CALIFORNIA DEPARTMENT OF TECHNOLOGY PRE-SOLICITATION INSTRUCTIONS

TO: All Interested Bidders RE: Pre-Solicitation Feedback DATE: November 9, 2016

The California Department of Technology (CDT) requests feedback and/or questions on the following Pre- Solicitation documents.

FOR: ELECTRONIC WOMEN, INFANT AND CHILDREN MANAGEMENT INFORMATION SYSTEMS (eWIC MIS) PRE-SOLICITATION REVIEW

1. eWIC MIS Project Request for Proposal (RFP) in its entirety a. Part 1 – Bidders Instructions b. Part 2 – Bidders Response 2. Exhibit 22 – Cost Workbook

Please note these documents are drafts and are subject to change.

GENERAL QUESTIONS

If the answer is yes to any of the questions below, please explain.

1. Are there any requirements for which assumptions are required to be made to provide a response?

2. Are there areas in the Statement of Work (SOW) that you believe are not clear?

3. Are there any Sections which are inconsistent and/or contradictory?

4. Is any additional information needed to prepare a response?

REQUIREMENTS

1. Are there any requirements too onerous or which may result in unnecessary costs or risks to the State? If so, please indicate which ones and explain why.

2. Are there any requirements which may prevent you from submitting a response? If so, what are they, and why would they prevent you from responding?

3. Are there any requirements which may make it difficult to implement the solution by April 1, 2020? If yes, why?

OTHER

1. Please provide a Rough Order of Magnitude (budgetary estimate) of the total costs for the solution required by this RFP.

2. Please review Section 5, Cost (Part 2) and Exhibit 22, Cost Worksheet, of the RFP and provide input on whether the Section and worksheet(s) are clear, concise, complete, and easy to use.

3. Please review the Bidder and Staff Qualifications and provide input on whether the Section and worksheets are clear, concise, consistent, complete, and easy to use.

4. Is there any other feedback you would like to provide?

1 | Page CALIFORNIA DEPARTMENT OF TECHNOLOGY PRE-SOLICITATION INSTRUCTIONS

FEEDBACK AND/OR QUESTIONS

All feedback and/or questions must be submitted via email in the format described in the “Template for Feedback” (attached) to the Procurement Official listed below in the “Contact” section on or before 2:00 p.m. PST, Wednesday, November 23, 2016.

Interested Bidders are not required to submit feedback and/or questions with regard to this Pre-Solicitation in order to participate in the anticipated RFP that may follow.

Although providing feedback is important and strongly encouraged, the State makes no commitment to make changes based on the feedback it receives. CDT Statewide Technology Procurement and the eWIC MIS Project are not required to respond to questions submitted.

TEMPLATE FOR FEEDBACK AND/OR QUESTION SUBMITTAL

The CDT Procurement Official requests the use of the attached form when submitting questions and feedback. Instructions are listed as follows:

Name of Submitter – Provide the name of the submitting firm.

Contact Person – Provide the name of the person to contact if the State needs clarification about the question or feedback.

Contact Email and Phone Number – Provide the email and phone number (including area code) for the listed contact person.

Subject Area – Provide the subject area in the RFP that your comment is related to (use the drop down selection).

Comments – Provide your comments, questions or concerns related to the subject area of the RFP.

Vendor Name – Please provide your firm name.

Date – Please provide date of your comment.

Expand or reduce the number of rows to accommodate the number of questions/feedback of each submission.

CONTACT

Monica Parra Barrios, Procurement Official Statewide Technology Procurement [email protected] (916) 431-5556

DISCLAIMER

This Pre-Solicitation is issued for informational and planning purposes only and does not constitute a solicitation. A response to this Pre-Solicitation is not an offer and cannot be accepted by the CDT to form a binding contract. Interested Bidders are solely responsible for all expenses associated with responding to this Pre-Solicitation.

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3 REQUEST FOR PROPOSAL 4 RFP OSI #31875

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6 PART 1 – BIDDER INSTRUCTIONS 7 FOR 8 eWIC MIS Project 9 Informal Draft v3.0 10 10/28/2016 11 Issued by: 12 STATE OF CALIFORNIA 13 Office of Systems Integration 14 2525 Natomas Park Drive, Suite 200 15 Sacramento, CA 95833 16 Part 1 of the solicitation template contains the Bidder and bidding instructions, proposal 17 form instructions, solution requirements and instructions, and all other 18 instructional/compliance information that the Bidder must meet in order to be considered 19 responsive and responsible to the solicitation. 20 Part 2 of the solicitation template contains all forms a Bidder must complete and return 21 with its Final proposal, including the STD 213, Statement of Work, administrative forms, 22 qualification forms, requirement responses, and all exhibits discussed in Part 1. 23 Disclaimer: The original version and any subsequent solicitation addenda 24 released by the Procurement Official of this solicitation remain the official 25 version. In the event of any inconsistency between the Bidder’s versions, articles, 26 attachments, specifications, or provisions (which constitute the Contract), the 27 official State version of the solicitation in its entirety shall take precedence. ______Cover Page Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 State of California RFP OSI #31875 Office of Systems Integration

28 29 30 31 32 33 34 35 PAGE INTENTIONALLY LEFT BLANK 36

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37 Table of Contents

38 INTRODUCTION ...... 1 39 1.1 Purpose of This Request For Proposal ...... 1 40 1.2 Background ...... 1 41 1.3 Terminology ...... 2 42 1.4 Term of Contract ...... 3 43 1.5 Current Environment ...... 3 44 California WIC Program ...... 3 45 Program Funding and Administration...... 3 46 Program Operations ...... 3 47 Current California WIC Program Functions ...... 6 48 Certification ...... 6 49 Screening ...... 7 50 Enrollment ...... 7 51 Participant Transfers ...... 8 52 Nutrition Education, Health Surveillance, and Referrals ...... 8 53 Breastfeeding Support ...... 8 54 Individual Nutrition Education Plan ...... 8 55 Referrals ...... 9 56 National Voter Registration Act ...... 9 57 Immunization Screenings ...... 9 58 Food Management...... 10 59 Federal and State Regulations ...... 10 60 California WIC Program Authorized Foods and Shopping Guide ...... 10 61 Infant Formula ...... 10 62 Food Benefit Issuance ...... 11 63 Food Package Prescriptions ...... 11 64 Food Package Issuance ...... 11 65 Food Benefit Redemption, Settlement, and Reconciliation ...... 12 66 Food Benefit Redemption ...... 12 67 Food Benefit Settlement and Reconciliation ...... 12 68 Financial Management ...... 13 69 Manage Grants and Budgets ...... 13 70 Track Grants ...... 14 71 Maintain State Agency Budget Information ...... 14 72 Maintain Local Agency Budget Information ...... 14 73 Monitor Program Expenditures...... 14 74 Monitor NSA Expenditures ...... 14 75 Monitor Food Expenditures ...... 14 76 Perform Financial Monitoring ...... 15 77 Manage Cash Flow ...... 15 78 Process Manufacturer Rebates ...... 15 79 Estimate Total Annual Rebates ...... 15 80 Calculate Rebate and Prepare Invoice ...... 15 81 Monitor Rebate Collections ...... 16 82 Ensure Cost Neutrality ...... 16

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83 Caseload Management ...... 16 84 Operations Management ...... 17 85 Vendor Management ...... 17 86 Vendor Selection and Authorization ...... 18 87 WIC-Authorized Vendor Peer Groups ...... 18 88 Vendor Training ...... 19 89 On-Site Preauthorization Visit ...... 19 90 High-Risk Retailer Identification ...... 19 91 Routine Monitoring ...... 20 92 Compliance Investigations and Inventory Audits ...... 20 93 Sanctions and Appeals ...... 21 94 Accounts Receivables for Recoupment Amount ...... 21 95 Retailer Vendor Coordination with the Supplemental Nutrition Assistance Program 96 21 97 Vendor Communications ...... 22 98 Retailer Vendor Shelf Price Submission and Cost Competitive Analysis ...... 22 99 Retailer Vendor Shelf Price Collection Process ...... 22 100 Retailer Vendor Cost Competitive Analysis Process ...... 23 101 Scheduling ...... 23 102 Reporting ...... 23 103 Reporting and Population Assessments ...... 24 104 Check Stock Management ...... 24 105 Communications ...... 25 106 Current Technical Environment ...... 25 107 WIC MIS ...... 28 108 WIC Information Exchange ...... 30 109 Vendor WIC Information Exchange ...... 31 110 Breastfeeding Peer Counseling Database System ...... 31 111 WIC Mobile ...... 32 112 CDPH Emergency Notification System ...... 33 113 Technology Support ...... 33 114 Desktop Infrastructure ...... 34 115 System Administration ...... 35 116 1.6 Proposed Solution ...... 35 117 eWIC MIS Project ...... 35 118 eWIC MIS Project Priorities ...... 36 119 Solution Outcomes ...... 36 120 Project Organization ...... 36 121 Organizational Change Management ...... 38 122 Project Implementation Schedule ...... 38 123 Pilot Implementation ...... 39 124 Statewide Rollout ...... 40 125 Project Facilities ...... 40 126 Solution Impact to WIC Program ...... 40 127 WIC Participant Experience ...... 40 128 New eWIC Portal ...... 41 129 WIC-Authorized Vendor Experience ...... 41 130 Farmers’ Market Nutrition Program Process Support ...... 42

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131 Accounts Receivables for Recoupment Amount ...... 42 132 System Functionality and Process Automation ...... 42 133 Data Access and Reporting ...... 44 134 System Interfaces...... 44 135 MIS-EBT Interface ...... 45 136 EBT Cards and Card Equipment ...... 46 137 Proposed Technical Environment ...... 47 138 Authorized Transfer Systems ...... 47 139 Software ...... 47 140 Application and Technical Overview ...... 47 141 Databases ...... 48 142 Data Warehouse Application ...... 49 143 Three-Tier Architecture ...... 49 144 System Hosting ...... 51 145 Expected Growth ...... 52 146 Contractor Project Services ...... 52 147 MIS Software Configuration, Installation, and Maintenance ...... 52 148 Data Conversion...... 53 149 WIC-EBT Interface ...... 53 150 Local Agency Equipment ...... 54 151 Training ...... 55 152 Knowledge Transfer, Training, and Transition ...... 55 153 Training Facilities ...... 56 154 Help Desk ...... 56 155 Post-Implementation (Warranty and M&O) ...... 56 156 1.7 Americans With Disabilities Act (ADA) ...... 57 157 BIDDING INSTRUCTIONS ...... 59 158 2.1 Bidder Admonishment...... 59 159 2.2 Communications and Contacts ...... 59 160 Procurement Official ...... 60 161 Questions Regarding the Solicitation Document ...... 60 162 Intent to Bid ...... 61 163 Bidders’ Library ...... 61 164 Bidders’ Conference (Not Applicable) ...... 62 165 Site Visit ...... 62 166 Cloud Computing Services ...... 62 167 2.3 Key Action Dates ...... 64 168 2.4 Rules Governing Competition ...... 66 169 Identification and Classification of Solicitation Requirements ...... 66 170 Solicitation Documents ...... 66 171 Examination of the Work ...... 67 172 Exclusion for Conflict of Interest ...... 67 173 Confidentiality ...... 67 174 Addenda ...... 68 175 Bidder’s Cost ...... 68 176 Discounts ...... 68

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177 Signature of Proposal ...... 68 178 Irrevocable Offer ...... 69 179 False or Misleading Statements ...... 69 180 Joint Bids (Not Applicable) ...... 69 181 Bonds ...... 69 182 Unfair Practices Act and Other Laws ...... 69 183 Fair Employment and Housing Commission Regulations ...... 70 184 Plastic Trash Bag Certification Violations ...... 70 185 Air or Water Pollution Violations ...... 70 186 2.5 Bidding Steps ...... 70 187 Compliance Phase ...... 71 188 Conceptual Proposal (Not Applicable) ...... 71 189 Detailed Technical Proposal (Not Applicable) ...... 72 190 Draft Proposal ...... 72 191 Evaluation of Preliminary Proposal(s) and Discussion Agenda ...... 72 192 Confidential Discussion with Each Bidder ...... 73 193 Submission of Amended Preliminary Proposal(s) ...... 73 194 Final Phase ...... 73 195 Withdrawal and Resubmission/Modification of Proposals ...... 74 196 Disposition of Proposals ...... 74 197 2.6 Protests ...... 74 198 Requirements (Initial) Protests ...... 74 199 Award Protest ...... 75 200 2.7 Alternative Protest Process ...... 75 201 2.8 Negotiations ...... 77 202 ADMINISTRATIVE REQUIREMENTS ...... 79 203 3.1 Ability to Perform ...... 79 204 3.2 Primary Bidder ...... 79 205 3.3 Subcontractors ...... 80 206 Bidder Declaration Form (M) ...... 81 207 3.4 Amendment ...... 81 208 3.5 Financial Responsibility Information ...... 81 209 Financial Stability ...... 81 210 Responsibility Certification (M) ...... 81 211 Federal Responsibility Certification (M) ...... 82 212 3.6 General Provisions ...... 82 213 Modified General Provisions – Information Technology (GSPD 401IT for eWIC 214 MIS Project) ...... 82 215 Cloud Computing Services Special Provisions ...... 82 216 3.7 Insurance ...... 82 217 Workers’ Compensation/Employer’s Liability (M) ...... 83 218 3.8 Administrative Requirements Document (M) ...... 83 219 3.9 Cover Letter (M) ...... 83 220 3.10 STD 213, Standard Agreement (M)...... 84

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221 3.11 Statement of Work (M) ...... 84 222 3.12 Confidentiality Statement (M) ...... 84 223 3.13 Secretary of State Certification (M)...... 85 224 3.14 Seller’s Permit (M) ...... 85 225 3.15 Payee Data Record (STD 204) (M) ...... 85 226 3.16 Iran Contracting Act of 2010 (M) ...... 86 227 3.17 Bond and Other Security Documents (M) ...... 86 228 3.18 Bidding Preference Programs ...... 87 229 Bidder’s Preference and Incentives Declaration (M)...... 87 230 Disabled Veteran Business Enterprise (DVBE) Program ...... 87 231 DVBE Participation Requirement (Not Applicable) ...... 87 232 DVBE Incentive (O) ...... 87 233 Small Business Preference (O) ...... 88 234 Non-Small Business Preference (O) ...... 89 235 Commercially Useful Function (M) ...... 89 236 Target Area Contract Preference Act (TACPA) (O) (Not Applicable) ...... 90 237 3.19 Productive Use Requirements ...... 90 238 Customer In-Use ...... 91 239 Equipment ...... 92 240 Public Works Requirements (Not Applicable) ...... 92 241 3.20 Laws To Be Observed ...... 93 242 Labor ...... 93 243 Travel and Subsistence Payments ...... 93 244 Apprentices ...... 93 245 Payroll...... 94 246 3.21 Contractor’s License (M) (Not Applicable) ...... 94 247 BID REQUIREMENTS ...... 95 248 4.1 Qualification Requirements...... 96 249 Bidder Qualifications and References (M) ...... 96 250 Key Staff Qualifications and References (M) ...... 97 251 4.2 Solution Requirements ...... 99 252 Functional and Technical Requirements (M)/(MO) ...... 99 253 Deliverables (M) ...... 100 254 Narrative Response Requirements (MS) ...... 101 255 COST ...... 103 256 5.1 Project Payment ...... 103 257 5.2 Cost Limitation ...... 105 258 5.3 Cost Workbook (M) ...... 105 259 5.4 Cost Worksheet Instructions ...... 105 260 Cost Summary (Worksheet 1) ...... 107 261 OTech Services (Worksheet 2) ...... 107 262 OTech Hardware and Equipment (Worksheet 3) ...... 107 263 OTech Software (Worksheet 4) ...... 108

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264 Other Hardware, Software, Equipment and Tools (Worksheet 5) ...... 109 265 Hourly Service Rates (Worksheet 6) ...... 109 266 Unanticipated Tasks ...... 110 267 Optional M&O Support ...... 110 268 Local Agency Equipment (Worksheet 7) ...... 111 269 Payment Milestones (Worksheet 8) ...... 111 270 Mandatory Optional (MO) Requirements (Worksheet 9) ...... 111 271 PROPOSAL FORMAT AND SUBMISSION REQUIREMENTS ...... 113 272 6.1 Preparation ...... 113 273 6.2 Completion of Proposals ...... 113 274 6.3 Final Proposal Content and Structure ...... 113 275 Volume 1: Response to Administrative and Bid Requirements ...... 113 276 Volume 2: Contract ...... 115 277 Volume 3: Cost ...... 115 278 Volume 4: Literature (Optional) ...... 115 279 6.4 Final Proposal Format ...... 115 280 6.5 Draft Proposals ...... 116 281 6.6 Packaging and Labeling ...... 11 7 282 6.7 Proposal Submission ...... 117 283 EVALUATION ...... 119 284 7.1 Evaluation Team ...... 119 285 7.2 Evaluation Steps ...... 120 286 Evaluation of Required Information and Requirements ...... 120 287 Receipt and Preliminary Review ...... 120 288 Mandatory Requirements Evaluation ...... 120 289 State’s Right to Validate Compliance With Requirements ...... 120 290 7.3 Draft Proposal Evaluation ...... 121 291 7.4 Final Proposal Evaluation ...... 121 292 Scoring Thresholds ...... 121 293 Errors in the Final Proposal ...... 123 294 Rejection of Proposals ...... 125 295 Administrative Requirements Evaluation (M, O) ...... 125 296 Bid Requirements Evaluation (Maximum 1,200 points) ...... 126 297 Qualification Requirements Evaluation (Maximum 600 points) ...... 126 298 Bidder Qualifications Evaluation (Maximum 240 points) ...... 127 299 Bidder References Evaluation (Maximum 60 points) ...... 127 300 Key Staff Qualifications Evaluation (Maximum 180 points) ...... 128 301 Key Staff References Evaluation (Maximum 120 points) ...... 129 302 Bidder and Key Staff Reference Checks ...... 131 303 Solution Requirements Evaluation (Maximum 600 points) ...... 131 304 The Scoring Key and Instructions ...... 132 305 Functional and Technical Requirements Evaluation (Pass/Fail) ...... 135 306 Deliverables Evaluation (Pass/Fail) ...... 135 307 Narrative Response Requirements Evaluation (Maximum 600 points) ...... 135

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308 Bidder Proposal Non-Cost Score Calculation ...... 135 309 Scoring Threshold Evaluation ...... 136 310 Cost Evaluation ...... 136 311 Bidder Total Proposal Score ...... 137 312 DVBE Incentive ...... 138 313 Preference Programs ...... 138 314 Small Business Preference ...... 139 315 TACPA Preference (Not Applicable) ...... 140 316 Bidder Final Score Calculation and Rank Determination ...... 140 317 Selecting the Proposed Awardee ...... 141 318 7.5 Negotiations ...... 141 319 7.6 Debriefing ...... 141 320 ATTACHMENTS ...... 143 321 Attachment 1: Template for Question Submittal ...... 145 322 Attachment 2: Template for Request for Changes Submittal ...... 147 323 Attachment 3: Procedures for Conducting Protests under the Alternative Protest 324 Process ...... 149 325 Attachment 4: Solicitation Submission Checklist ...... 159 326 Attachment 5: Glossary ...... 163 327 Attachment 6: Bidders’ Library ...... 181 328 329 Table of Figures

330 FIGURE 1-1: LEGACY MIS SYSTEMS LANDSCAPE ...... 27 331 FIGURE 1-2: EWIC MIS PROJECT TEAM ORGANIZATION ...... 37 332 FIGURE 1-3: NEW MIS SYSTEM FLOW FOR EBT TRANSACTIONS ...... 46 333 FIGURE 1-4: NEW MIS MULTI-LAYER ARCHITECTURE ...... 50 334 FIGURE 5-1: ESTIMATED PROJECT TIMELINE AND PAY POINTS ...... 105 335

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336 Table of Tables

337 TABLE 1-1: CALIFORNIA WIC PROGRAM STATISTICS (2015) ...... 5 338 TABLE 1-2: WIC MIS OVERVIEW ...... 29 339 TABLE 1-3: WIX OVERVIEW ...... 30 340 TABLE 1-4: VWIX OVERVIEW ...... 31 341 TABLE 1-5: PCDB OVERVIEW ...... 32 342 TABLE 1-6: PROJECT SCHEDULE CONSTRAINTS ...... 39 343 TABLE 1-7: EXPANDED SYSTEM FUNCTIONALITY ...... 43 344 TABLE 1-8: NEW MIS INTERFACES ...... 45 345 TABLE 1-9: OTECH CLOUD SERVICES ...... 52 346 TABLE 2-1: PROCUREMENT OFFICIAL ...... 60 347 TABLE 2-2: KEY ACTION DATES ...... 65 348 TABLE 2-3: PROTEST DELIVERY INFORMATION ...... 75 349 TABLE 2-4: NOTICE OF INTENT TO PROTEST ADDRESS ...... 76 350 TABLE 3-1: BOND REQUIREMENTS ...... 86 351 TABLE 3-2: PRODUCTIVE USE TIMEFRAMES ...... 91 352 TABLE 4-1: REQUIREMENT CLASSIFICATIONS ...... 95 353 TABLE 4-2: EXHIBIT 18: BIDDER QUALIFICATIONS AND REFERENCES INSTRUCTIONS ...... 97 354 TABLE 4-3: EXHIBIT 19: KEY STAFF QUALIFICATIONS AND REFERENCES INSTRUCTIONS ...... 98 355 TABLE 4-4: EXHIBIT 20 FUNCTIONAL AND TECHNICAL REQUIREMENTS COLUMNS AND 356 INSTRUCTIONS ...... 100 357 TABLE 4-5: EXHIBIT 21.1 DELIVERABLES LIST COLUMNS AND INSTRUCTIONS ...... 101 358 TABLE 4-6: EXHIBIT 21.2 DELIVERABLES TABLE COLUMNS ...... 101 359 TABLE 4-7: EXHIBIT 25 NARRATIVE RESPONSE REQUIREMENTS INSTRUCTIONS ...... 102 360 TABLE 5-1: EWIC MIS PROJECT PAYMENT MILESTONES ...... 104 361 TABLE 7-1 SCORING AND POINT DISTRIBUTION ...... 123 362 TABLE 7-2 BIDDER REFERENCE SCORING EXAMPLE ...... 128 363 TABLE 7-3 KEY STAFF REFERENCE POINTS ...... 130 364 TABLE 7-4 KEY STAFF REFERENCE SCORING EXAMPLE ...... 131 365 TABLE 7-5 SCORING KEY...... 133 366 TABLE 7-6 BIDDER PROPOSAL NON-COST SCORE CALCULATION EXAMPLE ...... 136 367 TABLE 7-7 BIDDER COST SCORE FORMULA ...... 137 368 TABLE 7-8 BIDDER COST SCORE CALCULATION EXAMPLE ...... 137 369 TABLE 7-9 BIDDER TOTAL PROPOSAL SCORE CALCULATION EXAMPLE ...... 138 370 TABLE 7-10 DVBE PARTICIPATION INCENTIVE FORMULA ...... 138 371 TABLE 7-11 SMALL BUSINESS PREFERENCE POINTS CALCULATION EXAMPLE ...... 140 372 TABLE 7-12 BIDDER FINAL SCORE CALCULATION EXAMPLE ...... 140 373 TABLE 7-13 FINAL SCORE AND RANK DETERMINATION EXAMPLE ...... 141 374

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376 INTRODUCTION 377 This solicitation is being conducted under the policies and procedures developed by the 378 California Department of Technology (CDT), as provided under Public Contract Code 379 §12100 et seq. This solicitation contains the instructions governing the requirements for 380 a fixed price to be submitted by interested Bidders. The format that bid information is to 381 be submitted and the material to be included therein follows. This solicitation also 382 addresses the requirements that Bidders must meet to be eligible for consideration, as 383 well as addressing Bidders’ responsibilities before and after award. A glossary of 384 acronyms can be found in Attachment 5: Glossary.

