close. Under the terms of this Agreement, the Project Manager shall be [Insert Name] or his/her Designated Representative. “Qualified” means demonstrated experience performing activities and tasks with Projects. “Quality Assurance” shall mean a planned and systematic pattern of all actions necessary to provide adequate confidence that a Deliverable conforms to established requirements, customer needs, and user expectations.“Services” shall mean the tasks, functions, and responsibilities assigned and delegated to the Contractor under this Agreement."State Purchasing Agent (SPA)" shall mean the State Purchasing Agent for the State of New Mexico or his/her Designated Representative.“State Purchasing Division (SPD)” shall mean the State Purchasing Division of the General Services Department for the State of New Mexico.“Software” shall mean all operating system and application software used by the Contractor to provide the Services under this Agreement.“Software Maintenance” shall mean the set of activities which result in changes to the originally Accepted (baseline) product set. These changes consist of corrections, insertions, deletions, extensions, and Enhancements to the baseline system.“Source Code” shall mean the human-readable programming instructions organized into sets of files which represent the business logic for the application which might be easily read as text and subsequently edited, requiring compilation or interpretation into binary or machine-readable form before being directly useable by a computer.“Turnover Plan” means the written plan developed by the Contractor and approved by the Procuring Agency in the event that the work described in this Agreement transfers to another vendor or the Procuring Agency.

ARTICLE 2 – SCOPE OF WORK

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A. Scope of Work. The Contractor shall perform the work as outlined in Exhibit A, attached hereto and incorporated herein by reference.

G. Performance Measures . The Contractor shall substantially perform to the satisfaction of the Procuring Agency the Performance Measures set forth in Exhibit A. In the event the Contractor fails to obtain the results described in Exhibit A, the Procuring Agency may provide written notice to the Contractor of the Default and specify a reasonable period of time in which the Contractor shall advise the Procuring Agency of specific steps it will take to achieve these results and the proposed timetable for implementation. Nothing in this Section shall be construed to prevent the Procuring Agency from exercising its rights pursuant to Article 6 or Article 16.

H. Schedule. The Contractor shall meet the due dates, as set forth in Exhibit A, which due dates shall not be altered or waived by the Procuring Agency without prior written approval, through the Amendment process, as defined in Article 25.

I. License. Not Applicable. The Parties agree there is no License.

J. Source Code . Not Applicable. The Parties agree there is no Source Code.

K. The Procuring Agency’s Rights . 1. Rights to Software. The Procuring Agency will own all right, title, and interest in and to the Procuring

Agency’s Confidential Information, and the Deliverables, provided by the Contractor, including without limitation the specifications, the work plan, and the Custom Software, except that the Deliverables will not include third party software and the associated documentation for purposes of this Section. The Contractor will take all actions necessary and transfer ownership of the Deliverables to the Procuring Agency, without limitation, the Custom Software and associated Documentation on Final Acceptance or as otherwise provided in this Agreement

2. Proprietary Rights . The Contractor will reproduce and include the State of New Mexico’s copyright and other proprietary notices and product identifications provided by the Contractor on such copies, in whole or in part, or on any form of the Deliverables.

3. Rights to Data. Any and all data stored on the Contractor’s servers or within the Contractors custody, in order to execute this Agreement, is the sole property of the Procuring Agency. The Contractor, subcontractor(s), officers, agents and assigns shall not make use of, disclose, sell, copy or reproduce the Procuring Agency’s data in any manner, or provide to any entity or person outside of the Procuring Agency without the express written authorization of the Procuring Agency.

ARTICLE 3 - COMPENSATION

A. Compensation Schedule. The Procuring Agency shall pay to the Contractor based upon fixed prices for each Deliverable, per the schedule outlined in Exhibit A, less retainage, if any, as identified in Paragraph D.

B. Payment. The total compensation under this Agreement shall not exceed [Insert Dollar Amount including New Mexico gross receipts tax. This amount is a maximum and not a guarantee that the work assigned to be performed by Contractor under this Agreement shall equal the amount stated herein. The Parties do not intend for the Contractor to continue to provide Services without compensation when the total compensation amount is reached. Contractor is responsible for notifying the Procuring Agency when the Services provided under this Agreement reach the total compensation amount. In no event will the Contractor be paid for Services provided in excess of the total compensation amount without this Agreement being amended in writing prior to services, in excess of the total compensation amount being provided.

Payment shall be made upon Acceptance of each Deliverable according to Article 4 and upon the receipt and Acceptance of a detailed, certified Payment Invoice. Payment will be made to the Contractor's designated mailing address. In accordance with Section 13-1-158 NMSA 1978, payment shall be tendered to the Contractor within thirty (30) days of the date of written certification of Acceptance. All Payment Invoices MUST BE received by the Procuring

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Agency no later than ten (10) days after the end of the fiscal year in which services were delivered. Payment Invoices received after such date WILL NOT BE PAID.

The Contractor shall not be reimbursed by the Procuring Agency for applicable New Mexico gross receipts taxes, excluding interest or penalties assessed on the Contractor by any authority. The payment of taxes for any money received under this Agreement shall be the Contractor's sole responsibility and should be reported under the Contractor's Federal and State tax identification number(s).

Contractor and any and all subcontractors shall pay all Federal, state and local taxes applicable to its operation and any persons employed by the Contractor. Contractor shall require all subcontractors to hold the Procuring Agency harmless from any responsibility for taxes, damages and interest, if applicable, contributions required under Federal and/or state and local laws and regulations and any other costs, including transaction privilege taxes, unemployment compensation insurance, Social Security and Worker’s Compensation.

D. Retainage The Procuring Agency shall retain 20% of the fixed-price Deliverable cost for each Deliverable that is the subject of this Agreement as security for full performance of this Agreement. All amounts retained shall be released to the Contractor upon Acceptance of the final Deliverable.

E. Performance Bond. Contractor shall execute and deliver to Procuring Agency, contemporaneously with the execution of this Agreement, a Performance Bond in the amount of [Insert Total Amount of agreed upon Performance Bond] in the name of the Procuring Agency. The Performance Bond shall be in effect for the duration of this Agreement and any renewals thereof. The required Performance Bond shall be conditioned upon and for the full performance, Acceptance and actual fulfillment of each and every Deliverable, term, condition, provision, and obligation of the Contractor arising under this Agreement. The Procuring Agency’s right to recover from the Performance Bond shall include all costs and damages associated with the transfer of Services provided under this Agreement to another Contractor or to the State of New Mexico as a result of Contractor’s failure to perform.

ARTICLE 4 – ACCEPTANCE

A. Submission. Upon completion of agreed upon Deliverable(s) as set forth in Article 2 and Exhibit A, Contractor shall submit a Payment Invoice with the Deliverable(s), or description of the Deliverable(s), to the Procuring Agency. Each Payment Invoice shall be for the fixed Deliverable(s) price as set forth in Article 2 and Exhibit A, less retainage as set forth in Article 3(D).

B. Acceptance. In accord with Section 13-1-158 NMSA 1978, the Executive Level Representative shall determine if the Deliverable(s) provided meets specifications. No payment shall be made for any Deliverable until the individual Deliverable that is the subject of the Payment Invoice has been Accepted, in writing, by the Executive Level Representative. In order to Accept the Deliverable(s), the Executive Level Representative, in conjunction with the Project Manager, will assess the Quality Assurance level of the Deliverable(s) and determine, at a minimum, that the Deliverable(s):

1. Complies with the Deliverable(s) requirements as defined in Article 2 and Exhibit A;2. Complies with the terms and conditions of the RFP3. Meets the performance measures for the Deliverable(s) and this Agreement; 4. Meets or exceeds the generally accepted industry standards and procedures for the Deliverable(s); and 5. Complies with all the requirements of this Agreement.

If the Deliverable(s) is deemed Acceptable under Quality Assurance by the Executive Level Representative or their Designated Representative, the Executive Level Representative will notify the Contractor of Acceptance, in writing, within thirty (30) Business Days from the date the Executive Level Representative receives the Deliverable(s) and accompanying Payment Invoice.

C. Rejection. Unless the Executive Level Representative gives notice of rejection within the fifteen (15) Business Day Acceptance period, the Deliverable(s) will be deemed to have been Accepted. If the Deliverable(s) is deemed unacceptable under Quality Assurance, fifteen (15) Business Days from the date the Executive Level Representative receives the Deliverable(s) and accompanying Payment Invoice, the Executive Level Representative will send a

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consolidated set of comments indicating issues, unacceptable items, and/or requested revisions accompanying the rejection. Upon rejection and receipt of comments, the Contractor will have ten (10) Business Days to resubmit the Deliverable(s) to the Executive Level Representative with all appropriate corrections or modifications made and/or addressed. The Executive Level Representative will again determine whether the Deliverable(s) is Acceptable under Quality Assurance and provide a written determination within fifteen (15) Business Days of receipt of the revised or amended Deliverable(s). If the Deliverable(s) is once again deemed unacceptable under Quality Assurance and thus rejected, the Contractor will be required to provide a remediation plan that shall include a timeline for corrective action acceptable to the Executive Level Representative. The Contractor shall also be subject to all damages and remedies attributable to the late delivery of the Deliverable(s) under the terms of this Agreement and available at law or equity. In the event that a Deliverable must be resubmitted more than twice for Acceptance, the Contractor shall be deemed as in breach of this Agreement. The Procuring Agency may seek any and all damages and remedies available under the terms of this Agreement and available at law or equity. Additionally, the Procuring Agency may terminate this Agreement.

ARTICLE 5 – TERM

THIS AGREEMENT SHALL NEITHER BE EFFECTIVE NOR BINDING UNTIL APPROVED BY THE DoIT and SPD.

The term of this agreement will be 48 months from the date of approval by SPD with four one year optional renewals as determined by the procuring agency. The contract term, including extensions and renewals, shall not exceed eight years, except as set forth in Section 13-1-150 NMSA 1978.

ARTICLE 6 – TERMINATION

A. Grounds . The Agency may terminate this Agreement for convenience or cause. The Contractor may only terminate this Agreement based upon the Agency’s uncured, material breach of this Agreement.

B. Appropriations. By the Procuring Agency, if required by changes in State or federal law, or because of court order, or because of insufficient appropriations made available by the United States Congress and/or the New Mexico State Legislature for the performance of this Agreement. The Procuring Agency’s decision as to whether sufficient appropriations are available shall be accepted by the Contractor and shall be final. If the Procuring Agency terminates this Agreement pursuant to this subsection, the Procuring Agency shall provide the Contractor written notice of such termination at least fifteen (15) Business Days prior to the effective date of the termination.

C. Notice; Agency Opportunity to Cure. 1. Except as otherwise provided in Paragraph (3), the Agency shall give Contractor written notice of termination at least

thirty (30) days prior to the intended date of termination. 2. Contractor shall give Agency written notice of termination at least thirty (30) days prior to the intended date of

termination, which notice shall (i) identify all the Agency’s material breaches of this Agreement upon which the termination is based and (ii) state what the Agency must do to cure such material breaches. Contractor’s notice of termination shall only be effective (i) if the Agency does not cure all material breaches within the thirty (30) day notice period or (ii) in the case of material breaches that cannot be cured within thirty (30) days, the Agency does not, within the thirty (30) day notice period, notify the Contractor of its intent to cure and begin with due diligence to cure the material breach.

3. Notwithstanding the foregoing, this Agreement may be terminated immediately upon written notice to the Contractor (i) if the Contractor becomes unable to perform the services contracted for, as determined by the Agency; (ii) if, during the term of this Agreement, the Contractor is suspended or debarred by the State Purchasing Agent; or (iii) the Agreement is terminated pursuant to Paragraph 5, “Appropriations”, of this Agreement.

D. Liability. Except as otherwise expressly allowed or provided under this Agreement, the Agency’s sole liability upon termination shall be to pay for acceptable work performed prior to the Contractor’s receipt or issuance of a notice of termination; provided, however, that a notice of termination shall not nullify or otherwise affect either party’s liability for pre-termination defaults under or breaches of this Agreement. The Contractor shall submit an invoice for such work within thirty (30) days of receiving or sending the notice of termination. THIS PROVISION IS NOT EXCLUSIVE AND DOES NOT WAIVE THE AGENCY’S OTHER LEGAL RIGHTS AND REMEDIES CAUSED BY THE CONTRACTOR'S DEFAULT/BREACH OF THIS AGREEMENT.

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ARTICLE 7 – TERMINATION MANAGEMENT

A. Contractor. In the event this Agreement is terminated for any reason, or upon expiration, and in addition to all other rights to property set forth in this Agreement, the Contractor shall:

1. Transfer, deliver, and/or make readily available to the Procuring Agency property in which the Procuring Agency has a financial interest and any and all data, Know How, Intellectual Property, inventions or property of the Procuring Agency;

2. Incur no further financial obligations for materials, Services, or facilities under the Agreement without prior written approval of the Procuring Agency;

3. Terminate all purchase orders or procurements and any subcontractors and cease all work, except as the Procuring Agency may direct, for orderly completion and transition;

4. Take such action as the Procuring Agency may direct, for the protection and preservation of all property and all records related to and required by this Agreement;

5. Agree that the Procuring Agency is not liable for any costs arising out of termination and that the Procuring Agency is liable only for costs of Deliverables Accepted prior to the termination of the Agreement;

6. Cooperate fully in the closeout or transition of any activities to permit continuity in the administration of Procuring Agency’s programs;

7. In the event that this Agreement is terminated due to the Contractor’s course of performance, negligence or willful misconduct and that course of performance, negligence, or willful misconduct results in reductions in the Procuring Agency’s receipt of program funds from any governmental agency, the Contractor shall remit to the Procuring Agency the full amount of the reduction;

8. Should this Agreement terminate due to the Contractor's Default, the Contractor shall reimburse the Procuring Agency for all costs arising from hiring new Contractor/subcontractors at potentially higher rates and for other costs incurred;

9. In the event this Agreement is terminated for any reason, or upon its expiration, the Contractor shall develop and submit to the Procuring Agency for approval an Agreement Turnover Plan at least ten (10) Business Days prior to the effective date of termination. Such Turnover Plan shall describe the Contractor’s policies and procedures that will ensure: (1) the least disruption in the delivery of Services during the transition to a substitute vendor; and (2) cooperation with the Procuring Agency and the substitute vendor in transferring information and Services. The Turnover Plan shall consist of the orderly and timely transfer of files, data, computer software, documentation, system turnover plan, Know How, Intellectual Property and other materials, whether provided by the Procuring Agency or created by the Contractor under this Agreement, to the Procuring Agency, including but not limited to, user manuals with complete documentation, functional technical descriptions of each program and data flow diagrams. At the request of the Procuring Agency, the Contractor shall provide to the Procuring Agency a copy of the most recent versions of all files, software, Know How, Intellectual Property and documentation, whether provided by the Procuring Agency or created by the Contractor under this Agreement.

B. Procuring Agency. In the event this Agreement is terminated for any reason, or upon expiration, and in addition to all other rights to property set forth in this Agreement, the Procuring Agency shall: 1. Retain ownership of all work products and documentation created pursuant to this Agreement; and 2. Pay the Contractor all amounts due for Services Accepted prior to the effective date of such termination or

expiration.

ARTICLE 8 – INDEMNIFICATION

A. General. The Contractor shall defend, indemnify and hold harmless the Procuring Agency, the State of New Mexico and its employees from all actions, proceedings, claims, demands, costs, damages, attorneys’ fees and all other liabilities and expenses of any kind from any source which may arise out of the performance of this Agreement, caused by the negligent act or failure to act of the Contractor, its officers, employees, servants, subcontractors or agents, during the time when the Contractor, its officer, agent, employee, servant or subcontractor thereof has or is performing Services pursuant to this Agreement. In the event that any action, suit or proceeding related to the Services performed by the Contractor or any officer, agent, employee, servant or subcontractor under this Agreement is brought against the Contractor, the Contractor shall, as soon as practicable, but no later than two (2) Business Days after it receives

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notice thereof, notify, by certified mail, the legal counsel of the Procuring Agency, the Risk Management Division of the New Mexico General Services Department, and the DoIT.]

ARTICLE 9 – INTELLECTUAL PROPERTY

A. Ownership. Any and all Intellectual Property, including but not limited to copyright, patentable inventions, patents, trademarks, trade names, service marks, and/or trade secrets created or conceived pursuant to, or as a result of, performance of this Agreement, shall be work made for hire and the Procuring Agency shall be considered the creator and owner of such Intellectual Property. Any and all Know How created or conceived pursuant to, or as a result of, performance of this Agreement, shall be work made for hire and the Procuring Agency shall be considered the creator and owner of such Know How. The Procuring Agency shall own the entire right, title and interest to the Intellectual Property and Know How worldwide, and, other than in the performance of this Agreement, the Contractor, subcontractor(s), officers, agents and assigns shall not make use of, or disclose the Intellectual Property and Know How to any entity or person outside of the Procuring Agency without the express written authorization of the Procuring Agency. Contractor shall notify the Procuring Agency, within fifteen (15) Business Days, of the creation of any Intellectual Property by it or its subcontractor(s). Contractor, on behalf of itself and any subcontractor(s), agrees to execute any and all document(s) necessary to assure that ownership of the Intellectual Property vests in the Procuring Agency and shall take no affirmative actions that might have the effect of vesting all or part of the Intellectual Property in any entity other than the Procuring Agency. If, by judgment of a court of competent jurisdiction, Intellectual Property or Know How are not deemed to be created or owned by the Procuring Agency, Contractor hereby acknowledges and agrees to grant to the Procuring Agency and the State of New Mexico, a perpetual, non-exclusive, royalty free license to reproduce, publish, use, copy and modify the Intellectual Property and Know How.

ARTICLE 10 – INTELLECTUAL PROPERTY INDEMNIFICATION

A. Intellectual Property Indemnification . The Contractor shall defend, at its own expense, the Procuring Agency, the State of New Mexico and/or any other State of New Mexico body against any claim that any product or service provided under this Agreement infringes any patent, copyright or trademark, and shall pay all costs, damages and attorney’s fees that may be awarded as a result of such claim. In addition, if any third party obtains a judgment against the Procuring Agency based upon Contractor’s trade secret infringement relating to any product or Services provided under this Agreement, the Contractor agrees to reimburse the Procuring Agency for all costs, attorneys’ fees and the amount of the judgment. To qualify for such defense and/or payment, the Procuring Agency shall:1. Give the Contractor written notice, within forty-eight (48) hours, of its notification of any claim;2. Work with the Contractor to control the defense and settlement of the claim; and 3. Cooperate with the Contractor, in a reasonable manner, to facilitate the defense or settlement of the claim.

B. Procuring Agency Rights. If any product or service becomes, or in the Contractor’s opinion is likely to become, the subject of a claim of infringement, the Contractor shall, at its sole expense:1. Provide the Procuring Agency the right to continue using the product or service and fully indemnify the

Procuring Agency against all claims that may arise out of the Procuring Agency’s use of the product or service;

2. Replace or modify the product or service so that it becomes non-infringing; or3. Accept the return of the product or service and refund an amount equal to the value of the returned product

or service, less the unpaid portion of the purchase price and any other amounts, which are due to the Contractor. The Contractor’s obligation will be void as to any product or service modified by the Procuring Agency to the extent such modification is the cause of the claim.

ARTICLE 11 - WARRANTIES

A. General. The Contractor hereby expressly warrants the Deliverable(s) as being correct and compliant with the terms of this Agreement, Contractor’s official published specification and technical specifications of this Agreement and all generally accepted industry standards. This warranty encompasses correction of defective Deliverable(s) and revision of the same, as necessary, including deficiencies found during testing, implementation, or post-implementation phases.

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B. Software. The Contractor warrants that any software or other products delivered under this Agreement shall comply with the terms of this Agreement, Contractor’s official published specification(s) and technical specifications of this Agreement and all generally accepted industry standards. The Contractor further warrants that the software provided under this Agreement will meet the applicable specifications for two (2) years after Acceptance by the Executive Level Representative and implementation by the Procuring Agency. If the software fails to meet the applicable specifications during the warranty period, the Contractor will correct the deficiencies, at no additional cost to the Procuring Agency, so that the software meets the applicable specifications.

ARTICLE 12 – CONTRACTOR PERSONNEL

A. Key Personnel. Contractor’s key personnel shall not be diverted from this Agreement without the prior written approval of the Procuring Agency. Key personnel are those individuals considered by the Procuring Agency to be mandatory to the work to be performed under this Agreement. Key personnel shall be:

[Insert Contractor Staff Name(s)]

B. Personnel Changes. Replacement of any personnel shall be made with personnel of equal ability, experience, and qualification and shall be approved by the Procuring Agency. For all personnel, the Procuring Agency reserves the right to require submission of their resumes prior to approval. If the number of Contractor’s personnel assigned to the Project is reduced for any reason, Contractor shall, within ten (10) Business Days of the reduction, replace with the same or greater number of personnel with equal ability, experience, and qualifications, subject to Procuring Agency approval. The Procuring Agency, in its sole discretion, may approve additional time beyond the ten (10) Business Days for replacement of personnel. The Contractor shall include status reports of its efforts and progress in finding replacements and the effect of the absence of the personnel on the progress of the Project. The Contractor shall also make interim arrangements to assure that the Project progress is not affected by the loss of personnel. The Procuring Agency reserves the right to require a change in Contractor’s personnel if the assigned personnel are not, in the sole opinion of the Procuring Agency, meeting the Procuring Agency’s expectations.

ARTICLE 13 – STATUS OF CONTRACTOR

A. Independent Contractor. The Contractor and its agents and employees are independent contractors performing professional Services for the Procuring Agency and are not employees of the State of New Mexico. The Contractor and its agents and employees shall not accrue leave, retirement, insurance, bonding, use of state vehicles, or any other benefits afforded to employees of the State of New Mexico as a result of this Agreement. The Contractor acknowledges that all sums received hereunder are personally reportable by it for income tax purposes as self-employment or business income and are reportable for self-employment tax.

B. Subject of Proceedings. Contractor warrants that neither the Contractor nor any officer, stockholder, director or employee of the Contractor, is presently subject to any litigation or administrative proceeding before any court or administrative body which would have an adverse effect on the Contractor’s ability to perform under this Agreement; nor, to the best knowledge of the Contractor, is any such litigation or proceeding presently threatened against it or any of its officers, stockholders, directors or employees. If any such proceeding is initiated or threatened during the term of this Agreement, the Contractor shall immediately disclose such fact to the Procuring Agency.

ARTICLE 14 - CHANGE MANAGEMENT

A. Changes. Contractor may only make changes or revisions within the Scope of Work as defined by Article 2 and Exhibit A after receipt of written approval by the Executive Level Representative. Such change may only be made to Tasks or Sub-Task as defined in the Exhibit A. Under no circumstance shall such change affect the:

1. Deliverable requirements, as outlined in Exhibit A;2. Due date of any Deliverable, as outlined in Exhibit A;3. Compensation of any Deliverable, as outlined in Exhibit A;4. Agreement compensation, as outlined in Article 3; or

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5. Agreement termination, as outlined in Article 5.

B. Change Request Process. In the event that circumstances warrant a change to accomplish the Scope of Work as described above, a Change Request shall be submitted that meets the following criteria:

1. The Project Manager shall draft a written Change Request for review and approval by the Executive Level Representative to include: (a) the name of the person requesting the change; (b) a summary of the required change; (c) the start date for the change; (d) the reason and necessity for change; (e) the elements to be altered; and(f) the impact of the change.

2. The Executive Level Representative shall provide a written decision on the Change Request to the Contractor within a maximum of ten (10) Business Days of receipt of the Change Request. All decisions made by the Executive Level Representative are final. Change Requests, once approved, become a part of the Agreement and become binding as a part of the original Agreement.

ARTICLE 15 – INDEPENDENT VERIFICATION AND VALIDATION

A. If IV&V professional Services are used or required to be used for the Project associated with this Agreement, the Contractor hereby agrees to cooperate with the IV&V vendor. Such cooperation shall include, but is not limited to: 1. Providing the Project documentation; 2. Allowing the IV&V vendor to sit in on the Project meetings; and 3. Supplying the IV&V vendor with any other material as directed by the Project Manager.