385 1.1 Purpose of This Request For Proposal 386 The purpose of this Request for Proposal (RFP) #31875 (hereafter referred to as 387 “solicitation”) is for the Office of Systems Integration (OSI) to obtain proposals from 388 qualified Bidders for system integration services to transfer, modify, implement, 389 maintain, and support through the base Contract period a Management Information 390 System (MIS) for California’s Special Supplemental Nutrition Program for Women, 391 Infants, and Children (WIC), managed by the California Department of Public Health 392 (CDPH) WIC Division (CDPH/WIC). System maintenance and operations (M&O) will 393 transition to CDPH at the conclusion of the base Contract, unless the State elects to 394 exercise its option to extend the Contractor’s M&O services for up to four (4) additional 395 years. The proposed MIS must be certified for transfer by the United States Department 396 of Agriculture (USDA), must integrate with the State’s WIC Electronic Benefit Transfer 397 (EBT) system, and must comply with the USDA Food and Nutrition Services (FNS) WIC 398 Universal MIS-EBT Interface (WUMEI) standards and USDA FNS Functional 399 Requirements Document (FReD) for a Model WIC Information System, located in the 400 Bidders’ Library. This Project is hereafter referred to as “eWIC MIS.” 401 Responses to this solicitation will be evaluated based on the Bidder’s total proposal in 402 response to the requirements of this solicitation. Award, if made, will be to the single 403 Bidder awarded the highest points as calculated in accordance with the methodology 404 defined in Section 7, Evaluation.

405 1.2 Background 406 The federal WIC Program is a nutrition education and supplemental food program 407 established in 1972 under the Child Nutrition Act of 1966. The WIC Program is 408 administered by the USDA FNS, and governed by federal regulations contained in 7 409 Code of Federal Regulations (CFR) Part 246. The WIC Program’s goal is to improve 410 health by providing families nutritious foods and nutrition education.

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411 Public Law 111-296, the law commonly known as “the Healthy, Hunger-Free Kids Act of 412 2010,” requires WIC programs in all states to migrate from paper-based food benefits 413 delivery to EBT services by October 1, 2020. To comply, California must convert its WIC 414 Program from current paper-based food benefit checks, known as food instruments 415 (FIs), to Electronic Benefit Transfer (EBT) issuance. To do so, the State must have an 416 MIS system that interfaces with a system that supports EBT. California has determined 417 that its current MIS, which comprises several distinct systems, cannot easily be 418 configured to interface with an EBT system. Therefore, California seeks, through this 419 procurement, a new MIS that is “EBT-ready.” California’s new MIS will integrate with the 420 State’s EBT system and services procured under a separate contract through OSI (EBT 421 Services Contract, located in the Bidders’ Library), hereafter referred to as “EBT3.” The 422 EBT3 project automates the issuance of food and cash assistance program benefits. 423 The EBT3 contract includes EBT implementation services for the WIC Program, 424 hereafter referred to as “EBT for WIC.” The new MIS will send participant and food 425 prescription data to the EBT for WIC system. The EBT3 contract is separate and apart 426 from the OSI’s eWIC MIS Contract. 427 The USDA FNS Handbook 901, located in the Bidders’ Library, prescribes the analysis 428 and processes states must use to seek approval to transfer and implement a new MIS. 429 California performed the requisite steps, submitted an Implementation Advanced 430 Planning Document (IAPD), and received USDA approval for this eWIC MIS Project in 431 April 2014.

432 1.3 Terminology 433 Throughout the remainder of this solicitation, the term “new MIS” refers to the proposed 434 solution. The term “legacy MIS” refers to the combination of all current systems, both 435 mainframe and auxiliary, that together support CDPH/WIC information management 436 needs. The term “WIC MIS” refers explicitly to the existing mainframe application that 437 supports the majority of WIC participant-related functions. 438 Unless explicitly identified otherwise, the term “vendor” refers to a WIC-authorized 439 retailer, farmer, farmers’ market, or farmers’ market association vendor. Vendor 440 applicants are identified as such. 441 The term “EBT card” in this solicitation refers to the card that WIC participants will use 442 to access and redeem WIC food benefits. The aforementioned EBT3 project refers to 443 this same card as the “WIC Card.” This card is separate and distinct from and not to be 444 confused with the California’s Supplemental Nutrition Assistance Program (SNAP) EBT 445 card. 446 447

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448 1.4 Term of Contract 449 Effective upon approval of the CDT Statewide Technology Procurement Division 450 (STPD) and the USDA, the base term of the Contract that results from this procurement 451 is three (3) years, with an estimated Project start date of April 2, 2018, complete 452 implementation by March 30, 2020, and one year of warranty through March 30, 2021. 453 The State, at its sole discretion, may exercise the option to execute up to four (4) one- 454 year Maintenance and Operations (M&O) extensions, whereby the Contractor will 455 continue to maintain the new MIS, for a maximum Contract term of seven (7) years.

456 1.5 Current Environment 457 This section presents an overview of the California WIC Program, its functions, and 458 supporting management information systems and infrastructure.

459 California WIC Program 460 The California WIC Program is a federally funded food and nutrition education program 461 for California women, infants, and children. To help California families, the California 462 WIC Program provides supplemental foods, healthcare referrals, nutrition education, 463 and breastfeeding promotion and support to low-income pregnant, breastfeeding, and 464 postpartum women, and to infants and children up to age five who are found to be at 465 nutritional risk.

466 Program Funding and Administration 467 The California WIC Program is federally funded through USDA grants as well as 468 rebates from contracted infant formula manufacturers. The CDPH/WIC receives no 469 funding from the State General Fund to operate the California WIC Program. Funding 470 for federal fiscal year 2016 is approximately $1.3 billion with approximately $1.1 billion 471 provided by the annual federal grants and $217 million provided by food manufacturers’ 472 rebate reimbursements.

473 Program Operations 474 The CDPH/WIC contracts with 83 local agencies, which consist of county and city 475 governments as well as private non-profit community organizations. These local 476 agencies operate California WIC Program service sites in approximately 600 locations 477 statewide. Each local agency may have multiple sites, which offer WIC services (among 478 other social service programs) one or more days per month, and some of which may 479 have no permanent WIC-related infrastructure, such as a community center, church, or 480 school. Such sites are not primarily used for WIC services, however WIC local agency 481 staff transport all or a portion of WIC equipment (e.g., laptops, printers, materials) to the 482 location to provide WIC services for the day.

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483 Local agencies certify participant eligibility for WIC benefits and deliver WIC services, 484 which include nutrition education in individual, group, and online sessions, 485 breastfeeding support, healthcare referrals in their communities, and distribution of FIs 486 for WIC approved supplemental foods. In addition to FIs that can be used at WIC- 487 authorized vendors, California WIC Program food packages contain Cash Value 488 Vouchers (CVVs) for fresh, frozen, canned, and dried fruits and vegetables. Participants 489 may redeem CVVs at either a WIC-authorized retailer vendor or with a WIC-authorized 490 farmer, farmers' market, or farmers’ market association vendor. 491 Additionally, CDPH/WIC administers the WIC Farmers’ Market Nutrition Program 492 (FMNP). The FMNP provides WIC families with seasonal coupons to exchange for 493 fresh, unprepared, locally grown fruits and vegetables from WIC-authorized farmers and 494 farmers’ markets. 495 Monthly, the California WIC Program issues approximately 4.6 million FIs to 1.2 million 496 participants. Table 1-1, California WIC Program 2015 Statistics, summarizes recent, 497 relevant California WIC Program statistics.

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498 Table 1-1: California WIC Program Statistics (2015)

California WIC Program Statistics (2015) Value CDPH/WIC Expenditures Approximate Monthly Federal Food Expenditures $60,000,000 Approximate Monthly Food Rebate Expenditures $19,000,000 Approximate Total Monthly Food Expenditures $79,000,000 Locations Current Non-Profit And Local Government CDPH/WIC Local Agencies 83 Current Operating Local Agency Sites 636 Vendor Locations (as of April 2016) 4,178 Population Average Monthly Number of Participants 1,242,647 Average Monthly Number of Families 822,185 Average Monthly Participants Per Family 1.5 New Population Average Monthly New WIC Participants 54,415 Average Monthly New WIC Families 21,089 New Population Average Annual New Participants Added 652,984 Average Annual New Families Added 252,353 Food Item Redemptions – Retailer Vendors Average Monthly Total Food Items Redeemed 4,418,271 Average Monthly Total Redemption Amount $77,691,822 FIs Issued And Participants Served Average Monthly Total FIs Issued 4,644,074 Average Monthly Total Participants Receiving FIs 1,203,106 CVV Redemptions Annual CVVs Redeemed By Participants With Retailer Vendors 10,500,000 Annual CVVs Redeemed By Farmer/Farmers’ Market Vendors 14,162 CVV Redemption Amount $88,841,183

499 500 501 502

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503 Current California WIC Program Functions 504 Business functions performed by the California WIC Program align with those identified 505 in the USDA FNS Functional Requirements Document (FReD) for a Model WIC 506 Information System located in the Bidders’ Library. This section describes business 507 processes and supporting technology for the following 12 USDA FNS WIC business 508 functions: 509 1. Certification 510 2. Nutrition Education, Health Surveillance, and Referrals 511 3. Food Management 512 4. Food Benefit Issuance 513 5. Food Benefit Settlement and Reconciliation 514 6. Financial Management 515 7. Caseload Management 516 8. Operations Management 517 9. Vendor Management 518 10. Scheduling 519 11. Reporting 520 12. Communications

521 Certification 522 California WIC local agencies follow federal requirements to determine applicant 523 eligibility, certify participants, and deliver benefits. Certification is the process to 524 determine applicant eligibility and to certify applicants as WIC participants who may 525 receive WIC services and food benefits. It involves capturing relevant demographic, 526 income, health-related, and referral data about an applicant. Individual eligibility is 527 based on category (pregnant, breastfeeding, non-breastfeeding postpartum, infant, or 528 child up to age five), income (http://www.fns.usda.gov/wic/wic-income-eligibility- 529 guidelines), California residency, and nutrition risk condition. Participants receive food 530 benefits and nutrition education during their certification period, which is generally six 531 (6) to twelve months in duration. 532 Near the end of the certification period, local agency staff will schedule an appointment 533 to reassess the participant’s eligibility status. If the participant continues to meet 534 eligibility requirements, staff will initiate a new certification period for the participant. If 535 the participant no longer meets eligibility requirements, the participant is disqualified 536 from California WIC Program. Local agency staff will provide the participant a Notice of 537 Action (NOA) Affecting WIC Program Participants. Applicants that don't meet eligibility 538 requirements, receive a Notice of Action (NOA) Affecting WIC Program Applicants. Both 539 NOA forms explain the reason for the ineligibility ruling and provide information about an 540 applicant or participant’s right to request a fair hearing to appeal the decision.

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541 Screening 542 Prior to certification, a local agency staff member interviews an applicant at a local 543 agency site or by phone from the local agency and asks a series of questions to 544 ascertain basic eligibility. The staff member enters the responses into the legacy MIS, 545 which provides a preliminary determination of applicant eligibility based on the 546 assessment information collected by the staff member. The system allows authorized 547 users to schedule enrollment appointments.

548 Enrollment 549 At enrollment appointments, applicants meet with WIC local agency staff who use an 550 interview-style approach to collect remaining eligibility and health information. The staff 551 enter the information into the legacy MIS, which generates an automated determination 552 of eligibility for each individual applicant within a family or household unit. At this point, 553 eligible applicants are enrolled or “certified” and referred to as WIC “participants.” 554 If an applicant is deemed ineligible, the California WIC Program retains the captured 555 information in the legacy MIS but flags the applicant as “ineligible.” The applicant 556 receives an NOA, and may pursue an appeal. The legacy MIS does not provide NOA 557 documents and does not support the appeal process. 558 Adjunctive eligibility is a vehicle to determine income eligibility. An applicant may be 559 adjunctively eligible if she/he is also presently certified as fully eligible for at least one of 560 the following programs: 561 • The California Medical Assistance (Medi-Cal) program, California’s version of the 562 Medicaid welfare program. 563 • CalFresh, California’s version of the Supplemental Nutrition Assistance Program 564 (SNAP). 565 • California Work Opportunity and Responsibility to Kids (CalWORKs), California’s 566 version of the Temporary Assistance for Needy Families (TANF) program. 567 • The Food Distribution Program on Indian Reservations. 568 Local agency staff frequently use the legacy MIS to automatically verify adjunctive 569 income eligibility via the Medi-Cal Eligibility Data System (MEDS) interface, which 570 verifies eligibility to Medi-Cal, CalFresh, and CalWORKs. Verification via MEDS can 571 remove the need for applicants to provide documented income verification, an onerous 572 requirement for some. 573 Once certified, the participant is prescribed a food package and benefits. At the end of 574 the appointment the participant is issued a WIC Identification Folder (WIF), which is the 575 WIC family’s identification used at future WIC appointments and at WIC-authorized 576 vendors when redeeming WIC FIs. The WIF is designed to hold the FIs and identifies 577 the local agency through which the participant receives benefits.

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578 Participant Transfers 579 To prevent disruption of services, the legacy MIS supports participants who transfer 580 between local agencies within California or who transfer into or out of California. If a 581 California WIC participant transfers to a different California local agency, the new 582 agency destroys the previous WIF and issues a new one for the participant. For 583 California WIC participants who leave California, local agency staff use the legacy MIS 584 to print a Verification of Certification (VOC) that allows the participant’s certification 585 period to continue in the new state. Similarly, certified WIC participants who transfer into 586 California from another state bring with them a VOC from their originating state to allow 587 the participant’s certification period to continue in California. Local agency staff verify 588 the participant’s identity and California residency and may review other health and risk 589 information to verify the participant’s food package and care plan.

590 Nutrition Education, Health Surveillance, and Referrals 591 After certification, local agency staff work with participants to plan and deliver WIC 592 services, and to refer participants to health and social services programs. The legacy 593 MIS records nutrition education and breastfeeding support information that has been 594 provided to participants. It also tracks referrals to other health and social services 595 programs if needed.

596 Breastfeeding Support 597 Local agencies promote breastfeeding during the prenatal period and provide 598 breastfeeding support and education throughout the first year of life and beyond. Local 599 agency breastfeeding services include individual and group education, breastfeeding 600 support groups, and assistance with breastfeeding by qualified WIC local agency staff. 601 Local agencies loan breast pumps and breast pump supplies, at no cost, to 602 breastfeeding participants. 603 In addition, CDPH/WIC provides USDA special grant funds for local agencies to 604 implement a Breastfeeding Peer Counseling (BFPC) Program. Not every local agency 605 has a BFPC Program, which utilizes Peer Counselors to encourage and support WIC 606 mothers to breastfeed their infants. The Peer Counselors are paid paraprofessionals 607 recruited from the population they serve and trained to provide breastfeeding services to 608 WIC participants. The BFPC Program coordinates with the local agency’s ongoing 609 breastfeeding promotion efforts to increase breastfeeding among WIC participants.

610 Individual Nutrition Education Plan 611 Once participant nutrition risks have been identified, the local agency staff member 612 establishes a plan for the participant by modifying a plan template, which is recorded 613 within the legacy MIS. An Individual Nutrition Education Plan (INEP) includes the

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614 provision of nutrition education and other WIC services, which may include 615 breastfeeding support (if applicable) and outcomes from referrals to health and social 616 service programs. Local agency staff perform health and nutrition monitoring activities, 617 customize individual counseling sessions, plan nutrition education services, and 618 determine appropriate referrals, all recorded in the Plan. Local agency staff use the Plan 619 to document WIC services completion and outcomes for each individual participant, to 620 track progress toward the participant-set goals over time, and to guide future WIC 621 appointments during the participant’s certification period.

622 Referrals 623 The legacy MIS prompts local agency staff to make mandatory referrals to programs 624 such as Medi-Cal, SNAP, TANF, and Child Support. The system also allows local 625 agency staff to enter local service providers (e.g., food banks, drug and alcohol 626 treatment programs) and health care providers to aid in making referrals to the local 627 programs. The legacy MIS captures only provider referrals; it does not track referral 628 outcomes. Local agency staff must note outcome details, if known, in the legacy MIS 629 comment sections.

630 National Voter Registration Act 631 The National Voter Registration Act (NVRA) is mandated by federal and state law. Local 632 agencies are required, at each certification and whenever a participant reports a change 633 of address, to provide each adult applicant or participant and any adult applying on 634 behalf of an infant or child, the opportunity to register to vote. Currently, local agency 635 staff manage the NVRA process manually and document on a paper form whether or 636 not the individual chooses to register. The form is completed during the appointment 637 and filed. To support this mandate the legacy MIS only displays on the referrals screen 638 an auto-reminder to local agency staff to complete the manual process.

639 Immunization Screenings 640 The CDPH/WIC manually supports existing funded immunization activities. 641 Immunization screening is federally mandated, as referenced in Implementing the New 642 WIC Policy for Immunization Screening and Referral, located in the Bidders’ Library. 643 Local agency staff screen the immunization status of all infants and children under the 644 age of two years. When setting up a certification appointment for an infant or child up to 645 two years of age, the staff member requests the parent or caretaker bring the infant or 646 child’s immunization record provided by the infant or child’s health care provider. At the 647 appointment, the staff member checks the record to ensure that the immunizations are 648 up to date. If immunizations are not up to date or if the parent or caretaker does not 649 bring the record, the staff member provides an immunization referral. Some WIC local

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650 agencies have access to local, regional, or state databases, which staff may use to 651 check the infant or child’s immunization status. 652 The legacy MIS lets users manually enter immunization due dates for infants and 653 children and provides a message when immunizations are past due. Local agencies do 654 not utilize this functionality. Immunization screening has no impact on WIC benefit 655 issuance.

656 Food Management

657 Federal and State Regulations 658 Federal regulations, specifically 7 CFR Part 246.10, identify categories of supplemental 659 foods that each state agency must authorize for issuance to WIC participants. Within 660 those categories, there are foods that State agencies may opt to include at their 661 discretion, such as milk alternatives and additional whole grains options. Moreover, 662 federal regulations give state agencies the right to invoke the administrative option to 663 establish criteria in addition to the minimum federal requirements for authorizing foods, 664 such as restrictions on sizes, varieties, or packaging types allowed.

665 California WIC Program Authorized Foods and Shopping Guide 666 The official list of California WIC-authorized foods can be found in WIC Bulletin 667 Regulations 82000-83000. The WIC Authorized Food List (WAFL) Shopping Guide (SG) 668 is an educational document that summarizes WIC Bulletin Regulations and outlines for 669 participants and vendors, the requirements for authorized foods. The WAFL SG 670 describes in detail the authorization requirements for each food category. Within the 671 WAFL, authorized foods may be brand or product specific. Authorized foods that are not 672 brand specific are those that meet the authorization criteria in the WAFL, regardless of 673 brand or product name. For additional information, refer to the WIC Bulletin Regulations 674 82000-83000 and the WIC Authorized Food List Shopping Guide documents, located in 675 the Bidders’ Library.

676 Infant Formula 677 Infant formula is a unique food category in that federal regulations require state 678 agencies to have a continuous cost containment system in place in the form of a rebate 679 contract, unless exempted by the USDA for standard infant formula. These contracts 680 are usually in place for three (3) to five (5) years. The State also issues exempt infant 681 formula with medical prescriptions for infants with qualifying medical conditions. 682 683

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684 Food Benefit Issuance 685 Federal regulations state that there are seven core food packages available under the 686 Program that may be provided to participants. The participant’s category, nutritional 687 needs, and mother’s plans for breastfeeding are the basis for determining the food 688 package of the participants. USDA regulations list the seven core food packages, but 689 regulations provide state agencies the option to issue various sub-food packages within 690 each of the core food packages, to take into account various participant needs, such as 691 food substitutions (e.g., lactose-free milk) and circumstantial needs, such as requiring a 692 modified food package due to homelessness. Food categories, food packages, and 693 associated business rules are maintained in the legacy MIS so that the California WIC 694 Program may ensure appropriate food prescriptions are made to participants.

695 Food Package Prescriptions 696 Once the certification process is completed, a local agency staff member selects a food 697 prescription for the participant from more than 100 food packages that are available. 698 Food packages are category-specific. The legacy MIS automatically displays a default 699 food package based on participant category and age. The staff member may select a 700 food package other than the default to best meet the participant’s health needs and 701 preferences, but the system will not allow an inappropriate food package for the 702 participant’s age or category.