ARTICLE 16 – DEFAULT/BREACH

In case of Default and/or Breach by the Contractor, for any reason whatsoever, the Procuring Agency and the State of New Mexico may procure the goods or Services from another source and hold the Contractor responsible for any resulting excess costs and/or damages, including but not limited to, direct damages, indirect damages, consequential damages, special damages and the Procuring Agency and the State of New Mexico may also seek all other remedies under the terms of this Agreement and under law or equity.

ARTICLE 17 – EQUITABLE REMEDIES

Contractor acknowledges that its failure to comply with any provision of this Agreement will cause the Procuring Agency irrevocable harm and that a remedy at law for such a failure would be an inadequate remedy for the Procuring Agency, and the Contractor consents to the Procuring Agency’s obtaining from a court of competent jurisdiction, specific performance, or injunction, or any other equitable relief in order to enforce such compliance. Procuring Agency’s rights to obtain equitable relief pursuant to this Agreement shall be in addition to, and not in lieu of, any other remedy that Procuring Agency may have under applicable law, including, but not limited to, monetary damages.

ARTICLE 18 - LIABILITY

Contractor shall be liable for damages arising out of injury to persons and/or damage to real or tangible personal property at any time, in any way, if and to the extent that the injury or damage was caused by or due to the fault or negligence of the Contractor or a defect of any equipment provided or installed, provided in whole or in part by the Contractor pursuant to the Agreement. Contractor shall not be liable for damages arising out of, or caused by, alterations made by the Procuring Agency to any equipment or its installation or for losses caused by the Procuring Agency’s fault or negligence. Nothing in this Agreement shall

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limit the Contractor’s liability, if any, to third parties and/or employees of the Procuring Agency or the State of New Mexico, or any remedy that may exist under law or equity in the event a defect in the manufacture or installation of the equipment, or the negligent act or omission of the Contractor, its officers, employees, or agents, is the cause of injury to such person.

ARTICLE 19 – ASSIGNMENT

The Contractor shall not assign or transfer any interest in this Agreement or assign any claims for money due or to become due under this Agreement without the prior written approval of this Agreement's approval authorities.

ARTICLE 20 – SUBCONTRACTING

A. General Provision. The Contractor shall not subcontract any portion of this Agreement without the prior written approval of the Procuring Agency. No such subcontracting shall relieve the Contractor from its obligations and liabilities under this Agreement, nor shall any subcontracting obligate payment from the Procuring Agency.

B. Responsibility for subcontractors. The Contractor must not disclose Confidential Information of the Procuring Agency or of the State of New Mexico to a subcontractor unless and until such subcontractor has agreed in writing to protect the confidentiality of such Confidential Information in the manner required of the Contractor under this Agreement.

ARTICLE 21 – RELEASE

The Contractor’s Acceptance of final payment of the amount due under this Agreement shall operate as a release of the Procuring Agency, its officers and employees, and the State of New Mexico from all liabilities, claims and obligations whatsoever arising from or under this Agreement.

ARTICLE 22 – CONFIDENTIALITY

Any Confidential Information provided to the Contractor by the Procuring Agency or, developed by the Contractor based on information provided by the Procuring Agency in the performance of this Agreement shall be kept confidential and shall not be made available to any individual or organization by the Contractor without the prior written approval of the Procuring Agency. Upon termination of this Agreement, Contractor shall deliver all Confidential Information in its possession to the Procuring Agency within thirty (30) Business Days of such termination. Contractor acknowledges that failure to deliver such Confidential Information to the Procuring Agency will result in direct, special and incidental damages.

ARTICLE 23 –CONFLICT OF INTEREST

A. The Contractor represents and warrants that it presently has no interest and, during the term of this Agreement, shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance or Services required under the Agreement. The Contractor certifies that the requirements of the Governmental Conduct Act, Sections 10-16-1 through 10-16-18, NMSA 1978, regarding contracting with a public officer, state employee or former state employee have been followed.

B. The Contractor further represents and warrants that it has complied with, and, during the term of this Agreement, will continue to comply with, and that this Agreement complies with all applicable provisions of the Governmental Conduct Act, Chapter 10, Article 16 NMSA 1978. Without in anyway limiting the generality of the foregoing, the Contractor specifically represents and warrants that:

1) in accordance with Section 10-16-4.3 NMSA 1978, the Contractor does not employ, has not employed, and will not employ during the term of this Agreement any Agency employee while such employee was or is employed by the Agency and participating directly or indirectly in the Agency’s contracting process;

2) this Agreement complies with Section 10-16-7(A) NMSA 1978 because (i) the Contractor is not a public officer or employee of the State; (ii) the Contractor is not a member of the family of a public officer or employee of the State; (iii) the Contractor is not a business in which a public officer or employee or the family of a public officer or

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employee has a substantial interest; or (iv) if the Contractor is a public officer or employee of the State, a member of the family of a public officer or employee of the State, or a business in which a public officer or employee of the State or the family of a public officer or employee of the State has a substantial interest, public notice was given as required by Section 10-16-7(A) NMSA 1978 and this Agreement was awarded pursuant to a competitive process;

3) in accordance with Section 10-16-8(A) NMSA 1978, (i) the Contractor is not, and has not been represented by, a person who has been a public officer or employee of the State within the preceding year and whose official act directly resulted in this Agreement and (ii) the Contractor is not, and has not been assisted in any way regarding this transaction by, a former public officer or employee of the State whose official act, while in State employment, directly resulted in the Agency's making this Agreement;

4) this Agreement complies with Section 10-16-9(A) NMSA 1978 because (i) the Contractor is not a legislator; (ii) the Contractor is not a member of a legislator's family; (iii) the Contractor is not a business in which a legislator or a legislator's family has a substantial interest; or (iv) if the Contractor is a legislator, a member of a legislator’s family, or a business in which a legislator or a legislator's family has a substantial interest, disclosure has been made as required by Section 10-16-9(A) NMSA 1978, this Agreement is not a sole source or small purchase contract, and this Agreement was awarded in accordance with the provisions of the Procurement Code;

5) in accordance with Section 10-16-13 NMSA 1978, the Contractor has not directly participated in the preparation of specifications, qualifications or evaluation criteria for this Agreement or any procurement related to this Agreement; and

6) in accordance with Section 10-16-3 and Section 10-16-13.3 NMSA 1978, the Contractor has not contributed, and during the term of this Agreement shall not contribute, anything of value to a public officer or employee of the Agency.

C. The Contractor’s representations and warranties in Paragraphs A and B of this Article 12 are material representations of fact upon which the Agency relied when this Agreement was entered into by the parties. The Contractor shall provide immediate written notice to the Agency if, at any time during the term of this Agreement, the Contractor learns that the Contractor’s representations and warranties in Paragraphs A and B of this Article 12 were erroneous on the effective date of this Agreement or have become erroneous by reason of new or changed circumstances. If it is later determined that the Contractor’s representations and warranties in Paragraphs A and B of this Article 12 were erroneous on the effective date of this Agreement or have become erroneous by reason of new or changed circumstances, in addition to other remedies available to the Agency and notwithstanding anything in the Agreement to the contrary, the Agency may immediately terminate the Agreement.

D. All terms defined in the Governmental Conduct Act have the same meaning in this Article 12(B).

ARTICLE 24 - RECORDS AND AUDIT

A. The Contractor shall maintain detailed time and expenditure records that indicate the date;, time, nature and cost of Services rendered during the this Agreement’s term and effect and retain them for a period of five (5) from the date of final payment under this Agreement. The records shall be subject to inspection by the HSD, the Department of Finance, Procuring Agency, CIO, SPA, DFA, and the New Mexico State Auditor’s Office. The Procuring Agency shall have the right to audit billings both before and after payment. Payment for Services under this Agreement shall not foreclose the right of the Procuring Agency to recover excessive or illegal payments.

B. Contract for an independent A-133 audit at the Contractor’s expense, as applicable. The Contractor shall ensure that the auditor is licensed to perform audits in the State of New Mexico and shall be selected by a competitive bid process. The Contractor shall enter into a written contract with the auditor specifying the scope of the audit, the auditor’s responsibility, the date by which the audit is to be completed and the fee to be paid to the auditor for this service. Single audits shall comply with procedures specified by the HSD. The audit of the contract shall cover compliance with Federal Regulations and all financial transactions hereunder for the entire term of the Agreement in accordance with procedures promulgated by OMB Circulars or by Federal program officials for the conduct and report of such audits. An official copy of the independent auditor’s report shall be available to the HSD and any other authorized entity as required by law within (fifteen) 15 days of receipt of the final audit report. The Contractor may request an extension to

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the deadline for submission of the audit report in writing to the HSD for good cause and the HSD reserves the right to approve or reject any such request. The HSD retains the right to contract for an independent financial and functional audit for funds and operations under this Agreement if it determines that such an audit is warranted or desired.

C. Upon completion of the audit under the applicable federal and state statutes and regulations, the Contractor shall notify the HSD when the audit is available for review and provide online access to the HSD, or the Contractor shall provide the HSD with four (4) originals of the audit report. The HSD will retain two (2) and one (1) will be sent to the HSD/Office of the Inspector General and one (1) to the HSD/Administrative Services Division/Compliance Bureau.

D. Within thirty (30) days thereafter, or as otherwise determined by the HSD in writing, the Contractor shall provide the HSD with a response indicating the status of each of the exceptions or findings in the said audit report. If either the exceptions or findings in the audit are not resolved within thirty (30) days, the HSD has the right to reduce funding, terminate this Agreement, and/or recommend decertification in compliance with state and/or federal regulations governing such action.

E. This audit shall contain the Schedule of Expenditures of Federal Awards for each program to facilitate ease of reconciliation by the HSD. This audit shall also include a review of the schedule of depreciation for all property or equipment with a purchase price of $5,000 or more pursuant to OMB Circulars A-21, A-87, A-110, A-122 and A-133 where appropriate.

F. This audit shall include a report on compliance with requirements applicable to each major program and internal control over compliance in accordance with OMB Circulars A-21, A-87, A-110, A-122 and A-133 where appropriate.

ARTICLE 25 - AMENDMENT

A. This Agreement shall not be altered, changed, or amended except by an instrument in writing executed by the Parties hereto. No amendment shall be effective or binding unless approved by all of the approval authorities. Amendments are required for the following:

1. Deliverable requirements, as outlined in Exhibit A;2. Due Date of any Deliverable, as outlined in Exhibit A;3. Compensation of any Deliverable, as outlined in Exhibit A;4. Agreement Compensation, as outlined in Article 3; or5. Agreement termination, as outlined in Article 5.

B. If the HSD proposes an amendment to the Agreement to unilaterally reduce funding due to budget or other considerations, the Contractor shall, within thirty (30) days of receipt of the proposed Amendment, have the option to terminate the Agreement, pursuant to the termination provisions contained herein, or to agree to the reduced funding.

ARTICLE 26 – NEW MEXICO EMPLOYEES HEALTH COVERAGE

A. If Contractor has, or grows to, six (6) or more employees who work, or who are expected to work, an average of at least 20 hours per week over a six (6) month period during the term of the contract, Contractor certifies, by signing this agreement, to have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those employees if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed $250,000 dollars.

B. Contractor agrees to maintain a record of the number of employees who have (a) accepted health insurance; (b) declined health insurance due to other health insurance coverage already in place; or (c) declined health insurance for other reasons. These records are subject to review and audit by a representative of the state.

C. Contractor agrees to advise all employees of the availability of State publicly financed health care coverage programs by providing each employee with, as a minimum, the following web site link to additional information: http://insurenewmexico.state.nm.us/.

D. For Indefinite Quantity, Indefinite Delivery contracts (state price agreements without specific limitations on quantity and providing for an indeterminate number of orders to be placed against it); Contractor agrees these requirements shall

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apply the first day of the second month after the Contractor reports combined sales (from state and, if applicable, from local public bodies if from a state price agreement) of $250,000.

ARTICLE 27 – NEW MEXICO EMPLOYEES PAY EQUITY REPORTING

A. The Contractor agrees if it has ten (10) or more New Mexico employees OR eight (8) or more employees in the same job classification, at any time during the term of this Agreement, to complete and submit the PE10-249 form on the annual anniversary of the initial report submittal for Agreements up to one (1) year in duration. If Contractor has (250) or more employees Contractor must complete and submit the PE250 form on the annual anniversary of the initial report submittal for Agreements up to one (1) year in duration. For Agreements that extend beyond one (1) calendar year, or are extended beyond one (1) calendar year, Contractor also agrees to complete and submit the PE10-249 or PE250 form, whichever is applicable, within thirty (30) days of the annual Agreements anniversary date of the initial submittal date or, if more than 180 days has elapsed since submittal of the last report, at the completion of the Agreements, whichever comes first. Should Contractor not meet the size requirement for reporting as of the effective date of this Agreement but subsequently grows such that they meet or exceed the size requirement for reporting, Contractor agrees to provide the required report within ninety (90) days) of meeting or exceeding the size requirement. That submittal date shall serve as the basis for submittals required thereafter.

B. Contractor also agrees to levy this requirement on any subcontractor(s) performing more than ten percent (10%) of the dollar value of this Agreement if said subcontractor(s) meets, or grows to meet, the stated employee size thresholds during the term of this Agreement. Contractor further agrees that, should one or more subcontractor not meet the size requirement for reporting as of the effective date of this Agreement but subsequently grows such that they meet or exceed the size requirement for reporting, Contractor will submit the required report, for each such subcontractor, within ninety (90) calendar days of that subcontractor meeting or exceeding the size requirement. Subsequent report submittals, on behalf of each such subcontractor, shall be due on the annual anniversary of the initial report submittal. Contractor shall submit the required form(s) to the State Purchasing Division of the General Services Department, and other departments as may be determined, on behalf of the applicable subcontractor(s) in accordance with the schedule contained in this paragraph. Contractor acknowledges that this subcontractor requirement applies even though Contractor itself may not meet the size requirement for reporting and be required to report itself.

C. Notwithstanding the foregoing, if this Agreement was procured pursuant to a solicitation, and if Contractor has already submitted the required report accompanying their response to such solicitation, the report does not need to be re-submitted with this Agreement.

ARTICLE 2 8 – MERGER, SCOPE, ORDER OF PRECEDENCE

A. Severable. The provisions of this Agreement are severable, and if for any reason, a clause, sentence or paragraph of this Agreement is determined to be invalid by a court or agency or commission having jurisdiction over the subject matter hereof, such invalidity shall not affect other provisions of this Agreement, which can be given effect without the invalid provision.

B. Merger/Scope/Order. This Agreement incorporates any and all agreements, covenants and understandings between the Parties concerning the subject matter hereof, and all such agreements, covenants and understanding have been merged into this Agreement. No prior agreement or understanding, verbal or otherwise, of the Parties or their agents or assignees shall be valid or enforceable unless embodied in this Agreement.

ARTICLE 2 9 – NOTICES

All deliveries, notices, requests, demands or other communications provided for or required by this Agreement shall be in writing and shall be deemed to have been given when sent by registered or certified mail (return receipt requested), when sent by overnight carrier, or upon telephone confirmation by Contractor to the sender of receipt of a facsimile communication that is followed by a mailed hard copy from the sender. Notices shall be addressed as follows:

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For PROCURING AGENCY[Insert: Procuring Agency Name of Individual, Position

Procuring Agency Name Mailing Address,

Telephone Number,E-mail Mailing Address.]

For CONTRACTOR[Company Name,

Insert Name of Individual, Position,Company Name,Mailing Address,

Telephone Number,E-mail Address.]

Any change to the Notice individual or the address, shall be effective only in writing.

ARTICLE 30 – GENERAL PROVISIONS

A. The Contractor agrees to abide by all federal and state laws and rules and regulations, and executive orders of the Governor of the State of New Mexico, including but not limited to: 1. Civil and Criminal Penalties. The Procurement Code, Sections 13-1-28 through 13-1-199 NMSA 1978,

imposes civil and criminal penalties for its violation. In addition, the New Mexico criminal statutes impose felony penalties for illegal bribes, gratuities and kickbacks.

2. Equal Opportunity Compliance. The Contractor agrees to abide by all federal and state laws and rules and regulations, and executive orders of the Governor of the State of New Mexico, pertaining to equal employment opportunity. In accordance with all such laws of the State of New Mexico, the Contractor agrees to assure that no person in the United States shall, on the grounds of race, religion, color, national origin, ancestry, sex, age, physical or mental handicap, serious medical condition, spousal affiliation, sexual orientation or gender identity, be excluded from employment with or participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity performed under this Agreement. If Contractor is found not to be in compliance with these requirements during the life of this Agreement, Contractor agrees to take appropriate steps to correct these deficiencies.

3. Workers Compensation . The Contractor agrees to comply with state laws and rules applicable to workers compensation benefits for its employees. If the Contractor fails to comply with the Workers Compensation Act and applicable rules when required to do so, this Agreement may be terminated by the Procuring Agency.

B. Applicable Law. The laws of the State of New Mexico shall govern this Agreement. Venue shall be proper only in a New Mexico court of competent jurisdiction in accordance with Section 38-3-1 (G) NMSA 1978. By execution of this Agreement, Contractor acknowledges and agrees to the jurisdiction of the courts of the State of New Mexico over any and all such lawsuits arising under or out of any term of this Agreement.

C. Waiver. A party's failure to require strict performance of any provision of this Agreement shall not waive or diminish that party's right thereafter to demand strict compliance with that or any other provision. No waiver by a party of any of its rights under this Agreement shall be effective unless expressed and in writing, and no effective waiver by a party of any of its rights shall be effective to waive any other rights.

D. Headings . Any and all headings herein are inserted only for convenience and ease of reference and are not to be considered in the construction or interpretation of any provision of this Agreement. Numbered or lettered provisions, sections and subsections contained herein, refer only to provisions, sections and subsections of this Agreement unless otherwise expressly stated.

ARTICLE 31 - SURVIVAL

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The Articles entitled Intellectual Property, Intellectual Property Indemnification, Confidentiality, and Warranties shall survive the expiration or termination of this Agreement. Software License and Software Escrow agreements entered into in conjunction with this Agreement shall survive the expiration or termination of this Agreement. Other unexpired agreements, promises, or warranties that will survive the termination of this Agreement are: (list here)

ARTICLE 32 - TIME

Calculation of Time. Any time period herein calculated by reference to "days" means calendar days, unless Business Days are used; provided, however, that if the last day for a given act falls on a Saturday, Sunday, or a holiday as observed by the State of New Mexico, the day for such act shall be the first day following that is not a Saturday, Sunday, or such observed holiday.

ARTICLE 33 – FORCE MAJEURE

Neither party shall be liable in damages or have any right to terminate this Agreement for any delay or Default in performing hereunder if such delay or Default is caused by conditions beyond its control including, but not limited to Acts of God, Government restrictions (including the denial or cancellation of any export or other necessary license), wars, insurrections and/or any other cause beyond the reasonable control of the party whose performance is affected.

ARTICLE 34 – DEBARMENT AND SUSPENSION and OTHER RESPONSIBILITY MATTERS

Consistent with either 7 C.F.R. Part 3017 or 45 C.F.R. Part 76, as applicable, and as a separate and independent requirement of this Agreement the Contractor certifies by signing this Agreement, that it and its principals, to the best of its knowledge and belief: (1) are not debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal department or agency; (2) have not, within a three-year period preceding the effective date of this Agreement, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; (3) have not been indicted for, or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with, commission of any of the offenses enumerated above in this Paragraph A; (4) have not, within a three-year period preceding the effective date of this Agreement, had one or more public agreements or transactions (Federal, State or local) terminated for cause or default; and (5) have not been excluded from participation from Medicare, Medicaid or other federal health care programs pursuant to Title XI of the Social Security Act, 42 U.S.C. § 1320a-7.

The Contractor’s certification in Paragraph A, above, is a material representation of fact upon which the Procuring Agency relied when this Agreement was entered into by the parties. The Contractor’s certification in Paragraph A, above, shall be a continuing term or condition of this Agreement. As such at all times during the performance of this Agreement, the Contractor must be capable of making the certification required in Paragraph A, above, as if on the date of making such new certification the Contractor was then executing this Agreement for the first time. Accordingly, the following requirements shall be read so as to apply to the original certification of the Contractor in Paragraph A, above, or to any new certification the Contractor is required to be capable of making as stated in the preceding sentence:

The Contractor shall provide immediate written notice to Procuring Agency’s Project Manager if, at any time during the term of this Agreement, the Contractor learns that its certification in Paragraph A, above, was erroneous on the effective date of this Agreement or has become erroneous by reason of new or changed circumstances.

If it is later determined that the Contractor’s certification in Paragraph A, above, was erroneous on the effective date of this Agreement or has become erroneous by reason of new or changed circumstances, in addition to other remedies available to Procuring Agency, Procuring Agency may terminate the Agreement.

As required by statute, regulation or requirement of this contract, and as contained in Paragraph A, above, Contractor shall require each proposed first-tier sub-contractor whose subcontract will equal or exceed $25,000, to disclose to the Contractor, in writing, whether as of the time of award of the subcontract, the sub-contractor, or its principals, is or is not debarred, suspended, or proposed for debarment by any Federal department or agency. The Contractor shall make such disclosures available to the

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Procuring Agency when it requests sub-contractor approval from the Procuring Agency. If the sub-contractor, or its principals, is debarred, suspended, or proposed for debarment by any Federal, state or local department or agency, the Procuring Agency may refuse to approve the use of the sub-contractor.

ARTICLE 35 – CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS

The applicable definitions and exceptions to prohibited conduct and disclosures contained in 31 U.S.C. § 1352 and 45 C.F.R. Part 93 or Subparts B and C of 7 C.F.R. Part 3018, as applicable, are hereby incorporated by reference in subparagraph (B) of this certification.

The Contractor, by executing this Agreement, certifies to the best of its knowledge and belief that:

No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement; andIf any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with this solicitation, the offeror shall complete and submit, with its offer, OMB standard form LLL, Disclosure of Lobbying Activities, to the Contracting Officer.

The Contractor shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance is placed when this Agreement is made and entered into. Submission of this certification is a prerequisite for making and entering into this Agreement imposed under 31 U.S.C. § 1352. It shall be a material obligation of the Contractor to keep this certification current as to any and all individuals or activities of anyone associated with the Contractor during the pendency of this Agreement Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to: (1) a civil penalty of not less than $10,000 and not more than $100,000 for such failure; and/or (2) at the discretion of the Procuring Agency, termination of the Agreement.

ARTICLE 36 – NON–DISCRIMINATION

The Contractor agrees to comply fully with Title IV of the Civil Rights Act of 1964, as amended; the Rehabilitation Act of 1973, Public Law 93-112, as amended; and the Americans With Disabilities Act of 1990, Public Law 101-336; in that there shall be no discrimination against any employee who is employed in the performance of this Agreement, or against any applicant for such employment, because of age, color, national origin, ancestry, race, religion, creed, disability, sex, or marital status.

This provision shall include, but not be limited to, the following: employment, promotion, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training including apprenticeship.

The Contractor agrees that no qualified handicapped person shall, on the basis of handicap, be excluded from participation or be denied the benefits of, or otherwise be subjected to discrimination under any program or activity of the Contractor. The Contractor further agrees to insert similar provisions in all subcontracts for services allowed under this Agreement under any program or activity.

The Contractor agrees to provide meaningful access to services for individuals with Limited English Proficiency (LEP) in accordance with Executive Order 13166, “Improving Access to Services for Persons with Limited English Proficiency.”

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ARTICLE 37 – DRUG FREE WORKPLACE

Definitions . As used in this paragraph— “Controlled substance” means a controlled substance in schedules I through V of section 202 of the Controlled Substances

Act, 21 U.S.C § 812, and as further defined in regulation at 21 CFR §§ 1308.11 - 1308.15. “Conviction” means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial

body charged with the responsibility to determine violations of the Federal or State criminal drug statutes. “Criminal drug statute” means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing,

possession, or use of any controlled substance. “Drug-free workplace” means the site(s) for the performance of work done by the Contractor in connection with a specific

contract where employees of the Contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance.

“Employee” means an employee of a Contractor directly engaged in the performance of work under a Government contract. “Directly engaged” is defined to include all direct cost employees and any other Contractor employee who has other than a minimal impact or involvement in contract performance.

“Individual” means an offeror/contractor that has no more than one employee including the offeror/contractor.