703 Food Package Issuance 704 The legacy MIS captures and maintains information about California WIC Program 705 approved foods, food packages, prescriptions, and issuance of food benefits, including 706 FMNP coupons, to WIC participants. The legacy MIS also allows users to void and 707 reissue FIs. 708 Local agency staff issue benefits on paper FIs while participants are present at the local 709 agency site. The legacy MIS prints FIs on dot matrix printers located at each site. 710 Depending on the participant’s INEP or hold status, the participant may receive from 711 one (1) to three (3) months of FIs. In circumstances when a participant may not be 712 present, local agency staff may either mail the participant their paper FIs or allow the 713 participant’s alternate or proxy to pick them up. 714 The California WIC Program issues food benefits based on a rolling month benefit cycle 715 of 30 days duration. For example, if a participant receives FIs on May 15, the benefits 716 are valid from May 15 through June 13. If the participant receives benefits for two 717 months, the subsequent set of FIs would be valid for the next 30 days starting June 14. 718 719

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720 Food Benefit Redemption, Settlement, and Reconciliation

721 Food Benefit Redemption 722 To redeem FIs, a participant or their designated alternate visits a WIC-authorized 723 vendor and selects WIC-authorized foods. The FI lists the food items, size(s), and 724 quantities that may be purchased with the FI. Shoppers may use the WAFL SG to help 725 select the correct WIC-authorized foods. During the visit, shoppers may make non-WIC 726 purchases using alternate payment methods such as cash, debit card, personal check, 727 or SNAP EBT. 728 The process to redeem FIs at checkout is manual, whereby the shopper separates 729 WIC-authorized foods from other purchases, groups them by FI, and informs the cashier 730 that he/she is using FIs. The cashier must manually verify the following: 731 • The participant or their designated alternate has signed the WIF. 732 • The current date is within the “‘first day to use” and “last day to use” range 733 printed on each FI. 734 • Each food item purchased using the FI is WIC-authorized and in the correct size 735 and quantity indicated on the FI. 736 The cashier must then: 737 • Ring up or scan WIC-authorized foods by each FI, one at a time. 738 • Write the total purchase price on each FI. 739 • Obtain the shopper’s signature on each FI. 740 • Compare the signature on the FI to the signature on the WIF. 741 WIC-authorized retailer vendors may accept both FIs and CVVs. Farmers, farmers’ 742 markets, and farmers’ market association vendors may accept only CVVs and FMNP 743 coupons.

744 Food Benefit Settlement and Reconciliation 745 WIC-authorized vendors must validate each FI with the State, including CVVs, 746 redeemed at their store location. The vendor submits each FI serial number through the 747 Vendor WIC Information eXchange (VWIX), which performs primary and secondary 748 edits prior to the vendor depositing the FI into the vendor’s bank for financial settlement. 749 The VWIX validates that the vendor is authorized, the FI serial number has not already 750 been redeemed or submitted by a different vendor, the FI is within the valid use by 751 dates, and updates the legacy MIS FI record with redemption information. 752 After FI serial number validation, the vendor deposits the FIs at its financial institution, 753 which treats them as checks. The financial institution, if not one of the eight authorized 754 presenting banks, submits the FIs electronically to the Federal Reserve Bank, which 755 then submits the FIs to the State Treasurer’s Office (STO). The STO uses an

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756 automated process to validate each FI, based on information provided from the legacy 757 MIS. The STO also verifies that the payment amount on each FI does not exceed the 758 Maximum Allowable Department Reimbursement (MADR) rates for each FI. The STO 759 authorizes payment for those FIs that process successfully. Rejected FIs are returned to 760 the presenting financial institution, which then returns them to the vendor. The STO 761 retains images of all FIs processed. The CDPH Information Technology Services 762 Division (CDPH/ITSD) and the STO exchange data files daily to share information on 763 issued FIs, FIs paid, and FIs rejected with reason for rejection. 764 The process to settle and reconcile FMNP coupons is similar: coupon books are logged 765 in the legacy MIS by serial number. Once redeemed, the WIC-authorized farmer, 766 farmers’ market, or farmers’ market association vendor treats the FMNP coupon like a 767 check, endorses it, and deposits it in the vendor’s financial institution. The STO then 768 reconciles the coupons with the legacy MIS. 769 Each month CDPH/WIC reconciles between the legacy MIS and the STO, the daily 770 count and dollar amount of FIs redeemed. This process complies with USDA 771 requirements that the Program calculate and track inconsistencies in FI redemption 772 between the two reporting sources. This reconciliation is tracked in a spreadsheet that 773 shows the FI non-reconciliation rate and the dollar value of the non-reconciled FIs.

774 Financial Management

775 Manage Grants and Budgets 776 The CDPH/WIC Division receives several federal grants for food and for nutrition 777 services and administration (NSA) expenditures each year. Funds are allocated 778 quarterly throughout the federal fiscal year. Currently, the CDPH/WIC receives three 779 FNS grants, which include the main WIC grant, an FMNP grant, and a BFPC grant. 780 These federal grants are used for program management, client services, nutrition 781 education, and breastfeeding promotion and support. 782 For the main WIC grant, base funding is allocated in quarterly intervals throughout the 783 federal fiscal year. The USDA FNS recovers unspent funds at the end of the year and 784 then reallocates what is unspent the following year. For these reasons, funding levels 785 for WIC’s main grant may fluctuate several times during the course of a federal fiscal 786 year. 787 The USDA FNS provides cash grants to state agencies to administer the FMNP 788 program. The FMNP grant, which is separate from the main WIC grant, is typically 789 allocated from CDPH/WIC to select local agencies annually at the beginning of the 790 federal fiscal year. 791 Likewise, the BFPC grant has a separate funding structure from the main WIC grant 792 and is allocated annually, but funds may be used for up to a period of three years. The ______Section 1 Introduction Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 13 State of California RFP OSI #31875 Office of Systems Integration

793 BFPC grant is designed to increase breastfeeding initiation and duration rates for WIC 794 participants, as well as enhance breastfeeding for WIC participants who breastfeed.

795 Track Grants 796 The three FNS grants awarded to CDPH/WIC are tracked with Microsoft Excel 797 spreadsheets. This is necessary to track quarterly allocations and ensure sufficient cash 798 is available for expenditure draws. The CDPH/WIC maintains a current balance of 799 funding levels in all grant categories throughout the year to be used for food and NSA 800 categories.

801 Maintain State Agency Budget Information 802 The CDPH/WIC budget comprises food and NSA funds. At the end of the federal fiscal 803 year, CDPH/WIC reports to FNS the total NSA expenditures by category for program 804 management, client services, nutrition education, and breastfeeding promotion and 805 support. The CDPH/WIC currently maintains grant and budget data and local agency 806 budget detail in Excel spreadsheets.

807 Maintain Local Agency Budget Information 808 For NSA funds, CDPH/WIC allocates NSA funds to local agencies each year. The 809 CDPH/WIC collects WIC NSA budget data for individual local agencies in order to track 810 expenditures against the budget with Microsoft Excel spreadsheets.

811 Monitor Program Expenditures 812 The CDPH/WIC tracks and approves local agency invoices for reimbursement. Local 813 agencies need to submit invoices at least once per quarter, but not more frequently than 814 monthly, unless approved by CDPH/WIC.

815 Monitor NSA Expenditures 816 Invoices consist of a two- (2) or more page standard Excel worksheet and one (1) NSA 817 operating expense tracking Excel worksheet. The CDPH/WIC processes invoices on a 818 daily basis.

819 Monitor Food Expenditures 820 The CDPH/WIC maintains records of its estimated food obligations for current and 821 future months as well as actual outlays for current and past months. This data is 822 collected and compiled from various functions and data systems. The total of all food 823 benefit obligations is obtained to project the expenditures each month using the Food 824 Forecast Model. For reference, a Sample Food Forecast Model is located in the 825 Bidders’ Library. The CDPH/WIC also tracks obligations for future months using food

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826 obligation estimates. This data is used for federal reporting and to help CDPH/WIC 827 estimate future costs to ensure fiscal solvency.

828 Perform Financial Monitoring 829 In addition to tracking allocations and expenditures using Excel, CDPH/WIC also utilizes 830 the California State Accounting and Reporting System, CALSTARS Online Reporting 831 Environment (CORE), to reconcile expenditures and obligations. CDPH plans to 832 transition from CALSTARS to the Financial Information System for California (FI$CAL) 833 by July 1, 2018.

834 Manage Cash Flow 835 The CDPH/WIC monitors actual NSA and food expenditures. CDPH/WIC uses Excel 836 spreadsheets to track all cash inflows (e.g., grants, rebates, recoveries) and outflows 837 (e.g., food vendor payments, NSA payments for costs). The CDPH/WIC projects cash 838 needs to ensure proper cash draws are made against the federal grant.

839 Process Manufacturer Rebates 840 To contain costs, CDPH/WIC contracts with manufacturers to obtain rebates in return 841 for the State’s exclusive use of the manufacturer’s product in CDPH/WIC (e.g., infant 842 formula). Manufacturers agree to rebate a specific dollar amount per unit purchased 843 through CDPH/WIC. Rebates are important because they can significantly reduce the 844 food package cost, which frees federal grant funds to serve more participants.

845 Estimate Total Annual Rebates 846 The CDPH/WIC maintains monthly rebate data to estimate the monthly rebate expected 847 for the coming year using the Food Forecast Model. For reference, a Sample Food 848 Forecast Model is located in the Bidders’ Library. This provides an annual rebate 849 estimate for federal reporting and expenditure management.

850 Calculate Rebate and Prepare Invoice 851 The CDPH/WIC uses the WIC Information eXchange (WIX), a reporting system in the 852 legacy MIS, to produce four (4) Infant Formula Rebate Reports. The WIX system uses 853 redemption data to determine the number of rebated item units redeemed, which it 854 multiplies by the rebate amount to calculate the total rebate. It creates a flat file that 855 includes all redemption data for the invoice, which is automatically transferred via 856 Secure File Transfer Protocol (SFTP) to the formula manufacturer and emailed to the 857 WIC Food Payment Unit. 858

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859 Monitor Rebate Collections 860 The CDPH/WIC tracks manufacturer rebate invoices and collections using Microsoft 861 Excel spreadsheets and Access databases. The CDPH/WIC then reconciles invoice 862 payments using the CORE.

863 Ensure Cost Neutrality 864 Cost neutrality is the federal requirement that WIC programs must ensure that the 865 prices of A50 vendors do not inflate the program’s competitive price criteria or result in 866 higher total food costs. Cost neutrality ensures that payments to A50 vendors do not 867 exceed payments to non-A50 vendors by adjusting the MADR rate. The CDPH/WIC 868 ensures that A50 vendors are reimbursed no more, on average, than non-A50 vendors 869 by restricting the reimbursement rate of A50 vendors to the average payments to non- 870 A50 vendors for the prior 12 weeks.

871 Caseload Management 872 The CDPH/WIC determines the caseload assigned to each local agency and 873 CDPH/ITSD uploads the new caseload numbers to the legacy MIS. Caseload 874 management determines the number of participants each agency must serve each 875 month, which is the primary factor for local agency funding allocation. 876 Local agencies are required to serve 100 percent of their assigned caseload. The 877 CDPH/WIC monitors the performance of the local agencies in meeting their caseload 878 and has discretion to change the caseload if participation falls below the assigned 879 caseload. 880 The legacy MIS contains data that can be queried to monitor participation and fulfill 881 reporting requirements. The CDPH/WIC uses legacy MIS data and reports to monitor 882 local agency efforts to increase participation and to ensure that program integrity 883 policies are followed. The Legacy MIS Reports Inventory, located in the Bidders’ 884 Library, provides a list of current reports. 885 In addition to these routine reports, CDPH/WIC staff also extract case-level participant 886 and agency data from the legacy MIS to create external data files for further analysis 887 and caseload monitoring using the Statistical Analysis System (SAS) software program. 888 These analytical files are used to create reports on a wide variety of topics, such as 889 caseload monitoring by various agency and participant characteristics. 890 Both CDPH/WIC and local agency staff generate their own reports throughout the 891 month using WIX. These reports help staff monitor and manage caseload and may be 892 used by a local agency to perform tasks such as: 893 • Track participation trends at specified sites to monitor the effectiveness of 894 targeted outreach.

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895 • Manage the distribution of resources, such as staffing, among their local agency 896 sites according to the distribution of participants being served by each site. 897 Local agencies take a number of measures to maintain and increase participation. Data 898 extracted from the legacy MIS can be used in conjunction with the WIX reporting tool 899 and ancillary equipment, such as an auto dialer, to automate notices of upcoming and 900 missed appointments. Local agencies utilize data from the legacy MIS and WIX to 901 monitor no-show rates and to adjust the appointment schedule, such as adding 902 appointments within a specific timeframe to better accommodate participant needs. 903 The legacy MIS automatically assigns to each participant a priority ranking based on 904 category, age, and risk. Prenatal, breastfeeding, and infant categories, combined with 905 certain risk factors, are the highest priority (Priority I). If a local agency reaches 100 906 percent (100%) of the caseload, a waiting list would be implemented based on priority 907 ranking; if NSA funds were available, caseload may be increased without the use of a 908 waiting list. At this time, no WIC local agency in California has a waiting list. Waiting lists 909 are maintained outside the legacy MIS.

910 Operations Management 911 Operations Management includes those activities and functions to monitor and manage 912 WIC local agencies and sites, as well as CDPH/WIC. Operations Management activities 913 and reports utilize data stored in the legacy MIS and SharePoint. The CDPH/WIC also 914 utilizes ancillary manual systems, such as SAS, Excel, and Access to support 915 functionality when applicable. Operations Management includes activities to: 916 • Monitor local agency administrative operations. 917 • Manage participant outreach. 918 • Monitor customer service calls. 919 • Conduct WIC Program surveys. 920 • Manage check stock and FMNP booklet inventories. 921 • Monitor Program integrity.

922 Vendor Management 923 Vendor Management includes those activities to select, authorize, train, monitor, and 924 investigate WIC-authorized retailer, farmer, farmers’ market, and farmers’ market 925 association vendors. Primary vendor management goals include to provide support to 926 the CDPH/WIC vendor community, ensure vendor compliance with federal and state 927 regulations, and reduce fraud and abuse in the California WIC Program food delivery 928 system. 929 930

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931 Vendor Selection and Authorization 932 Retailer vendor selection and authorization criteria are specified in federal, state, and 933 California’s WIC Bulletin regulations and address: 934 • Assignment to a peer group of similar vendors. 935 • Competitive price criteria. 936 • Vendor business integrity. 937 • California Health and Safety Code requirements. 938 • Cash register equipment and itemized customer receipts. 939 • Circumvention of WIC sanctions. 940 • Infant formula purchase requirements. 941 • Record keeping for inventory, sales and use tax, and transactions. 942 • WIC acronym and logo usage. 943 • Minimum stocking requirements. 944 • Minimum technology requirements. 945 • Store locations and hours. 946 • SNAP authorization. 947 • Vendor training. 948 • Shelf price visibility. 949 • Program violations and applicable sanctions. 950 • Incentive item requirements. 951 Prospective vendors complete a fillable online PDF application available on the 952 CDPH/WIC website and submit the completed application via email or U.S. Mail to the 953 CDPH/WIC Vendor Management Branch (VMB). The VMB staff use legacy MIS 954 systems such as SharePoint and WIC MIS, as well as manual processes, to evaluate 955 the application and determine if vendors meet specific authorization criteria. Once a 956 vendor becomes authorized, VMB staff create a vendor data record in the legacy MIS. 957 The VMB staff make subsequent revisions or edits to the record as needed. Once 958 approved, vendors are authorized for up to three years. At the end of the authorization 959 period, the vendor may apply for reauthorization to California WIC Program.

960 WIC-Authorized Vendor Peer Groups 961 Federal regulations require that state agencies develop vendor peer group criteria and a 962 corresponding reimbursement system. WIC-authorized vendors may be assigned to a 963 “peer group” based on similar characteristics that affect food prices, such as store type, 964 store size, number of cash registers, WIC sales volume, gross sales volume, inventory, 965 and other characteristics. The purpose is to apply appropriate competitive price criteria 966 at authorization and to limit payments for food to competitive levels.

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967 Upon authorization to the Program, the legacy MIS uses vendor characteristics to 968 assign the vendor to one of three basic peer groups: 969 • Category A (A50): Vendors that receive more than 50% of their annual food sales 970 revenue from WIC redemptions. 971 • Category B (Full-Line Grocers): Vendors that receive 50% or less of their annual 972 food sales revenue from WIC redemptions and that meet a minimum stocking 973 quantity and variety of specified foods. Vendors placed in Category B are further 974 assigned to a subgroup based on the number of cash registers in the store. 975 • Category C: Vendors that receive 50% or less of their annual food sales revenue 976 from WIC redemptions and do not meet the criteria for a Full-Line Grocer. 977 Each peer group is assigned a MADR rate for each FI type appropriate to that peer 978 group to ensure competitive and reasonable reimbursement. For more information on 979 peer groups and MADR rates, refer to WIC Bulletin Regulations 50000 - 60300, located 980 in the Bidders' Library.

981 Vendor Training 982 Prior to authorization and at least once every three years thereafter, WIC-authorized 983 vendors are required to complete interactive training conducted by CDPH/WIC staff. 984 Vendors must successfully pass an examination at the conclusion of the training. In 985 addition, all vendors must also participate in annual training, which may be satisfied 986 through a newsletter or similar format, with the vendor providing a self-certification 987 acknowledgement to the California WIC Program when completed. Failure to complete 988 the training requirements will result in termination of the vendor’s agreement.

989 On-Site Preauthorization Visit 990 Federal regulations require the California WIC Program to conduct an announced on- 991 site preauthorization visit prior to a retailer vendor's authorization. The CDPH/WIC staff 992 identify themselves to vendor personnel and verify: inventory for minimum stocking 993 requirements, expiration dates on supplemental foods, store hours, the number of 994 registers, infant formula invoices, infant formula seller's permit numbers, valid health 995 permit, and the vendor’s peer group assignment. Following the on-site preauthorization 996 visit, CDPH/WIC staff record findings in Microsoft Access and SharePoint. Findings that 997 violate vendor authorization criteria may result in a denial of the vendor’s application. 998

999 High-Risk Retailer Identification 1000 Federal regulations require CDPH/WIC to identify and monitor retailer vendors 1001 considered “high risk” based on approved criteria. The high-risk methodology is not

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1002 publicly distributed and is subject to change based on USDA directives or business 1003 needs.

1004 Routine Monitoring 1005 USDA and federal regulations require state agencies to conduct unannounced routine 1006 monitoring visits (RMV) on a minimum of five percent (5%) of all authorized retailer 1007 vendors and ten percent (10%) of farmer, farmers’ market, and farmers’ market 1008 association vendors as of October 1 of each federal fiscal year. Routine monitoring 1009 refers to overt, onsite monitoring visits to vendor locations during which CDPH/WIC 1010 representatives identify themselves to vendor personnel. During the retailer vendor 1011 RMV, CDPH/WIC representatives check vendor inventory for minimum stocking 1012 requirements, review FIs in the vendor’s possession, check expiration dates on 1013 supplemental foods, and observe WIC FI transactions. Following completion of the 1014 retailer vendor RMV, CDPH/WIC staff update vendor profile data in the legacy MIS and 1015 record findings in SharePoint. Findings that violate vendor authorization criteria may 1016 result in disqualification or termination from California WIC Program. 1017 During the farmer, farmers’ market, or farmers’ market association vendor RMV, 1018 CDPH/WIC staff check for the posting of the required signage, observe CVV and/or 1019 FMNP transactions to ensure that only allowed foods are purchased and regulations 1020 pertaining to the transaction are followed. Following the farmer, farmers’ market, and 1021 farmers’ market association vendor RMV, CDPH/WIC staff update the vendor profile 1022 data in the Farmers' Market Access Database. Findings that violate vendor 1023 authorization criteria may result in disqualification or termination from CDPH/WIC.

1024 Compliance Investigations and Inventory Audits 1025 USDA and federal regulations require that each state agency conduct inventory audits 1026 or compliance investigations on a minimum of five percent (5%) of the number of retailer 1027 vendors authorized by the state agency as of October 1 of each fiscal year. In addition, 1028 CDPH/WIC must conduct compliance investigations on all high-risk retailer vendors up 1029 to the five percent (5%) minimum. 1030 Compliance investigations are covert compliance buys in which a compliance analyst 1031 poses as a WIC participant and performs a WIC transaction to determine whether the 1032 vendor is committing Program violations. These violations include but are not limited to 1033 overcharging for supplemental foods, accepting WIC FIs as payment for unauthorized 1034 foods, or exchanging WIC FIs for cash. 1035 A compliance investigation of a high-risk retailer vendor may be considered complete 1036 when it has been determined that a sufficient number of compliance buys have been 1037 conducted to provide evidence of program noncompliance, when two compliance buys

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1038 have been conducted in which no program violations are found, minimal finding 1039 violations are found, or when an inventory audit has been completed. 1040 Inventory audits examine food invoices and other purchase records to confirm that the 1041 retailer vendor purchased sufficient quantities of WIC supplemental foods to support the 1042 volume of WIC foods identified on the food instruments redeemed by the retailer vendor 1043 during a given period of time. CDPH/WIC contracts with the State Controller’s Office 1044 (SCO) to perform retailer vendor inventory audits. After the inventory audit, SCO reports 1045 their findings to CDPH/WIC through a Vendor Inventory Audit Report. The audit referral 1046 information and findings are recorded in the Vendor SharePoint database. 1047 Compliance investigation and inventory audit referral information and findings are 1048 captured in a SharePoint database. Compliance investigation findings and inventory 1049 audit findings may result in disqualification or termination from the California WIC 1050 Program and/or civil money penalties or further sanctions as permitted by state and 1051 federal regulations, if applicable.