The Contractor, if other than an individual, shall:

Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Contractor’s workplace and specifying the actions that will be taken against employees for violations of such prohibition; Establish an ongoing drug-free awareness program to inform such employees about:The dangers of drug abuse in the workplace;The Contractor’s policy of maintaining a drug-free workplace:Any available drug counseling, rehabilitation, and employee assistance programs; and The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph B.(1);Notify such employees in writing in the statement required by subparagraph (B)(1) of this clause that, as a condition of continued employment on this contract, the employee will:Abide by the terms of the statement; and Notify the employer in writing of the employee’s conviction under a criminal drug statute for a violation occurring in the workplace no later than 5 days after such conviction;Notify the Procuring Agency Project Manager in writing within 10 days after receiving notice under (B) (4) (ii) of this paragraph, from an employee or otherwise receiving actual notice of such conviction. The notice shall include the position title of the employee; Within 30 days after receiving notice under B.(4)(ii) of this paragraph of a conviction, take one of the following actions with respect to any employee who is convicted of a drug abuse violation occurring in the workplace: Taking appropriate personnel action against such employee, up to and including termination; or Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; andMake a good faith effort to maintain a drug-free workplace through implementation of B. (1) through B. (6) of this paragraph.

The Contractor, if an individual, agrees by entering into this Agreement not to engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance while performing this contract.

In addition to other remedies available to the Procuring Agency, the Contractor’s failure to comply with the requirements of subparagraph B or C of this paragraph will render the Contractor in default of this Agreement and subject the Contractor to suspension of payments under the Agreement and/or termination of the Agreement in accordance with paragraph 4, above.

ARTICLE 38 – FINDINGS AND SANCTIONS

The Contractor agrees to be subject to the findings and sanctions assessed as a result of the HSD audits, federal audits, and disallowances of the services provided pursuant to this PSC and the administration thereof.

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The Contractor will make repayment of any funds expended by the HSD, subject to which an auditor with the jurisdiction and authority finds were expended, or to which appropriate federal funding agencies take exception and so request reimbursement through a disallowance or deferral based upon the acts or omissions of the Contractor that violate applicable federal statues and/or regulations, subject to sufficient appropriations of the New Mexico Legislature.

If the HSD becomes aware of circumstances that might jeopardize continued federal funding, the situation shall be reviewed and reconciled by a mutually agreed upon panel of Contractor and the HSD officials. If reconciliation is not possible, both parties shall present their view to the Director of the Administrative Services Division who shall determine whether continued payment shall be made.ARTICLE 39 – PERFORMANCE

All incidents resulting in the wrongful disclosure of PII must be reported to the Procuring Agency. In addition to the self-certification and evaluation requirements, the Contractor shall notify the Procuring Agency of any instances of security breach issues or non-compliance promptly upon their discovery, but no later than one (1) Business Day after such determination of a PII Breach has been made. Notification shall include a description of the security/non-compliance issue and corrective action planned and/or taken. At the Contractor’s expense, the Contractor shall notify all individuals potentially affected by a PII Breach. The Contractor must provide the Procuring Agency with a summary of a corrective action plan to provide any necessary safeguards to protect PII from security breaches or non-compliance discoveries. The corrective action plan must contain a long term solution to possible future privacy or security threats to PII. In addition to the corrective action, the Contractor must provide daily updates as to the progress of all corrective measures taken until the correction action plan is resolved. The Contractor shall be responsible for all costs of implementing the corrective action plan. For the purposes of the requirements above, (1) “PII” or personally identifiable information as used in U.S. privacy law and information security, is information that can be used on its own or with other information to identify, contact, or locate a single person, or to identify an individual in context and (2) “PII Breach” shall mean a loss of PII control amounting to actual or potential or temporary compromise, including: unauthorized acquisition or access; or any similar situation involving unauthorized use through inappropriate PII access, potential or confirmed; regardless of format whether physical (e.g., paper) or electronic.

[CHOICE #1 - If the Agreement is based on processing data.] In performance of this contract, the Contractor agrees to comply with and assume responsibility for compliance by his or her employees with the following requirements:

All work will be performed under the supervision of the Contractor or the Contractor's responsible employees.

Any Federal tax returns or return information (hereafter referred to as returns or return information) made available shall be used only for the purpose of carrying out the provisions of this contract. Information contained in such material shall be treated as confidential and will not be divulged or made known in any manner to any person except as may be necessary in the performance of this contract. Inspection by or disclosure to anyone other than an officer or employee of the Contractor is prohibited.

All returns and return information will be accounted for upon receipt and properly stored before, during, and after processing. In additional, all related output will be given the same level of protection as required for the source material.

The Contractor certifies that the data processed during the performance of this contract will be completely purged from all data storage components of his or her computer facility, and no output will be retained by the Contractor at the time the work is completed. If immediate purging of all data storage components is not possible, the contractor certifies that any IRS data remaining in any storage component will be safeguarded to prevent unauthorized disclosures.

Any spoilage or any intermediate hard copy printout that may result during the processing of IRS data will be given to the Procuring Agency or his or her designee. When this is not possible, the Contractor will be responsible for the destruction of the spoilage or any intermediate hard copy printouts, and will provide the agency or his or her designee with a statement containing the date of destruction, description of material destroyed, and the method used.

All computer systems receiving, processing, storing, or transmitting Federal tax information must meet the requirements defined in IRS Publication 1075. To meet functional and assurance requirements, the security features of the environment must provide for the managerial, operational, and technical controls. All security features must be available and activated to protect against unauthorized use of and access to Federal tax information.

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No work involving Federal tax information furnished under this contract will be subcontracted without prior written approval of the IRS.

The Contractor will maintain a list of employees authorized access. Such list will be provided to the Procuring Agency and, upon request, to the IRS reviewing office.

The Procuring Agency will have the right to void the contract if the Contractor fails to provide the safeguards described above. [CHOICE #2- If the Agreement is based on performing professional services.] In performance of this contract, the Contractor agrees to comply with and assume responsibility for compliance by his or her employees with the following requirements:

All work will be performed under the supervision of the contractor or the contractor's responsible employees.

Any Federal tax returns or return information (hereafter referred to as returns or return information) made available shall be used only for the purpose of carrying out the provisions of this contract. Information contained in such material shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of this contract. Inspection by or disclosure to anyone other than an officer or employee of the contractor is prohibited.

All returns and return information will be accounted for upon receipt and properly stored before, during, and after processing. In addition, all related output and products will be given the same level of protection as required for the source material.

No work involving returns and return information furnished under this contract will be subcontracted without prior written approval of the IRS.

The contractor will maintain a list of employees authorized access. Such list will be provided to the agency and, upon request, to the IRS reviewing office.

The agency will have the right to void the contract if the contractor fails to provide the safeguards described above.

ARTICLE 40 – CRIMINAL/CIVIL SANCTIONS

Each officer or employee of Contractor to whom returns or return information is or may be disclosed shall be notified in writing by Contractor that returns or return information disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such returns or return information for a purpose or to an extent unauthorized herein constitutes a felony punishable upon conviction by a fine of as much as $5,000 or imprisonment for as long as five years, or both, together with the costs of prosecution. Contractor shall also notify each such officer and employee that any such unauthorized future disclosure of returns or return information may also result in an award of civil damages against the officer or employee in an amount not less than $1,000 with respect to each instance of unauthorized disclosure. These penalties are prescribed by Internal Revenue Code (IRC) Sections 7213 and 7431 and set forth at 26 CFR 301.6103(n)-1.

Each officer or employee of Contractor to whom returns or return information is or may be disclosed shall be notified in writing by Contractor that any return or return information made available in any format shall be used only for the purpose of carrying out the provisions of this contract. Information contained in such material shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of this contract. Inspection by or disclosure to anyone without an official need to know constitutes a criminal misdemeanor punishable upon conviction by a fine of as much as $1,000.00 or imprisonment for as long as 1 year, or both, together with the costs of prosecution. Contractor shall also notify each such officer and employee that any such unauthorized inspection or disclosure of returns or return information may also result in an award of civil damages against the officer or employee in an amount equal to the sum of the greater of $1,000.00 for each act of unauthorized inspection or disclosure with respect to which such defendant is found liable or the sum of the actual damages sustained by the plaintiff as a result of such unauthorized inspection or disclosure plus in the case of a willful inspection or disclosure which is the result of gross negligence, punitive damages, plus the costs of the action. The penalties are prescribed by IRC Sections 7213A and 7431.

Additionally, it is incumbent upon Contractor to inform its officers and employees of the penalties for improper disclosure imposed by the Privacy Act of 1974, 5 U.S.C.552a. Specifically, 5 U.S.C. 552a(i)(1), which is made applicable to contractors by 5 U.S.C. 552a(m)(1), provides that any officer or employee of a contractor, who by virtue of his/her employment or official position, has

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possession of or access to Procuring Agency records which contain individually identifiable information, the disclosure of which is prohibited by the Privacy Act or regulations established thereunder, and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person not entitled to receive it, shall be guilty of a misdemeanor and fined not more than $5,000.

Contractor agrees that granting access to Federal Tax Information (FTI) must be preceded by certifying that each individual understands the Procuring Agency’s applicable security policy and procedures for safeguarding IRS information. Contractors must maintain their authorization to access FTI through annual recertification. The initial certification and recertification must be documented and placed in the Procuring Agency’s files for review. As part of the certification and at least annually afterwards, Contractor will be advised of the provisions of IRC Sections 7431, 7213, and 7213A (see Exhibit 6, IRC Sec. 7431 Civil Damages for Unauthorized Disclosure of Returns and Return Information and Exhibit 5, IRC Sec. 7213 Unauthorized Disclosure of Information). The training provided before the initial certification and annually thereafter will also cover the incident response policy and procedure for reporting unauthorized disclosures and data breaches. (See Section 10 of IRS Publication 1075) For both the initial certification and the annual certification, the Contractor must sign, either with ink or electronic signature, a confidentiality statement certifying its understanding of the Procuring Agency’s security requirements.

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ARTICLE 41 – INSPECTION

The IRS and the Procuring Agency shall have the right to send its officers and employees into the offices and plants of the contractor for inspection of the facilities and operations provided for the performance of any work under this contract. On the basis of such inspection, specific measures may be required in cases where the contractor is found to be noncompliant with contract safeguards.

ARTICLE 42 – CONTRACTOR’S RESPONSIBILITY FOR COMPLIANCE WITH LAWS AND REGULATIONS

The Contractor is responsible for compliance with applicable laws, regulations, and administrative rules that govern the Contractor’s performance of the Scope of Work of this Agreement and Exhibit A, including but not limited to, applicable State and Federal tax laws, State and Federal employment laws, State and Federal regulatory requirements and licensing provisions.

The Contractor is responsible for causing each of its employees, agents or subcontractors who provide services under this Agreement to be properly licensed, certified, and/or have proper permits to perform any activity related to the Scope of Work of this Agreement and Exhibit A.

ARTICLE 43 – CONTRACTOR’S RESPONSIBILITY FOR COMPLIANCE WITH LAWS AND REGULATIONS RELATING TO INFORMATION SECURITY

The Contractor and all its subcontractors, consultants, or agents performing the Services under this Agreement must comply with the following standards insofar as they apply to Contractor’s processing or storage of Procuring Agency’s data:

The Federal Information Security Management Act of 2002 (FISMA);The Health Insurance Portability and Accountability Act of 1996 (HIPAA);The Health Information Technology for Technology for Economic and Clinical Health Act (HITECH Act);IRS Publication 1075 – Tax Information Security Guidelines for Federal, State and Local Agencies to include any Service Level Agreement requirements; Social Security Administration (SSA) Office of Systems Security Operations Management Guidelines insofar as they relate to Procuring Agency guidance related to the protection and security of applicable SSA provided data;NMAC 1.12.20, et seq.

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IN WITNESS WHEREOF, the Parties have executed this Agreement as of the date of the signature by the required approval authorities below:

By: ________________________________________________ Date: ____________Sidonie Squier Secretary Human Services Department

By: ________________________________________________ Date: ____________Insert Name of Authorized Person to sign for Contractor

By: ________________________________________________ Date: ____________Danny Sandoval, HSD Chief Financial Officer

By: ________________________________________________ Date: ____________Sean Pearson, HSD Chief Information Officer

Approved for legal sufficiency:

By: ________________________________________________ Date: ____________Christopher P. Collins, HSD General Counsel

The records of the Taxation and Revenue Department reflect that the Contractor is registered with the NM Taxation and Revenue Department to pay gross receipts and compensating taxes:

CRS ID Number: ___________________________

By: ________________________________________________ Date: ____________Tax and Revenue Department Representative

Approved as to information technology contractual specifications and compliance with the Department of Information Technology Act, Chapter 9, Article 27 NMSA 1978 and Executive Orders relating to Information Technology issued by the Governor of the State of New Mexico.

By: ______________________________________________ Date: ____________Darryl Ackley, State CIO, Secretary DoIT

This Agreement has been approved by the State Purchasing Agent:

By: ____________________________________ Date: _________Lawrence Maxwell, State Purchasing Agent

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EXHIBIT A – SCOPE OF WORK

Purpose of this Agreement:

The purpose of this agreement is to provide the State of New Mexico Human Services Department with maintenance and operations support for its ASPEN Eligibility System. It requires the contractor to provide a mix of software, hardware, network, security, change management, and other onsite maintenance and support for operation of the NM ASPEN Eligibility System.

Performance Measures:

[Under the Accountability in Government Act, the LFC evaluates agency performance based on consistency with the agency strategic plan. Agency strategic plans are divided into Mission, Goals, Tasks, and Activities. This section follows the same format to clarify how this agreement supports the agency plan.

DOIT has indicated it requires performance measures of the contractor. These should be included here as well.

Currently, FY 13, the HSD Strategic Plan has one goal and one task for general IT expenditures:

Goal 5: Improve Administrative Effectiveness and Simplicity

Task 5.2: Upgrade, and/or replace IT systems for improved simplicity and better efficiencies

Activities.

[Insert general overall activities related to this agreement. They should be broad enough to cover potential discrepancies between expected outcomes and actual deliverables listed in the statement of work below.]

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Deliverables

The following sections describe the required tasks and subtasks to be performed by the Contractor for each Deliverable under the terms of this Agreement. The Contractor must perform each task and/or subtask, but is not limited to performing only the identified task or sub tasks in a given project area. The Parties hereby agree that the Deliverable(s) are the controlling items and that the Contractor’s obligation is to perform and deliver the Deliverable as described in the following sections. [Deliverable samples provided are only samples; the Procuring Agency is to add Deliverables that represent the work that needs to be performed and are traceable by the Procuring Agency. The Procuring Agencies may identify as many Deliverables, with associated tasks and subtasks, as are needed to accomplish the Project goals, objectives, and activities.]

Sample For General Professional IT Service ContractsUse the following section as a guide for contracts that require Support Services.

A. Sample Deliverable Number 1 [Insert Name of Deliverable]

Deliverable Name Due Date Compensation

[Insert Name of Deliverable] [Insert Date this Deliverable is due]

[Insert Total $ Amount][Insert Amount less GRT, if applicable][Insert $ Amount less retainage, if applicable]

Task Item Sub Tasks Description

[Insert Name of Task or tasks to be performed for each Deliverable.

Sub 1 (through however many subtasks are needed to accomplish Task 1 which leads to the number of Tasks needed to accomplish Deliverable 1.

[Insert Description] Please use active verbs to identify tasks and subtasks to be performed by the vendor.The due dates for the tasks and/or subtasks should be included as a means of assisting the Procuring Agency and Contractor to monitor contract progress.Compensation amounts for tasks and/or subtasks can be identified here. The total amount paid for all tasks and/or subtasks performed under this Deliverable should be consistent with the Compensation due for total delivery of the Deliverable.The Contractor will bill the Procuring Agency per Deliverable; clear and well defined language will assist the Procuring Agency and Contractor in determining if the Deliverable is met for payment purposes.

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2.2 APPENDIX 2-B Functional Specifications

The technical specifications in this section are current as of publication of this RFP.

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ASPEN Maintenance & Operations Functional Requirements Matrix and Tables

Table of Contents

A APPLICATION MAINTENANCE AND SUPPORT ACTIVITIES A.1 Enhancements and Ongoing Application Maintenance and SupportA.2 Incident Resolution and Help Desk SupportA.3 Break FixesA.4 Batch ManagementA.5 Reports AssessmentA.6 Annual Maintenance ActivitiesA.7 Status ReportingA.8 Staffing and Functional areas

B RELEASE PLANNING AND MANAGEMENT B.1 Release Frequency and SchedulingB.2 Support for Special EnvironmentsB.3 Configuration of Development Tools for Special ReleasesB.4 Process for Release Planning and management

Note: Line numbers are included to aid in referencing line items.

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1. APPLICATION MAINTENANCE AND SUPPORT ACTIVITIES

2. A.1. Enhancements and ongoing Application Maintenance and Support

3. The Contractor shall proactively monitor for ASPEN functional and technical issues and report them to the designated HSD management within 15 minutes of identification.

X

4. The Contractor shall follow the State’s current release management process, working closely with the State to scope and manage items for scheduled and immediate releases that are essential to maintain, support and enhance ASPEN.

X X

5. The Contractor shall follow the State’s current ASPEN code and data standards and structure, and perform proper unit testing, QA review, integration and QA testing to deliver high quality release items.

X X

6. The Contractor shall respond to and comply with HSD’s direction and timeline for remediation of problems and incidents. ASPEN will continue to change in reaction to business needs, and federal and state legislative mandates and new enhancements will be added through the application maintenance process.

X

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7. The Contractor must provide maintenance processes that support the implementation of enhancements without disrupting the day-to-day operations of ASPEN. Regular maintenance tasks shall be supported based on federal and state legislative mandates.

X X

8. The Contractor shall respond to and comply with HSD’s direction and timeline for enhancements. X

9. The Contractor shall monitor and support the online environment during hours of online availability (Monday-Saturday 7:00am-7:00pm), including weekends and on-call after hours, by proactively diagnosing, resolving, and reporting the status of the issues to the State.

X

10. The Contractor shall provide immediate support for critical production incidents through various escalation sources. These include making an immediate phone call to key stakeholders, when required, collecting the incident information and durations from sources such as error logs, and help desk staff, and then reporting to the State to provide a holistic view of the interruptions and the overall user experience of the ASPEN application.

X

11. The Contractor shall provide ongoing production application support in two key areas – technical services and managerial services. The technical services role covers areas of issue monitoring, identification, analysis, and resolution; while the managerial services role covers escalation, reporting, and communications required independent of the system issue.

X

12. The Contractor shall work with the State to identify problems, develop a corrective action plan to prioritize resolution activities, take the needed actions to resolve issues, and review the status and outcome.

X

13. The production environment shall be operational Monday-Saturday 7:00am-7:00pm, with minimal planned downtime at any time requested by the Contractor for system maintenance and upgrades. Additionally, some data is required to be available 24/7/365 for query only.

X

14. The Contractor shall proactively identify any issues within the production application environment during hours of online availability. X

15. The Contractor shall actively monitor the production environment and application error logs. X

16. The Contractor shall monitor help desk incident trends, to identify issues that may be affecting users in the production environment. During analysis, the Contractor shall research potential system problems. They shall identify anomalies, and work closely with the State to investigate the issue.

X

17. When a potential system problem is discovered, the Contractor shall conduct research to minimize system impact and improve the stability and accuracy of the ASPEN application.

X

18. The Contractor shall communicate a detailed status to State Management within 15 minutes. Collaboration is crucial during this early stage to confirm that the appropriate staff and management are aware of the issue and engaged to facilitate the proper resolution and communication to the field workers.

X

19. Upon notification of the potential or immediate problem, The Contractor shall provide a detailed analysis and communicate an appropriate corrective action plan to the State. This communication includes a description of the problem, the expected impact on operational functions, a corrective action plan, and the expected time of problem

X

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resolution. In addition to communicating via emails, for any critical issues such as those that impact a large user base of ASPEN, or affect a population of client benefits, State Management shall be notified directly with a phone call.

20. Once the Contractor determines an appropriate resolution, they shall use the same communication channel to notify State staff of the proposed issue resolution. In the event of an incident that requires external agency involvement, the Contractor shall communicate and escalate with that agency through the HSD primary contact for that agency from the State team.

X

21. The Contractor shall make software changes and enhancements using a methodology to be approved by HSD to seamlessly implement change requests, enhancements, and strategic incremental renewal solutions to the ASPEN system, working in close collaboration with the State. For the maintenance tasks, which are included as part of a regular scheduled release, the Contractor shall leverage the aforementioned process approved by the State. This process will follow phases of the SDLC which include:

Initiation and Planning Requirements Gathering and Validation Functional Design Construction Testing Implementation

X X

22. The Contractor shall work with HSD to define the scope of a release, considering factors that include criticality of the fix, impact to business users and clients, available resources, and effort level.

X

23. The Contractor shall work with HSD to identify the necessary stakeholders for inclusion in the requirements gathering process, Following a methodology to be approved by HSD, the requirements gathering process shall at a minimum include:

Joint Application Design (JAD) sessions Stakeholder interviews Prototyping

X

24. During requirements gathering and validation, the Contractor shall elicit business needs from HSD stakeholders and shall document functional and system requirements. The Contractor shall request the necessary Federal agencies or business partners in the requirements sessions to confirm that all stakeholders’ concerns are addressed. Contractor shall assure all requirements gathered are approved by the HSD.

X

25. The Contractor shall identify, review and validate the business needs for proposed changes and maintenance tasks to the application. The Contractor shall provide experienced resources with extensive knowledge of the functional areas of ASPEN to coordinate and facilitate the requirements sessions.

X X

26. Requirements sessions shall be organized and led by the Contractor, and shall arrange participation of HSD user representatives (policy and business subject matter experts), and ITD representatives as required.

X X

27. Throughout the requirements sessions, the Contractor shall conduct detailed systems analysis and document:

The goals and objectives for the initiative

X

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All requirements necessary to complete the proposed modifications to ASPEN

Any dependencies which need to be addressed for successful delivery of the initiative

The impact of the proposed changes on other functional and technical components of ASPEN

The impact of proposed changes on 3rd party applications or users who depend on ASPEN

The impact of proposed changes to system users and training needs28. Throughout the requirements gathering process, the Contractor shall publish meeting

minutes, which will communicate action items and any issues that may impact the ability to deliver the initiative for the scheduled release.

X

29. At the conclusion of requirements gathering and validation, the Contractor shall provide a detailed requirements document to the State for review and approval. This document serves as the basis for future steps of the system development life cycle, including design sessions, design review, development, and test scenario creation. The detailed requirements document includes the following components in addition to any other references and supporting documents:

Functional and System Requirements. This component defines the business needs identified during the requirements gathering phase of the modification initiative and the associated system modifications and technical changes proposed to address the identified business needs.Specificity. The requirements shall be documented in terms that both represent the changes stipulated by the user representatives and also can be designed and tested as stated.Use Cases. This component outlines the business processes impacted and specifies how the user interfaces with the system or any other external systems during those business processes.Testing Requirements. Documents preliminary testing requirements that need to be considered during test planning.Traceability Matrix. The Contractor shall provide a traceability matrix to map the requirements to the Uses Cases, Activity Diagrams, and Storyboards.

X

30. During this activity, The Contractor shall present the proposed functional and technical requirements. This is an opportunity for stakeholders to understand the business imperatives driving the initiative and make early assessments of additional impacts, such as modified business processes, that might stem from the initiative. The main elements of a Structured Walkthrough are: Background of the initiative Scope Functional Requirements Visual Process and/or Architecture Overview of Major Processes Known dependencies including reporting, batch, or security Implications Other important issues, action items and non-functional requirements

X X

31. The Contractor shall follow the State’s established process for creating, validating, and updating the traceability between key design, development, and testing artifacts and the requirements they realize or support.

X

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32. The Contractor shall follow HSD’s established approach for the creation, review and approval of the functional design that accurately provides all of the business functionality and meets the system requirements defined in requirements gathering phase.

X

33. The Contractor shall confirm that the functional design leverages existing application functionality, architecture, and technology wherever possible to reduce risk and reduce the time and resources required for development and testing of the modified functionality.

X

34. The Contractor shall document any known constraints that influence the design and any risks that have been identified along with recommendations to mitigate risk. X

35. The Contractor shall work with the State to identify and include the necessary subject matter experts, functional and technical resources in the functional design phase. X

36. Joint Application Design (JAD) sessions shall be conducted by a Senior System/Business Analysts to collaboratively construct a functional design that addresses each requirement of the initiative. The Contractor shall perform impact analysis to include cross-functional and downstream impacts in the design.

X

37. Using input from JAD sessions and expanding upon requirements, the Contractor shall construct a functional design that addresses each ASPEN functional area impacted by the proposed changes providing sufficient specificity for the developers to accurately implement the approved changes.

X X

38. The Contractor shall work with the State and appropriate business and technical leads to identify a data migration approach (if necessary) and high-level test conditions providing valuable inputs for subsequent phases of the system development life cycle.

X

39. The Contractor shall create Use Case documents depicting the business processes impacted by the initiative in the State’s established format which includes: Title that provides a summary description of the process covered by the Use Case Diagram that provides a pictorial view of the Actors relationship for the Use Case Actors that identify the individuals or systems that interact in the Use Case Pre-conditions required for initiating the Use Case Main Scenario describing the steps or interim processes performed by the Actors Post-conditions which document the result of the Use Case Requirement Reference to identify the ASPEN requirements satisfied by the Use

Case

X

40. The Contractor shall develop the Logical Data Model for the in-scope functionality. The Logical Data Model shall be first internally reviewed and approved by the HSD designated DBA along with the business requirements, for review and approval.

X

41. Using a screen change as an example, The Contractor shall develop screen mockups for new screens or updates existing screens. The storyboards identify the data elements on each screen and define data type and length, maps the screen fields to database elements and reference tables, and documents cross validation rules. Additionally, storyboards will be created for interfaces, reports, and correspondence.

X

42. The Contractor shall develop activity diagrams which are graphical representations of workflows, stepwise activities, and actions pertaining to the modified functionality. The process flow diagrams are used to describe the business and operational step-by-step workflows of the system.

X

43. The contractor shall document new or modified decision tables based on changes or X X

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enhancements that result in changes to the business rules.44. The Contractor shall update the requirements traceability matrix to map the

requirements to the newly created or updated Uses Cases, Activity Diagrams, and Storyboards.

X

45. The Contractor shall conduct design walkthroughs, with participation by the State as the stakeholders X

46. After review, the functional design shall be finalized and presented to HSD for approval. X X

47. The Contractor shall check Requirements and Design documents into version control and attach them to the change management software for tracking and traceability. X X

48. The Contractor shall assign resource(s) to design the application changes who are knowledgeable in the relevant functionality and also experienced in creating software designs. The Contractor shall produce a technical design document to be approved by HSD. The document will include: all functional and any technical requirements (if any), including: impact on data design and elements; visual representations of new screens, reports, etc.; an explanation of the software development activities required; system test plans; and a traceability matrix that illustrates how the requirements will be fulfilled through

the design activities and how the design activities will be tested to assure the functionality works as designed.

X X

49. The Construction phase will commence when documentation of the requirements and design for a work item are completed by the Contractor and approved by the State. The State may conditionally approve the initial construction of release items based on a partial design or other approved documents to meet critical business needs with the understanding that the final documentation will be completed by the Contractor as soon as possible.

X X

50. The Contractor shall provide knowledgeable, experienced and well trained staff to perform the activities of, and train State staff on the development phase. The Contractor shall assign these resources to approved Work Requests (WRs) using ClearQuest (CQ) or JIRA. The developers and track leads will update the status of each assigned work request throughout the development life cycle. The Project management team will utilize these WRs to track resource utilization and provide accurate status reporting to Contractor and State management. The WR will provide developers with links to supporting requirement and design documentation providing the detailed specifications to complete the work defined by the WR. NOTE: The CQ activity structure identifies required activities for each ASPEN functional area impacted by a WR. The development activities are organized by types, including code changes, database changes, reference table changes, documentation updates, and day zero data scripts. This structure groups the required development activities for each WR into a package and enforces the completion and review of each component prior to promotion from development to integration and testing environments.The Release Planning Management team will use CQ or JIRA to group WRs into scheduled releases, where similar or dependent functionality can be logically grouped for the

X X

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purposes of development, testing assignments, and code migration through the environments. The Contractor’s Senior Systems/Business Analysts will monitor WR status and, following completion of peer reviews, code reviews and quality assurance checks, promote the WR and its attached components to the appropriate test environment. The development teams of each functional area of ASPEN will be expected to produce accurate, efficient and effective software that meets the established business and technical standards and contribute to a high performing, accurate and reliable production application.

51. In addition to the activities defined below, the Contractor’s architecture technical review development team shall work closely with the Application Architecture Management stakeholders, technical testing teams and ITD technical leads and management to regularly evaluate that the processes and procedures in place are accurately documented and effective to provide maintainable, high quality software artifacts.

X X

52. Software artifacts and design documents created or modified during the development phase shall be checked into ClearCase or Bamboo, the version control softwares utilized by State. ClearCase and Bamboo provide an audit trail of the changes between code versions. .

X X

53. The Contractor’s development team shall endeavor to enhance application code reusability through modular design, maintaining the overall quality and maintainability of the application. The ASPEN framework consists of essential components routinely used by the application.

X

54. The Contractor shall identify the most commonly used components and recommend initiatives to integrate them into the framework and framework tools facilitate code reuse and improve maintainability.

X

55. The Contractor’s development teams will develop software artifacts that follow a modular design and properly leverage the ASPEN framework and existing shared code libraries in each of the application layers. Compliance with these standards and processes is critical to avoid redundant code, improve software quality, and increase the maintainability of the application.

X

56. The Contractor shall provide detailed documentation for developers’ new and modified code within the source code using the State’s established standard for JavaDoc comments. Internal code documentation shall be required regardless of the scale and effort of the development task to improve the maintainability of the application and support detailed tracking of the modifications that are made over time.

X X

57. After developing individual components, the Contractor shall assess their developers’ source code objects to determine adherence of structural code changes to coding and programming standards that are documented and approved for ASPEN. This inspection improves compliance with QA guidelines and increases code readability and maintainability.

X X

58. The Contractor shall adhere to established standards and guidelines for continuously improving the development process through the consistent use of peer reviews, automated quality assessment tools, QA reviews and code reviews. On completion of the unit test, members from the architecture support team shall review the individual code components. These code reviews verify that framework components are being re-

X X

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used where required to minimize development of redundant code. Also, as part of the code review, the Contractor’s Database specialists shall review the SQL queries used in the code to make any suggestions for improving performance of the application.

59. The Contractor shall establish and leverage a Quality Assurance team that will review design documents, conduct code reviews and confirm that application development follows established standards and processes. The Standard process and evaluation criteria for QA review and code review shall be documented and versioned so as to be verifiable and repeatable.

X X

60. The Contractor shall adhere to HSD’s standards for Development, Unit Testing, Peer review, Quality Assurance review and QA Code Review. The Contractor shall work with the State to update ASPEN standards and QA documents with an objective of improving the overall quality of the software artifacts delivered for each release.

X X

61. The Contractor shall follow the State’s established testing approach for ASPEN. X X62. The Contractor shall provide testers who have significant understanding of the ASPEN

technical and functional business logic, New Mexico policy and local office business operations, and downstream impacts to provide:

• Realistic, business-oriented scenarios• Early identification and discovery of system anomalies in lower test environments• Resolution of the majority of system issues in the early lower environment level testing

X X

63. The Contractor shall:• Communicate identified system anomalies early in the testing phase• Assure State management awareness of testing progress and issues

X X

64. The Contractor test teams shall use an automated test suite and processes that also will be used by the State which:

• Produces repeatable test scripts for regression testing• Produces clear and concise reporting of test results• Lowers deployment risk• Decreases the need for re-testing and re-development

X X

65. The Contractor shall provide resources from their testing team to participate in requirements and design sessions to understand the attributes and impacts of system changes. The Contractor shall provide the State with test plans early in the SDLC to afford sufficient review time and allowing the State staff an opportunity to provide early feedback on the expected testing process for an initiative.

X

66. The Contractor shall integrate requirements management with test planning, execution, results validation, and issue tracking that achieves the entrance and exit criteria of each test.

X X

67. The Contractor shall follow well-defined testing standards to better identify requirements and/or design issues earlier in the SDLC process, maintain requirements traceability, and provide support to ASPEN testing activities that reduce re-work and increase the stability of the release. The objective of unit testing is to exercise single units of code in isolation. Executing tests in isolation prior to integrating components removes variables and allows the validation to focus on the function of one unit of code facilitating validation of the specific change being implemented.

X

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68. Unit testing will include regression testing in order to detect potential effects on current functionality. The Contractor shall provide artifacts and exit criteria for this phase of testing.

X X

69. The Contractor’s development team shall create and execute unit test scripts as they complete components so that they fully exercise each individual component in isolation in both positive and negative test modes.

X X

70. The Contractor shall correct issues discovered in unit test with an iterative process, reassessing the unit test case. The development team shall document issues discovered in unit test in Clearquest or JIRA with problem statements, root cause, and resolutions providing insight to the State as to the types of issues found in this stage of testing.

X X

71. The Contractor shall use standard unit test checklists specific to the type of component being developed and code standards and guidelines adherence. Unit test checklists will be completed and attached to the code change activities associated with each work request in Clearquest or JIRA.

X X

72. The Contractor shall conduct a peer review in which they assign senior developers to assess code conformance to function, standards, and performance. X X

73. Before deployment to upper environments, the Contractor shall conduct quality control audits to assess completeness of the preceding tasks. Issues discovered in the quality control audit will be documented in the Work Request and resolved prior to delivery.

X X

74. The Detailed unit test conditions and results shall be documented in Clearquest or JIRA to provide traceability between unit test results, business needs, and system requirements. This Documentation will provide the steps executed, test cases used, expected results, and actual results. Once a unit of work is successfully reviewed by the code quality assurance team and functional leads, the Contractor shall build it into the QAT environment where it shall be tested based on test scenarios identified during the analysis/development phase.

X X

75. Following successful unit testing, code changes shall be promoted from the development environment to the integration environment and undergo integration testing.

X X

76. The Contractor shall conduct end to end testing of the code changes in relation to the business process and technical coordination of individual units or modules within the larger system. The integration environment’s system functionality can only be modified by approved code changes promoted from the Development environment. If integration testing is not successful, then the code changes are not promoted beyond the integration environment, this maintains the stability of the upper environments.

X X

77. The Contractor shall use Clearquest or JIRA to document testing scenarios completed during integration testing. X X

78. The Contractor shall conduct both manual and automated testing during integration testing. Manual testing shall occur as code is first integrated. Contractor testing staff shall use automated testing and continually create and update scripts into a master test suite. The Contractor shall execute this master suite for integration test needs throughout the remainder of the release.

X X

79. The Contractor shall conduct Quality Assurance (QA) testing performed in accordance with the Quality Assurance Test (QAT) Plan established for each scheduled ASPEN release. The QA Team focuses on confirming that functionality that has passed unit and integration testing shall perform correctly when subjected to user perspective and

X

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scenarios covering the end-to-end business process. This testing phase provides the first business oriented review of the application and qualifies the readiness of the release for User Acceptance Testing by the State.

80. The Contractor shall base the system testing scope on the requirements and design artifacts upon which the changes are based. The Contractor shall link requirements into cohesive test scripts that span business processes, some of which may require testing sequences that span multiple areas of functionality.

X

81. The Contractor shall create and follow a Quality Assurance Test Plan to track the progression of quality assurance testing for a release and report on the status of that testing at various points in the release.

X

82. The QA test phase validates QA response timing, performance, security, and the functional accuracy of logic and numerical calculations under normal and high-load conditions. Query and report capabilities are exercised and validated. Operating documentation is verified for completeness and accuracy.

QA test scenarios and results shall be documented in Clearquest or JIRA and linked to the Work Request and Change Implementation records, enforcing traceability to the requirements and development items for the activity. Where necessary, these scenarios shall include complex case compositions, case life cycle execution, interface validation, and case processing sequences.

X

83. The Contractor shall define and follow processes to identify, triage, and resolve issues identified during QA testing. The Contractor’s testing team shall collaborate with the State to evaluate failed test scenarios, determine the appropriate resolution, consult subject matter experts (as required for clarification), and allocate the necessary development resources to expedite issue resolution. Regression testing verifies that system modifications have not caused unintended effects and that the existing software or system components still comply with specified requirements.

X

84.The Contractor shall conduct regression testing by means of automated test scripts executed by the automated testing tool to evaluate numerous aspects of the application that may be impacted by the work requests of any given release. Issues identified during the regression testing phase shall be documented and resolved prior to the production release.

X X

85. The Contractor shall create and maintain manual test scripts when the automated tool cannot be utilized allowing common areas, such as interfaces that receive files from trading partners to be regression tested. Test scripts shall be reviewed and shared between the Contractor and State to confirm compliance with policy and business processes. The same scripts and scenarios shall be executed in all upper test environments after every build. Regression test results are communicated to the Release Planning Management committee and reported in each release status report.

X X

86. Regression testing shall be performed in the QAT environment in conjunction with system test scenarios. As the release is delivered as a baseline, grouping all system functionality related to the changes made for the release into a consolidated package

X X

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for subsequent testing phases, the success of regression tests in the QAT environment is critical to confirm that a stable build is delivered to UAT and eventually the Production environment.

87. The objective of load testing is to exercise the ASPEN application under load and stress conditions, to observe and analyze performance characteristics, and to identify load-related problems. A secondary objective of load testing is to test the system following changes to third party software, such as WebSphere, Oracle and MQ Series.

Load testing uses normal and/or high volumes of data, numbers of cases, or numbers of users to validate continuous availability of system functionality for end users.

X

88. The Contractor shall load test ASPEN applications by simulating production sized transaction volumes and mix as allowable by available environments.

The Contractor shall initiate a stress test to the ASPEN systems to measure the performance under peak load. Capacity planning shall use these stress tests as inputs into a capacity plan that helps recalibrate the ASPEN capacity model. For online load and stress testing, the caseworkers’ ASPEN usage behavior shall be simulated by recreating attributes such as simultaneous transactions by different users for the same process (e.g., running eligibility on a case), think time, number of transactions, and type of transactions processed during regular business hours.

X

89. Batch performance is critical to the overall communication of demographic and eligibility information to external partners. Many batch processes also drive the availability of online functions each day, necessary for end users to process clients’ cases. The Contractor shall perform load and stress tests on batch components by simulating mass update processes and negative action date runs as these are typically the most intensive batch schedules in ASPEN.

X

90. The Contractor shall conduct load testing of online and batch components related to a release whenever applicable. In addition, the Contractor shall, when directed by the State, conduct load testing for any changes to third party software, or system or datacenter changes by DoIT, prior to the production implementation of these changes.

X X

91. Collaboration, open communication, and knowledge sharing between State testing resources and Contractor staff shall support user acceptance testing. The Contractor’s Senior Systems/Business Analysts and testing resources shall be available to assist UAT staff in completing testing activities, reviewing scenario results, and/or addressing concerns regarding ASPEN functionality

X

92. The Contractor shall identify test cases for scenario processing and provide valuable insights gained from development and QA testing. X

93. Contractor technical staff shall collaborate closely with UAT testers and ITD technical leads to confirm release builds are migrated promptly to the UAT environment and batch jobs are executed following the production schedules to confirm the expected end-to-end functionality of each work request. As tests are completed, Contractor staff shall provide release notes and otherwise assist the State with the creation of training materials and documentation of any business process changes, to help expedite the adoption and understanding of enhanced or modified system functionality by field users following a release.

X

94. The Contractor team shall use the process defined below for all issues requiring X X

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immediate release. The Contractor shall analyze the reported issues/changes to determine the scope, the impact to the ASPEN, and the level of effort required to implement the fix or change. This step is critical as failure to understand the root cause of an issue or the scope of a change can have broad-ranging negative effects on other areas of the application. Open and transparent communication must be practiced to facilitate State and Contractor management making the right decisions and staying informed at all points in this process. When issues are identified as having a significant impact on production (that may require an immediate fix) the Contractor shall communicate to State and Contractor management promptly to create awareness of the issue and avoid duplication of effort from other teams that may be researching the same issue. This notification is also essential to State management so that proper communication can be provided to the field workers and operation status can be updated if needed.

95. The Contractor shall present potential immediate release items to the release planning or management team to get approval for promoting the fix through an immediate release. The contractor and ITD shall work together to provide recommendations to HSD on the criticality of the issue and identify the impacted areas of the application. Once approval is obtained for an immediate release, development of the fix or change shall proceed. The Contractor testing team shall validate the change and confirm that no unexpected impacts have been introduced into the application. For data fixes, logs of the SQL shall be analyzed and attached to the environment request .

X X

96. The Contractor shall also work simultaneously with the UAT team to test and validate the change and to help confirm that the fix addresses the issue reported with no negative impact on the application. Testing results shall be provided to the appropriate HSD stakeholders to facilitate the approval process.

X X

97. Following successful testing, The Contractor shall evaluate the stability of the immediate release package being put in production, and assure formal approval by the State before implementation.

X X

98. Once the immediate release is approved, the Contractor shall coordinate with the build team and the appropriate State authorities to promote the immediate release into production in the next available immediate release build.

X X

99. The Contractor also shall assist the State in verifying that they have correctly deployed the fix or change in production and that it is operating as intended. X X

100. The Contractor shall introduce into the standard development stream any code change that is deployed through immediate release so that it shall go through the normal development and test cycle. For data fixes that were required due to an issue in the application, the Contractor shall propose a permanent fix in release planning.

X X

101.A.2. Incident Resolution and Help Desk Support102. The Contractor shall follow the State’s established process for resolving incidents to

help the State achieve goals of high worker satisfaction, reduced workload and the issuance of timely and accurate benefits to clients.

X

103. Contractor shall assist HSD to develop standards for resolution of incidents based on priority. X

104. The Contractor shall use HSD’s designated systems for incident, request, problem, and X

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change incidents.105. The Contractor shall coordinate and cooperate with other HSD help desks in order to

assure ASPEN users are assisted in the most efficient manner. X

106. The Contractor shall follow the State’s existing incident resolution approach that involves close coordination among the State, and field workers, and shall use the State approved tracking tool to drive that activity.

X

107. The Contractor shall perform an initial investigation and gather information to evaluate if additional resources from the State are required to identify the resolution. X

108. The Contractor shall assist the State to prioritize/resolve reported incidents that are most problematic to users or have the largest business/client impacts. X

109. The Contractor shall propose and assist the State with options for temporary resolution when needed. X

110. The Contractor shall meet regularly with HSD staff, to expand the system functionality knowledge of State staff and equip them with the tools to resolve both emergent and non-emergent incidents more effectively and efficiently.

X

111. The Contractor shall use the reporting features of the Cherwell tool as well as documentation from the status reports to evaluate trends on incidents reported, the turnaround time of incident investigation, and the nature of incidents to identify opportunities for process improvements. The following steps summarize key steps that the Contractor shall follow for effective incident resolution after the Cherwell incident has been entered in the Cherwell tool and assigned an initial severity level based on business impact:

Gather additional information, which may be required to resolve the incident by contacting the initiator and functional and business leads

Analyze the problem to understand what is causing the initiator from achieving the expected results

Assign the incident to the appropriate team Revisit severity to dial up or dial down the severity based on input and the mutual

decision of reviewers of the incident from Contractor and State teams Assign category to the incident based on a defined set of standard categories that

help establish trends for management review Resolve or develop a Corrective Action Plan for resolution and track the incident

until it is resolved Evaluate if a long-term solution is required and route the incident post resolution

to the development team

X

112. A quick, effective resolution of priority incidents is critical to supporting the ongoing business of the State. To give these incidents the prompt attention that they require, the Contractor shall use a dedicated team of professionals who possess in-depth knowledge of the ASPEN application, and a follow a structured response process using the Cherwell system.

X

113. The contractor shall work with the State to respond to the incidents assigned to them within a timeframe mutually agreed upon between the State and the Contractor. When emergent priority incident is reported, the Contractor shall review the incident, and if necessary, gather additional information from the initiator. The Contractor shall identify and test the potential resolution to address the expected result by the user in a

X

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lower ASPEN environment, if possible, to confirm that it achieves the end result expected by the initiator.NOTE: The resolution provided could be a worker action, a script to update any inconsistent data, or an override action by central office staff. If there is no interim resolution available to meet the user’s expectations, and a system fix is the only possible resolution, the item shall be escalated to the release management team for prioritization for an immediate release.

114. The Contractor shall provide a weekly status report of all outstanding Cherwell incidents. This will give HSD a status of the health of the system so they may take appropriate actions. To provide for the efficient resolution of incidents, the Contractor shall use a dedicated team of professionals who possess in-depth functional knowledge, and a follow a structured Cherwell response process.

X

115. The Contractor shall utilize this team to resolve the incidents assigned to them. X

116. The Contractor shall identify the root cause of the issue and refer actions that require application maintenance to the release planning team. X

117. A.2.3 Help Desk Support118. The Contractor shall offer their functional knowledge and experience to assist the Help

Desk staff with their daily activities by providing high standards of support and facilitating the flow of issues, incidents, and requests for rapid and effective resolution to provide broad coverage and inclusive responses.

X

119. The Contractor shall leverage their functional experience and knowledge to assist HSD and ITD staff with the resolution of second line support Cherwell incidents which enhances the knowledge and ability of the State resources to provide improved customer service.

X

120. The Contractor shall proactively monitor and respond to system users’ processes or issues related to the incident resolution process. They shall work closely with the State to refine processes that enable:

More efficient incident resolution processes

Useful training materials and/or wizards that are made available to the ASPEN users

Prioritization of issues that the local offices are most concerned about

X

121. The Contractor shall monitor both priority and non-priority incidents to confirm that they have assigned sufficient staff resources to resolve these incidents in a timely manner. The contractor shall shift other resources to their Cherwell support teams as necessary to improve application stability and work towards a gradual decline in Cherwell incidents.

X

122. The Contractor’s functional leads shall assist the State to prioritize the issues causing the highest number of Cherwell incidents, therefore providing the ability to permanently resolve critical issues and improve the overall system accuracy and stability.

X

123. The Contractor shall monitor the issue trends for Cherwell incidents that are resolved to categorize and group the issues. These issues shall be sent to the application

X

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development functional leads for analysis. Issues that require application maintenance shall be referred to the release planning team for prioritization in an emergency or scheduled release.

124. Due to the critical need for the reduction in outstanding work requests, break-fix activities and Cherwell incidents, the Contractor shall allocate appropriate resources to their incident resolution teams. The Contractor shall assist the State in developing a process for the categorization of incidents. This shall improve the ability to target resources in the areas needed to control backlog growth.

X

125. To reduce incidents related to user error, the Contractor shall continually endeavor to understand the needs of ASPEN users. The Contractor shall recommend and assist with the design of training solutions and business process changes centered on these items. These initiatives shall account for the workflow issues and knowledge gaps that shall provide the most benefit and relief to end users of ASPEN.

X

126. The Contractor shall offer additional support to the help desk by communicating changes to ASPEN functionality or identification of application issues. By keeping the help desk informed, they can then convey this information to the field and better assist ASPEN users with issues, which in turn shall help to reduce the overall number of Cherwell incidents that are created.

X

127. The Contractor shall monitor the influx of Cherwell incidents and track any trends that are seen from the review of these incidents. When individual incidents are resolved, identified issues will be tracked and communicated to HSD, Contractor functional leads and Contractor management so that they can be prioritized for release. The permanent solution to the issue then will be scoped for either an immediate or scheduled release The purpose of this process is to assure that identified trends are communicated to the State so they will be addressed.

X

128.A.3. Break Fixes129. The Contractor shall follow the State’s process workflow for each data modification

approved by HSD submitted to the State for production implementation. X

130. The Contractor shall work towards consistently reducing the number of break-fixes required. X

131. The Contractor shall report on the root-causes of problems requiring break-fixes so that related application fixes can move through release planning and result in permanent fixes to the application.

X

132. Given the number of functional modules and external agency systems that ASPEN interfaces with, the complexity of the system, and policies around which the system is built, there is occasionally a need to correct data anomalies in production to support data quality and reliability requests.

133. The Contractor shall follow the break-fix process workflow and collectively work with the State staff. X

134. The Contractor shall monitor the ASPEN batch exceptions and application error log statistics on a daily basis to identify and report on any trends that can potentially result in system-wide issues or negatively impact progress. These types of issues are potential candidates for a break fix.