1052 Sanctions and Appeals 1053 Vendors that violate WIC policies are sanctioned per federal and state regulations. 1054 Sanctions may include disqualification or termination from California WIC Program 1055 and/or civil money penalties. Vendors may appeal sanctions through an administrative 1056 hearing. The CDPH/WIC staff enter sanctions data into the legacy MIS. The CDPH/WIC 1057 staff also use SharePoint and Excel to track administrative appeals and hearings for 1058 retailer vendors, and use the Farmers’ Market Access Database for farmers, farmers’ 1059 markets, and farmers’ market association vendors.

1060 Accounts Receivables for Recoupment Amount 1061 Currently, vendors are sent letters listing the amount they owe to the California WIC 1062 Program. Vendors mail in a cashier’s check to CDPH/WIC. CDPH/WIC staff logs, into 1063 SharePoint, receipt of the check along with information on the check such as vendor 1064 name and amount paid. The check is then processed by CDPH/WIC Accounting staff.

1065 Retailer Vendor Coordination with the Supplemental Nutrition 1066 Assistance Program 1067 All WIC-authorized vendors are required to maintain current authorization at all times 1068 with SNAP. The CDPH/WIC captures SNAP data for any sanctions imposed against 1069 retailer vendors that are also authorized by CDPH/WIC. The SNAP provides PDF 1070 versions of its letters it sends to vendors via email to the CDPH/WIC Hearing and 1071 Appeals Unit. This information may be received on a case-by-case basis, as well as 1072 weekly and monthly. Based on the SNAP letter, CDPH/WIC staff manually enter each 1073 vendor’s status code in the legacy MIS. Notification of a SNAP sanction results in

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1074 disqualification from the WIC Program. SNAP reciprocal disqualifications are 1075 documented in the legacy MIS.

1076 Vendor Communications 1077 The VMB staff utilize various technologies to manage vendor management activities. 1078 The VMB staff also use SharePoint and the Farmers’ Market Access Database to 1079 coordinate staff field travel and track vendor activities, which include routine monitoring, 1080 compliance investigations, complaints, and audits. Each WIC-authorized vendor is 1081 provided with a logon to the VWIX system. The VMB staff communicate with WIC- 1082 authorized vendor stakeholders and applicants using email, fax, or Microsoft Word 1083 documents. The VMB also has a distribution list of vendors that have opted to receive 1084 CDPH/WIC electronic communications via ListServ.

1085 Retailer Vendor Shelf Price Submission and Cost Competitive 1086 Analysis 1087 Federal regulations require state agencies to obtain and consider the shelf prices of 1088 both retailer vendor applicants and authorized retailer vendors to the WIC Program as 1089 part of vendor selection criteria. These shelf prices are also used to determine whether 1090 a retailer vendor applicant or retailer vendor is cost competitive when compared to other 1091 vendors within its assigned peer group. Assessment of cost competitiveness is done 1092 outside the legacy MIS, using Excel and SAS. The CDPH/WIC determines cost 1093 competitiveness of retailer vendors within a peer group semi-annually based on self- 1094 reported shelf prices for a selection of items, submitted by retailer vendors using VWIX. 1095

1096 Retailer Vendor Shelf Price Collection Process 1097 Retailer vendor applicants submit these prices as part of their initial application process 1098 to become authorized by CDPH/WIC. Existing retailer vendors submit their prices using 1099 the existing VWIX portal. Federal regulations require all retailer vendors to submit their 1100 shelf prices at least every six months upon CDPH/WIC request. To meet this 1101 requirement, retailer vendors must submit their current highest and lowest shelf prices 1102 for 12 pre-selected WIC-authorized food items, known as the “Market Basket.” 1103 The CDPH/WIC VMB staff use an administrative interface on VWIX to select the Market 1104 Basket items and open a submission period. After a submission period has been 1105 opened, retailer vendors will see a message when they log into VWIX notifying them 1106 that they have submissions that must be completed. The VWIX portal displays a 1107 message when the retailer vendor has outstanding or incomplete Shelf Price 1108 Submissions. Retailer vendors must submit their shelf prices for the Market Basket

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1109 during one of two available 30-day submission periods (known as a Shelf Price 1110 Submission Cycle) or they will be terminated from the California WIC Program. 1111 1112

1113 Retailer Vendor Cost Competitive Analysis Process 1114 At the conclusion of the Shelf Price Submission Cycle, CDPH/ITSD provides VMB with 1115 an Excel spreadsheet with all prices retailer vendors submitted during the cycle. The 1116 CDPH/WIC Data Analysis, Research, and Evaluation (DARE) section completes a cost 1117 competitive calculation that determines an overall Market Basket price for each retailer 1118 vendor. Each retailer vendor’s Market Basket is then compared with others within the 1119 same peer group to determine the Average Overall Market Basket (AOMB) for that peer 1120 group. A retailer vendor is deemed non-competitive in a Shelf Price Submission Cycle if 1121 its Market Basket price at any time exceeds 120 percent of the AOMB for its peer group. 1122 The DARE analysis findings are documented in an Excel spreadsheet and given to the 1123 VMB, which then proceeds with sanctions or other actions, as required by regulations. 1124 The VMB staff use the VWIX administrative interface to view prices submitted by 1125 individual retailer vendors, determine participation status, and review data from prior 1126 submission periods.

1127 Scheduling 1128 The legacy MIS has an automated scheduling function that allows local agencies to set 1129 up and manage master calendars and appointment schedules for all sites affiliated with 1130 that local agency. Appointment contacts of all types and in specified languages can be 1131 scheduled months in advance and available openings are easily identified. A WIC local 1132 agency administrative staff member builds master calendars by specifying the maximum 1133 available slots, durations, appointment types, and language. Nutrition education 1134 sessions are scheduled concurrently with FI pick-up for efficiency. 1135 The system provides useful tools for tracking appointment outcomes such as a daily 1136 report of participants that missed their appointment. Appointment notices and reminders 1137 can be generated for applicants and participants. Notices may be printed or sent by 1138 phone call, text, or email using a peripheral device such as an auto dialer. 1139 The legacy MIS does not have the capability to view changes to an appointment, the 1140 staff person(s) who changed the appointment, or the date or time of the modification(s). 1141 The legacy MIS does not have mass rescheduling or cancelling capability.

1142 Reporting

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1143 Legacy MIS data supports California WIC Program functions, daily operations, reporting 1144 requirements, and decisions. The legacy MIS provides reporting capabilities to 1145 CDPH/WIC, local agency, and vendor users and participants in a variety of ways: 1146 1. The WIX reporting web portal allows users access to standard, or “canned,” 1147 reports. Authorized users may also generate ad hoc reports. 1148 2. The legacy MIS runs batch jobs that produce additional canned reports. 1149 3. The legacy MIS runs a nightly application that populates SharePoint site 1150 databases. The VMB uses SharePoint reports to perform management functions 1151 not supported by the legacy MIS. 1152 4. The VWIX vendor portal contains stored procedures that allow users to generate 1153 FI status and MADR reports. 1154 5. Authorized CDPH/WIC and CDPH/ITSD staff may utilize IBM’s Query 1155 Management Facility (QMF) query tool to directly query data within the legacy 1156 MIS. 1157 6. The WIC Mobile web application provides participants easy access to WIC 1158 information from their smartphones. 1159 For more information on reports from the legacy MIS, refer to the Legacy MIS Reports 1160 Inventory, located in the Bidders’ Library.

1161 Reporting and Population Assessments 1162 The nutrition education, health, and referral data entered into the legacy MIS are not 1163 only used for individual health assessments, but also to report and assess across 1164 populations and provide datasets for the federal WIC Participant Characteristics 1165 database. These reports provide the federal government and others details about 1166 California WIC Program progress in achieving positive health outcomes for participants 1167 and identifying unmet need and areas for future emphasis. The data also supports FNS 1168 to produce its biennial nationwide WIC Participant and Program Characteristics reports.

1169 Check Stock Management 1170 The CDPH/WIC has extensive procedures, policies, and tools to manage check stock 1171 from procurement through redemption. The CDPH/WIC procures its check stock from a 1172 check stock vendor, which stores the check stock in a secure warehouse. The local 1173 agencies submit check stock orders to CDPH/WIC, which approves the orders before 1174 sending them to the check stock vendor. The check stock vendor ships the check stock 1175 to local agencies using Federal Express, whose charges are then billed to CDPH. Once 1176 received, local agencies observe strict protocols and access to inventory, store, 1177 distribute, and track check stock through their sites. The sites, in turn, follow specific 1178 protocols to secure and track the check stock while in their possession. Check stock 1179 orders are communicated via email and spreadsheets. The legacy MIS assigns order 1180 numbers and tracks order and shipment information. It also tracks assigned sites for ______Section 1 Introduction Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 24 State of California RFP OSI #31875 Office of Systems Integration

1181 specific FI serial numbers so that the location of each FI can be determined at any given 1182 point in time. The CDPH/WIC local agencies follow a similar process for FMNP check 1183 booklets. 1184

1185 Communications 1186 The majority of communication systems California WIC Program uses are manual and 1187 do not interface with the legacy MIS. The legacy MIS prints appointment notices to mail 1188 to applicants and participants but does not have the functionality to generate letters, 1189 send emails, or communicate with stakeholders. 1190 The legacy MIS has WIC MIS News functionality. Using WIX, authorized State and local 1191 agency staff can create statewide, agency, or site-specific messages. The messages 1192 created in WIX display in the legacy MIS when a user logs into the system. The 1193 messages can be set to expire and can be ordered to control the display. The VWIX 1194 system also has a news functionality that authorized State staff may use to post 1195 messages for the WIC-authorized vendor community. 1196 Outgoing communications are conducted via the CDPH/WIC public-facing website, 1197 www.wicworks.ca.gov, electronic mail, and U.S Mail, including priority and overnight 1198 mail. The CDPH/WIC uses ListServ software when sending electronic communications 1199 to a large audience. The WIX reporting web is also used to communicate with local 1200 agencies. Additionally, the WIC MIS collects emergency contact and notification 1201 information and interfaces with Everbridge, an Emergency Notification System, to relay 1202 relevant notifications to local agency users, such as for unplanned system outages. 1203 Incoming communications are by telephone, email, U.S. Mail, fax, or submission of an 1204 electronic form posted on the CDPH/WIC website. Various email accounts allow for 1205 routing requests to specific areas within CDPH/WIC (e.g., 1206 [email protected], [email protected]). To maintain confidentiality 1207 and meet compliance requirements, the types of documents that may be transmitted 1208 electronically are restricted. 1209 The WIX system allows local agencies to download Excel files of participants with 1210 upcoming or missed appointments that can be used with auto dialer systems. Some 1211 local agencies use auto dialer systems to contact participants for appointment 1212 reminders and missed appointments. The auto dialers may have the option to send text, 1213 e-mail, and voice calls to participants, depending on the system selected and the local 1214 agency’s business rules.

1215 Current Technical Environment

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1216 This subsection provides an overview of the technical environment that currently 1217 supports California WIC Program. The CDT Office of Technology Services data center 1218 (OTech) hosts three of the primary legacy MIS systems: 1219 • WIC MIS. 1220 • WIX. 1221 • VWIX. 1222 The OTech data center hub provides T1 and T3 connections to these systems, while 1223 remote local agency sites connect to the hub through a California Government 1224 Enterprise Network (CGEN) circuit or VPN that utilizes cable modem, DSL, wireless, 1225 dial-up, or satellite technologies. CGEN is the State’s primary telecommunications 1226 network (backbone). 1227 The diagram in Figure 1-1, Legacy MIS Systems Landscape, provides a high-level 1228 depiction of the legacy MIS, key interfaces, and user interactions. A description of each 1229 component system follows.

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1230 Figure 1-1: Legacy MIS Systems Landscape

WIX WIC Mobile

WIX Canned and Ad Database and Hoc Reports Reporting Portal

Participants State, Local Agency, A and Site Users

WIC MIS

B WIC MIS CDPH Emergency MEDS Excel, Access, Database and Notification (DHCS) SAS, and Online Portal System SharePoint

C

WIC MIS Batch Processing State Users

Daily and Month- VWIX Processing STO Processing WIX Processing Data Extracts End Processing

I J

VWIX PCDB Legend

Breast Automated Database D VWIX Feeding Process State Treasurer’s Database and Peer Office Vendor Portal Counseling

K E F G H External Report State Users Data

Footnote External to Legacy MIS Local Agency and WIC-Authorized Vendor Site Users

A. Participants access WIC program information from their cellphone. B. Verify adjunctive eligibility during certification process. C. WIC MIS performs batch processing to maintain information to/from other systems. D. State users create Shelf Price Surveys, manage Survey submissions, and pull reports. E. Vendors submit FI serial numbers and biannual Shelf Price Survey, and complete annual training. F. Vendors view MADR, FI submission status report, program updates, and resources. G. Vendors deposit FIs at their banks, banks forward to STO. H. STO sends payment for valid FIs or returns declined FIs. I. STO communicates to VWIX, via WIC MIS processing, FI serial numbers approved, paid, and rejected. J. VWIX validates FI and confirms FI issued with MADR, via WIC MIS batch processing. K. BFPC provides participant information, referrals, and counseling. 1231 ______Section 1 Introduction Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 27 State of California RFP OSI #31875 Office of Systems Integration

1232 WIC MIS 1233 The CDPH/WIC existing management information system is known as WIC MIS. This 1234 system manages information in support of CDPH/WIC, local agency, and site 1235 operations. The WIC MIS is the primary interface for local agencies to provide direct 1236 services to participants. The WIC MIS application is fully operational in all 83 local 1237 agencies throughout the state, with 636 sites and approximately 5,000 users. 1238 Functionality provided by the WIC MIS and related information stored in the WIC MIS 1239 database includes: 1240 • Certification 1241 • Nutrition Education, Health Surveillance, and Referrals 1242 • Food Management 1243 • Food Benefit Issuance 1244 • Food Benefit Settlement and Reconciliation 1245 • Financial Management 1246 • Caseload Management 1247 • Operations Management 1248 • Vendor Management 1249 • State Administration 1250 • Scheduling 1251 • Reporting 1252 • System Administration 1253 Table 1-2, WIC MIS Overview, provides an overview of relevant characteristics of the 1254 WIC MIS.

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1255 Table 1-2: WIC MIS Overview

WIC MIS Overview Platform IBM Mainframe Languages Cobol, CICS Host OTech Data Center Application Support Organization CDPH/ITSD WIC MIS Database DBMS DB2 on z/OS Size 310 active + 543 archived gigabytes of storage space for Production and 526 gigabytes of storage space for Test.

Database Calls Over 78 Million per Day Active Database Columns 2,063 Active Database Records Approximately 1.36 Billion Archived Records Approximately 1.3 Billion Sensitive Information Personally Identifiable Information (PII) that includes names, birth dates, addresses, income, and health information such as physical measurements, and health risk data

WIC MIS Statistics Number of User IDs 5,000 (approximate, with about 200 state users) Active Users Count 1,700, on average User Locations CDPH/WIC offices, and all local agencies and their sites Transactions Processed Approximately 2.9 Million per Day Average On-line Response Time 0.02 Seconds Active Participant Records Approximately 1.3 Million per Month FIs Issued Approximately 4.5 Million per Month 1256 Information maintained in the WIC MIS database is shared with a variety of information 1257 stakeholders, such as: 1258 • VWIX vendor portal. 1259 • WIX reporting portal. 1260 • WIC Mobile. 1261 • CDPH/WIC functions (e.g., nightly updates to SharePoint SQL databases in 1262 support of CDPH/WIC VMB). 1263 • Batch reporting.

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1264 • CDPH Emergency Notification System. 1265 The CDPH/ITSD and WIC staffs have access to IBM’s QMF tool to directly query the 1266 legacy MIS DB2 on z/OS databases (WIC MIS, WIX, and VWIX databases.)

1267 WIC Information Exchange 1268 The WIX serves as a web-reporting portal for the WIC MIS. The WIX system allows 1269 CDPH/WIC and local agency users to securely access WIC MIS data through a web 1270 browser. Through WIX, users can access numerous “canned” reports and utilize ad hoc 1271 reporting capabilities to create their own “user” reports. 1272 The WIX is an SAP Business Objects InfoView web portal through which user groups 1273 may share reports and other documentation. Users may also share reports directly with 1274 other users through the InfoView inbox. Canned reports are built based on stored 1275 procedures using Business Object’s Desktop Intelligence (Deski) software. User reports 1276 are built using Business Object’s Web Intelligence (Webi) software. Business Objects 1277 also handles security. Users are granted access to data and reports based on their 1278 “group” membership. 1279 The WIX is also used to create WIC MIS News messages and download auto dialer 1280 files for phone, email, and text appointment reminders. There is Help Desk functionality 1281 to create User IDs, reset passwords, and assign role-based access. Table 1-3, WIX 1282 Overview, provides an overview of relevant characteristics of the WIX system.

1283 Table 1-3: WIX Overview

WIX Overview WIC Information eXchange (WIX) Characteristic Value(s) Characteristic Report View Portal SAP Business Objects InfoView Canned Reports Development Tool SAP Business Objects Desktop Intelligence (Deski) User Reports Generation Tool SAP Business Objects Web Intelligence (Webi) Host OTech Data Center Application Support Organization CDPH/ITSD Users Approximately 820 local agency and 230 state Concurrent Users 50 WIX Database DBMS DB2 on z/OS Size Approximately 200 gigabytes Sensitive Information PII that includes names, birth dates, physical measurements, and health risk data

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1284 Vendor WIC Information Exchange 1285 The VWIX system is the primary interface for WIC-authorized vendor transactions. 1286 Vendors use the VWIX system to: 1287 • Report redeemed FI serial numbers for validation prior to reimbursement. 1288 • Biannually submit required shelf prices. 1289 • Annually complete vendor training. 1290 • View FI submission status reports. 1291 • Download MADR rates. 1292 • View programmatic updates or vendor resource materials. 1293 • Identify contact person or information for each contract ID. 1294 To report FI serial numbers, vendors either submit a file of FI serial number data via a 1295 SFTP or use the VWIX online web interface. The VWIX is fully operational for all active 1296 WIC-authorized vendors with approximately 19,400 VWIX users located throughout the 1297 State. Table 1-4, VWIX Overview, provides an overview of relevant characteristics of 1298 the VWIX system.

1299 Table 1-4: VWIX Overview

VWIX Overview VWIX & SFTP Platform Microsoft’s Internet Information Server Language ASP.NET and VB.NET Host OTech Data Center Application Support Organization CDPH/ITSD Users 19,400 User Locations All active WIC-authorized vendors VWIX Database DBMS DB2 on z/OS Size Approximately 200 gigabytes Sensitive Information Redeemed FI Serial Numbers

1300 Breastfeeding Peer Counseling Database System 1301 The Public Health Foundation Enterprises WIC Program (PHFE WIC) in Los Angeles, 1302 California is the largest WIC local agency in the country. The PHFE WIC developed and 1303 operates the Breastfeeding Peer Counseling Database (PCDB) documentation and 1304 tracking system. The CDPH/WIC mandates the use of this database by all California 1305 Peer Counseling programs. The legacy MIS does not interface with the PCDB.

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1306 The PCDB is a web-based system that allows users to enroll WIC-certified participant 1307 breastfeeding mothers and their infants into the breastfeeding peer counselor program 1308 and then enter as many “contact records” as needed to document interactions with the 1309 family. Peer counselors use the PCDB to record their contacts with new mothers. 1310 Contacts are recorded according to type (telephone, text, face-to-face, other), duration, 1311 and frequency. The information can then be shared among supervisors, peer 1312 counselors and lactation consultants hired by the local agency who accept referrals and 1313 conduct follow-ups. 1314 Through the PCDB, users can access reports and charts that provide detailed 1315 information on the work of individual peer counselors. Local agencies cannot see the 1316 details and reports for other local agencies, but they are able to see statewide statistics. 1317 All family data is strictly segregated by local agency. 1318 Information accessible through the PCDB or its reports support: participant contacts, 1319 participant needs and issues tracking, referrals, contact reminders, case management, 1320 participant training needs, counselor performance and program success. Table 1-5, 1321 PCDB Overview summarizes the PCDB characteristics and metrics.

1322 Table 1-5: PCDB Overview

PCDB Overview Platform Web based, Microsoft’s Internet Information Server Language ASP.NET, some JavaScript Host PHFE WIC Application Support Organization PHFE WIC Number of Users 583 active users in California Concurrent Users 130 (approximate), 300kbs network bandwidth

User Locations CDPH/WIC, local agencies and sites DBMS SQL Server Size 900 MB (approximate)

Sensitive Information PII such as name, birth date, and health information

1323 WIC Mobile 1324 The Women, Infants, and Children (WIC) Mobile web application is designed to 1325 enhance the WIC participant experience for those on the program while providing ease 1326 of access to those considering participation. WIC Mobile provides WIC participants with 1327 a smartphone device the ability to: 1328 • Search for a nearby WIC clinic office, or a WIC-authorized vendor. 1329 • Obtain driving or walking directions to the site location.

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1330 • Perform a lookup to view their clinic appointments 1331 • Perform a lookup of previously purchased food and eligible food purchase for the 1332 upcoming months. 1333 • Access the online graphical WIC Authorized Food List to see what food products 1334 are eligible for redemption. 1335 • Learn more about the WIC program and try out the WIC eligibility calculator to 1336 preliminarily determine individual qualification. 1337 • Make a call to their closest WIC clinic to schedule an appointment right from their 1338 smartphone.

1339 CDPH Emergency Notification System 1340 The CDPH Emergency Notification System is a SaaS solution, administered through a 1341 contract between CDPH and Everbridge, to communicate important alerts to California 1342 WIC Program stakeholders. To receive these notifications, local agency and site staff 1343 input and update their emergency contact information in the WIC MIS. State users are 1344 then able to browse emergency contact information and prepare timely, accurate, and 1345 geographically-focused emergency notifications. The Emergency Notification System 1346 effectively alerts the right people and reduces the number of WIC Help Desk calls 1347 during emergencies or unplanned system outages.

1348 Technology Support 1349 OTech staff perform technical and administrative system level hosting functions for the 1350 legacy MIS, including installing and patching all system and security software, network 1351 configurations, and firewalls. OTech also provides disaster recovery services. 1352 The WIC MIS is available weekdays from 7 a.m. until 9 p.m. and Saturdays from 8 a.m. 1353 until 5 p.m., Pacific Time. During the Farmers’ Market Season, the WIC MIS may be 1354 available during Sundays at the request of local agencies. The VWIX and WIX are 1355 available nearly 24 hours a day, seven days a week, with the exception of scheduled 1356 maintenance windows. 1357 The CDPH/ITSD provides account administration, application, hardware, software, and 1358 connectivity support to state and local agency WIC staff and to vendors who use the 1359 systems that compose the legacy MIS. Legacy MIS support includes: 1360 • Network and Desktop: Maintain systems user hardware, software, and 1361 networking capabilities. 1362 • System: Upgrade and maintain support on servers that host the WIC MIS. 1363 • Application: Create and maintain software applications.

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1364 • System Modifications: Create design documentation, submit requests for 1365 changes and enhancements, and monitor all system modifications throughout the 1366 project life cycle, in accordance with approved change management processes. 1367 • Testing: Test the system, production, and acceptance environments, as well as 1368 ensure hosting changes do not impact system performance. 1369 • Help Desk, First Level: The State currently has a WIC MIS Help Desk that 1370 supports internal and external WIC MIS (legacy MIS) users to troubleshoot all 1371 issues pertaining to legacy MIS applications, account administration, mainframe 1372 connectivity, hardware, and printers. Users call an 800 number or email the Help 1373 Desk for assistance. A Virtual Contact Center (VCC) application is used for call 1374 services. Help Desk answers calls and uses CDPH Cherwell, an Information 1375 Technology Infrastructure Library (ITIL)-based issue, incident, and change 1376 management tracking system, to document caller information and actions taken 1377 to resolve or escalate issues and change order requests. Technical Support also 1378 provides “how to” guidance to local agencies and vendors, as well as 1379 comprehensive training, as needed, to assist users. 1380 • Help Desk, Second Level: Support complex, escalated issues related to 1381 applications, account administration, and printers. 1382 • System Account Administration: Create and maintain user accounts and 1383 install system programs. 1384 • Communications: Provide updates to users about system availability. 1385 Messages are posted in many locations in several ways, such as mass email 1386 messages, website announcements, and notifications to users within an 1387 application. 1388 • Connectivity and Hardware: Issues that may not be remedied in first level 1389 support are escalated to external support at CDPH/ITSD or OTech. 1390 • Standards: Research, test, and develop standards for hardware and software 1391 needed to operate the WIC MIS.

1392 Desktop Infrastructure 1393 Staff use desktop equipment, printers, network, and communications hardware for 1394 general office and specialized functions as well as to access application systems. Some 1395 CDPH/WIC and CDPH/ITSD staff use PC-based workstations while others use thin 1396 client-based workstations connected to a Virtual Desktop Infrastructure (VDI). 1397 The VDI is based on Citrix XenDesktop FlexCast, which enables virtual desktops and 1398 applications to be delivered as a service to Citrix compatible devices. Citrix XenDesktop 1399 enables WIC staff to access their virtual desktops or applications from anywhere using 1400 Citrix compatible devices configured with the Citrix Receiver Plugin. The VDI uses 1401 enterprise class computing hardware from HP, EMC, Brocade, and Citrix so that users’

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1402 virtual desktops are hosted in a secure redundant data center operating 24x7 and can 1403 be accessed from endpoint devices that have the Citrix Receiver Plugin installed. The 1404 standard desktop configuration for staff with VDI consists of a zero client from 1405 WYSE/Dell with the model name Xenith Pro 2. A Zero client is a thin client with no local 1406 storage and thus so does not retain the operating system or the device’s configuration 1407 settings in flash memory. The Zero client is connected to a keyboard, mouse, monitor, 1408 and remote server, which hosts the client’s operating system and software applications. 1409 The VDI configuration runs Microsoft’s Windows 7 software and Microsoft Office 2010. 1410 Local agencies use multiple desktop infrastructure models. Some have the same 1411 personal computer models as State users; others use thin clients, thin clients/PC with 1412 VDI, or laptops with mobile connections. Connectivity back to the local agency central 1413 site can be T-1, partial T-1, DSL, cable, satellite, or mobile data. Local agencies 1414 determine their own devices and connectivity. The State is responsible only to the point 1415 of presence router dropped at the main site.

1416 System Administration 1417 The CDPH/ITSD, in coordination with OTech, performs legacy MIS administrative tasks 1418 to: 1419 • Maintain system data tables. 1420 • Ensure database security and maintenance. 1421 • Backup and recover data and applications. 1422 • Archive or purge data as appropriate. 1423 • Oversee system access and user maintenance. 1424 • Provide for data imports and exports as appropriate. 1425 • Administer disaster recovery. 1426 • Provide application maintenance and version control.

1427 1.6 Proposed Solution 1428 This section presents an overview of the Project, solution impact to current 1429 environment, proposed system, technical environment, and Contractor services and as 1430 such will not specify any detailed requirements. Bidder requirements and solution 1431 requirements supporting this overview are identified in Section 4, Bid Requirements. 1432 Contractor services requirements are identified in Appendix A: Statement of Work and 1433 its associated attachments.

1434 eWIC MIS Project 1435 The subsections that follow provide an overview of the State’s procurement efforts and 1436 the services associated with the eWIC MIS Project.

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1437 eWIC MIS Project Priorities 1438 California’s top WIC MIS Project priorities are to: 1439 • Comply with Healthy, Hunger-Free Kids Act of 2010: The State’s highest priority 1440 is to implement EBT for WIC, which requires a functional WIC MIS, statewide 1441 before October 1, 2020. 1442 • Improve services to WIC participants and families: The State seeks a solution 1443 that enhances services to WIC participants and families by improving access to 1444 food benefits and simplifying the shopping experience. 1445 • Support WIC local agencies: The State anticipates local agencies will undergo 1446 significant changes as the new MIS and EBT for WIC systems are implemented 1447 so support will be critical to Project success. 1448 To support these priorities the State has decided to implement the new MIS and EBT for 1449 WIC concurrently, and to provide significant Organizational Change Management 1450 (OCM) support for local agencies.

1451 Solution Outcomes 1452 The State’s new MIS will: 1453 • Replace the State’s legacy MIS with a USDA-approved transfer system, as 1454 described in Section 1.6.3.1. 1455 • Improve customer service at local agency sites. 1456 • Improve the WIC shopping experience for WIC participants. 1457 • Replace use of paper FIs with EBT cards. 1458 • Enhance information security. 1459 • Strengthen information controls and accountability that will enhance reporting to 1460 the USDA and other entities. 1461 • Improve information accessibility and timeliness to support management 1462 decisions. 1463 • Maximize operational efficiencies. 1464 • Reduce WIC benefit fraud. 1465 • Enhance WIC Program integrity. 1466 • Manage WIC, FMNP, and BFPC using a single system of record.

1467 Project Organization 1468 The critical participants in the eWIC MIS Project are identified in Figure 1-2, eWIC MIS 1469 Project Team Organization. Overall Project authority lies with the Executive Board. The 1470 Steering Committee establishes strategic direction and comprises the CDPH Deputy 1471 Director for Center for Family Health, the CDPH/WIC Division Chief, the CDPH/WIC 1472 Assistant Division Chief, the CDPH Chief Information Officer, the OSI Benefit

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1473 Enrollment Technology Support Deputy Director, and the Project Director. The Project 1474 Director oversees the Project Team, which performs the day-to-day Project activities. 1475 The Project Team includes both State and Contractor staff. Detailed descriptions of the 1476 roles and responsibilities for State and Contractor Staff are located in Appendix A: 1477 Statement of Work.

1478 Figure 1-2: eWIC MIS Project Team Organization

Executive Board

Steering CDT/IPO, USDA FNS Committee IV&V

EBT3 Project Project Sponsor Project Director Team

Technical Assistant Solutions Project Director Manager

Project Technical WIC CDPH/ Management OCM Solutions Team Local Agencies WIC Division and Support

WIC Retailer CDPH/ Contractor CDT/ Authorized Enablement ITSD Project Manager STPD Vendors Consultant Legend

eWIC MIS CDT/ Contractor Project OTech Team Team 1479 1480 A variety of federal, state, and other resources impact the Project Team. The USDA 1481 FNS approves federal grant funding for the eWIC MIS Project, provides guidance on 1482 WIC-related public policy, and ensures consistent WIC EBT standards. Subject matter 1483 experts (SMEs) from CDPH/WIC Division, CDPH/ITSD, and WIC local agencies provide 1484 input to the Project specific to their areas of expertise. The Project Team will coordinate 1485 with the EBT3 project team to develop and implement the WIC-EBT interface. 1486 The CDT/ Independent Project Oversight (IPO) consultant, throughout the Project. The 1487 IPO ensures that the Project is following the defined approach, plans, and processes. 1488 The Project’s Independent Verification and Validation (IV&V) consultants will review

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1489 deliverables to ensure that they align with defined standards, State needs, and 1490 contractual requirements. As part of IV&V, the State will hire an independent computer 1491 security expert (White Hat Tester), who specializes in penetration testing and other 1492 testing methodologies to ensure that the security of the solution is not compromised. 1493 1494 The Assistant Project Director will oversee the Project Management and Support, OCM, 1495 and Contractor teams, and will serve as liaison to CDT/STPD. The Project Management 1496 and Support staff are responsible for the Project procurement, contract management, 1497 and project management. The State’s OCM team will ensure that impacted system 1498 users and administrators embrace, adopt, and use the new MIS. The Contractor Project 1499 Manager and Contractor Team will provide eWIC MIS Project services and deliverables, 1500 as defined in Attachment A: Statement of Work and Exhibit 21: Deliverables. 1501 CDT/STPD will be responsible for the procurement of the eWIC MIS Project. 1502 The Technical Solutions Manager will oversee the Technical Solutions Team and 1503 Retailer Enablement Consultant, and will serve as liaison to CDT/OTech. The Technical 1504 Solutions Team will be responsible for working with CDPH/WIC and CDPH/ITSD on 1505 solution requirements. The Retailer Enablement Consultant will serve as the liaison to 1506 retailers, manage the pilot retailer operations, testing, and evaluation, and ensure 1507 implementation of each retailer and network is smooth and timely. CDT/OTech will host 1508 the new MIS.

1509 Organizational Change Management 1510 The State will lead OCM efforts for the eWIC MIS Project, which will begin prior to the 1511 eWIC MIS Contract Execution and Project Start date listed in Table 1-6, Project 1512 Schedule Constraints and will continue for the eWIC MIS Project duration. 1513 To ensure adequate communication, leadership, coaching, and training for impacted 1514 staff, the State will analyze current and future processes and produce an in-depth 1515 Organizational Change Management Plan. The Contractor will leverage State OCM 1516 efforts to avoid any work duplication or overlap. The Contractor and the State’s OCM 1517 team will coordinate efforts to ensure that the new MIS and training fully support 1518 business operations and software transitions.

1519 Project Implementation Schedule 1520 The Bidder must propose a Project Schedule that supports the constraints identified in 1521 Table 1-6, Project Schedule Constraints. Actual dates are conditional, based on State- 1522 approval of all deliverables as defined in Exhibit 21: Deliverables.

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1523 Table 1-6: Project Schedule Constraints

Milestone Completion Date Contract Execution and Project Start March 30, 2018 Project Start April 2, 2018 Pilot Implementation May 2, 2019 Pilot Approval by USDA August 1, 2019 Statewide Rollout Start August 2, 2019 Statewide Rollout Completion March 30, 2020 Warranty Start April 1, 2020 Warranty End March 30, 2021 System Acceptance and Contract and March 30, 2021 Project End 1524 The new MIS implementation will occur in stages, beginning with a local agency Pilot 1525 implementation by May 2, 2019, followed by a three (3)-month stabilization period 1526 during which the State will evaluate the Pilot implementation. The new MIS Statewide 1527 Rollout must be completed by March 30, 2020 to ensure compliance with the Healthy 1528 Hunger Free Kids Act of 2010. 1529 The Project’s new MIS implementation is co-dependent with the EBT3 project’s EBT for 1530 WIC implementation. Therefore, both project teams will collaborate and coordinate 1531 activities and schedules to ensure both the new MIS and the EBT for WIC solutions for 1532 the State implement concurrently, beginning with a Pilot implementation.

1533 Pilot Implementation 1534 The State has selected Solano County as the location for its combined new MIS and 1535 EBT for WIC Pilot. Solano County was selected for the following reasons: 1536 • Convenient geographical location: The area is near the CDPH/WIC Division 1537 headquarters (approximately 40 miles away) and WIC participants typically live 1538 and shop within the same area. 1539 • Single local agency with varied site characteristics: The Pilot area is served by 1540 one and only one contracted local agency, yet the supporting sites vary in size 1541 and flow. 1542 • Strong regional leadership: Pilot region coordinators have a history of good 1543 leadership and organizational skills. The staff are motivated and the sites tend to 1544 have low turnover. 1545 • Varied WIC participant demographics: The WIC population is varied, with 1546 linguistic and cultural diversity.

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1547 • Varied WIC-authorized vendor population: The region offers a variety of WIC- 1548 authorized vendor types, including a commissary. 1549 The Pilot will also include new MIS implementation for the CDPH/WIC Division and 1550 CDPH/ITSD users.

1551 Statewide Rollout 1552 Upon State and USDA approval of the Pilot implementation, and authorization to 1553 proceed, the Project will implement a Statewide Rollout during which all WIC local 1554 agencies and their sites, along with WIC-authorized vendors, will implement the new 1555 MIS. The State requires statewide implementation of the new MIS for all end users to be 1556 complete by March 30, 2020.

1557 Project Facilities 1558 The eWIC MIS Project Team will be located at OSI offices in Sacramento, California 1559 throughout the base Contract term. During the period when the Contractor will transition 1560 Help Desk services to the State, the Contractor’s eWIC MIS Help Desk staff will be co- 1561 located with the State’s WIC MIS Help Desk staff at CDPH/ITSD offices in Sacramento, 1562 California.

1563 Solution Impact to WIC Program 1564 This subsection outlines noteworthy expected impacts and changes to WIC Program 1565 functions, as described in Subsection 1.5, Current Environment, which will result from 1566 the new MIS implementation.

1567 WIC Participant Experience 1568 By interfacing with the EBT for WIC system, the new MIS will streamline the food benefit 1569 issuance, redemption, and reconciliation processes and greatly improve the shopping 1570 experience for WIC participants and WIC-authorized vendors. The new MIS will 1571 eliminate paper FIs and allow participants to redeem benefits using an EBT card. 1572 Participants will have more flexibility to purchase WIC-authorized foods as needed 1573 rather than all at one time, as is required now with paper FIs. Households with multiple 1574 participants will have their individual benefits available for redemption at a WIC- 1575 authorized vendor location on the same EBT card. EBT cards, being more discrete than 1576 paper benefits, will improve WIC participant privacy. At the time of redemption, the EBT 1577 for WIC system automatically deducts WIC-authorized foods from the family’s account 1578 and provides a receipt showing the types and quantities of WIC-authorized foods 1579 remaining in the family’s account that are available for redemption. A participant’s 1580 benefits will not be forfeited should they lose their EBT card. 1581 EBT for WIC reduces checkout times, because cashiers will no longer be required to:

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1582 • Validate the shopper’s identity – rather than signing each FI, the WIC participant 1583 will simply swipe their EBT card before and enter their Personal Identification 1584 Number (PIN). 1585 • Check the “valid through” date of each FI – the system will deduct from the 1586 family’s total benefits only the foods available during the current valid through 1587 date. 1588 • Verify manually that items being purchased are the correct type, size, and 1589 quantity – the system will do this automatically. 1590 Participants who shop at a store with integrated cash register systems will no longer 1591 have to separate WIC-authorized food items from other items; WIC-authorized foods 1592 are identified and verified automatically as they are scanned. Smaller stores that use 1593 stand-beside cash register systems will still require shoppers to separate WIC foods.

1594 New eWIC Portal 1595 The new MIS will provide a public-facing web portal (new eWIC Portal) to provide 1596 access to WIC Program services and information. The portal may be viewed from 1597 mobile devices and will provide the following to visitors: 1598 • WIC Program-related information and eligibility criteria. 1599 • WIC Program eligibility pre-screening. 1600 • WIC location search. 1601 • Participant services. 1602 • WIC Authorized Food List. 1603 • WIC training. 1604 • WIC referrals.

1605 WIC-Authorized Vendor Experience 1606 The new MIS will provide an integrated web-based vendor portal (new eWIC Vendor 1607 Portal) to replace and expand VWIX functionality. The new MIS will automate several 1608 processes within the vendor management functional area and will improve customer 1609 service to vendors. 1610 The new eWIC Vendor Portal will: 1611 • Automate vendor application and reauthorization processing. 1612 • Provide online vendor training. 1613 • Publish and accept vendor shelf price submissions. 1614 • Enable communications from the State to vendors. 1615 • Maintain vendor profile information. 1616 • Allow vendors to access reports.

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1617 Farmers’ Market Nutrition Program Process Support 1618 In the proposed environment, the FMNP will continue to use paper coupons and will not 1619 transition to electronic benefits. The new MIS will support FMNP current processes, 1620 which include pre-printed FMNP coupon booklet issuance and tracking. The new MIS 1621 will automate several processes and improve current FMNP operations. Specifically, the 1622 new MIS will: 1623 • Link farmer, farmers’ market, and farmers’ market association vendor records. 1624 • Automate the vendor application, authorization, training, and monitoring process 1625 with tailored requirements based on the following vendor types: farmers, farmers’ 1626 markets, and farmers’ market associations. 1627 • Associate authorized vendor with FMNP coupon redemption. 1628 • Track FMNP coupon inventory, benefit issuance, redemption, reconciliation, and 1629 settlement. 1630 • Track participant FMNP education requirements and participation. 1631 • Enhance FMNP reporting capabilities.

1632 Accounts Receivables for Recoupment Amount 1633 Accounts receivable balances will be auto-calculated and maintained in the new MIS 1634 database rather than manually calculated and retained in paper files. Letters sent to 1635 vendors will have the vendor’s information and current balance auto-generated by the 1636 new MIS rather than entered manually. CDPH/WIC will have access to real-time 1637 balances versus month-end totals.

1638 System Functionality and Process Automation 1639 As referenced in the USDA-approved IAPD, located in the Bidders’ Library, the State 1640 estimates that the legacy MIS supports between 40% and 60% of business processes. 1641 The new MIS will expand system functionality, enhance staff productivity to meet 1642 participant growth, and support all of WIC Program functional business process areas, 1643 in compliance with federal minimum system requirements. The new MIS will automate 1644 business process steps that are currently performed manually or with limited 1645 automation. Table 1-7, Expanded System Functionality, summarizes by functional area 1646 new MIS functionality expected to improve processes.

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1647 Table 1-7: Expanded System Functionality

Functional Area New MIS Functionality Certification • Automatically determine participant eligibility. • Maintain and prioritize a wait list. • Use a single system for WIC, FMNP and BFPC participants. Nutrition • Generate a list of referrals and education topics for a participant Education, Health based on their nutrition and health risks. Surveillance, and Referrals Food • Track the APL with UPCs. Management Food Benefit • Interface with EBT for WIC system to issue benefits, obtain account Issuance balance, and process changes to electronic benefits. Food Benefit • Interface with EBT for WIC system to authorize vendor payments and Redemption, reconcile food instruments. Settlement, and Reconciliation Financial • Support financial audits. Management • Enable forecasting. • Document collections. • Apply cost neutrality at the vendor level, by recouping excess payments for A50 vendors. • Determine cost competitiveness based on actual reimbursements, rather than self-reported shelf prices. Caseload • Electronically upload externally calculated caseload allocations. Management Operations • Monitor inventories (e.g., breast pumps, EBT cards, FMNP check Management booklets). • Log, track, and resolve complaints received against vendors, participants, or WIC staff. • Create and maintain outreach letters and surveys. Vendor • Track vendor correspondence. Management • Document vendor training, on-site preauthorization visits, compliance monitoring, investigations, routine monitoring, and appeals. • Identify high-risk vendors. • Generate The Integrity Profile (TIP) Report. • Accounts receivables for recoupment amounts. Global • Create and modify document templates. • Manage contracts.

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1648 Data Access and Reporting 1649 The new MIS will greatly expand the legacy MIS’s reporting environment for local 1650 agencies and State WIC through consolidation of the legacy MIS databases, SharePoint 1651 data, Microsoft Excel spreadsheets, Microsoft Access databases, paper files, and other 1652 external systems (e.g., BFPC data) into one comprehensive database. Further, new 1653 MIS users will have access to standard reports mandated by the FReD, as well as 1654 letters, forms, notifications, and data extracts that are currently produced manually. The 1655 new MIS will also allow users to create ad hoc reports. Additional details on the various 1656 WIC reports and information products are available in the Legacy MIS Reports 1657 Inventory, located in the Bidders’ Library.

1658 System Interfaces 1659 Similar to the legacy MIS, the new MIS will need to exchange data with a variety of 1660 systems and entities via various communication methods such as web services or 1661 secure file transfers. The new MIS will interface with WIC-related systems that will allow 1662 WIC to receive and process electronic referrals and provide staff access to information 1663 that will better serve participants and improve the certification process. Table 1-8, New 1664 MIS Interfaces, identifies and describes expected interfaces for the new MIS, the entity 1665 to which the new MIS will interface, and the interface purpose.