X

135. The Contractor shall monitor Cherwell incidents and other communication channels to resolve emergency situations or cases that contain data inconsistencies. X

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136. The Contractor shall support the following types of break fixes submitted in production below. For issues that require application maintenance, the contractor shall submit the proper documentation of the root-cause and recommended fix to the release planning team with an objective of implementing permanent solutions to achieve an increase in system stability and the reduce the number of break-fixes required going forward.

X

137. One time Data fixes. These are data modifications that address data related to a specific case that has an identified and approved need for a correction or cases that require clean up for an issue that has already been resolved in production through a permanent fix.

Recurring Data Modification - Data modifications are sometimes executed repeatedly (recurring) until an immediate or scheduled ASPEN build, addresses the root cause of the issue.

Event Driven Data Modification - These are proactively submitted to address issues that are identified by the Contractor, State or third parties.

Corrections to avoid application errors resulting from data inconsistencies created in production data

Case or program specific corrections to avoid delays with case processing, client benefits, and other services critical to serving ASPEN clients.

Correction of inaccurate data from issues identified with trading partner interfaces.

X

138. The following Break-Fix processes shall be followed by the contractor: The Contractor shall add items to the Break Fix master list, which also will

include items added by the State, as data inconsistencies are identified during ASPEN triage and emergent incident processes.

The Contractor shall research and develop, short-term and long-term solutions (i.e., data modification and associated code fix, where applicable)

The Contractor shall deliver data modifications to break fix and infrastructure teams for testing.

The Contractor shall coordinate the build and testing of Break Fix build items The Contractor shall test data modifications and refer them to the State after

completion for any testing needed by the State. Environment Requests (ER) for each break fix shall be provided to the

Infrastructure team ERs shall be associated with Clearquest or JIRA Work Requests. The contractor

shall provide detailed documentation of the purpose of the Break-fix, frequency, dependencies and other information required by the State for approval in the Work Request.

ERs must include test logs from testing in lower environments before they are submitted to the Infrastructure team. These logs must document the number of

X

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records affected by any data modification. The Infrastructure team shall test the data modifications in the Integration

environment. The Contractor, State and Infrastructure teams shall complete testing of any

Break-fix proposed for the same day no later than the agreed upon deadline. The Contractor and the State shall make final modifications to the Break Fix

master list each day by the agreed upon deadline. The Contractor and the State shall review HSD critical items for processing. The Contractor and the State shall review business impacts of new break fix items

and obtain State approval for each proposed break fix item. The Contractor shall work with the State to get approval and complete a

scheduling plan for releasing successfully tested items. The Contractor shall evaluate the impact of the schedule on trading partners, batch

schedules and any other applications or processes that depend on the completion of the schedule.

Data modifications/break fixes shall be applied to ASPEN Production by the Infrastructure team

The Infrastructure team shall notify ASPEN Batch Team once data modifications have been successfully applied.

The Infrastructure team shall send notice to Break Fix Production Distribution list on status of completed break fixes.

The Contractor shall review the results from the previous day’s Break fix processBased on the criticality and impact of correcting production data through break fixes the Contractor shall assist the HSD, and Infrastructure teams with the objective that break fix items meet the quality standards expected by the State. The Contractor shall work with the State to reduce the number of break fixes as needed by implementing permanent solutions.

139. The Contractor shall use the Clearquest or JIRA tool to track and submit the environment requests (ER) for data modifications. These ERs are associated to a Work Request for tracking purpose and to identify and prioritize a long-term fix to prevent similar data modifications in the future.

X

140. A.4. Batch Management Batch operation is one of the key components of an Integrated Eligibility system and it affects each facet of the ASPEN application that delivers services to the citizens of New Mexico. Many critical ASPEN processes such as benefit issuance to clients, correspondence and report generation, eligibility mass updates, and provider Benefit Issuances depend on the successful and timely completion of batch operations.

X

141.The Contractor shall provide qualified resources with experience and knowledge of batch job scheduling, assessing batch reports, optimizing batch cycles to increase operating efficiencies, monitoring nightly batch runs, and resolving any emergency issues within the batch cycle including: Scheduling and assisting in monitoring batch runs in production and lower

X

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environments Proactively identifying and resolving problems with batch jobs Meeting batch cycle scheduling specifications, including job turnaround time,

monitoring, and quality management Review of batch schedules to make recommendations for improving efficiency

and streamlining performance Produce and review batch reports to provide timely feedback and

recommendations to the State for any issues142. The Contractor shall:

Monitor and assist the State to plan scheduled nightly batch cycles well in advance to identify potential days that could result in longer batch executions that allow us to realign batch processing on critical days so that execution can be completed in a timely manner.

Propose contingency processes for evenings that are considered as “tight” batch windows.

Propose ways to optimize the batch schedule during critical periods such as cut-off and month-end to maintain timely issuance of benefits to citizens and maintain full availability of the ASPEN online application during agreed upon operational hours.

Provide knowledgeable on-call staff to assist with management and completion of the daily batch schedule.

Monitor performance, logs and exception reports and work with HSD to diagnose and address any batch incidents that may potentially occur during the nightly batch schedule and perform necessary production support activities.

Provide resources from the application maintenance team with appropriate experience and functional knowledge of batch operations as needed to support batch operations.

Collaborate with the State to maintain and support all required OpCon environments

Work with the State to schedule new batch processes introduced to the batch schedule.

Assure batch scheduling will be based on job dependencies, business criticality and impact to the end users and citizens.

Optimize the batch schedule to accommodate any new processes that may need to be re-scheduled based on their criticality.

Monitor newly introduced batch processes to address any unforeseen failures or downstream impacts to other batch jobs.

Provide functional and monitoring support for critical batch operations to avoid any potential issues or interruption of services that could occur. Examples of critical operations include but are not limited to: Benefit issuances, and critical third party interfaces.

Monitor system resources for CPU, I/O, and memory usage while batch jobs are executing and identify any remedial actions that may need to be taken if any adverse impacts are detected.

X

143. Emergency maintenance is critical to the success of ASPEN to enable business continuity for daily activities such as eligibility determination, benefit issuance, and

X

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data sharing with other agencies.

During the nightly batch process, there are four key groups who must be involved in resolving batch related emergencies. These members include: ITD and Contractor Support Teams. Monitor and support batch operations and

identify emergency situations that occur during the processing of nightly batch schedules

Manager(s )within the corresponding ASPEN and ASPEN functional module(s) to which the batch job encountering issues belongs

Analyst(s) within the corresponding ASPEN functional module(s) affected

ITD, Contractor and ISD Management. Management shall be kept informed at all times through email and when necessary, a phone call, depending on criticality and impact of the batch job on the business. Recommendations and decisions from State management drive the resolution process

144. The Contractor shall collect contact information and produce a call list of the appropriate track analysts, track manager(s) and Contractor management needed to be available by phone in the event of a batch related emergency.

X

145. The Contractor Batch Support team shall monitor the ASPEN batch cycles, and in the event of a problem, follow the documented procedures for problem identification, escalation and resolution to minimize the potential impact to the ASPEN online start time and deliver critical files to trading partners on time.

X

146. Problem EscalationThe escalation process begins following the problem identification and the Contractor shall follow the standard processes including:1. Functional manager(s) associated with the impacted functional module shall be

contacted.2. Managers will engage the analysts assigned to support batch operations to review

the problem and identify a solution.3. Functional managers shall evaluate the business impact and provide timely

updates to HSD detailing the impact to the end users and clients. The Functional manager will notify the State and identify impacts related to the

problem and perform applicable impact analysis, validation and testing on any proposed solution before it is implemented.

Solutions that require changes to the normal business processes shall require State approval.

4. While the problem is being identified and researched, the batch team shall work to restore batch operations with the intent of completing as much of the nightly schedule as possible.

In the event that there is not sufficient time to complete the batch schedule, the batch team and supporting management will work with ITD and HSD management to establish the short term priorities for the completion of the most critical jobs.

X

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5. The analyst and functional manager work with the development team and trading partner contacts as needed to identify the solution with the least immediate and downstream impact.

147. The Contractor must be available to respond to critical issues that may occur for a variety of reasons including programmatic issues, network issues, hardware / software issues, or any issue that prevents the completion of critical business processes.

X

148. Problem Solution Identification1. The Contractor’s track analyst shall investigate the problem and identify the

corresponding required fix. If the manager determines that the solution is acceptable, the information is relayed back to the batch support team.

2. Should the problem continue to be unresolved within an acceptable window, key stakeholders shall be notified by the Contractor promptly and additional support staff with the necessary skill set are contacted and brought on site promptly.

3. In the rare situation where the only resolution is a code fix, the Contractor shall enter a work request and send it to the immediate release management process for immediate prioritization.

X

149. Follow up ActivitiesAfter the problem is resolved and normal batch operations have been restored, problems that required escalation shall be entered into the State approved issue tracking software. The Contractor shall work with the State to analyze trends and common problems with the following objectives:1. Communicate with third party contacts to coordinate permanent solutions for

problems related to source files or the timing of third party dependencies2. Communicate details of commonly occurring problems to the QA review,

technical architecture and technical testing teams to establish preventative processes and procedures or improvements in the ASPEN framework to reduce specific types of errors.

3. Communicate problems related to resource contention and system performance to the Technical support and Database management teams so that permanent fixes can be proposed

4. Provide sufficient detail in the issue tracker notes so that trends can be analyzed.

X

150. Batch Quality Management

After implementing any functional change, the Contractor shall validate the stability and accuracy of batch processes through several stages including unit, integration, quality assurance, user acceptance, and load/stress tests.Batch load testing, which is essential to quality batch processing management as it allows for identification of batch performance optimization opportunities before migration into the higher environments. To accurately evaluate the performance of a batch job, it must be run against a database with production volume data. Upon completion of technical testing, the Contractor shall analyze batch key performance indicators (KPIs), such as total runtime, database query performance, and resource usage statistics from the server infrastructure, and based on this analysis, provides recommendations for performance improvements to the Maintenance and Operation

X

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team. In addition to the many QA checks in place to facilitate smooth batch operations, additional checks shall be put in place after the batch execution for critical programs to validate its accuracy. The Contractor shall proactively validate batch output against expected results. This step identifies batch exceptions, increased run-times and issues with data accuracy.

151.A.5. Reports Assessment152. The Contractor shall monitor and assess reports to improve their accuracy and

performance. This will include tasks such as:− Review production reports for accuracy and consistency of data as well as optimal

performance− Identify and recommend potential improvements in the report related batch jobs− Provide ad hoc reporting needed by the State.

X

153. ASPEN reports employ complex business rules that typically summarize and aggregate data based on business user requests and deliver a wealth of critical information to stakeholders and business users. The Contractor shall closely monitor and assess these reports to produce the highest quality information for ASPEN users without impacting the batch schedules.

X

154. The contractor shall perform the following: Monitor batch report execution

Follow up on the daily production batch summary report generated and sent by ITD

Generate statistics and reports on the batch report runtimes to assist with identification of areas for improvement

Follow the Batch Issue Management process for any issues identified related to reports in production

To verify reports are running optimally, the Contractor shall conduct performance tests to verify their stability and impact on system performance levels before promoting them to the production batch operations schedule. To identify performance optimization opportunities, The Contractor shall test the batch reports against a database that is sized to Production such as UAT or Production Patch When performance problems are identified for existing production reports, these will be escalated to the release management team for prioritization for an immediate or scheduled release.

In the event of a failure to a critical batch report the Contractor shall follow the State’s established communication process.

X

155. The Contractor shall produce Ad hoc reports that provide key information to the State, and enables management to make decisions on their systems, programs, and staff. X X

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156. Testing and quality in ad hoc reporting is critical as the State uses these reports for very important decisions and, in some cases, external communication. The Contractor shall conduct sufficient quality checks by leveraging the services of the Quality Assurance Test (QAT) team to verify key data and confirm results using the ASPEN system.

X X

157. The timeliness of delivering information to the State for key decisions and providing external information is important. The Contractor shall provide many types of ad hoc reports including but not limited to:

One-Time Reports. These will be requested by the State as needed.

Recurring Ad hoc Reports. These reports are needed at a certain frequency following an action that takes place either through online or batch processes.

X X

158.A.6 Annual Maintenance Activities159. The Contractor shall complete critical annual maintenance activities, and create and

follow an established plan to facilitate smooth operation of these annual activities. Examples: Clothing Allowance LIHEAP point value changes Time-sensitive reference table review and updates RSDI (Social Security) COLA Updates Home Heating Credit Payments Federal Poverty Limit (FPL) changes Fiscal Year Benefit Issuance Reporting 1099s

X

160. Changes to reference tables, application logic, updates to policy, and stakeholder requirements create the necessity to implement annual updates to ASPEN to maintain compliance with State and Federal regulations.Annual maintenance requests are necessary ASPEN activities which modify or enable various policies, legal mandates, and rules.Some updates may require a change to benefits of the citizens based on program policy and result in a large volume execution of mass update. In certain scenarios downstream activities such as generation of special correspondences to affected citizens or the creation of ad hoc reports to provide a summary of the impact of the change may be required.

X

161. The Contractor shall support the implementation of mass updates by working closely with State leadership and policy experts to determine specific eligibility criteria and identify cases that would be potentially impacted by the mass change.

X

162. The Contractor shall plan, communicate, and coordinate each mass change with input and approval from the State. When mass change updates are implemented, each impacted assistance group is typically identified using ad hoc reports that allow workers to distinguish online mass change determinations from worker-initiated determinations. The Contractor shall identify appropriate case loads and perform pre-determined test executions to validate the accuracy and assess impact. The Contractor shall collaborate with the State to plan, communicate, test, and implement mass change

X

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updates.163. To facilitate the easy tracking of these time-sensitive tasks which, if not handled

appropriately, may have negative impacts such as delayed benefits and application unavailability, The Contractor shall use an “Annual Maintenance Dashboard” that acts as a centralized repository for time-sensitive recurring activities with details on planning, execution steps, owners, and timelines required for each of the tasks.

X

164.A.7 Status Reporting165. The Contractor shall provide monthly status reports that cover the subject areas of

Benefit Issuance, Planned Releases, Help Desk Support, Calendar and Batch Activity, Additional Activities, Business Measures, ASPEN Self Service and Interactive Voice Response, Business Measures and Technology Measures.

Each of these sections shall provide summary level information for quick reference and also contain detailed information to provide a complete view of the activities for a reporting period. In addition, the monthly reports shall include extensive information related to Business Measures to help management staff to know the trends and growth of caseload volumes, public assistance program growths, benefit dollar values, and correspondence issued during the reporting period. These shall also provide specific activities regarding recently completed and planned releases, immediate releases, and completed environmental requests.

Upon mutual agreement between the State and the Contractor enhancements shall be made to the Monthly Maintenance and Operations Status Reports to include additional information, new sections or detailed information on special projects.

X

166. The following sub-sections define each area of the required report and the information that is to be included.

Planned Releases - The Planned Release section consists of information on three consecutive releases:

The Releases previously implemented during the reporting period

The current Release to be implemented

The next future Release

This section of the report is designed to provide meaningful visibility of the actual release progress and provides status on the Work Requests associated with the current and upcoming Releases. The current status of specific Release-related Work Request activities shall be provided including:

AnalysisDevelopmentIntegration TestingQuality Assurance TestingUser Acceptance Testing Support

X

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Production Promotion Support167. This section shall provide a count of the Work Requests which are scheduled as part of

the Release. To provide a better understanding of the scope of the Release, the number of work requests that required application maintenance shall be identified. This section shall also provide a summary of User Acceptance Test (UAT) status that is tracked at the Release Planning Meetings (RPM), with accompanying notes where applicable regarding specific details on Work Requests that have not passed UAT. The testing status of specific Highlighted Functionality items, which consist of groups of Work Requests and related Test Scenarios are presented in a table at the end of this section. This table reflects both Quality Assurance Testing and UAT test statuses.

X

168. Help Desk SupportThe Help Desk Support section of the Monthly Status report shall provide details on activities related to incident resolution and help desk management support. A Weekly Incident Resolution graph shall provide HSD management a snapshot view of incidents resolved by the Production Support Team organized by priority (low, medium, or high) on a weekly basis over the prior month.

X

169. Calendar and Batch ActivityThis section of the report shall provide the schedule for recurring processes including Daily Batch Issuance, Mass Update and Send processing, LIHEAP Issuance, Monthly Packets, Month End RD, Month end Benefit Issuance and Quarterly SSP processing.

X

170. The contractor shall produce a daily batch activity report (post batch) to highlight issues related to critical batch jobs and document other activities which are of importance to the business users and trading partners. This report is one of the key sources for the Batch Issues Log section of the Monthly Report.

X

171. In addition to the Batch Calendars, this section shall provide a table of the start and end times for the recurring core jobs in each batch cycle included in the report. Informative comments shall be provided for each cycle that extends beyond normal processing hours. For each major trading partner, a table shall be provided with the start and end times of the batch jobs that process the related interface files, along with explanatory comments for any jobs that were (or will be) delayed.

X

172. This section will include the Batch Issues Log, which will provide an identification and description of any Batch Issues that have occurred, along with a short term and long term resolution to the issue. This mechanism will provide management with an ongoing assessment of issues that have occurred, what was done to promptly mitigate the issue, and what the necessary solution was determined to be. Maintaining a record of issues and resolutions in this manner not only confirms that issues are being promptly addressed with acceptable solutions, it builds a growing base of knowledge that enables the Contractor and State Batch teams to quickly identify and respond to future situations.

X

173. The Additional Activities section of the report shall provide information on additional activities of value that occurred during the month that do not fit into one of the other status report categories. Each activity shall be updated on a monthly basis. Examples of activities to be tracked in this report include:

Kiosks Electronic Document Management (EDM), including Central Scanning

X

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(CASA) and field office scanning. Efax Training Business Process Changes Knowledge Sharing Technical Upgrades Documents/Explanation to OIG Wage Match Assistance QC Universe/Sampling Assistance Archival and Purge Strategy and Approach Recoupment Meetings Employment and Training Meetings Provider Management Meetings Annual School Subsidy

As new initiatives are implemented and business needs change, the State may request information on additional activities to be added to this section.

174. This section shall report on critical business operations metrics related to Case, Individual, Program summaries related, benefit issuance data by program type for daily, weekly, monthly and quarterly Benefit Issuances, and weekly volume of correspondences by document type. This section of the report shall provide summary and detailed information on relevant business measures and key performance indicators that measure the effectiveness of operations and identify potential problem areas. This section shall contain information that is crucial for the State management to assess the success of an initiative, observe patterns of growth and proactively prepare and implement enhancements to the system. Reported business measures shall provide State management a snapshot view of the portfolio and enable informed and prompt decision making.

X

175. Technology MeasuresThis section of the report shall provide monthly summaries of resource utilization (CPU, Memory, and Disk) across the Application, Database and Web Server domains. This section shall also include the Application/Server Uptime table, which presents the average and peak utilization of each resource category for each server domain. The remainder of this section shall provide the following charts of daily utilization for the prior month:

Application Server CPU, Memory, and Disk Utilization

Database Server CPU, Memory, and Disk Utilization

Web Server CPU, Memory, and Disk Utilization

X

176. Additionally, the Monthly status report shall provide detailed lists including status X

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information of every Work request and environment request included in planned and immediate releases which highlight the functionality and test scenarios related to the activities. In addition, a summary of environment requests applied to all environments shall be provided.

177. B RELEASE PLANNING AND MANAGEMENT

178. The Contractor shall follow the currently established release planning and management approach. The Contractor shall assist the State to plan releases that address the priorities of new initiatives in conjunction with essential system maintenance. A scheduled release is a collection of work requests that include enhancements, fixes, infrastructure modifications and upgrades that are packaged for testing and deployment purposes. The State may also need to implement immediate releases, as needed, to respond to urgent needs outside of the regular schedule. Release management involves collaboration between the Contractor and the State to plan releases strategically considering major initiatives and changes that are anticipated to influence upcoming releases

X X

179. Contractor Key Responsibilities Functional and technical analysis of initiatives proposed for release to help the

State prioritize and refine the scope of each release to maximize delivery of critical business functionality and minimize risk

Follow the State’s current release management process, working closely with the State to scope and manage items for scheduled and immediate releases that are essential to maintain, support and enhance ASPEN

Provide accurate status updates throughout every phase of the SDLC to report on the progress in each phase.

Deliver approved release items that meet the functional and technical requirements within the mutually agreed upon timelines for the release.

X X

180. Description of Activities and Contractor Roles and ResponsibilitiesThe roles and responsibilities of the Contractor for release planning and management include but are not limited to: Provide required resources and assist with scheduled release status meetings,

working with the State to make informed decisions that contribute to the success of application maintenance and operation activities or other business initiatives. These meetings are designed with the intention of notifying the State about the progress of work items throughout the SDLC phases of a release.

Attend meetings as requested by the State to review business, policy, functional and technical questions as well as analyze and determine the impact that a change may have on ASPEN users.

Provide subject matter experts to assist the State in analysis and estimation of proposed initiatives to understand the scope and criticality of changes needed to support the end users.

Assist the State with consolidation of work requests to determine the scope of releases based on the functional and business needs defined by the State.

Work closely with the State to clarify requirements and policy of initiatives targeted for release.

Perform impact analysis of release items and estimate effort needed to produce

X X

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recommendations that will assist the State in defining the scope of the release. Analyze items proposed for release to help the State determine whether to accept,

reject, or further evaluate the initiatives. Assist the State with the Prioritization of release candidates. Perform a preliminary estimate of the scope, impact and level of effort of

proposed modifications Assess the cross functional, business and technology impacts of proposed

modifications Coordinate planned modifications with other ongoing maintenance tasks to

minimize risk and plan for the availability of all required resources Work with the State to modify and confirm the scope of each release to properly

respond to:o Critical production issueso Availability of business and technical resourceso Changes to prioritieso State and federal mandateso Critical issues identified by trading partnerso Any other critical factors defined by the State

Assist with the development of the release implementation plan and key activities required for the implementation of the release to production

Provide post-implementation support including; monitoring and review of online and batch logs, production performance, incidents and information provided by the help desk, field staff and end users. Additional support activities include: Document and communicate issues identified by these support activities to

the State and provide recommendations for resolution Assist with timely resolution of post-implementation issues. Assist the State

with the improvement of QA processes, application standards and test methods to reduce the frequency of production issues in future releases.

Throughout the development life cycle of every release item, the Contractor shall promptly communicate any issues, risks or other important information to the Release Management team, State management and appropriate functional leads that may impact the timing or scope of the release. These shall include issues, risks and action items resulting from sources such as:

o New information discovered in the requirements gathering process or functional design.

o Functional or technical impacts revealed during the technical design review

o Cross-functional or technical impacts discovered during impact analysis, development, data validation or production support activities

o Functional, technical, regression or load testing activitieso New information provided by trading partners, field staff and subject

matter experts Provide follow up support for every release by completing outstanding activities,

testing, documentation and communicating any issues that require additional support to the State and other stakeholders

Work with the State to prioritize its enhancement efforts in alignment with the

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HSD vision and strategic plans Work with ITD management to engage ITD technical resources in appropriate

activities throughout each release. Assist the State with continuous improvement of the release planning process by:

Document lessons learned with each release and recommend specific improvements

Provide proper communication between development, testing and production support teams

Identifying and recommending solutions for common issues Referring common issues to the QA team to help establish QA review and

testing processes that will reduce the frequency of these issues

181.B.1 Release Frequency and SchedulingThe Contractor shall support an iterative release planning process that makes it easily adaptable to variable release schedules and allows addition/removal of units of work as well as accommodates any items that impact multiple functional and business areas. This shall include: Support for scheduling releases in an overlapping process that allows the current

five-week system development life cycle to produce monthly releases to production.

Support for Immediate releases

X X

182.B.2 Support for Special EnvironmentsThe Contractor shall work with the State to carefully prioritize enhancements across the various functional areas with the understanding that maintenance operations are not interrupted from a cost, resource, or schedule perspective.

There are instances where development and testing for sub-projects may require additional streams and environments so as to not interrupt the normal release cycle. Based on the individual requirements of each activity, the Contractor shall work with The State to create and support these special environments.

Each sub-project request shall follow the same release planning and prioritization steps as other work requests. Analysis and estimation of factors such as effort level, resource allocation, and impact to existing functionality and ASPEN users shall be reviewed to determine how the sub-project can be conducted while still maintaining the regular release cycle.

X X

183.B.3 Configuration of Development Tools for Special ReleasesThe Contractor shall leverage the same change management tools for both the regular release and sub-project processes; however, there may be instances where versions of these tools will require customization to meet the setup requirements for special releases and sub-projects. If the sub-project is on a different schedule than the regular release cycle the settings for release tools may require modification so that a work

X X

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request can be identified as either being part of the current release or part of the sub-project activities. This confirms that while development for the sub-project is taking place, code promotion and testing activities do not interfere with the current release activities. At the conclusion of development and testing for a sub-project, the work requests for a release and the work requests related to the other activities shall be packaged as one unit for deployment into production. The Contractor shall work with the State to merge the final code for the special release with our normal release code so that it can be delivered to the production environment as one unit.

184.B.4 Process for Release Planning and ManagementThe Contractor shall follow processes for Release planning and management defined by the State. The Contractor shall work with the State and trading partners in the coordination and management of each release cycle.

Each work request that is completed for a release shall follow the same progression path through the phases defined in this methodology. These items are first reviewed during the Initiation and Planning phase through the ASPEN Release Planning Management (RPM) process where the Contractor and the State, and other necessary stakeholders consider factors such as the overall impact to the State’s program policy and ASPEN users, an estimation of the development effort required to complete the work item, and how existing system technology and functionality are affected, based on this initial evaluation, a work request is prioritized for a release. Following this initial process, a Release Planning Document (RPD) is produced and serves as a key method of tracking throughout the release cycle. The summary status of work requests at each phase shall be reported until the deployment of the work request package into production or the de-scheduling of the work request occurs. This document also accounts for the addition of work items at various points that were not originally scoped for a release.

X

185. The Contractor shall identify and propose systems modifications and enhancements that will progress the HSD vision and meet business needs, ultimately improving the delivery of services to the citizens of New Mexico. The first phase is the initiation of a release and brings together stakeholders from the Contractor, State, and other trading partners in the release planning management (RPM) process to identify the scope of the release based on factors including the priority and level of effort of a work item, the impact to policy/program offices and their clients, and the requirements and constraints of both development and technical resources. Subject Matter Experts and Executive Management from the State will provide the preliminary scope of work requests that should be incorporated in a specific release, taking into consideration required policy items and requests from various ASPEN user groups as well as the significance of an item. Once this analysis is completed and a list of prioritization recommendations is submitted to the Release planning team the Contractor shall provide timely and accurate evaluations of the effort and criticality of an item along with their recommendations for the initial scope. The Contractor’s team will provide additional input to help the State refine the scope.

X

186. The Contractor shall review and assess additional factors such as resource availability, the number of prioritized work requests, the effort level of each work request, and the length of time for the release to determine the items that can be developed and tested

X

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within the defined release cycle. The number of requests and prioritization from the State helps to determine which work requests should be included in the release and which ones should be removed. At the conclusion of this assessment, the Contractor provides their final recommendations for the release to the State, which helps HSD management to approve a finalized scope for the release. Once the scope of the release is approved, the Contractor shall produce a (RPD). Throughout the phases of the release, it is important that open communication and feedback be observed. The RPD shall define the units of work or special projects that are included in the release and will be continuously updated throughout the cycle to provide State and Contractor management, and other necessary individuals with the status of release items as they progress through the SDLC. This document is critical to allow the flexibility to add or remove items from the scope of the release. If it is necessary to include a work item in a release after the development week (the release “cutoff period”) or within the testing phase (both QAT and UAT), the criticality of the modification will be evaluated to determine if there is an urgency to have the functionality in production. If this is the case, the Contractor shall work with the State to prioritize the work request and complete the SDLC phases to confirm that the work request is developed and tested to the necessary standards. The RPD also will play an important role throughout the testing process. For the work requests that are included in the packaged release, the test status for each item shall be provided by HSD management to evaluate and decide a provisional approval for the release to production. The status shall be re-presented immediately before the deployment of the code to production with testing completion data and an assessment of any risks associated with the release.

187. Estimation for systems modifications and enhancements is a critical step in the systems modifications and enhancements life cycle to identify feasibility, timeline impacts, and allow for scheduling of required resources for the timely delivery of each initiative or work request. The release planning process depends on estimates to identify the business and technical resources needed and the hours required for each resource throughout the SDLC.

Estimates will be considered when determining the scope of each release and will help meet the following objectives: Release items meet agreed upon standards of quality Sufficient time and resources are available to complete required quality assurance

checks Downstream impact is minimized and properly communicated when it is

inevitable Sufficient resources are available for completion of dependencies, modifications

required to impacted system functionality and changes to business processes that may be required

Required testing resources are available for each test phase to complete documented test plans and improve the quality of production releases

Test phases include sufficient time for re-development and re-testing to correct issues identified in the testing process

Common problems that result in the need for break-fixes, immediate releases or workarounds are reduced or eliminated by improving the quality of the release as

X

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a whole.188. The Contractor shall follow a defined and coordinated estimation process that includes

participation and close collaboration across multiple State and Contractor teams. The process and tools used will be evaluated by Contractor and State management regularly to confirm that the objectives defined in this section are met. Initial Estimations will be based on available information related to the proposed system modification(s) including: Communication with the State to confirm proper understanding of the scope and

work required to successfully deliver the initiative through each phase of the SDLC.

Initial understanding, evaluation and impact analysis of the work request or initiative and all tasks required for completion,

Existing requirements and design documentation for related functionalityPrior estimates for work of similar scope and the actual resources and hours required for the completion of this work

X

189. Estimates will follow the SDLC phases and account for the resources required for the completion of each phase. If the scope or complexity of a Work Request or initiative is changed in any of the phases, the estimate will be revised to reflect the change(s) and related impact on required resources. Revised estimates will be communicated to the Release planning management team and discussed with State and Contractor management when the scope or timing of a release is impacted.

X

190. To support a standard methodology for accurate estimates, standard templates and tools will be utilized and an estimation process that is approved by the State will be documented and implemented as a requirement of the Initiation and planning phase of the contract. The agreed upon processes and tools will be improved throughout the period of the contract resulting from this RFP, with an objective of obtaining accurate and thorough estimates of the resources, tasks and hours per resource required for each release item and each phase of the SDLC.

X

191. For each phase of the SDLC, estimates will provide a detailed breakdown of the tasks required for completion of the phase, the complexity of the required tasks and the resources and hours required for each task. Tasks with dependencies should be clearly identified to allow for proper scheduling of resources based on the completion of key dependencies.

X

192. Estimation Process1. Requirements

a) The estimate for the requirements phase shall include the time required to gather the requirements create / modify and review requirements documentation. This estimate must identify the number of State and Contractor resources required to complete this process and the number of hours each resource will be required.

2. Requirementsa) The estimate for the requirements phase shall include the time required to

gather the requirements create / modify and review requirements documentation. This estimate must identify the number of State and Contractor resources required to complete this process and the number of

X X

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hours each resource will be required.3. Design

a) The estimate for the design phase shall be based on the average time it takes to create each required design document including reviews, revisions and the number of each document type that is required.

b) Required design documentation will be determined by HSD based on the type of project being completed and include:

1) Storyboards. Storyboards shall document the components of a screen, interface file, or report layout, associating the components with attributes such as edit rules and relationships between the components and database fields.

2) Decision Table Updates. Decision tables shall house the rules that apply policy in the rules engine of ASPEN. Decision table updates document the changes or addition of policy rules that will be applied under specific case circumstances.

3) Physical Data Model. A model of the database shall be presented that describes in an abstract way how the organization’s data will be represented the database management system.

4) Data Dictionary. The data dictionary includes a set of metadata that contains definitions and representations of data elements for the application.

5) Interface Details/Layout. Interface layout details include a list of the interfaces that are included in the Work Order and details such as data elements, data formats, data layouts and other systems that will be sending or receiving data.

6) Application Artifacts. New or updated Application Artifacts that include screen designs, correspondence layout, reports layouts, and interface file structure.

7) Program Specifications. These are the definitions of what a program is expected to do and are used by the developer to code and test the program. Program specifications are estimated according to the average time it takes to create a program specification document for each type of object (such as a screen), and by Complexity (Very Simple to Very Complex).

The total resources and hours required per resource estimated for the design phase shall reflect the resources required to complete the design phase with an approved Functional Design document that accurately provides the development team with sufficient detail to complete the construction phase.

c) The Initial Estimate shall be presented for review at the completion of the Design phase to verify that the original resources and tasks are in alignment with the most

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current understanding of the scope, complexity and impact of the work request or initiative. Significant changes to estimates during this phase may impact the release schedule and must be logged as issues and properly communicated to the Release Planning Management team.

1. Constructiona. The estimate for the construction phase shall consider the

resources and hours per resources required for:2. Development Documentation Including:

a. The Development Work Planb. Integration Test Scenariosc. Support Activities including:

i. Plans / special considerations for regression testingii. Configuration activities

iii. Plans for Implementation activities3. Development of Software Artifacts Including:

a. Count of each type of software artifact that will be created or modified and the complexity of the development effort.

b. Time and resources required to develop and Unit test each component.

c. Allowance for QA checklists, peer review, internal code review and required change management activities.

The initial estimate shall be revised at any point in the construction phase where new understanding of the complexity, scope or impact of the changes required will increase or decrease the number of resources or hours per resource required to complete the construction phase and the remaining SDLC phases. Significant changes to estimates during this phase may impact the release schedule and must be logged as issues and properly communicated to the Release Planning Management team.

4. TestingThe Contractor shall estimate the level of Testing effort for each testing phase as outlined below:a. Integration Testing

i. Time and resources required to complete the Integration testing required.ii. Time expected for re-development and re-testing for issues discovered in

this phase.b. Quality Assurance Testing

i. Time and resources required to complete the Quality Assurance testing shall include:

1. QAT Regression Testing and updates to regression test scripts2. Load Testing3. Completion of QA Test Scenarios4. Consideration for testing requiring special environments5. Correction of any issues identified by the technical QA review

team.Time and resources expected for re-development and re-testing for

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issues identified in this phase.c. User Acceptance Testing

i. Time and resources required to complete the User Assurance testing shall include:

1. UAT Regression Testing and updates to regression test scripts2. Completion of UA Test Scenarios3. Consideration for testing requiring special environments4. Support required for completion of UAT activities

ii. Time and resources expected for re-development and re-testing for issues identified in this phase.

The Initial estimates shall be reviewed at the start and completion of each testing phase to verify that the original resources and tasks are in alignment with the most current understanding of the scope, complexity and impact of the work request or initiative. Significant changes to estimates during this phase may impact the release schedule and must be logged as issues and properly communicated to the Release Planning Management team. Initial estimates for the testing phase shall include the approximate number of test scenarios grouped by complexity based on the current understanding of the work request or initiative. These estimates will be revised as the actual test scenarios are determined in the requirements and design phases.

5.) ImplementationEstimation of activities required for implementation shall include the number of resources and hours per resources for activities such as:

i. Preparing, testing and executing data migration scriptsii. One time processes required to support new or modified interfaces

iii. Special production testing or validation required to confirm the stability and accuracy of release items

At release closure, the Contractor shall work with the State to evaluate the original estimate and any revisions that were required throughout the SDLC. Throughout this process, the standards, tools and metrics used for estimation will be refined to improve the accuracy of future estimates and help determine a reasonable scope for future releases. A regular review of initial estimates compared to actual resources required for successful delivery shall be conducted to validate steps, identify improvement opportunities, and capture metrics used to calibrate the estimation models. The final version of the estimate for each work request shall be documented and added to version control to assist the State with future resource planning and transition efforts

193. The Contractor shall meet with the State during the week leading up to the implementation of a build to report the status of work items for a release and confirm that the release items will be ready for the production build to occur.If the release depends on other actions to complete deployment (such as running batch processes or data migration scripts), the Contractor shall communicate these items to the Batch team and organize a strategy for their completion so that all parties are aware and understand the steps that need to be taken to effectively complete implementation.Determining the need for and construction of training modules are critical to convey the business processes related to a new modification to the ASPEN application. The

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Contractor shall provide information about the modification to support the development of training materials before the modification is introduced in production based on the analysis and determination of the potential impact to ASPEN users. The Contractor shall be available to answer technical and business questions concerning a specific change and provide any essential documentation for information that is required. Additionally, the Contractor shall assist the State in reviewing the finished product and offer feedback as requested by the State.As part of the implementation process, the Contractor shall provide HSD and other stakeholders with concise details (training materials, wizards and release notes) about the new functionality that is introduced with the release so that ASPEN users are informed and aware of changes to the application(s).After successfully deploying a release build in the Production environment, the Contractor shall perform post production validations that include monitoring ASPEN for performance and accurate system functionality as well as performing a review of error logs to proactively address any issues. In addition, the functional leads will work with the technical team to employ data integrity checks that run on a repeated basis. These checks scan the database for business rule violations that would indicate application problems. Issues identified by these activities shall be reviewed by the Contractor and HSD and prompt communication of any issues, risks or required actions will be provided to State management. Additional immediate post implementation support shall be provided as needed.

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Table D-1 Key activities during the initiation phase of this Contract

The activities below are planned for the first 3 months of the contract resulting from this RFP.

Time Frame Contractor Required Activities

Description / Objective

Within 5 Calendar Days of the Contract Execution Date

Participate in a kick-off meeting

This meeting provides an opportunity for key resources from HSD and the Contractor to discuss objectives of the new contract and plan additional meetings and action as needed.

Within Month 1 of the Contract Execution Date

Participate in status meetings

These meetings allow State and Contractor management to evaluate the progression of the initiation period.


Review risks This allows the proper assessment and review of risks and mitigation strategies to confirm that the appropriate protocol for these items is addressed and in place.


Review Reports This review confirms that the monthly status reports that are being produced meet the business needs of the State.


Develop recommendations for issues and risk management

Discuss requirements and timelines for the implementation of an issue and risk management process.


Review current processes

Review existing processes and procedures throughout the SDLC to plan for changes to processes and procedures.

Within the Last 3 Weeks of the Contract Execution Date

Review QA standards for application development with ITD and improve documentation of agreed upon standards

Meet with ITD technical leads and management to confirm documented standards for QA processes are up to date and proper measures are in place for enforcement of standards. This includes review and improvement of standards for: Unit Test Checklists - Identification of the Unit Test Checklists

required for each type of software artifact and creation of new checklists for artifacts that are lacking a checklist

Integration Test Plans Code validation tools such as FindBugs and their

configurations - Standards to review and enforce compliance with validation tools and the issues they identify.

QA Review Process including code review checklists, CQ triggers / rules and impact analysis. Code, UI and technical standards including verification of proper inline documentation of code changes and updates to JavaDoc intranet site.


Review plan to Implement process changes

Document changes to processes and procedures that will be made. Enter outstanding action items as issues to allow proper tracking and resolution.


Confirm Contractor support activities for HSD

This activity confirms that the Contractor is meeting the objectives defined in this contract for functional support provided to HSD and provides an opportunity for HSD to prioritize functional support activities for the Contractor to focus on. Contractor and State management will work together to prioritize changes to processes, procedures and resource allocation required to meet the objectives of the contract and enter any outstanding action items as issues for tracking and reporting.

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Table D-1 Key activities during the initiation phase of this Contract

The activities below are planned for the first 3 months of the contract resulting from this RFP.



Within 5 Calendar Days of the Contract Execution Date

Participate in a kick-off meeting

This meeting provides an opportunity for key resources from HSD and the Contractor to discuss objectives of the new contract and plan additional meetings and action as needed.


Participate in status meetings These meetings allow State and Contractor management to evaluate the progression of the initiation period.


Review risks This allows the proper assessment and review of risks and mitigation strategies to confirm that the appropriate protocol for these items is addressed and in place.


Review Reports This review confirms that the monthly status reports that are being produced meet the business needs of the State.


Develop recommendations for issues and risk management

Discuss requirements and timelines for the implementation of an issue and risk management process.


Review current processes Review existing processes and procedures throughout the SDLC to plan for changes to processes and procedures.

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Review QA standards for application development with ITD and improve documentation of agreed upon standards

Meet with ITD technical leads and management to confirm documented standards for QA processes are up to date and proper measures are in place for enforcement of standards. This includes review and improvement of standards for: Unit Test Checklists -

Identification of the Unit Test Checklists required for each type of software artifact and creation of new checklists for artifacts that are lacking a checklist

Integration Test Plans Code validation tools such as

FindBugs and their configurations - Standards to review and enforce compliance with validation tools and the issues they identify.

QA Review Process including code review checklists, CQ triggers / rules and impact analysis. Code, UI and technical standards including verification of proper inline documentation of code changes and updates to JavaDoc intranet site.


Review plan to Implement process changes

Document changes to processes and procedures that will be made. Enter outstanding action items as issues to allow proper tracking and resolution.


Confirm Contractor support activities for HSD

This activity confirms that the Contractor is meeting the objectives defined in this contract for functional support provided to HSD and provides an opportunity for HSD to prioritize functional support activities for the Contractor to focus on. Contractor and State management will work together to prioritize changes to processes, procedures and resource allocation required to meet the objectives of the contract and enter any outstanding action items as issues for tracking and reporting.

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2.3 APPENDIX 2-B Technical Specifications

The functional specifications in this section are current as of publication of this RFP.

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ASPEN Maintenance & Operations Technical Requirements Matrix and Tables

TABLE OF CONTENTS

B - ONGOING ASPEN TECHNICAL OPERATIONS ACTIVITIESB.1. Key Contractor Tasks and ActivitiesB.2 System Health Check and MonitoringB.3 Capacity PlanningB.4 Support Emergency Preparedness and Disaster PlanningB.5 SecurityB.6 Application Architecture ManagementB.7 Database ManagementB.8 File ManagementB.9 System Performance ImprovementsB.10 System Patch and Upgrades ManagementB.11 Environment Support and SetupB.12 Configuration Management

ASPEN uses a broad array of commercially-available technologies and tools in ASPEN’s architecture, web services, software, hardware, security and database systems. These are outlined in the Overview of ASPEN’s Technical Structure section of this document.

Note: Line numbers are included to aid in referencing line items.

ASPEN MAINTENANCE & OPERATIONS TECHNICAL REQUIREMENTS MATRIX ASP

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B ONGOING ASPEN TECHNICAL OPERATIONS ACTIVITIES

1. The Contractor shall perform configuration management, database management and operations, and other technical activities critical to maintaining the availability, performance, and functional delivery necessary to meet the State’s business operations goals and objectives. These activities are essential in maintaining the ASPEN production environment and must support capacity expansion to keep pace with increasing caseload, new users, infrastructure upgrades, software patches, and application enhancements. The contractor shall collaborate, coordinate and continually communicate with HSD about status and emerging needs.

X X

2. The Contractor shall utilize HSD’s preferred system for documenting incidents, requests, problems, changes, code, business rules and release management.

3. The Contractor shall comply with HSD’s release and change management processes.

4. The Contractor shall maintain documentation of the architecture and its components. Examples include a full and current COTS inventory, hardware inventory, and record of firewall rules.

X X

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5.B.1 Key Contractor Tasks and Activities

6. Table B.1 is a summary of the primary areas of ASPEN Technical Operations and some of the key contractor roles and responsibilities for each area. Each section is further defined in sections B.2 through B.12 (below) where the specific tools, tasks and activities required to meet these objectives are defined.Specific task areas include but are not limited to:-Managing and maintaining ASPEN’s architecture, tiers and the associated framework-Monitoring application and database usage-Capacity planning-Emergency preparedness and disaster recovery planning-System security-Database management and support-File management-Improving system performance-Management of system patches and upgrades-Environment creation and support-Configuration management-Communications software, hardware and network support.-24/7/365 monitoring and maintenance, including staff on call-COTS integration;-Tuning;-Interfaces;-Reports;-Rule change configurations to support known scheduled activities

7. Software ArchitectureThe Contractor shall maintain and support the current ASPEN Software Architecture. The Contractor shall provide recommendations to the State to help achieve the IT Strategic goals of reducing costs and increasing the availability of services to citizens. The State reserves the right to change software based on business needs and the Contractor shall support any changes and minimize negative impacts on ASPEN maintenance, support or Operations.

Maintenance, Support and enhancement of the ASPEN FAST4J Framework1. The Contractor shall assess the applicability of architectural changes that could

improve system performance when performance opportunities are identified. The Contractor shall evaluate the potential impacts to the applications and whether the current infrastructure can support the proposed change before undertaking any of these solutions within ASPEN. The Contractor shall standardize an implementation approach to be approved by the State. Load testing will be conducted for any change that has the potential to impact system performance or stability.

2. The Contractor shall support and maintain the FAST4J application development framework and framework tools. This will include any changes

X

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needed to the Framework components to maintain compatibility, best practices and efficiency as the application code is updated to new versions of Java (JEE). Changes to the framework or framework tools may also be required to support other technology initiatives or ASPEN functional changes as directed by the State.

a. As any new standards or changes to support other approved enhancements are integrated into the framework, the Contractor shall also update the framework tools so that all generated code is compatible with the application and framework code.

b. When code generated by the framework tools is impacted by any change to the framework or application code, re-generation of all (impacted) existing code that was previously generated by the framework tools shall be required.

3. The Contractor shall be responsible for impact analysis before and after framework changes, framework tools changes and resulting changes to code generated by framework tools.

c. The Contractor shall review the results of the impact analysis with ITD prior to the release of the modified code into upper environments.

d. The Contractor shall develop a test plan that will confirm that the deployment of these changes will not have a negative impact on ASPEN functionality or performance. The test plan must include automated regression testing relevant to the changes to minimize the risk of any un-intended functional impact. The test plan will include load testing for any change that has the potential to impact the performance or stability of any part of the application.

i. The test plan shall be submitted to the State for review prior to release of the modified code into upper environments.

ii. The Contractor shall complete the required testing and document the results prior to release of the modified code into upper environments.

iii. Any negative impacts discovered during the testing of these changes shall be communicated to The State along with the Contractor’s recommendation for how these issues should be resolved.

4. The Contractor shall also modify and test the framework components to support proper integration with existing 3rd party software used by ASPEN when changes or upgrades to the 3rd party API’s are made that affect the framework or application code.

e. In the event that changes to 3rd party software require changes to the code generated by the framework tools, the Contractor shall modify the framework tools so that all generated code is compatible with the 3rd party software.

i. This will require that the contractor adhere to the process in section A.1 and A.2 above to minimize negative impact on ASPEN.

5. The Contractor shall maintain and support all technical services provided by

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the framework in this RFP, including but not limited to the critical services identified in Table B.1.

6. The Contractor shall utilize the appropriate framework services when any new code is added to ASPEN or existing code is modified.

7. Due to the extensive re-use of framework services within the application and the potential for impact across multiple areas of the application, changes to the framework or framework tools shall require proper communication with all ASPEN functional area leads as well as HSD leads.

8. Once server upgrades, patches, or hot fixes are approved using HSD’s change management process, they shall be analyzed and resolved in the lower environments. The Contractor shall deploy the security software upgrade into the higher environments, upon approval by the State. If additional application modifications or software configuration changes are required, the Contractor shall coordinate with ITD and application teams to incorporate the changes in a prioritized release. The Contractor shall conduct detailed regression tests with HSD before changes are made to production servers to confirm that none of the proposed changes impact the functionality of the application.

9. At times, special environments may be needed to allow for the development and testing of release items that will span multiple releases or have testing requirements that cannot be provided by the standard environments. The Contractor shall create and support of these environments as directed by the State. Changes in the special release will be correctly merged into the standard environment when the special release is completed.

10. The FAST4J Framework provides a set of code generation tools that is used to automatically render several critical ASPEN components based on the schema of the database.The following code artifacts, configuration items, and assets are generated by the framework tools:

Database Access Code (Cargoes, Collections and DAOs) Messaging and Web-Services Framework Page Queuing and Page Flow Framework

The Contractor shall support and maintain the Framework productivity tools. The Contractor shall document processes and procedures related to the support and maintenance of the framework tools.

8. Presentation (Web) TierThe Contractor shall maintain and support all presentation tier components including but not limited to the components that provide the features listed in the Presentation Tier table below. The Contractor shall confirm that all new and modified code impacting the presentation tier will be in compliance with the current ASPEN User Interface standards and properly utilize existing components of the framework and presentation tier.