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1666 Table 1-8: New MIS Interfaces

Interface Description The CDPH California Immunization Registry (CAIR) Immunization CAIR Branch, for the determination of participant immunization status. The California Department of Social Services (CDSS) CalFresh Program, for the EBT for WIC system to exchange vendor CalFresh authorization changes as well as monthly redemptions for WIC vendor A50 assessments. CDPH Emergency A CDPH-contracted service with Everbridge to reach local agency Notification System and site employees quickly during emergencies and critical incidents. EBT for WIC The CDSS EBT for WIC integration with the new MIS. FI$CAL to reconcile the WIC Grant with California’s statewide Fi$CAL accounting system. Geographic Web service, such as MapQuest or Google Maps, to map vendor and Information System site locations. The MEDS web service lookup to determine applicant adjunctive MEDS eligibility for WIC Program. A public-facing website to provide self-service functionality to the New eWIC Portal public and selected user groups. New eWIC Vendor A public-facing website to provide self-service functionality for WIC- Portal authorized vendors and vendor applicants. The USDA’s National Universal Product Code (NUPC) database of marketplace UPCs that are used to maintain the CDPH/WIC NUPC Approved Product List (APL). Additional information on the National Universal Product Code Database is located in the Bidders’ Library. STO STO to process FMNP coupon redemptions. United States Postal The United States Postal Service to verify addresses. Service USDA’s Food Programs Reporting System (FPRS) to upload the FNS USDA FPRS 798 Report, as referenced in the Bidders’ Library, to the USDA. USDA TIP USDA’s TIP database to upload TIP Report to USDA.

1667 MIS-EBT Interface 1668 When a WIC local agency site issues food benefits to a participant, the new MIS will 1669 read the Primary Account Number (PAN) on the participant’s EBT card and associate it 1670 with the participant in the new MIS database. When the participant registers his or her 1671 EBT card PIN, the new MIS will capture and encrypt the PIN but will not store the PIN 1672 on the new MIS database or otherwise retain the PIN. The new MIS will transmit 1673 participant data, the PAN and encrypted PIN to the EBT for WIC system when the

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1674 Electronic Benefit Account (EBA) is established. Once the EBA is established, the new 1675 MIS may transmit food benefit prescriptions to the EBT for WIC system. The EBT for 1676 WIC system will use this data to enable WIC participants to obtain food at WIC- 1677 authorized stores using their EBT card. Figure 1-3, New MIS System Flow for EBT 1678 Transactions, illustrates the expected new MIS and EBT for WIC integration.

1679 Figure 1-3: New MIS System Flow for EBT Transactions

Collect Participant Data, Certify Certification Participant, and Authorize Food Benefits

Maintain Electronic Capture PAN from Benefit Account, EBT Card, PIN with Participant Local Agency and Issue EBT Card from Participant, Data, Food Site Users and Activate EBT Benefits, PAN and Card PIN Update Electronic WIC Participant Benefit Account at WIC- Card Reader, PIN Pad, Balances Authorized and Signature Pad Device Vendor

Prescription Update Participant Participant uses Data and Food EBT Card to Benefits Complete Purchase

Validate and Authorize Real-time Transactions Verification that Maintain Point of Sale Device Purchases are on Authorized Food Management with PIN Pad the WIC Product List Authorized Product List

Real-time State Users Verification of Maintain Authorized Vendor Purchases at a Vendor List Management Legend WIC-Authorized Vendor

New MIS System Reconciliation and Automated Process Financial Reporting Financial Management

Completed WIC Redemption EBT for WIC Transactions System Automated Maintain WIC Process Redemption Transaction Records 1680

1681 EBT Cards and Card Equipment 1682 The EBT3 services contract provides for EBT “vault” cards delivery on an as-needed 1683 basis to the WIC local agencies for use at their sites. Local agencies will use the new

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1684 MIS card inventory management functions to record EBT vault card receipts and to 1685 monitor card inventory levels. 1686 The new MIS will perform card and cardholder maintenance functions, which include 1687 issuing and re-issuing EBT cards for WIC participants. The new MIS will capture 1688 identifiers associated with the EBT cards issued to participants. WIC local agency sites 1689 will use peripheral card acceptor devices connected to the new MIS to capture the PAN 1690 from the EBT card and to secure the EBT card with a participant PIN. Participant PINs 1691 will not be stored in the new MIS.

1692 Proposed Technical Environment 1693 This subsection provides an overview of the proposed technical environment that will 1694 support the California WIC Program and services the Contractor will provide. The new 1695 MIS will meet all federal mandates without compromising California’s WIC Program 1696 business needs. The solution requirements that support this overview are provided in 1697 Exhibit 20: Functional and Technical Requirements. The service requirements that 1698 support this overview are provided in Appendix A: Statement of Work.

1699 Authorized Transfer Systems 1700 Bidders must propose a USDA-approved transfer system in response to this solicitation. 1701 Examples include, but are not limited to: Mountain Plains States Consortium MIS, 1702 Successful Partners in Reaching Innovative Technology MIS, Crossroads consortium 1703 System, Three Sigma Software, Inc. WIC MIS, and cQuest. Any proposal offering a 1704 custom development solution or any other software system will be deemed non- 1705 responsive and the Bidder disqualified.

1706 Software 1707 This solicitation does not specify a required new MIS system software platform because 1708 the platform may vary, based on which of the USDA-approved transfer systems the 1709 Bidder proposes. This provides the Bidder flexibility to propose its best solution for 1710 California.

1711 Application and Technical Overview 1712 The new MIS will be an integrated, web-based application that will run on centralized 1713 servers and databases to provide an online, real-time system to support WIC Program 1714 functions. For database management, the OTech supports either Microsoft SQL Server 1715 or Oracle. The new MIS must support one of these platforms. 1716 System users will include the CDPH/WIC staff, CDPH/ITSD staff, WIC local agencies 1717 and sites, and WIC-authorized vendors and vendor applicants. The new MIS solution 1718 will interface with the State’s EBT for WIC solution and with a variety of external

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1719 systems. The new MIS solution will be configurable to meet changing business 1720 requirements and will be scalable to accommodate existing and future capacity and 1721 performance needs. 1722 The eWIC MIS Project will utilize several server environments that will reside at OTech, 1723 each with a three-tier server configuration, to support development and implementation 1724 activities. The State has determined the eWIC MIS Project will require the following 1725 permanent environments: 1726 • Development. 1727 • System Test. 1728 • Training. 1729 • User Acceptance Testing (UAT). 1730 • Product Simulation. 1731 • Production. 1732 Additionally, a select number of users will be given access to a “sandbox” environment 1733 to familiarize themselves with the Contractor’s transfer system, out of the box. There will 1734 also be a temporary data conversion environment to support data being transformed 1735 from the existing system to the new system. Both the sandbox and temporary data 1736 conversion environments will be retired when the new MIS is fully implemented. 1737 CDPH users will access the proposed solution through the existing CDPH wide area 1738 network and local area network infrastructure. The local agency sites will access the 1739 proposed solution over the CGEN Wide Area Network via secure user authenticated 1740 websites at OTech. 1741 The new MIS application will incorporate user authentication and role-based user 1742 access control to ensure that only individuals with a pre-approved need to access new 1743 MIS functions and data will be allowed to do so. This role-based access control will 1744 apply to all system users.

1745 Databases 1746 The new MIS system will include the following Relational Database Management 1747 Systems (RDBMS): 1748 • New MIS clustered online transaction processing database (OLTP DB) which 1749 supports the core new MIS application. 1750 • New MIS data warehouse (new MIS DW) will include a data repository (DW DB) 1751 independent from the new MIS application and the OLTP DB. The new MIS DW 1752 will store all new MIS and EBT for WIC transaction data, in support of reporting 1753 and business intelligence needs. Data will be retained to support both 1754 longitudinal and cross-sectional studies. The State may also upload additional 1755 data to support business intelligence and data analysis.

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1756 • New MIS Archive database (Archive DB), which stores new MIS data (live and 1757 archive) and legacy MIS data. The Archive DB is accessible to the new MIS DW 1758 application. 1759 • New MIS reporting database (Reporting DB), which stores new MIS data and 1760 legacy MIS data in a denormalized model to improve reporting performance.

1761 Data Warehouse Application 1762 The new MIS solution will include a browser-based, new MIS data warehouse 1763 application that will integrate new MIS and EBT for WIC data and make the data 1764 available for reporting and data analysis. Data will be retained to support both 1765 longitudinal and cross-sectional studies. The State may also upload additional data to 1766 support business intelligence and data analysis. 1767 The new MIS data warehouse application will: 1768 • Allow users to integrate data with business intelligence and analytics tools. 1769 • Include an executive dashboard that displays State selected summary and 1770 statistical information in the form of graphs and charts. 1771 • Allow users to choose from canned reports, pre-built parameterized queries, and 1772 user-defined ad hoc queries. 1773 • Allow users to customize query results (e.g., combinations of data elements, 1774 filters, and sort order).

1775 Three-Tier Architecture 1776 The new MIS will be a cloud-centric application developed with cloud principles of multi- 1777 tenancy, elastic scaling and easy integration and administration utilizing a multi-layer 1778 architecture, internet-enabled configuration that utilizes two or more web servers in a 1779 “presentation layer”, one or more application servers in a “business layer”, and two or 1780 more database servers in a “data layer”. The “service layer” will serve as an interface for 1781 interaction with other external systems. The multi-server architecture will provide load 1782 balancing and failover services to increase performance and system uptime, as well as 1783 firewalls to separate and protect each layer. Additionally, to ensure that data reporting 1784 demands do not impact transaction processing, the new MIS system configuration will 1785 include one or more reporting servers with data that mirrors the new MIS database. 1786 All new MIS servers will adhere to State standards for security, firewall, password 1787 authentication, hardware, software, and web access. Figure 1-4, New MIS Multi-Layer 1788 Architecture, depicts the new MIS multi-layer architecture.

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1789 Figure 1-4: New MIS Multi-Layer Architecture

External Systems

Users Service Consumers

UI Components

Layer Presentation Logic Components Presentation Presentation

Service Interfaces Message Types Layer Services Services

Application Facade

Business

Layer Business Workflow Business Entities Components Business

Data Access Data Helpers/ Service Agents Components Utilities Data Data Layer

Data Services Sources 1790 1791 All users will access the application through a web browser in the presentation layer. 1792 The presentation layer will contain all logic necessary to interact with and present data 1793 to new MIS users. The presentation layer communicates with the application server in

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1794 the business layer for processing. The application server performs most of the 1795 computing and offloads data manipulation from the database server in the data layer. 1796 The business layer encapsulates the business rules and workflow necessary to process 1797 the new MIS application. The database layer encapsulates access to the new MIS 1798 database and manages data. This data management component includes 1799 authentication, data retrieval and storage, and backups. 1800 The production technology stack of the new MIS application environment will have the 1801 ability to scale up and back down (elasticity) based on predictable usage patterns. The 1802 new MIS will require web, application and database servers that are built for scalability, 1803 performance and high availability permitting the application to be responsive and 1804 available for use as needed to meet the requirements of the California WIC Program.

1805 System Hosting 1806 The new MIS will be hosted within the OTech Cloud Environment, and all servers will 1807 reside within OTech facilities, located in Rancho Cordova, California, and Vacaville, 1808 California. 1809 During the Project’s design phase, the Contractor will prepare an architecture and 1810 technical design consistent with State and OTech standards that defines the new MIS 1811 server infrastructure and specifications necessary to satisfy WIC performance, sizing 1812 and capacity needs. Based on the Contractor’s specifications, the State will acquire, 1813 install, configure, and maintain all servers, firewalls, and related physical equipment 1814 required for the new MIS. If additional hardware is needed during the course of the 1815 Project, it will be acquired and installed for OTech by the State. 1816 OTech will charge the State for its services on a monthly subscription basis, which 1817 includes the cost of staffing and equipment acquisition, installation, maintenance, and 1818 replacement. OTech provides the technical staff they need to perform the services they 1819 provide. 1820 For the new MIS, OTech staff will perform all hosting technical and administrative 1821 functions, including installing and patching all system software including operating 1822 system, database, security software, network configuration, and firewalls. OTech offers 1823 hot site and disaster recovery services. 1824 More information about the OTech Cloud Environment can be found at: 1825 http://www.servicecatalog.dts.ca.gov/services/overview.html. 1826 Table 1-9, OTech Cloud Services, identifies the current links to important cloud hosting 1827 information. The information provided in these links will assist the Bidder to design and 1828 cost its proposed solution.

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1829 Table 1-9: OTech Cloud Services

Cloud Web Link Update Date Portfolio Page http://marketing.dts.ca.gov/calcloud/ Overview http://servicecatalog.dts.ca.gov/services/cloud/calcloud/iaas 03/30/2016 /iaasoverview.html Specifications http://servicecatalog.dts.ca.gov/services/cloud/calcloud/iaas 03/30/2016 /specifications.html

Administration http://servicecatalog.dts.ca.gov/services/cloud/calcloud/iaas 03/30/2016 /administration.html Application http://www.servicecatalog.dts.ca.gov/services/hosting/appli N/A Hosting cation/overview.html Rates http://www.otech.ca.gov/customers/rates.asp 07/01/2016

1830 Expected Growth 1831 The Contractor will design and implement the new MIS solution to handle a minimum of 1832 three percent (3%) growth in capacity each year. Referring to Table 1-1, CDPH/WIC 1833 2015 Statistics, growth capacity would apply to transactions, users, and participants. 1834 The Contractor will adjust expectations at implementation to consider the impact the 1835 transition from paper food instruments to EBT cards will have on capacity and 1836 performance needs.

1837 Contractor Project Services 1838 This subsection provides an overview of the services the Contractor will provide to 1839 implement its proposed solution. Specific service requirements are provided in 1840 Appendix A: Statement of Work and its associated attachments.

1841 MIS Software Configuration, Installation, and Maintenance 1842 The Contractor will install, configure, and modify its proposed transfer system to meet 1843 the requirements of this solicitation. During the Contract, the new MIS Contractor will: 1844 • Configure, develop, test, modify, and maintain the new MIS application software 1845 on all system environments. 1846 • Configure all new MIS environments. 1847 • Design, implement, and test all interfaces. 1848 • Convert, migrate, and administer data for the new MIS database(s). 1849 • Configure and manage Active Directory on all system environments.

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1850 • Document all procedures from end-to-end for all implementation activities to 1851 ensure the repeatability of new MIS software installations, configurations, and 1852 deployments. 1853 • Provide training and knowledge transfer for State technical staff to enable them 1854 to take over full maintenance and support of the new MIS when the Contract 1855 ends. 1856 • Provide training to develop, test, and deploy fixes and enhancements in all 1857 environments to ensure State technical staff have practical hands-on experience 1858 to release the new MIS application software. 1859 • Ensure, by the end of the Contract, that State staff independently operate, 1860 administer, and maintain the new MIS software, environments, and data.

1861 Data Conversion 1862 The Contractor will migrate all relevant data, as determined with the State, from the 1863 legacy MIS environment to the new MIS. Data for the new MIS will be migrated from a 1864 variety of sources including DB2 database(s), Microsoft SharePoint, Microsoft Excel 1865 spreadsheets, and Microsoft Access databases. The Contractor will develop and 1866 execute data conversion processes and programs to accurately transform the legacy 1867 MIS data and load the data into the new MIS. 1868 The State will determine how much history and which data elements will be converted to 1869 the new MIS to accommodate organizational, policy, and daily business operations. 1870 State technical staff will prepare legacy MIS data file extracts and provide these to the 1871 Contractor. The CDPH/WIC Division and CDPH/ITSD technical staff will cleanse all 1872 legacy data. If there is legacy data that cannot be cleaned through automated means, 1873 the State will determine whether it will manually enter the data into the new MIS or if the 1874 Contractor will clean the data during transformation. During the Contractor’s mock 1875 conversion and data validation effort, the Contractor will proactively identify exceptions 1876 (or fallout cases) and work with the State to define the strategy to migrate this data.

1877 WIC-EBT Interface 1878 The Contractor will define and implement a WIC-EBT interface that is fully compliant 1879 with the WUMEI guidelines published by the USDA FNS and meets the design and 1880 functional requirements approved by the State. 1881 The USDA FNS provides guidance to states for their new MIS and EBT for WIC 1882 systems and for their implementation and conversion to EBT in the following key 1883 publications, located in the Bidders’ Library: 1884 • USDA’s FNS Handbook 901. 1885 • USDA FNS FReD, (September 2008) and Appendix E (January 2009). 1886 • USDA FNS Operating Rules for WIC EBT (December 21, 2010). ______Section 1 Introduction Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 53 State of California RFP OSI #31875 Office of Systems Integration

1887 • USDA FNS WUMEI, Functional Requirements (June 2012). 1888 • WIC EBT Technical Implementation Guide (TIG) (March 9, 2012). 1889 • ANSI X9.93 Financial Transaction Messages – Electronic Benefits Transfer 1890 (2008). 1891 • MIS and EBT Systems Policy Memoranda as issued from time to time. 1892 As specified in the WUMEI, the USDA allows each state to determine which of its two 1893 systems, MIS or EBT, originates specific activities within nine (9) specific WIC functional 1894 areas. Where functions can originate from either the new MIS or the EBT for WIC 1895 system, the State has decided that these functions will originate in the new MIS. This 1896 will reduce the risk of data inconsistencies between the two systems and ensure the 1897 new MIS functions as the system of record and the reconciling system for all WIC 1898 policy, financial actions, and liabilities. 1899 Because the State elected to have the new MIS initiate all functions that could be 1900 initiated in either system, all functional requirements that could be present in either 1901 system will reside within and be the responsibility of the new MIS, not the EBT for WIC 1902 system. In addition to the functions that FNS requires the new MIS to initiate and be 1903 responsible for, the new MIS will also initiate and be responsible for the following 1904 functions: 1905 • EBT cards and cardholder management. 1906 • EBA initiation and maintenance functions. 1907 • Benefit maintenance functions. 1908 • Card inventory management. 1909 • Card issuance and re-issuance at local agency sites. 1910 • Card reporting - cards issued, replaced, lost, stolen, or damaged. 1911 • EBT card PIN selection and transmittal to the EBT system. 1912 • Vendor authorization and maintenance. 1913 • Food maintenance, including APL functions.

1914 Local Agency Equipment 1915 At each local agency and site where WIC benefits are issued, the Contractor will 1916 implement the following peripheral devices: 1917 • An EBT card reader/writer and PIN pad, either as separate devices or a single 1918 device. 1919 • A keyboard with a built-in EBT card reader/writer attached to every workstation 1920 used to certify participants, prescribe benefits, or issue EBT cards. 1921 • A signature pad that attaches to every workstation where WIC participants will 1922 certify WIC documents.

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1923 In its proposal, the Bidder will specify the recommended make and model of peripheral 1924 devices and quote costs for them in its Cost proposal. During the system design phase 1925 of the Project, Contractor will confirm and finalize the recommended equipment 1926 specifications. Contractor will provide the State and local agencies with technical 1927 specifications for peripheral device connectivity at least six (6) months prior to each 1928 site’s implementation. The State may negotiate down the price of peripheral equipment 1929 based on market prices at the time of purchase; however, the costs charged shall not 1930 exceed those identified in Exhibit 22, Cost Workbook. 1931 The Contractor will collaborate with the local agencies on the physical placement and 1932 installation of all peripheral devices. The Contractor will acquire and deliver the 1933 peripheral devices to the local agencies and sites, and coordinate with local agency 1934 staff to install and configure them for use with the new MIS. The State will reimburse the 1935 Contractor for local agency peripheral device purchases. The Contractor will install any 1936 necessary software on the peripheral devices and workstations to which the devices 1937 connect and will test them to ensure satisfactory operation prior to the new MIS 1938 implementation at each site. Finally, the Contractor will train local agency staff on the 1939 peripheral device operation and maintenance, and ensure the devices are ready for 1940 EBT card reading and processing. The Contractor will be responsible for repair and/or 1941 replacement costs for peripheral devices through the end of the warranty period. 1942 The Contractor can expect local agencies to collaborate with its staff to facilitate the 1943 physical installation at local agency facilities, provide electrical power, and establish 1944 connectivity with the local agencies’ networks and the new MIS. Local agencies will 1945 provide their own computer workstations and printers.

1946 Training

1947 Knowledge Transfer, Training, and Transition 1948 The Contractor will plan, prepare, deliver, and manage all in-person, hands-on training 1949 services to at least 90% of new MIS users throughout the State. Prior to UAT, the 1950 Contractor will train all UAT testers. The Contractor will also plan, prepare, deliver, and 1951 manage training for WIC-authorized vendors to utilize “virtual” training tools such as 1952 webinars and online educational tutorials. 1953 In coordination with new MIS Pilot and Statewide Rollout implementations, the 1954 Contractor will provide all training and knowledge transfer to ensure users, support staff 1955 and WIC-authorized vendors may effectively access and use the new MIS in support of 1956 their WIC Program and system support responsibilities and needs. 1957 Prior to system acceptance, the Contractor will provide in-person knowledge transfer 1958 services to transition new MIS system help desk, support, operations, maintenance and 1959 administration responsibilities to the State.

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1960 The Contractor will develop and maintain all knowledge transfer deliverables such as 1961 training materials, training instructor, and system documentation for the term of the 1962 Contract. Training and training materials will be role-based and tailored to each training 1963 audience.

1964 Training Facilities 1965 The State will provide training facilities and equipment (e.g., overhead projectors, 1966 computer workstations). The Contractor will schedule and set up the training facilities, 1967 and provide training materials, handouts, and supplies (e.g., easels, paper, pens and 1968 pencils). 1969 When possible, the State prefers to utilize state training facilities, specifically the WIC 1970 Regional Training Centers (RTCs) to train local agency and site users. Refer to the Staff 1971 Totals per Region and WIC Regional Training Centers, located in the Bidders’ Library 1972 for more information on RTCs. 1973 The Contractor will train CDPH/WIC Division users and eWIC MIS Help Desk staff at 1974 the WIC administration building in Sacramento, California, during business hours (8 1975 a.m. to 5 p.m. Pacific Time), using CDPH equipment. The Contractor will train 1976 CDPH/ITSD, OTech, and other technical staff at the CDPH/ITSD offices in East End 1977 Complex in Sacramento, California, during business hours using CDPH equipment.

1978 Help Desk 1979 The Contractor will gain an understanding of the current WIC MIS Help Desk 1980 operations, processes, procedures, and technologies to design and establish Help Desk 1981 operations for the new MIS. In addition, the Contractor’s design will share one toll-free 1982 telephone number, which will be designed to redirect callers based on their support 1983 needs (e.g., legacy MIS, EBT, WIC Program or new MIS). 1984 The Contractor will plan Help Desk support and transition activities to align with user 1985 needs as the new MIS is deployed statewide and legacy MIS users become new MIS 1986 users. As user needs increase, so will the Contractor increase its new MIS Help Desk 1987 staff. 1988 The State will allow the Contractor to choose an ITIL-compliant solution, but prior to the 1989 end of the Contract, the Contractor will migrate all new MIS Help Desk ticket data to the 1990 State’s Cherwell system.