Due to the extensive re-use of standard presentation tier components and the potential for impact across multiple areas of the application, changes to shared components will require proper communication with all functional leads. Shared presentation tier

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components include framework components that impact the presentation tier, global JavaScript functions, style sheets, custom tag libraries, Java Server Pages (JSP) include files, shared page elements and all other components used by more than one screen.

9. Business TierThe Contractor shall maintain and support all business tier components including but not limited to the components providing the features listed in the Business Tier table below. The Contractor shall confirm that all new and modified code will be in compliance with the current standards and will properly leverage existing re-usable components to improve maintainability, reliability and minimize impact on other system functionality. Whenever new functionality is needed in the business tier, it shall be designed to be re-usable by other ASPEN components.

Due to the extensive re-use of standard business tier components and the potential for impact across multiple areas of the application, changes to shared components will require proper communication with all track leads whose areas may be affected as well as HSD and ITD leads.

The Contractor shall support and maintain the Business Rules Engine (BRE) and all tools used to develop, test and debug new business rules and the decision tables used by ASPEN. Changes to the BRE or decision tables that impact multiple areas of ASPEN shall require proper impact analysis and communication with affected functional leads.

X

10. Persistence (Database) TierThe first two layers of the solution act like separate components of the overall solution that enable specific activities to occur before allowing the User to access the database where sensitive data resides. The Database Tier is designed to provide the State added security. It will use port 1521 for Oracle or as otherwise defined by the technical requirements. Roles providing access to the application are built into the ASPEN system. The database environment, where data is read, updated and processed according to the business rules configured for operations, is accessed after a series of approvals and processing functions occur within the previous two layers of the system. Stored procedures and triggers within the Database Tier enable mass updates, deletes and other operations to occur quickly within this layer.

The Contractor shall continue to build upon the existing persistence tier framework to help the State with new initiatives such as an archiving and purging solution, Oracle Partitioning, and ongoing performance optimization efforts.

The Contractor shall maintain and support existing components of the persistence tier including but not limited to the components that provide the features in the Persistence Tier table below. The Contractor shall confirm that new code released into ASPEN follows the established standards and best practices as components of the persistence tier are used.

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The Contractor shall enhance the persistence tier framework as directed by the State for initiatives such as an archiving and purging solution, Oracle Partitioning, and ongoing performance optimization efforts.

The Contractor shall maintain and update the ASPEN data dictionary as changes are made to the data model. The Contractor shall use enterprise standard modeling tools to define the data dictionary elements such as table and column definitions adhering to naming standards and data creation pertaining to relevance, relationships to other data, source, usage, and format. Detailed descriptions of tables and database fields should provide critical information to help technical resources understand the proper use of tables and tables and columns within the ASPEN application. The information provided in the Data Dictionary shall be accurate, up to date and of sufficient detail to improve maintainability and reduce the risk for future development initiatives.

The Contractor shall support and maintain the enhanced history persistence layer that allows capturing time-limited data, and captures audit history for records in the database as an auditing mechanism required by the State to track specific transactions performed by a user. The Contractor shall provide transaction-level audit data required to comply with state and federal security regulations.

11. Messaging and Integration Services TierThe Contractor shall maintain and support existing components of the Integration tier including but not limited to the components that provide the features and services identified in Table B.1. Due to the impact that changes to the Messaging and Integration tier can have on multiple areas of ASPEN as well as other agencies and 3rd party applications, the Contractor shall perform impact analysis and testing before these changes are implemented. The contractor shall communicate with all affected ASPEN functional leads and 3rd party contacts, allowing all parties sufficient time to test before changes to the messaging and integration layer are committed.

The Contractor shall enhance the integration layer as directed by the State to leverage web services to interface with real-time agencies where batch is currently being used. These real time interfaces will provide workload relief and improve service to customers.

The Contractor shall enhance the integration layer to improve ASPEN SOA compliance as directed by the State. These initiatives will provide workload relief by integrating document imaging and text / voice messaging capabilities into ASPEN

X

12.B.2 System Health Check and Monitoring

13. Monitor availability and performance of the ASPEN system and environment in real time. Monitor batch schedules with any changes required to complete batch operations within the designated window without negative impact to the online system.

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The Contractor shall perform system health checks pro-actively and regularly following each release and:

Identify and communicate issues with performance and / or stability Recommend and implement optimizations Monitor system metrics closely during post-implementation

The Contractor shall analyze and review system performance data on a regular basis to provide the State with accurate recommendations for hardware, software or infrastructure changes required to:

Support the implementation of new business functionality or technology initiatives

Support increased caseload processing while maintaining performance and availability objectives of the State.

Increasing volume of data, functionality added through application releases, steadily increasing caseload processing needs, and hardware/software changes to the infrastructure contribute to constant system growth. To prevent system performance degradation and improve the stability of ASPEN, the Contractor shall:

Identify processes that are running longer than historic norms or other expectations.

Track the historical performance of individual processes over time to identify those that are affected by the maturing system.

Provide ad-hoc reports and create automated reports that collect information and statistics as needed and document indicators used to provide accurate recommendations for optimal system operation to State management.

14. B.2.1 Application and Database Usage Monitoring.The Contractor shall leverage monitoring tools such as Nimsoft and Oracle Enterprise Manager (OEM) as well as the review and analysis of Automated Reports to provide the State with critical information on ASPEN and ASPEN application and database usage and resource utilization and create automated alerts to notify technical leads, State and Contractor management and support staff when system/application thresholds are exceeded. Application and Database monitoring shall include the following: Nimsoft Monitoring

Nimsoft usage:

Collect, monitor and analyze server information everyday

Monitor Application, Database and Web Server CPU and Memory utilization

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Web Sphere-related application counters

EJB Response Times

Container requests

Produce dashboards and reports for real-time views of the health applications, databases, and of all components that support ASPEN and key performance metrics.

Custom Monitoring Reports: Provide automated monitoring reports to monitor and gauge performance

and system availability in Production.

Send periodic automated alerts on:

o Statistics and Metrics:

o Application Instanceso Database health metrics including:

OEDBC transaction times Queue depth Hung threads Garbage collection statistics EDBC usage statistics EDBC Usage trends

Provide Production Operational Summary report as needed to mitigate the risk of performance issues that could impact statewide availability of ASPEN

Automate the consolidated Production Operational Summary Report to be accessible through a real-time dashboard

Automate detailed metric reports

Use Oracle Enterprise Manager (OEM) to monitor: Database memory Processor utilization Disk utilization Query processing time Query processing efficiency

Database Tuning Criteria Monitor and document queries that use the most system resources during peak online times and heaviest batch schedules. These queries shall be reviewed and analyzed to provide recommendations for

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optimizations to State and Contractor management and application track leads for weekly meetings. Resources that shall be considered in the criteria for this list include:

o Buffer getso High hard parsing ratioso High CPU cycle consumptiono High I/O rateso Extended execution timeo Optimized utilization of Exadata architecture

DBAs shall review and make necessary recommendations to Application Development leads who shall create work requests for critical optimizations

Refer Work Requests to Release Planning Management team to prioritize and schedule

15.B.3 Capacity Planning

As the ASPEN application evolves and expands, scalability of the system and its components must be regularly evaluated to verify adequate infrastructure for new business and technology initiatives.

The Contractor shall identify and respond to capacity issues and provide accurate forecasts on future capacity needs to allow HSD management time to plan and coordinate any required upgrades.

X X

16. B.3.1 Capacity Planning Process

Key steps in the capacity planning process include:o Gather and analyze system data and usage statistics from a variety of sources

including: Database/File System Growth. Obtaining statistics and calculate the

expected increase over time to make accurate growth projections. User Base Growth. Review the number of application users added,

changed, or deleted. and determine the potential for impacts on the system resources.

Actual System Usage. Review changes in the numbers of transactions, percentages of resources consumed, database hits, other I/O metrics, CPU usage, disc usage. , etc. to provide an overview of system resource usage and also potential areas of concern.

Determine the growth patterns for both the online and batch environments

X X

17. o Evaluate the impacts of new business and technology initiatives: System resources for ASPEN will expand with normal growth but also

X

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through the implementation of significant new initiatives. Any capacity initiative may have significant impact on the infrastructure such as: added processor load, more file and database storage space needed, more users, additional correspondences produced, etc.

Provide management and technical leads with a set of processor usage metrics under various user load and activity scenarios

Report on the overall performance of the system within the production infrastructure and the availability of additional resources that may be required for new initiatives

18. o The Contractor shall meet with the State to present and discuss the capacity plan information, and

Provide the State with a set of detailed estimates to forecast future capacity requirements

Make specific architecture, hardware, and software recommendations in line with capacity forecasts

Analyze the impacts of new technologies or any code changes being introduced

Identify where the primary impacts to the infrastructure are expected

X

19. B.3.2 Capacity Plan Review and Quarterly Reporting

The Contractor shall review previous capacity plans to evaluate the accuracy of forecasted increases and provide quarterly capacity plans and individual initiative capacity estimates to the State. These plans and estimates shall include:o The scope of the initiative(s) being covered in the capacity plano Any anticipated increases to the system user baseo Any increases to resources usage and disk consumption of the database and file

storage serverso Any increases to network bandwidth consumptiono Any increases to service consumptiono Any requirements for new or additional software licenses.

The Contractor shall perform the following activities of the Network Infrastructure: Bandwidth testing Load balancing Configuring firewall rules security rules and certificates

The Contractor shall review issues related to the ASPEN application that may be identified by the State during the evaluation of network monitoring.

X

20. B.4 Support Emergency Preparedness and Disaster PlanningASPEN supports critical HSD operations for delivering services and benefits to the citizens of New Mexico. It is vital to maintain business continuity. The Contractor shall support existing disaster recovery processes to minimize the risk that ASPEN could be compromised by natural or technological disasters. The contractor shall support and assist with disaster recovery activities with the objective of avoiding

X

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partial or complete disruption of ASPEN services in case of an unplanned event. These activities include: Assess risks, severity and steps to mitigate them. Perform, test, document and support disaster recovery activities at a minimum

twice per year, including periodic testing of failover, failback of the Disaster Recovery system.

Update the current Disaster Recovery plan documentation as directed by the State.

The Disaster Recovery Plan must include:o A structured contingency and escalation process in the case of system

outageo Established emergency plans:

Communication plans Processes for remote support Back-up procedures

o Post-contingency plans: Established processes for business impact analysis that will help determine the

severity and ramifications of an emergency eventProvide analysis of operational state to the State immediately following any emergency event

Provide recommendations and associated risks to the State following any emergency event

Review the readiness of the disaster recovery database and application environmentso Regularly verify that the Disaster recovery database is in sync with the

production database and the DR application environment is up to date with the latest application software and configuration

Assist with the Implementation of failover and disaster recovery strategies Document all fail over steps including software installation and server set-up

procedureso Provide clear and concise step-by-step directions sufficient to restore all

critical components of the ASPEN environment in the event of an emergency

Determine and document the root cause of any disaster or emergency event Document, test and verify emergency procedures and disaster recovery

strategies including:o Processes to manage and restore the server infrastructureo Processes to restore and validate system configurationo Data requirements

Support the state’s annual end-to-end testing of the ASPEN Disaster Recovery Plan and update the plan as appropriate from lessons learned.

21. B.5 SecurityThe Contractor shall adhere to the State’s established security policies and requirements and support, maintain and enhance the ASPEN security framework as directed by State management. ASPEN employs multiple levels of security to protect

X

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data and control access rights.

22. The Contractor shall develop new or modified ASPEN components following the standard security, privacy, and confidentiality controls to protect recipient and provider information.

X

23. ASPEN’s configurable security modules store user IDs and passwords in the Lightweight Directory Access Protocol (LDAP) repository for authentication, use a 128-bit strong encryption Secure Socket Layer (SSL) for web pages using hardware encryption, and create application user level security profiles to provide control access based on location and roles.

X

24. The Contractor shall comply with the established ASPEN standards for security as well as state and federal regulations and guidelines related to Security, Confidentiality and Auditing.

X

25. The Contractor will ensure that its employees and sub-contractors will obtain, maintain required security training and follow HSD and State policies regarding security.

X

26. Additional Contractor tasks and activities related to application and system security include: Analysis and review of new business and technology initiatives to Implement

safeguards to protect against: unauthorized data access Support the monitoring and reporting of any unauthorized data access Create same-day security reports that monitor suspicious activities, regularly

review these reports, and notify State of suspicious activity as warranted Identify unauthorized access or inappropriate use of the ASPEN system, including

all componets that make up ASPEN (i.e. nexus, ASA, COTS apps, etc.) Report any unauthorized or suspicious activity on the ASPEN system or its

components to the HSD ITD Security group. Provide reports of detailed transaction and user access set-up information to

identify workers having privileges beyond their roles and responsibilities Support the regular scanning for and remediation of security vulnerabilities in the

ASPEN system Provide support for the maintenance and enhancement of the existing ASPEN

security framework which includes:o Standard authentication processo Validation of user credentials through the standard mechanism of

providing a user name and passwordo Automated processes for creating detailed audit recordso Configurable authentication process storing user credentials in an

LDAP repositoryo Security architecture that is capable of expanding to use available

alternatives that provide greater flexibility such as single sign-on (SSO) access in order to interact with multiple state applications or use a centralized State LDAP repository.

o Support of system administration module to capture transaction

X

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logs and: Make logs available to state security coordinators Capture user information in a separate set of tables that

cannot be modified by the application Track suspicious user activities that are monitored through

the use of security reports that identify the user account and, in some instances, the user workstation address, and report to HSD.

o Application interface that supports detailed configuration of user roles and business functions by security coordinators.

o Provide support for existing Oracle encryption framework and any additional encryption mechanisms required by State or Federal requirements.

o Provide support for existing EDM (Electronic Document Management) encryption framework and any additional encryption mechanisms required by State or Federal requirements.

27.B.6 Application Architecture Management

28. The Contractor shall assure proper architectural design and standards alignment across the ASPEN solution. The Contractor shall propose and, upon approval by the State, implement a Technical review process that serves as an additional method for tracking and assessing process and methodology compliance for project initiatives.The Contractor shall provide support for the Corticon Rules engine including maintenance, backup, documentation,

X

29. The Contractor shall verify that software artifacts (system modifications/enhancements) produced for ASPEN meet the following objectives:

o Support the implementation of the work request requirements and documented functional design

o Leverage the approved technologies and software products that align with the ASPEN standards.

o Properly implement the services of the ASPEN framework and efficiently re-use standard components of the business, integration, persistence and presentation layers.

Comply with HSD’s security requirementsIn addition, the technical review team shall:

o Document common issues identified during technology reviews to improve QA review standards for future initiatives

o Discuss the architectural and technical direction of project initiatives with the ASPEN core team including:

o ITDo ISDo MADo Other State and Federal agencies that are involvedo ASPEN Application Leadso Contractor Technical Team

X

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o The core team critically reviews the proposed functionality across domains to verify that the various standards are being followed. The Board also evaluates whether or not existing applications and resources are properly leveraged, per the existing architecture.

30.B.7 Database ManagementEfficient flow, storage, and on-demand retrieval of data are essential to the success of ASPEN. The Contractor shall support, maintain and enhance the ASPEN database as required by approved project initiatives with consideration that solutions must scale to the size of the database, support expected growth rates and provide performance that meets or exceeds service level agreements for the volume of transactions expected in the production environment.

X

31. With the expectation that the size and production load will continue to increase, the Contractor shall recommend ways for managing, accessing, and storing ASPEN data cost-effectively and ongoing compliance with federal and state mandated data retention requirements.

X

32. The Contractor shall follow an established and documented SDLC methodology to manage ASPEN’ information effectively through its life cycle phases in an efficient and cost-effective way that aligns with the State’s business and technology vision. The objectives and activities defined by SDLC must include:

o Plan and conduct standards-based code/process reviewso Documented processes to provide a maintainable, scalable, and fault-

tolerant database infrastructure that meets operational needso Implement proactive troubleshooting, performance tuning, and batch query

optimization activities that support the State’s need to:o Provide users with acceptable response timeo Insure batch processing runs efficiently and completes within the

batch window.o Safely secure and manage sensitive information

o Maintain integrity, security, and overall accuracy and reliability of data processing

o Monitor the integrity of the data while implementing changes to environment(s).

o Document and communicate all issues identified during monitoring and review activities so that the Release planning team can prioritize any application maintenance needed to resolve critical issues

o Adhere to established standards and processes for: Data Archival, Retention, and Purge activities.

o Archival. Archival processing supports the identified delineation and separation of data that are required for immediate online processing versus data that can be transitioned to less expensive media.

X

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o Retention. Data retention relates to identifying rules that define how long archived data needs to be stored. Archives are typically kept for auditing, and regulatory, analysis, or reference purposes.

o Purge. Data purge identifies criteria to systematically and permanently remove aged data from the system.

33. B.7.1 Database Technical Support ServicesThe Contractor shall comply with the following requirements in this section.

34. Online Query PerformanceObjective: Proactively identify performance tuning opportunities critical to maintain the needs of the business and to extend the State’s hardware investment.Contractor Key Activities and Responsibilities:

o Proactively Monitor online queries for performance.o Use all available tuning tools (including AWR, ASH, OEM, etc.) to identify

and analyze additional optimization potentialo Maximize the capabilities of the Exadata architecture

X

35. PL/SQL Code ReviewsObjective: Deliver database access and PL/SQL code efficiency with adherence to agreed-upon standards and industry best practices

Contractor Key Activities and Responsibilities: Verify compliance with established standards including:

Proper naming conventions Appropriate declaration of parameters

Completeness of exception and error handling including logging and notifications.

X

36. Batch Process OptimizationObjective: Identify performance trends and tuning opportunities for existing and new or modified batch queries

Contractor Key Activities and Responsibilities: Identify tuning needs as data volume processed by batch increases over a period of time Use all available tuning tools to identify and analyze additional optimization potential Create a customized report identifying potential performance issues that would require application maintenance Review performance reports with State and Contractor Application Development Leads to identify the optimizations that should be referred to release planning for prioritization.

X

37. Database Backup/RecoveryObjective: Design and configure backup solutions and recovery to support business continuity, avoid data loss, and meet audit regulations

Contractor Key Activities and Responsibilities:

X

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Design and configure back-up solutions and recovery mechanisms based on:

o Business criticalityo Application complexityo Disaster recovery requirements

Implement Database Back-up strategies that:o Support business continuityo Avoid data losso Meet or exceed audit regulations.

Perform periodic test recoveries of production databases. Conduct test restores of database backups regularly and provide results to

HSD

38. Database Design ReviewsObjective: Comprehensively represent relationships between business entities and attributes with adherence to the State’s standards and leading practices. Identify and remediate design issues that compromise the quality or stability of the database

Contractor Key Activities and Responsibilities:o Conduct database design activities pertaining to Logical Data Models

(LDM) and Physical Data Models (PDM) based on a available inputs such as new requirements, business rules and workflow, user interface (UI) needs, transaction design and SDLC considerations

o Coordinate regular sessions with the development teams to understand functional designs that involve new database changes or changes to existing database structure.

o Manage and maintain effective data models that are extendable, flexible, and maintainable for online and batch transactional processing

Verify that new development is in compliance with ITD technical standards, policies, privacy / security standards, change and release management, and the Database design standards defined in Section B.7.2.

X

39. Database Performance MonitoringObjective: Regularly monitor and analyze the operation and execution of individual components of ASPEN, as well as the overall environment, to identify and implement performance-tuning initiatives

Contractor Key Activities and Responsibilities:o Use the Oracle Enterprise Manager tool to monitor the overall database health

and performanceo Provide the following reports to support the database performance management

activities:o Automatic Workload Repository (AWR) Report. The AWR report

information is currently available using the Oracle Grid Control Monitoring. The Contractor’s technical team shall monitor database activities and discuss any identified issues in the Infrastructure meetings. ASPEN Database Top 10 Performance Reports: Provide

X

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Contractor and ITD management teams with an overview of jobs and queries that have been identified as top candidates for performance tuning.

This includes a list of the top 10 queries that consume the most database and system resources

Capture this information weekly via database analysis and communicate with management and application development teams during regularly scheduled meetings.

Analyze the functionality of these queries and prioritize them through the standard Work Request process.

40. Database Patches and UpgradesObjective: Working with Oracle Support as needed, apply the latest patches without negative impact on system stability or availability while complying with State’s change management framework.

Contractor Key Activities and Responsibilities:o Implement timely resolution and coordination for patches and upgradeso Proactively monitor industry trends and patch announcementso Perform research to demonstrate compatibility and support for key

functionalityo Evaluate patches in lower environments for stability and impact on the

Aspen Application before applying to production.o Develop proof of concepts to demonstrate compatibility and mitigate risk of

any negative impact on the application.o Create and maintain Disaster Recover replication services for key Aspen

data including Oracle and ImageNow EDM data. This shall include replication services which will be monitored to meet availability and performance goals.

o Create and maintain replication of key DR systems to facilitate quick switchover to a DR configuration.

o Evaluate new database versions and features beneficial to HSD and the Aspen project.

o Provide upgrade planning and implementation of new database versions and features as approved by HSD.

X

41. B.7.2 Database StandardsThe contractor shall comply with the following database standards:

42. B.7.2.A Data Modeling - Naming StandardsData model naming compliance is confirmed during the review of both the logical and physical data model (PDM) review. Additionally, checks are made upon submission of the data dictionary with the physical data model (PDM).

X

43. B.7.2.B Database Coding

44. B.7.2.B.1 PL/SQL Structure PL/SQL Structure compliance shall be confirmed by completion of unit test checklists and developer peer review processes

X

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45. B.7.2.B.2 Error Handling Error Handling compliance shall be confirmed by completion of unit test checklists and developer peer review processes

X

46. B.7.2.B.3 Naming Standards Naming Standards compliance shall be confirmed by completion of unit test checklists and developer peer review processes.

X

47. B.7.2.B.4 IndexesIndex standards compliance shall be confirmed with the review of the physical data model and periodic checkpoints through the development process.

X

48. B.7.2.B.5 Primary/Foreign KeysPrimary/Foreign Key standards compliance shall be confirmed with the approval of the PDM.

X

49. B.7.2.C Physical Implementation

50. B.7.2.C.1 SequencesSequence usage standards compliance shall be confirmed with the approval of the PDM.

X

51. B.7.2.C.2 Table DeignTable Design standards compliance shall be confirmed with the approval of the PDM.

X

52. B.7.2.C.3 Triggers/SequencesTriggers/Sequence standards compliance shall be confirmed with the approval of the PDM.

X

53. B.7.2.C.4 ViewsView standards compliance shall be confirmed with the approval of the PDM.

X

54. B.7.3 Additional Database Management ActivitiesAdditional maintenance and operations activities that the Contractor shall perform include:

55. B.7.3.A Gathering Database StatisticsDatabase tools, such as Enterprise Manager, highlight database opportunities that can be addressed with database reorganization or maintenance. The statistics gathered identify items such as data cardinality, excessive row chaining, logical/physical reads, etc., that indicate reorganizational activities. Maintain automated utility/scripts scheduled to repeatedly gather database statistics.

X

56. B.7.3.B Reorganizing TablesTypically, the data for ONLINE databases are changing frequently due to transaction

activity against that database. As a result, the underlying database segment begins to fragment and response time tends to degrade; the data in the physical storage become scattered and require Oracle to perform more I/Os to that

X

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storage, which results in performance degradation. Execute scripts to identify the tables that need to be reorganized. These table reorganizations help restore the data in physical order, and reclaims space from free blocks. The result is an improvement in performance.

57. B.7.3.C Rebuilding IndicesUse of appropriate indices is very important for any SQL query to retrieve data

quickly as well as perform data manipulation during a transaction. To keep the indices up to date and get optimal performance for queries, especially on Online systems, the following maintenance activities shall be performed if appropriate: Schedule and run scripts to coalesce the indices to confirm the indices are

appropriate and not corrupted. If index corruption occurs, considerable performance degradation may result.

For those tables where the data manipulation transactions are very frequent (for example high volume of inserts, updates and deletes), regular rebuilds of indices may be needed to reclaim the space as well as keep the indices appropriate.