1991 Post-Implementation (Warranty and M&O) 1992 A one-year warranty period will begin following completion of all Statewide Rollout 1993 implementations. During this warranty, the Contractor will continue to maintain the

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1994 operating system, apply software patches and fixes, apply virus updates, and resolve 1995 any hardware issues, at no cost to the State. 1996 During the warranty period, the State may request enhancements and changes to the 1997 existing system. Such changes will be designed, developed, tested, and implemented 1998 on a mutually agreed upon schedule using a change request process and work 1999 authorizations. Such changes will be separate from the warranty and their cost will be 2000 based on the rates quoted in the Bidder’s Cost proposal. 2001 The Contractor will train State IT staff to learn how to maintain the new system and 2002 provide third-level help desk and technical support for users and State technical and 2003 operations staff. The State will provide first- and second-level support related to triage, 2004 application-specific issues, and State infrastructure problems that require State Data 2005 Center coordination. 2006 At the expiration of the warranty period, the State has the option of extending the 2007 Contractor’s M&O services for up to four (4) years. During M&O, the Contractor will 2008 continue to correct all errors in the system software and apply all system and virus 2009 upgrades, patches, and fixes. The Contractor may also continue knowledge transfer 2010 activities, as necessary. Services for M&O will be billed hourly.

2011 1.7 Americans With Disabilities Act (ADA) 2012 To comply with the nondiscrimination requirements of ADA, it is the policy of the State 2013 to make every effort to ensure that its programs, activities, and services are available to 2014 all persons, including persons with disabilities. 2015 For persons with a disability needing a reasonable accommodation to participate in the 2016 procurement process, or for persons having questions regarding reasonable 2017 accommodations of the procurement process, you may contact the Procurement Official 2018 identified in Subsection 2.2.1. You may also contact the State at the numbers listed 2019 below. 2020 Important: To ensure that we can meet your need, it is best that we receive your request 2021 for reasonable accommodations at least 10 working days before the scheduled event 2022 (e.g., meeting, conference, and workshop) or deadline due-date for procurement 2023 documents. 2024 The California Relay Service Telephone Numbers are: 2025 Voice: 1-800-735-2922 or 1-888-877-5379 2026 TTY: 1-800-735-2929 or 1-888-877-5378 2027 Speech-to-Speech: 1-800-854-7784 2028 2029 2030 ______Section 1 Introduction Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 57 State of California RFP OSI #31875 Office of Systems Integration

2031 2032 2033 2034 2035 2036 2037 2038 2039 PAGE INTENTIONALLY LEFT BLANK

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2040 BIDDING INSTRUCTIONS

2041 2.1 Bidder Admonishment 2042 This procurement will follow a phased approach designed to increase the likelihood that 2043 Final Proposals will be received without disqualifying defects. The additional step(s) will 2044 (1) ensure that Bidders clearly understand the State’s requirements before attempting to 2045 develop their final solutions; (2) ensure that the State clearly understands what each 2046 Bidder intends to propose before those proposals are finalized; and (3) give the State 2047 and each Bidder the opportunity to discuss weaknesses or potentially unacceptable 2048 elements of the Bidder’s proposal and give the Bidder the opportunity to modify its 2049 proposal to correct such problems. Specific information regarding such steps is found in 2050 Subsection 2.5, Bidding Steps and Section 7, Evaluation of the solicitation. 2051 The Bidder should refer to Subsection 2.5, Bidding Steps, to understand the phases 2052 applicable to this solicitation. It is the Bidder’s responsibility to: 2053 1. Carefully read the entire solicitation. 2054 2. Ask appropriate questions in a timely manner, if clarification is necessary. 2055 3. Submit all required responses, by the required dates and times. 2056 4. Make sure that all procedures and requirements of the solicitation are accurately 2057 followed and appropriately addressed. 2058 5. Carefully re-read the entire solicitation before submitting a Draft and Final 2059 Proposal.

2060 2.2 Communications and Contacts 2061 The State uses an online procurement system known as Cal eProcure to communicate 2062 with prospective Bidders and suppliers. Information and ongoing communications for 2063 this solicitation will be posted by the State on the Cal eProcure website, 2064 www.caleprocure.com. 2065 Only questions submitted in writing and answered in writing by the Procurement Official 2066 shall be binding and official. Written questions must be submitted by email to the 2067 Procurement Official identified in Subsection 2.2.1, Procurement Official, using 2068 Attachment 1, Template for Question Submittal. All written questions submitted by the 2069 deadline specified in Subsection 2.3, Key Action Dates, will be responded to at the 2070 same time with all questions and answers posted to Cal eProcure in the form of a 2071 question and answer set. 2072 Oral communications by Agency/state entity officers and employees concerning this 2073 solicitation shall not be binding on the State and shall in no way excuse the Bidder of 2074 any obligations set forth in this solicitation.

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2075 Procurement Official 2076 The Procurement Official is the State’s designated authorized representative regarding 2077 this procurement. 2078 Bidders are directed to communicate with the Procurement Official at the address below 2079 in Table 2-1: Procurement Official, to submit questions, deliver proposals, and submit all 2080 other formal correspondence regarding this procurement.

2081 Table 2-1: Procurement Official

Hand Delivered Proposal; Parcel Post United States Postal Service (FedEx, UPS, etc.) (USPS) Department of Technology Department of Technology Statewide Technology Procurement Statewide Technology Procurement Division Division Attn: Monica Parra Barrios, Procurement Attn: Monica Parra Barrios, Official Procurement Official 10860 Gold Center Drive, Mail Stop Y12 Suite 200 - Security Desk P.O. Box 1810 Rancho Cordova, CA 95670 Rancho Cordova, CA 95741 2082 2083 Monica Parra Barrios, Procurement Official 2084 Phone: (916) 431-5556 Email: [email protected]

2085 Questions Regarding the Solicitation Document 2086 Bidders requiring clarification of the intent, terms and conditions, content of this 2087 solicitation or on procedural matters regarding the competitive bid process may request 2088 clarification by submitting questions using Attachment 1, Template for Question 2089 Submittal, in an email (using the solicitation identification on the solicitation title page), 2090 to the Procurement Official listed in Subsection 2.2.1. To ensure a response, questions 2091 must be received in writing by the scheduled date(s) specified in Subsection 2.3, Key 2092 Action Dates. Question and answer sets will be provided to all Bidders without 2093 identifying the submitters. At the sole discretion of the State, questions may be 2094 paraphrased by the State for clarity. 2095 A Bidder who desires clarification or further information on the content of the solicitation, 2096 but whose questions relate to the proprietary aspect of that Bidder’s proposal and 2097 which, if disclosed to other Bidders, would expose that Bidder’s proposal, may submit 2098 such questions in the same manner as above, but also marked “CONFIDENTIAL,” and 2099 not later than the scheduled date specified in Subsection 2.3, Key Action Dates to 2100 ensure a response. The Bidder must explain why any questions are sensitive in nature. 2101 If the State concurs that the disclosure of the question or answer would expose the 2102 proprietary nature of the proposal, the question will be answered and both the question ______Section 2 Bidding Instructions Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 60 State of California RFP OSI #31875 Office of Systems Integration

2103 and answer will be kept in confidence. If the State does not concur with the proprietary 2104 aspect of the question, the question will not be answered in this manner and the Bidder 2105 will be so notified. 2106 If the Bidder believes that one or more of the solicitation requirements is onerous, 2107 unfair, or imposes unnecessary constraints to the Bidder in proposing less costly or 2108 alternate solutions, the Bidder may request a change to the solicitation by submitting, in 2109 writing, the recommended change(s) and the facts substantiating this belief and reasons 2110 for making the recommended change using Attachment 2, Template for Request of 2111 Changes. Such request must be submitted to the Procurement Official by the date 2112 specified in Subsection 2.3, Key Action Dates for submitting a request for change. Oral 2113 responses shall not be binding on the State. Bidders must submit any request for 2114 changes, by the date specified in Subsection 2.3, Key Action Dates.

2115 Intent to Bid 2116 Bidders that want to participate in the solicitation should submit a completed Exhibit 2: 2117 Intent to Bid by the date specified in Subsection 2.3, Key Action Dates. This document 2118 shall be emailed to the Procurement Official identified in Subsection 2.2.1. Only those 2119 Bidders acknowledging interest in this solicitation will receive correspondence 2120 throughout this procurement, as applicable to the solicitation (such as scheduling dates 2121 for confidential discussions, OTech meetings, etc.). Correspondence to a Bidder 2122 regarding this solicitation will only be given to the Bidder’s designated contact person. 2123 It shall be the Bidder’s responsibility to immediately notify the Procurement Official 2124 identified in Subsection 2.2.1, in writing, regarding any revision to the contact person 2125 information. The State shall not be responsible for proposal correspondence not 2126 received by the Bidder if the Bidder fails to notify the State, in writing, about any change 2127 pertaining to the designated contact person. 2128 A Bidder must notify the Procurement Official whenever its intent to bid changes or 2129 whenever there is a change in the Bidder’s designated contact information.

2130 Bidders’ Library 2131 The State will make available a library containing reference and supporting 2132 documentation that Bidders may review and use to prepare their proposals. Bidders are 2133 encouraged to review the information in the Bidders’ Library to gain a thorough 2134 understanding of the eWIC MIS Project. It is each Bidder’s responsibility to check for 2135 updates to the Bidders’ Library. 2136 It is the responsibility of Bidders to contact the Procurement Official for a User ID, 2137 password, and URL. Bidders should check frequently for updates to the Bidders’ 2138 Library. Bidders are not allowed to share or provide this information to anyone.

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2139 To obtain Bidders’ Library access, Bidders must sign and submit Exhibit 3: 2140 Confidentiality Statement to the Procurement Official. It is the Bidder’s responsibility to 2141 provide the Procurement Official the required documentation to obtain the User ID, 2142 password, and URL for access to the Bidders’ Library. The Bidder must identify a 2143 Bidders’ Library single point of contact, email, street address, and phone number. A 2144 User ID, password, and URL will be emailed back to the Bidders’ Library single point of 2145 contact within three (3) days after receipt of the Exhibit 2: Intent to Bid. Bidders are 2146 encouraged to review the information in the Bidders’ Library to gain a thorough 2147 understanding of the eWIC MIS Project and the business and technical environments in 2148 which it operates. 2149 The State will provide updated information as it becomes available during the course of 2150 the solicitation. The State will ensure the latest documents will be provided in the 2151 Bidders’ Library.

2152 Bidders’ Conference (Not Applicable) 2153 A Bidders’ Conference will be held, during which suppliers will be afforded the 2154 opportunity to meet with State personnel and discuss the content of the solicitation and 2155 the procurement process. Bidders are encouraged to attend the Bidders’ Conference. 2156 The time, date, and place of the conference is specified in Subsection 2.3, Key Action 2157 Dates. Written questions received prior to the cutoff date for submission of such 2158 questions, as noted in Subsection 2.2.2, Questions Regarding the Solicitation 2159 Document, may be answered at the conference without divulging the source of the 2160 query. 2161 If questions are asked at or before the conference, Bidders will be asked to submit the 2162 question(s) in writing to the Procurement Official. Answers to these questions will be 2163 published in a question and answer set. Oral responses shall not be binding on the 2164 State. A transcript of the Bidders’ Conference will not be created.

2165 Site Visit 2166 The proposed solution will be hosted within the OTech Cloud Environment. Visits to the 2167 physical installation site may be conducted for the purpose of familiarization with the 2168 current system(s), environment, applications, etc. Instructions for meeting with OTech 2169 are provided in Subsection 2.2.7, Cloud Computing Services.

2170 Cloud Computing Services 2171 Per the State’s Cloud Computing Policy, whenever feasible, Agency/state entity will 2172 utilize the OTech Cloud Environment. These service options include Software as a 2173 Service (SaaS), Platform as a Service (PaaS), and Infrastructure as a Service (IaaS).

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2174 The proposed solution will be hosted within the OTech Cloud Environment. Bidders will 2175 be provided the opportunity to confidentially meet and discuss their solution approach 2176 with OTech, CDPH, and OSI technical representatives to assist Bidders in 2177 understanding the OTech Cloud Environment service offerings, rates, and standards. 2178 These meetings will allow each Bidder to determine whether the OTech Cloud 2179 Environment provides a technically viable platform to host its solution. If the OTech 2180 Cloud Environment is a viable option, the Bidder will identify in its Final Proposal, the 2181 physical requirements and the costs for deploying the solution in the OTech Cloud 2182 Environment, as well as the ongoing costs to support the solution upon deployment. 2183 Therefore, it is in the Bidder’s best interest and recommended that each Bidder meet 2184 with OTech prior to the submission of its Draft Proposal to assist the Bidder in preparing 2185 their proposal. The OTech meetings will be conducted in a confidential manner for all 2186 Bidders. 2187 The Bidder must submit an OTech meeting request to the Procurement Official prior to 2188 the deadline specified in Subsection 2.3, Key Action Dates, in order to guarantee a 2189 meeting with OTech prior to the Draft Proposal submission deadline. OTech technical 2190 representatives will also be available for follow-up discussion, if necessary, following 2191 confidential discussions in accordance with the deadlines specified in Subsection 2.3, 2192 Key Action Dates. OTech may also initiate discussions with Bidders through the 2193 Procurement Official. 2194 During confidential meetings with OTech, both the State and the Bidder may take 2195 written notes. There will not be an official transcript of the proceedings. If a Bidder has 2196 any outstanding issues or needs clarification prior to a meeting, the Bidder is advised to 2197 submit questions in writing to the Procurement Official for resolution and/or clarification 2198 prior to submission of the Final Proposal, in accordance with the deadline specified in 2199 Subsection 2.3, Key Action Dates. Oral statements made by Agency/state entity officers 2200 and employees concerning this solicitation shall not be binding on the State and shall in 2201 no way excuse the Bidder of any obligations set forth in this solicitation. 2202 Bidders should submit questions, diagrams, and other materials for OTech review to the 2203 Procurement Official in advance of the scheduled discussion date, in accordance with 2204 the deadline specified in Subsection 2.3, Key Action Dates, to facilitate productive 2205 sessions with OTech. Bidder meetings with OTech will be scheduled in advance for a 2206 block of up to two (2) hours. Each Bidder will be notified by email or phone with its 2207 assigned date and time and location. Bidders may request a follow-up meeting with 2208 OTech, if needed. 2209 Bidders may request follow-up meetings with OTech following confidential discussions 2210 and prior to the Final Proposal deadline specified in Subsection 2.3, Key Action Dates, if 2211 desired. Additional information regarding OTech service offerings and rates is provided 2212 in the Bidders’ Library.

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2213 After confidential discussion with OTech, if the Bidder determines that use of the OTech 2214 Cloud Environment is not technically feasible to accommodate its proposed solution, the 2215 Bidder must provide to the Procurement Official, a justification that states the specific 2216 reasons that the OTech Cloud Environment is not technically feasible, which may 2217 include technical incompatibility with the proposed solution and/or the inability of OTech 2218 Cloud Environment to meet the system stability, availability, or performance 2219 requirements for the Bidder’s proposed solution. With the concurrence of OTech, the 2220 Bidder may propose the use of a Federal Risk and Authorization Management Program 2221 compliant commercial cloud service. 2222 Proposing a commercial alternative if the OTech Cloud Environment is 2223 technically feasible may be considered a material deviation and be grounds for 2224 rejection of the proposal. 2225 Additional information regarding OTech service offerings and rates are provided in the 2226 Bidders’ Library.

2227 2.3 Key Action Dates 2228 Table 2-2: Key Action Dates, contains pertinent dates and times by which actions must 2229 be taken or completed. If the State finds it necessary to change these dates or times, it 2230 will be accomplished via an addendum to this solicitation with the exception of dates 2231 listed after the Bidders’ submissions of Final Proposals. Dates listed after the Bidders’ 2232 submissions of Final Proposals are estimated and may be adjusted without addendum 2233 to this solicitation. All times listed are for Pacific Time.

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2234 Table 2-2: Key Action Dates

Key Action Dates Item Action Date 1. Release of Solicitation 2/21/2017 2. Last day to submit Exhibit 2: Intent to Bid and Exhibit 3: Confidentiality 3/7/2017 Statement 3. Last day to submit written questions for OTech and to request an OTech4 3/7/2017 meeting 4. OTech meetings with Bidders2,4 3/20/2017 5. Last day to submit written questions using Attachment 1, Template for Question Submittal, and to request changes to requirements using 3/28/2017 Attachment 21,, Template for Request for Changes Submittal, prior to Draft Proposals 6. State’s response to Bidders’ questions and requests for changes to the 4/20/2017 requirements, and potential release of addendum 7. Last day to protest solicitation requirements1 4/27/2017 8. Last day to submit Draft Proposals 5/17/2017 9. Confidential discussions with individual Bidders2 6/9/2017 – 6/22/2017 10. Last day to submit written questions using Attachment 1, Template for Question Submittal, and to request changes to requirements using 7/7/2017 Attachment 21,, Template for Request for Changes Submittal, prior to Final Proposals 11. State’s response to Bidders’ questions and requests for changes to the 7/31/2017 requirements, and potential release of addendum 12. Last day to submit Final Proposals3 8/22/2017 13. Evaluation Period6 8/23/2017 – 9/27/2017 14. Public Cost Opening 10/5/2017 15. Notification of Intent to Award 10/31/2017 16. Last day to protest selection5 11/2/2017 17. Contract Award 1/2/2018 18. Contract Execution 3/30/2018 1 Or five (5) Business Days following the last addendum that changes the requirements of the solicitation. 2 Actual dates to be determined when the number of Bidders is known. 3 All dates after submission of Final Proposals are approximate and may be adjusted as conditions indicate without addendum to this solicitation. 4 This key action is an optional step in the solicitation process. Agency/state entity must decide if it applies to their procurement. 5 Refer to Subsection 2.6, Protests. 6 Based on the number of proposals received.

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2235 2.4 Rules Governing Competition 2236 This solicitation, the evaluation of responses, and the award of any resultant Contract 2237 shall be made in conformance with current competitive bidding procedures as they 2238 relate to the procurement of IT Goods and Services by public bodies in the State of 2239 California.

2240 Identification and Classification of Solicitation Requirements 2241 The State has established certain requirements with respect to proposals to be 2242 submitted by prospective contractors. The use of “shall,” “must,” or “will” (except to 2243 indicate simple futurity) in the solicitation indicates a requirement or condition that is 2244 Mandatory. A deviation, if not material, may be waived by the State. 2245 A deviation from a requirement is material if the response is not in substantial accord 2246 with the solicitation requirements, provides an advantage to one Bidder over other 2247 Bidders, or has a potentially significant effect on the delivery, quantity, or quality of 2248 items bid1, amount paid to the supplier, or on the cost to the State. Material deviations 2249 cannot be waived. 2250 The words “should” or “may” in the solicitation indicate desirable attributes or conditions, 2251 but are non-mandatory in nature. Deviation from or omission of such a desirable 2252 feature, even if material will not in itself cause rejection of the bid.

2253 Solicitation Documents 2254 This solicitation document includes, in addition to an explanation of the State’s 2255 requirements that must be met, instructions that prescribe the format and content of 2256 proposals to be submitted and the model of the Contract to be executed between the 2257 State and the successful Bidder. 2258 If a Bidder discovers any ambiguity, conflict, discrepancy, omission, or other error in this 2259 solicitation document, the Bidder shall immediately notify the Procurement Official 2260 identified in Subsection 2.2.1, of such error in writing and request clarification or 2261 modification of the document. 2262 Modifications will be made by addenda issued pursuant to Subsection 2.4.6, Addenda. 2263 Such modifications shall be given by written notice to all parties who have identified 2264 themselves as Bidders to the Procurement Official without divulging the source of the 2265 request. Insofar as practicable, the State will give such notices to other interested 2266 parties, but the State shall not be responsible therefore. 2267 If the solicitation document contains an error known to the Bidder, or an error that 2268 reasonably should have been known, the Bidder shall bid at its own risk. If the Bidder

1 The word "bid" as used throughout is intended to mean "proposed," "propose," or "proposal" as appropriate. ______Section 2 Bidding Instructions Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 66 State of California RFP OSI #31875 Office of Systems Integration

2269 fails to notify the State of the error prior to the date fixed for submission of proposals, 2270 and is awarded the Contract, the Bidder shall not be entitled to additional compensation 2271 or time by reason of the error or its later correction.

2272 Examination of the Work 2273 The Bidder should carefully examine the entire solicitation document and any addenda 2274 thereto, and all related materials and data referenced in the solicitation document or 2275 otherwise available to the Bidder, and should become fully aware of the nature and 2276 location of the work, the quantities of the work, and the conditions to be encountered in 2277 performing the work. Specific conditions to be examined may be listed in Section 3, 2278 Administrative Requirements and/or Section 4, Bid Requirements.

2279 Exclusion for Conflict of Interest 2280 No consultant shall be paid out of State funds for developing recommendations on the 2281 acquisition of information technology (IT) products or services or assisting in the 2282 preparation of the project approval lifecycle documents (stages 2, 3, or 4) or feasibility 2283 study, while in effect, if that consultant is to be a source of such acquisition or could 2284 otherwise directly and/or materially benefit from State adoption of such 2285 recommendations or the course of action recommended in the project approval lifecycle 2286 documents (stages 2, 3, or 4) or feasibility study. Further, no consultant shall be paid 2287 out of State funds for developing recommendations on the disposal of State surplus IT 2288 products, if that consultant would directly and/or materially benefit from State adoption 2289 of such recommendations. 2290 A consultant shall not be eligible to serve as the prime contractor or subcontractor 2291 pursuant to this solicitation if the contractor/subcontractor is currently working on the 2292 solicitation in an Independent Verification and Validation (IV&V) role.