X

58. B.7.3.D Moving Tables to Less Expensive StorageBusiness requirements may dictate that data are to be retained in the online database for inquiry purposes for several years. Depending on how often the data are viewed, some of that data can be moved into different storage tiers. For example, data that are more than 5 years old and that get viewed only occasionally may be moved to “tier-3” storage, which is less expensive. Perform maintenance activities to move this “aged” data as directed by the State.

X

59. B.7.3.E Backing up Archive Logs/Trace LogsBackup and recovery is one of the most important activities associated with

protecting valuable data assets. It is crucial to be able to restore the database to a point prior to a hardware or software error or database corruption. Due to high volume of transactions occurring in the online environment, the archive logs that Oracle generates are voluminous.o Support and maintain utility/scripts to back up the archive logs and free up

the disk space.Oracle generates trace logs to report any issues or warnings identified in the database. The event may be an increase in tablespace, transaction dead locks, shutdown/startup for maintenance, etc. This helps a DBA analyze any error conditions and take necessary actions.

o Support and maintain utility/scripts scheduled to back up the alert and trace logs and free up and maintain disk space.

o Conduct regular test restores of backups.

X

60. B.7.3.F Importing/Exporting DataThe periodic export of table structures, as well as the export of configuration data, is

performed to support the application team during their various releases.o Support and maintain automated scripts that export data directly from production into the production environment test.

X

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Ad hoc refreshes of production data to lower environments as directed by the State to help confirm that the application teams have a sufficient volume of data against which they can perform functional and load testing. This helps reduce the number of performance issues that are deployed to production. Lower environments may require data masking applied to ensure that sensitive data is not exposed to developers and unauthorized personnel.

61. B.7.3.G Post Production Deployment CleanupPrior to production deployments, DBAs take backups of the database to support

rollback, if needed..Support and maintain utility scripts that check and report back up tables.

X

62. B.7.3.H EncryptionThe Contractor shall

Create and maintain encryption where mandated by State or Federal security requirements.

Collect and maintain logs from key systems such as firewalls for forensic analysis.

Maintain and protect all keystores used for encryption purposes. Ensure these are backedup before and after changes and supplied to the State.

Apply data masking techniques to all sensitive data relocated to any lower environments.

X

63. Coordinate with other State organizations that may be responsible for other parts of the infrastructure such as Exadata hardware. Provide support in a timely fashion to facilitate rapid problem resolution.

X

64. B.7.4 Additional Database Management Support ActivitiesDatabase Management Support activities that the Contractor shall coordinate or conduct as directed by the State include:

X

65. B.7.4.A Database Design SupportConduct data modeling and normalization for both Online Transaction Processing,

batch processing and Data Warehouse initiativesCreation and review of physical database designSupport database creation and update across multiple environments

X

66. B.7.4.B Database Coordination SupportCoordinate and consult with application teams, Contractor and State management.

X

67. B.7.4.C Database Release SupportTest and migrate database code and structure changes to Development, Integration,

Systems Acceptance Test, Training, and Load Test environments / Provide database centric deployment scripts for Production migrations

X

68. B.7.4.D Database Operations SupportProvide input into database standards identification and perform compliance

monitoring. Develop database maintenance and reorganization scriptsDevelop application related data fixes Develop scripts and/or utilities and

X

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accompanying documentation for refreshing lower environments

69. B.7.4.E Performance Support/ImprovementProvide database administration and performance tuningReview database query performance and make recommendations for improvementOptimize performance to take advantage of features in the Exadata architecture.

X

70. B.7.4.F Information Life Cycle SupportFacilitate solutions to support business systems data and information life cycle

management requirement

X

71.B.7.4.G RACI Agreements

Adhere to RACI agreements between all organizations involved in ASPEN maintenance.

X

72.B.8 File Management

73. The file management processes that support the ASPEN system must be adaptable to meet the changing business needs of the State. The Contractor shall follow established processes and standards for the systematic implementation of online and batch configuration changes in multiple environments with ongoing development efforts and upcoming software changes and successfully implement configuration changes tied to a release

The Contractor shall improve and advance these file management processes to facilitate smooth and efficient operation of ASPEN during the maintenance period. In collaboration with The State, the Contractor shall perform regularly scheduled maintenance on files to support ASPEN system in a cost effective manner. File Management tasks and activities performed by the Contractor shall include:

X

74. B.8.1 Archiving and Purging of Filesa. Move old files generated during the batch operation from high-end to low-end

storage areas to archive them so that the system has the required space for new activity and transactions in Production as approved by HSD.

b. Adhere to the State’s retention requirements.c. Move old files generated during the online operation from high-end to low-end

storage areas to archive them so that the system has the required space for new activity and transactions in Production as approved by HSD.

d. Collaborate with HSD to establish the purge criteria for files that are no longer needed or used

e. Perform the required cleanup periodically to save on the disc storage and promote efficient operation of the system

f. Collaborate with HSD to determine and refine the selection criteria for these files

g. Obtain approval from the State for purge activities

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Obtain approval from the State for cleanup activities

75. B.8.2 Monitoring Disk Space Growtha. Provide appropriate disk capacity planning recommendations to The Stateb. Use and support the features of the following tools (or other tools and utilities as

directed by the State) to monitor the usage of disk space:o Nimsofto Oracle Enterprise Manager (OEM)

X

76. B.8.3 Managing Environment Specific Online and Batch Configuration Propertiesa. Maintain and perform version control activities on online, and batch

configuration property files in ClearCaseb. Configuration changes must be properly tested, validated and approved by the

State prior to release into the production environmentc. Adhere to established State standards for the release of configuration changes

into production: (Currently these include)i. A “Request for Change” (RFC) shall be entered for any configuration

changes in ProductionThe RFC request must be reviewed and approved for implementation in Production by the ASPEN Change Control Board (CCB)

X

77. B.8.4 Managing Batch Data FilesIn accordance with the established Security standards and as directed by the State, the Contractor shall perform tasks such as:

i. Periodically move production batch data files to the system’s global archive location for analysis and troubleshooting

Periodically move production batch data files to the system’s global archive location for auditing purposes

X

78. B.8.5 Managing Batch Framework Tables Configurationa. Any addition of new batch jobs or changes to existing ones shall involve changes

to batch parameter tablesb. SQL files for entries into the set of Batch Framework Tables shall be maintained

in ClearCasec. SQL files for entries into the set of Batch Framework Tables shall be version

controlled in ClearCased. Changes to parameter tables in a specific environment shall be requested through

a ClearQuest Environment RequestClearQuest Environment Requests pertaining to batch shall be reviewed in daily meetings between Contractor and ITD batch teams

X

79.B.9 System Performance ImprovementsThe Contractor shall meet or exceed the State’s performance objectives for optimum system performance at peak load levels as the system matures and with the expectation of increased caseloads and data volume. The Contractor shall maintain acceptable response time during online and batch processes. Contractor activities to achieve these objectives shall include:

X

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1. Provide performance test plans and conduct periodic performance testing as specified by the State

2. Review performance test data to:a. Identify performance tuning initiatives for batch softwareb. Identify performance tuning initiatives for online softwarec. Coordinate with HSD, the Application development teams and

Release planning teams to prioritize and Implement performance tuning initiatives for online and batch components

3. Track performance concerns in the field through the Cherwell ticket resolution and help desk processes

4. Respond to performance complaints with a formal analysis and report to the State.

5. Produce performance reports required by application development teams, Contractor and State management to make informed decisions about the priorities of initiatives related to system performance

The Contractor shall provide and follow a well-defined system performance methodology and document defined processes related to the following areas:

80. B.9.A Application Performance ProcessUnderstanding overall system performance objectives.Designing and writing effective application code.Providing secure and an effectively configured and sized technical infrastructure.Properly testing the application’s online and batch components, under expected

business volumes.Enabling a feedback process to the development and release planning teams to revise application components that do not meet performance objectives.

X

81. B.9.B Performance EngineeringDesign effective performance characteristics into the framework and application

code.Application development templates shall include standard code that follows leading

practices and guidelines to help to optimize performance.Numerous technical considerations shall be addressed, including effective SQL

coding, database indexing techniques, high-quality lock management, and setting appropriate subsystem parameters in the areas of connection and thread management.

These technical considerations should be enforced by the application framework wherever possible so that are automatically applied whenever new code is introduced to the system

X

82. B.9.C Testing ToolsUtilize industry leading performance testing tools, including HP Loadrunner and Quick Test Pro

X

83. B. 9.D Other System Performance Improvement requirementsThe Contractor shall perform effective performance testing and monitoring to offer

X

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the State crucial insight into performance and infrastructure tuning opportunities on a regular basis.

84. The Contractor shall develop, manage, and maintain test scenarios that mimic the actions of end users. Contractor shall seek the State’s input and concurrence with these scenarios. By closely emulating the user base of a system performing normal business activities for a sustained period, performance tests instill confidence that the system architecture and infrastructure support the demands of system functionality.Performance tests shall focus on response time, throughput, and time-to-completion. Test objectives must include:

Confirmation that transactions are processed to downstream systems Confirmation that transactions are processed to users in a timely fashion Performance indicators critical to the business are satisfied New applications are quickly made available to transaction processing

systems Case updates are quickly made available to transaction processing systems Documents are quickly made available to transaction processing systems

Eligibility determination calculations are completed within acceptable times

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85. The Contractor shall proactively monitor the system to find and address tuning opportunities before they impact end user satisfaction, using tools and utilities including:

o Nimsoft & Oracle Enterprise Managero Customized scriptsDocument and version customized scripts to establish repeatable processes for the identification and resolution of performance issues

X

86. The Contractor shall make recommendations to management and the Release planning team where application maintenance would provide significant performance gains. Throughout the maintenance phase, Business systems analysts, application development resources and technical leads shall work together as directed by the State to achieve the following performance objectives:

Apply methods to improve response time Apply methods to improve perceived response time Improve performance with measures including (Where appropriate):

o Pre-loading commonly used framework objectso Local data replication, client side cachingo Data de-normalizationo Server side cachingo Reducing the size of user interface components to improve

transfer time and reduce time required to render complex screens

o Apply partitioning to the physical data base design Implement asynchronous processing if the State elects to use it

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o Improve perceived performance Let the user complete other actions while a

transaction completes Progressively render a page as data become available

87.B.10 System Patch and Upgrades Management

The Contractor shall plan for upgrades to software and operating systems as new features are released and products approach their end-of-life dates. The Contractor shall identify operating systems and COTS (Commercial, off-the-shelf) product upgrades and assist in the analysis of upcoming changes and releases, including defining the impact to in-scope systems and creating an upgrade deployment strategy that aligns with application deployment target dates.

The Contractor shall comply with State’s change management process in support of this activity.

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88. B.10.1 Identify the Need for an UpgradeRegularly review business drivers provided by the State for upgrades including:

1. Keeping product versions current, as appropriate.2. Apply required security patches consistent with department requirements as

directed by the Information Security Officer.3. Understanding new business initiatives and requirements that need additional

features not supported by the current software4. Noting dependency from other components supporting the software infrastructure

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89. B.10.2 Perform Impact AnalysisThe ASPEN environment has a large number of components each of which are critical to stable operation. This increases the risk of an impact during a system upgrade. Performing an impact analysis is crucial to identify possible negative impacts that could affect the overall system functionality and stability.

Once a system upgrade or patch has been prioritized by the State, the Contractor shall identify the business and technical impacts and any associated risk and provide executive management with critical information vital for the decision-making process.

Identifying the impact of any software or system upgrade across ASPEN functional areas is one of the most critical tasks conducted by the technical team. The Contractor shall coordinate cross track meetings where these items are discussed and reviewed by the functional specialists to assess any potential risks involved. As part of this process, the assessment will be well documented and communicated to State and Contractor management to support prioritization and decision making.Provide validation that hardware and software fixes applied to the infrastructure have not had a negative impact on Aspen services.

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90. B.10.3 Develop and Test Proof of ConceptAs part of the upgrade process, the Contractor shall create proofs of concept (POC)

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to validate that the code, the framework, and all related components will continue to perform as expected. The Contractor works with the State to plan, conduct tests, and document the results of the POC implementations.

Utilizing experimental environments, the Contractor shall perform the upgrade/patch for validation, which includes preliminary performance and functional tests to evaluate the system functionality, and monitor performance to detect any significant degradation.

The Contractor shall follow established and documented processes for planning, executing, evaluating, and governing a POC or pilot project initiative.

91. Plan Define and document the scope, objectives, evaluation, and testing approach for

the POC implementation Develop a detailed work plan to describe the roles and responsibilities of the

POC implementation team, schedule, milestones, communications plan, quality management plan, and change management

Identify and document the systems, technology used, and resource requirements for POC implementation

Identify the stages for incremental rollout to impacted systems.Conduct Define POC measurement mechanism and evaluation criteria Develop quality acceptance process Develop and document assumptions, system design, and data flow/workflow Conduct outreach session with POC stakeholders and participants to convey the

intended objectives and outcome of the POC Install the appropriate hardware and software for the POC Customize POC solution (software and hardware) based on the established

design and workflowMonitor and document the POC implementation outcomes and configuration changes performed.Test Develop use cases to test the POC solution Define the test evaluation matrix and worksheets Define pass and failure criteria for the tests Assess the POC implementation’s applicable hardware, software, and interface

components based on the use cases and additional business/functional requirements

Identify potential impacts to the ASPEN system/infrastructure. Analyze the results of the test with business, technical, and performance

requirements Identify and mitigate gaps in the POC implementation based on set objectives

and goals Prioritize a remediation plan Identify and implement remediation controlsConduct the test again with the defined use cases until we obtain the desired results.

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Document and Submit ResultsDocument the results of the POC implementation including:

− Objectives of the POC implementation and evaluation criteria− Configuration changes to the software, hardware, and interface components− Use cases− Initial gaps identified and the mitigation controls− Outcome of tests on the POC implementation.Submit the results to the State for review

92. B.10.4 Develop Release PlanThe Contractor shall collaborate with HSD to review the results from the business and technical impact analysis and/or proof of concept to determine the complexity involved in introducing the system upgrade/patch. In this process, the appropriate release date is determined and the required functional, regression and performance testing activities are defined taking into consideration the nature of the upgrade and all environments involved. A master release plan document is delivered outlining all the activities to be performed during the implementation process. This plan must comply with State’s release management process.

X

93. B.10.5 Implementation and SupportOnce the upgrade has been verified in the lower environments, The Contractor coordinates with the State and the application track leads to obtain approval via the release management process to allow the upgrade to be propagated through the higher environments as per the agreed upon release schedule. The implementation status is closely tracked and discussed in the ASPEN Infrastructure meetings.

After the changes are implemented in Production, the Contractor shall monitor the overall system performance and server logs to detect any system performance degradation or other signs of instability. Any issues identified during this process shall be promptly communicated to State and Contractor management.

X

94.B.11 Environment Support and Setup

Large-scale systems such as ASPEN have numerous changes and initiatives occurring in parallel. Each of these initiatives has their own schedule for implementation, testing scenarios, and the development life cycle. This results in a need for multiple temporary environments, each are supporting various phases of an initiative. The Contractor shall follow standard processes and conduct the required activities for each of these phases:

X

95. B.11.1 AnalysisContractor tasks and activities include:

1. Evaluate the need and purpose of the requested environment by gathering this information from the State and the Contractor Application Leads.

a. This pre-work activity is driven by a checklist of items that supports the decision making process concerning the setup of the environment.

2. Identify the length of time for which the environment is needed.a. This is critical in determining which servers should host the

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application(s).3. Determine where the initial data source for this environment.

a. This is important as it could be as simple as creating a new empty database or as complex as copying the full production data and masking it (if needed) for Personal Identifiable Information (PII).

b. Determine what, if any, data encryption is required to maintain security consistent with direction from the Department Information Security Officer.

c. Remove or disable any user accounts not needed for the lower environment.

4. Analyze which code base the environment needs to be built from.5. Discuss any special considerations that need to be addressed.

a. Tasks such as the setup of a patch environment or an interface with a specific trading partner can be addressed in this phase.

96. B.11.2 Environment CreationContractor tasks and activities include:

1. Utilize a standard pre-defined checklist for the setup of all environments.a. This checklist helps to determine that each environment is created and

configured in a reliable and repeatable manner.2. The process is divided into multiple areas that need to be configured for a new

environment with a set of sub-tasks for each area that need to be accomplished.3. Many of the steps in the checklist then refer to additional documentation, which

can be referenced as needed.The Contractor shall provide access to all plans and documentation created during this process to HSD to enable the same steps to be followed in the creation of upper environments. This will include detailed Environment Requests (ER) (in ClearQuest) that were created for each activity. The ER’s provide the State with a traceable item that can be worked on and referred back to later.

X

97. B.11.3 Environment ValidationAfter a new environment is set up, the Contractor shall perform the following technical and functional validations to determine that the set-up process was completed correctly before handing it to the application or testing team:1. Validate the environment itself, checking application instances, database

instances, message queues, and other items to determine that they are functioning and readily available.

2. Validate the build and deployment process to confirm that it has been arranged correctly and that the appropriate code is being deployed to the correct environment.

3. Validate that external services and third-party applications (LDAP, SSA, etc.) are working and that the application configuration properties are correct.

4. Ensure that any lower environment will not interfere with production databases, processes or ancillary systems.

5. In addition to performing technical validations, perform basic functional validations such as a smoke-test. These validations, which are part of our predefined checklist, include tasks that check the basic functions of the ASPEN

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system as well as the major third-party products used by the system.An example of this is logging on to the system and running file clearance on an individual to determine that the name-matching software is accessible by the system. After this is completed, the environment is turned over to the development and testing team for use.

6. Where appropriate, assure that environments have the current base code in them for development and testing. This is vital for system testing.

7. The Contractor shall create and support these environments as directed by the State. Changes in the special release will be correctly merged into the standard environment when the special release is completed.

98.B.12 Configuration Management

The Contractor shall implement, maintain and refine configuration management repositories and processes for ASPEN to provide improved service delivery. These processes are critical for the overall project as they form the foundation for development, testing, training, and implementation.IBM Rational ClearCaseUsed as the main code and documentation repository. This includes tracking the version history, changes made between versions, who made the changes, and what environment the changes are currently being tested in.IBM Rational ClearQuestUsed to track issues, testing, and development progress. ClearQuest also links the issue, code, and requirements.IBM Rational Requisite ProUsed to track the ASPEN Requirements.Apache AntUsed to build the system through XML-based build scripts. These scripts drive the overall build and deployment process, interacting with and calling other scripts, and deploying the files, as needed.Shell ScriptsUsed to assist in performing tasks such as checking for errors with the deployment and confirming file and folder permissions are correct.Perl ScriptsUsed to perform a variety of code quality audits, checking for dependencies and confirming that code has been merged properly. Perl is also used to automate manual tasks such as deliveries, baseline creation, and importing data into ClearQuest.ClearCase and ClearQuest repositories shall be regularly backed up and backups supplied to the State

X

99. B.12.2 Rational IntegrationThe Contractor shall improve the integration between two IBM Rational tools: ClearCase and ClearQuest. While the Contractor shall designate staff to support the existing CM processes and continuously improve established processes.

X

100. B.12.3 Documentation of Existing standards and processesThe Contractor shall update the existing Configuration Management Plan to provide accurate and detailed information on the current processes used. This shall include

X

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detailed sections including: Field stream structure and delivery process Build and deployment activities Merge process Technical information on scripts used to support CM processes

The revised Configuration Management plan will provide a reference to existing standards that can be used in the evaluation of proposed improvements to the CM Processes.

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Table B.1. Key Contractor Technical Tasks and ActivitiesTechnical Operations – Activity Categories

Key Contractor Tasks and Activities

System Health Check and Monitoring

(See Section B.2 for detailed tasks and activities)

Monitor the ASPEN system’s availability and performance to assist the state with the timely completion of batch operations and maximize availability and reliability of the ASPEN online application.

Provide post-implementation monitoring, log analysis and review to identify and report production issues resulting from modifications in immediate or scheduled releases

Document any identified risks and issues, using agreed upon issue tracking tool(s) and communicate critical issues and recommendations for resolution to the State.

Provide a mutually agreed dashboard for System Health Check and Monitoring within three months of contract award.

Break/Fix of Hardware and Software

Examples include switching out failed hard drives and processors, troubleshooting OPUS errors, determining why certain ASPEN functions, e.g. automated emails, may not be working.

Maintain and make changes to the ASPEN network infrastructure.

Examples include initiation of new firewall rules, and updates on the IPS

Maintain and make changes to the vBlock infrastructure.

Examples include trouble-shooting vShield, getting a defective fan replaced, etc.

Capacity Planning


Conduct capacity planning to reduce infrastructure or architecture modification efforts and increase system performance.

Produce a capacity plan within 3 months of award, with quarterly updates on the first workday of each month; and a new annual capacity plan the first workday of each February, with quarterly updates until the next annual plan.

Document any new capacity planning processes and updates to the current Capacity plan to verify that the hardware, software and infrastructure ASPEN is dependent on meet the current Business and technology needs.

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Technical Operations – Activity Categories


Support Emergency Preparedness and Disaster Recovery


Assist with and support disaster recovery activities to avoid partial or complete disruption of ASPEN services.

Perform analysis, documentation and testing as required to maintain the Disaster Recovery plan and verify standard processes are up to date and sufficient to prevent any interruption of services in the event of an emergency

Perform annual testing and revise plans to address any identified issues.

Security


Provide multiple levels of security to protect data and control access through the use of the established ASPEN security architecture.

Perform analysis and documentation required to satisfy security audits and collaborate with the State to upgrade ASPEN security framework as needed to correct any issues or risks that are identified

Application Architecture Management


Provide a complete application architecture description, including diagrams, within three months of contract award. The Contractor must certify that the description is accurate and complete.

Perform technical reviews and provide a method for tracking and assessing process and methodology compliance for system modification and enhancement initiatives.

Review new and modified code to verify that ASPEN framework components are being used correctly and coding and system standards are followed within the persistence, business, integration and presentation layers

Document and communicate any identified issues and proposed solutions to allow for consistent and repeatable processes .

Conduct impact analysis for major upgrades to core application services, 3rd party software and infrastructure changes to provide estimates of scope and effort to the Release Planning Management team

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Database Management


Provide a complete database structure description and data management plan, including diagrams, within three months of contract award. The Contractor must certify that the description is accurate and complete.

Deliver an efficient flow, conversion, storage, and on-demand retrieval of data to support the ASPEN database environment to provide database performance at agreed upon service levels that supports the growing demands on ASPEN.

Provide resources to assist with analysis and correction of database performance issues, tuning of application SQL and reviews to verify compliance with Database standards.

Files Management


Follow the State’s established process designed to focus on the systematic implementation of online and batch configuration changes in multiple environments with ongoing development efforts and upcoming software changes.

Analyze, test and obtain approval for 3rd party software, online and batch configuration changes through Release planning before production implementation

System Performance Improvements


Perform analysis, identification and correction of performance problems while providing documentation indicating the root-cause, required modifications and test scenarios/results for any critical performance problems.

Deliver optimum system performance at peak load levels and appropriate response times during online and batch processes.

System Patch and Upgrades Management


Evaluate existing and new technologies and identify the business drivers to recommend and support software and system upgrades

Conduct impact analysis and document the scope and level of effort required for implementation and testing of proposed upgrades

Implement and test proposed changes in experimental environment, followed by testing in lower environments before obtaining approval for production release.

Environment Support and Setup


Create and support of multiple temporary environments to support parallel development and testing for both new initiatives and ongoing maintenance and the activities these depend on such as functional, regression and performance testing.

o

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Configuration / Change Management


Follow the State’s established configuration management processes for all phases of the SDLC

Maintain and regularly update the Configuration Management Plan to represent the most current processes and procedures

Collaborate with the State to recommend and support the creation and implementation of improved Change management processes and Quality assurance checks

Provide new configuration management processes for ASPEN (as directed by State management) to provide improved service delivery and a solid foundation for development, testing, training, and production in compliance with SUITE / SEM standards

o Design and implement new standards and processes to allow for requirements traceability and reduce the risk of negative cross-functional impact when application changes are deliveredo Review Change /Configuration management processes to verify compliance with SEM standards and improve processes such as:

The ability to trace work requests to the original activities defining the software artifacts and system modifications related to incorrect functionality

The ability to trace test scenarios to the development activities related to the components being tested

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