2293 Confidentiality 2294 Bidder material becomes public only after the notice of Intent to Award is released. If 2295 material marked “confidential,” “proprietary,” or “trade secret” is requested pursuant to 2296 the Public Records Act, the State will make an independent assessment whether it is 2297 exempt from disclosure. If the State disagrees with the Bidder, the State will notify the 2298 Bidder and give them a reasonable opportunity to justify their position or obtain a court 2299 order protecting the material from disclosure. 2300 Bidders should be aware that marking a document “confidential” or “proprietary” in a 2301 Final Proposal may exclude it from consideration for award and will not keep that 2302 document from being released after notice of award as part of the public record, unless 2303 a court has ordered the State not to release the document. The content for all working 2304 papers and discussions relating to the Bidder’s proposal shall be held in confidence

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2305 indefinitely, unless the public interest is best served by an item’s disclosure because of 2306 its direct pertinence to a decision, agreement or the evaluation of the proposal. 2307 Any disclosure of confidential information by the Bidder is a basis for rejecting the 2308 Bidder’s proposal and ruling the Bidder ineligible to further participate. Any disclosure of 2309 confidential information by a State employee is a basis for disciplinary action, including 2310 dismissal from State employment, as provided by Government Code section 19570 et 2311 seq. Total confidentiality is paramount; it cannot be overemphasized.

2312 Addenda 2313 The State may modify the solicitation prior to the date fixed for Contract award by 2314 issuance of an addendum to all Bidders who are participating in the bidding process at 2315 the time the addendum is issued. Addenda will be numbered consecutively. 2316 If a Bidder determines that an addendum unnecessarily restricts its ability to bid, the 2317 Bidder is allowed five (5) Business Days to submit written questions and protest the 2318 addendum according to the instructions contained in Subsection 2.6.1, Requirements 2319 (Initial) Protests.

2320 Bidder’s Cost 2321 Costs for developing proposals are the responsibility entirely of the Bidder and shall not 2322 be chargeable to the State.

2323 Discounts 2324 In connection with any discount offered, except when a provision is made for a testing 2325 period preceding acceptance by the State, time will be computed from the date of 2326 delivery of the supplies or equipment as specified, or from date correct invoices are 2327 received in the office specified by the State if the latter date is later than the date of 2328 delivery. When a provision is made for a testing period preceding acceptance by the 2329 State, the date of delivery shall mean the date the supplies or equipment are accepted 2330 by the State during the specified testing period. Payment is deemed made, for the 2331 purpose of earning the discount, on the date of mailing the State warrant or check. 2332 Cash discounts offered by Bidders for the prompt payment of invoices will not be 2333 considered in evaluating offers for award purposes; however, all offered discounts will 2334 be taken if the payment is made within the discount period, even though not considered 2335 in the evaluation of offers. 2336 2337

2338 Signature of Proposal

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2339 A Cover Letter (which shall be considered an integral part of the Final Proposal) and 2340 Standard Agreement STD 213, and any proposal form requiring signature, shall be 2341 signed by an individual who is authorized to bind the bidding firm contractually. The 2342 signature block must indicate the title or position that the individual holds in the firm. An 2343 unsigned Final Proposal may be rejected. 2344 The Draft Proposal, if applicable, must also contain the Cover Letter and STD 213, 2345 including the title of the person who will sign, but need not contain the signature.

2346 Irrevocable Offer 2347 A Bidder’s Final Proposal is an irrevocable offer for 240 calendar days following the 2348 Final Proposal deadline specified in Subsection 2.3, Key Action Dates. A Bidder may 2349 extend the offer in the event of a delay of Contract award.

2350 False or Misleading Statements 2351 Proposals that contain false or misleading statements, or that provide references that do 2352 not support an attribute or condition claimed by the Bidder, may be rejected. If, in the 2353 opinion of the State, such information was intended to mislead the State in its evaluation 2354 of the proposal, and the attribute, condition, or capability is a requirement of this 2355 solicitation document, it will be the basis for rejection of the proposal.

2356 Joint Bids (Not Applicable) 2357 A joint proposal [two (2) or more Bidders quoting jointly on one (1) bid] may be 2358 submitted and each participating Bidder must sign the joint bid. If the Contract is 2359 awarded to joint Bidders, it shall be one indivisible contract. Each joint contractor will be 2360 jointly and severally responsible for the performance of the entire contract, and the joint 2361 Bidders must designate, in writing, one individual having authority to represent them in 2362 all matters relating to the contract. The State assumes no responsibility or obligation for 2363 the division of orders or purchases among joint contractors.

2364 Bonds 2365 The State reserves the right to require a performance bond or other security document 2366 as specified in the solicitation from the Bidder in an amount not to exceed the amount of 2367 the Contract. In the event the State requires a surety bond that has not been expressly 2368 required by the solicitation, the State will reimburse the Bidder, as an addition to the 2369 purchase price, in an amount not exceeding the standard premium on such bond. 2370 2371

2372 Unfair Practices Act and Other Laws ______Section 2 Bidding Instructions Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 69 State of California RFP OSI #31875 Office of Systems Integration

2373 Bidder warrants that its proposal complies with the Unfair Practices Act (Business and 2374 Professions Code §17000 et seq.) and all applicable State and federal laws and 2375 regulations.

2376 Fair Employment and Housing Commission Regulations 2377 The California Government Code section 12990 requires all State contractors to have 2378 implemented a Nondiscrimination Program before entering into any contract with the 2379 State. The Department of Fair Employment and Housing (DFEH) randomly selects and 2380 reviews State contractors to ensure their compliance with the law. DFEH periodically 2381 disseminates a list of contractors who have not complied. Any contractor so identified is 2382 ineligible to enter into any State contract.

2383 Plastic Trash Bag Certification Violations 2384 Public Resources Code §42290 et seq. prohibits the State from contracting with any 2385 supplier, manufacturer, or wholesaler, and any of its divisions, subsidiaries, or 2386 successors that have been determined to be noncompliant to the recycled content 2387 plastic trash bag certification requirements. This includes award of a State contract or 2388 subcontract or renewal, extension, or modification of an existing contract or subcontract. 2389 Prior to award, the State shall ascertain if the intended awardee or proposed 2390 subcontractor is a business identified on the current CalRecycle noncompliant list(s). In 2391 the event of any doubt of the status or identity of the business in violation, the State will 2392 notify the Board of the proposed award and afford the Board the opportunity to advise 2393 the State. No award will be made when either the Bidder or a subcontractor has been 2394 identified either by published list or by advice from the Board, to be in violation of 2395 certification requirements.

2396 Air or Water Pollution Violations 2397 Unless the contract is less than $25,000 or with a non-competitively bid contractor, 2398 Government Code section 4477 prohibits the State from entering into any contract for 2399 the purchase of supplies, equipment, or services from any person, including a 2400 corporation or other business association who is in violation of any order or resolution 2401 not subject to review promulgated by the State Air Resources Board or an air pollution 2402 control district, or is subject to a cease and desist order not subject to review issued 2403 pursuant to §13301 of the Water Code for violation of waste discharge requirements or 2404 discharge prohibitions, or is finally determined to be in violation of provisions of federal 2405 law relating to air or water pollution. 2406

2407 2.5 Bidding Steps

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2408 The procurement process may require any or all of the following types of compliance 2409 phase (preliminary) proposals: Conceptual Proposal, Detailed Technical Proposal, 2410 and/or Draft Proposal. The procurement process requires a final phase consisting of a 2411 Final Proposal. 2412 The procurement process to be used in this solicitation is composed of at least one (1) 2413 phase of proposal development. Refer to Subsection 2.3, Key Action Dates, to 2414 determine which phases and mandatory steps are included in this solicitation.

2415 Compliance Phase 2416 The compliance phase is an iterative, conversational mode of proposal and contract 2417 development. It requires the State, working together in confidence with each Bidder, to 2418 assess and discuss the viability and effectiveness of the Bidder’s proposed methods of 2419 meeting the State’s needs as reflected in the solicitation. It is a departure from the rigid 2420 “either accept or reject” philosophy of traditional competitive bidding, yet it is highly 2421 competitive in nature. It provides the flexibility needed for the Bidder to test a solution 2422 prior to formal submittal of the Final Proposal, and it facilitates the correction of defects 2423 before they become detrimental to the bid. The compliance phase proposals or 2424 preliminary proposals may include the submission of a Conceptual Proposal and/or a 2425 Detailed Technical Proposal, and/or a Draft Proposal by the Bidder, confidential 2426 discussions of the Bidder’s proposal(s), and revised Draft Proposals to address the 2427 correction of defects. 2428 The additional compliance phase step(s) will (1) ensure that the Bidders clearly 2429 understand the State’s requirements before attempting to develop their final solutions; 2430 (2) ensure that the State clearly understands what each Bidder intends to propose 2431 before those proposals are finalized; and (3) give the State and each Bidder the 2432 opportunity to discuss weaknesses or potentially unacceptable elements of a Bidder’s 2433 proposal and give the Bidder the opportunity to modify its proposal to correct such 2434 problems. 2435 All Bidders are strongly encouraged to follow the scheduled steps of this procurement 2436 document in order to increase the chance of submitting a compliant Final Proposal. 2437 Costs submitted in any submission other than the Final Proposal may preclude 2438 the Bidder from continuing in the process.

2439 Conceptual Proposal (Not Applicable) 2440 The Conceptual Proposal is optional and included for the purpose of allowing each 2441 Bidder to provide a general concept of a proposal. It should contain just enough detail to 2442 enable the evaluators to determine if the Bidder is on the right track toward meeting the 2443 requirements as stated in the solicitation; and if not, where the Bidder must change a

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2444 concept. This step invites the Bidder to be as innovative as the solicitation requirements 2445 allow in eliminating unnecessary constraints.

2446 Detailed Technical Proposal (Not Applicable) 2447 The Detailed Technical Proposal is optional and included for the purpose of allowing 2448 each Bidder to provide a detailed technical description of its proposal. The proposal 2449 should determine whether the proposal is responsive to all the requirements of the 2450 solicitation, and if not, which elements are not responsive and what changes would be 2451 necessary.

2452 Draft Proposal 2453 The purpose of the Draft Proposal is to provide the State with an "almost final" proposal 2454 in order to identify any faulty administrative, bid requirement or any aspects of the 2455 proposal which, if not corrected, could cause the Final Proposal to be rejected. 2456 The Draft Proposal must be complete in every respect as required by the Section 6, 2457 Proposal Format and Submission Requirements. The inclusion of cost information in the 2458 Draft Proposal may be a basis for rejecting the proposal and notifying the Bidder that 2459 further participation in the procurement is prohibited. 2460 REVIEW OF THE DRAFT PROPOSAL BY THE STATE MAY INCLUDE 2461 CONFIDENTIAL DISCUSSIONS WITH INDIVIDUAL BIDDERS AND THE STATE WILL 2462 PROVIDE FEEDBACK TO THE BIDDER PRIOR TO SUBMITTAL OF THE FINAL 2463 PROPOSAL. Regardless of the inclusion of a confidential discussion, the State will 2464 notify the Bidder of any defects it has detected in the Draft Proposal, or of the fact that it 2465 did not detect any such defects. Such notification is intended to minimize the risk that 2466 the Final Proposal will be deemed defective; however, THE STATE WILL NOT 2467 PROVIDE ANY WARRANTY THAT ALL DEFECTS HAVE BEEN DETECTED AND 2468 THAT SUCH NOTIFICATION WILL NOT PRECLUDE REJECTION OF THE FINAL 2469 PROPOSAL IF SUCH DEFECTS ARE LATER FOUND. 2470 The State’s evaluation and review of preliminary proposal(s) is cursory. Therefore, 2471 Bidders are cautioned not to rely on the State, during these evaluations and reviews, to 2472 discover and report to the Bidders all defects and errors in the submitted documents. 2473 Before submitting each document, the Bidder should carefully proof it for errors and 2474 adherence to the solicitation requirements.

2475 Evaluation of Preliminary Proposal(s) and Discussion Agenda 2476 The State will review each preliminary proposal including conceptual, detailed technical 2477 and Draft Proposals, as applicable in the solicitation. Review of the preliminary 2478 proposal(s) will be in accordance with the evaluation methodology outlined in the 2479 solicitation for the purpose of identifying areas in which the proposal is nonresponsive to ______Section 2 Bidding Instructions Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 72 State of California RFP OSI #31875 Office of Systems Integration

2480 a requirement, is otherwise defective, or in which additional clarification is required in 2481 order that the State may fully understand the ramifications of an action proposed by the 2482 Bidder. As a result of this evaluation, the State may prepare an agenda of items to be 2483 discussed with the Bidder, and will normally transmit the agenda to the Bidder at least 2484 two (2) working days before the scheduled meeting. The agenda may also include, in 2485 addition to the identification of discovered defects, a discussion of the Bidder’s 2486 proposed supplier support, implementation plans, validation plans, demonstration plans, 2487 and proposed contracts, as appropriate.

2488 Confidential Discussion with Each Bidder 2489 In accordance with the discussion agenda, the State may meet with each Bidder for the 2490 purpose of discussing the preliminary proposal(s) in detail. The Bidder may bring to the 2491 discussion those persons who may be required to answer questions or commit to 2492 changes. As the first order of business, the Bidder may be asked to give a short 2493 proposal overview presentation. To the maximum extent practical, the Bidder will 2494 address the concerns of the State, as expressed in the discussion agenda, and should 2495 be prepared to answer any questions that may arise as a result of the presentation. The 2496 participants will then proceed to discuss each of the agenda items. 2497 The State will not make counter proposals to a Bidder’s proposed solution to the 2498 solicitation document requirements. The State will only identify its concerns, ask for 2499 clarification, and express its reservations if a particular requirement of the solicitation 2500 document is not, in the opinion of the State, appropriately satisfied. The primary 2501 purpose of this discussion is to ensure that the Bidder’s Final Proposal will be 2502 responsive.

2503 Submission of Amended Preliminary Proposal(s) 2504 If, at the conclusion of the confidential discussion, the State determines that required 2505 changes can only be fully confirmed through the submission of an amended preliminary 2506 proposal(s), the State may require either the submission of an addendum to the 2507 Bidder’s preliminary proposal(s) consisting only of those pages that were in doubt, or 2508 the submission of a complete resubmittal. 2509 The Bidder will be notified of defects discovered in these submittals as well. The State 2510 will not provide any warranty that all defects have been detected and that such 2511 notification will not preclude rejection of the Final Proposal if such defects are later 2512 found. 2513 2514

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2516 The purpose of the Final Phase is to obtain Final Proposals that are responsive in every 2517 respect. The Final Proposal is a mandatory step for all Bidders; all other bidding steps 2518 are optional unless otherwise stated in Subsection 2.3, Key Action Dates. 2519 The Final Proposal must be complete, including all cost information, required 2520 signatures, Contract changes agreed to via an addendum and corrections made to 2521 those defects noted by the State in its review of the Draft Proposal, if any. Cost as 2522 identified in Section 6, Proposal Format and Submission Requirements must be 2523 submitted under separate, sealed cover.

2524 Withdrawal and Resubmission/Modification of Proposals 2525 A Bidder may withdraw its Conceptual Proposal, Detailed Technical Proposal or Draft 2526 Proposal at any time by written notification. A Bidder may withdraw its Final Proposal at 2527 any time prior to the Final Proposal deadline date and time specified in Subsection 2.3, 2528 Key Action Dates, by submitting a written notification of withdrawal signed by an 2529 authorized representative of the Bidder in accordance with Subsection 2.4.9, Signature 2530 of Proposal. The Bidder may thereafter submit a new or modified proposal prior to the 2531 respective proposal deadline specified in Subsection 2.3, Key Action Dates. 2532 Modification offered in any other manner, oral or written, will not be considered. Other 2533 than as allowed by law, Final Proposals cannot be changed or withdrawn after the 2534 deadline date and time designated for receipt, except as provided in the solicitation 2535 document.

2536 Disposition of Proposals 2537 All materials submitted in response to this solicitation will become the property of the 2538 State of California and will be returned only at the State’s option and at the Bidder’s 2539 expense. At a minimum, the master copy of the Final Proposal shall be retained for 2540 official files and will become a public record after the Notification of Intent to Award is 2541 posted. However, materials the State considers as confidential information (such as 2542 confidential financial information submitted to show Bidder responsibility) will be 2543 returned upon request of the Bidder.

2544 2.6 Protests 2545 There are two (2) types of protests: 1) requirements (initial) protests and 2) award 2546 protests. A protest shall be submitted according to the procedures below.

2547 Requirements (Initial) Protests 2548 Protests regarding any issue other than selection of the “successful Bidder” are 2549 requirements protests. A protest of requirements is a challenge brought against a 2550 requirement that may be restrictive, ambiguous, favors a specific

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2551 vendor/solution/technology, etc. Requirement protests will be heard and resolved by the 2552 Deputy Director of the Department of Technology, Statewide Technology Procurement 2553 Division (STPD), whose decision will be final. 2554 Before a requirements protest is submitted, the Bidder must make full and timely use of 2555 the procedures described in Subsection 2.2.2, Questions Regarding the Solicitation 2556 Document, to resolve any outstanding issue(s) between the Bidder and the State. The 2557 procurement procedure is designed to give the Bidder and the State adequate 2558 opportunity to submit questions and discuss the requirements, proposals, and counter 2559 proposals before the Final Proposal is due. The protest procedure is made available in 2560 the event that a Bidder cannot reach a fair agreement with the State after exhausting 2561 these procedures. 2562 All protests of requirements must be made in writing, signed by an individual authorized 2563 under Subsection 2.4.9, Signature of Proposal, and contain a statement of the reason(s) 2564 for protest, citing the law, rule, regulation, or procedures on which the protest is based. 2565 The protestant must provide facts and evidence to support the claim. All protests to the 2566 solicitation requirements must be received by the Deputy Director of the Department of 2567 Technology Statewide Technology Procurement Division (STPD) as promptly as 2568 possible, but not later than the respective deadline time and date specified in 2569 Subsection 2.3, Key Action Dates, for such protests. Protests must be mailed or 2570 delivered to:

2571 Table 2-3: Protest Delivery Information

Street Address: Mailing Address: Marnell Voss, Deputy Director Marnell Voss, Deputy Director Department of Technology Department of Technology Statewide Technology Procurement Division Statewide Technology Procurement Division 10860 Gold Center Drive, 4th Floor P.O. Box 1810 MS Y12 Rancho Cordova, CA 95670 Rancho Cordova, CA 95741-1810

2572 Copies of all protests are to be sent to the Procurement Official listed in Subsection 2573 2.2.1.

2574 Award Protest 2575 An award protest is where a Bidder has submitted a Final Proposal which it believes to 2576 be responsive to the requirements of the solicitation document and to be the proposal 2577 that should have been selected according to the evaluation procedure in Section 7, 2578 Evaluation, and the Bidder believes the State has incorrectly selected another Bidder for 2579 award.

2580 2.7 Alternative Protest Process

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2581 This procurement is being conducted under the provisions of the Alternative Protest 2582 Process (Public Contract Code § 12125 et seq.). The Bidder understands that by 2583 submitting a proposal to this procurement, the Bidder consents to participation in the 2584 Alternative Protest Process, and agrees that all protests of the proposed award shall be 2585 resolved by binding arbitration pursuant to the California Code of Regulations, Title 1, 2586 Division 2, Chapter 5. 2587 http://www.dgs.ca.gov/oah/GeneralJurisdiction/BidProtestRegs.aspx 2588 A Notice of Intent to Award for this solicitation will be publicly posted on the 2nd floor 2589 Security Desk of the Department of Technology, 10860 Gold Center Drive, Rancho 2590 Cordova, CA and sent via email to any Bidder who submits a written request for notice 2591 and provided an email address. 2592 During the protest period, any Bidder who submitted a Final Proposal may protest the 2593 proposed award on the following grounds: 2594 1. For major information technology acquisitions where there was a violation of the 2595 solicitation procedure(s) and that the protesting Bidder’s proposal should have 2596 been selected; or 2597 2. For any other acquisition where the protesting Bidder’s proposal should have 2598 been selected in accordance with the selection criteria in the solicitation 2599 document. 2600 A written notice of intent to protest the proposed award of this solicitation must be 2601 received (email or facsimile acceptable) by the coordinator by the date and time 2602 specified in Subsection 2.3, Key Action Dates. Failure to submit a timely, written notice 2603 of intent to protest waives the Bidder’s right to protest. 2604 Bidder is to send the notice of intent to protest to:

2605 Table 2-4: Notice of Intent to Protest Address

Hand Delivered Bid; Parcel Post United States Postal Service (FedEx, UPS, etc.) (USPS)

Department of Technology Department of Technology Statewide Technology Procurement Division Statewide Technology Procurement Division Attn: Alternative Protest Process Coordinator Attn: Alternative Protest Process Coordinator 10860 Gold Center Drive, Mail Stop Y12 Suite 200 – Security Desk P.O. Box 1810 Rancho Cordova, CA 95670 Rancho Cordova, CA 95741-1810 Fax: (916) 463-9910 Email: [email protected]

2606 Copies of the protest are to be sent to the Procurement Official listed in Subsection 2607 2.2.1, Procurement Official.

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2608 Within seven (7) working days after the last day to submit a notice of intent to protest, 2609 the coordinator must receive from the protesting Bidder the complete protest filing 2610 including the signed, written detailed statement of protest including exhibits, filing fee 2611 and deposit or small business certification as applicable. Untimely submission of the 2612 complete protest filing waives the Bidder’s right to protest. 2613 Protest bond requirement: the bond amount for this Alternative Protest Process shall not 2614 be less than ten percent (10%) of the estimated Contract value. Refer to California 2615 Code of Regulations, Title 1, §1418. 2616 Refer to Attachment 3, Procedures for Conducting Protests Under the Alternative 2617 Protest Process.

2618 2.8 Negotiations 2619 The State of California reserves the right to negotiate. Should it be determined that it is 2620 in the State’s best interest, the State will conduct negotiations under PCC §6611. The 2621 purpose of the negotiation process is to maximize the State’s ability to obtain a best 2622 value solution, based on the requirements and the evaluation factors set forth in the 2623 solicitation. 2624

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2625 2626 2627 2628 2629 2630 2631 2632 2633 PAGE INTENTIONALLY LEFT BLANK 2634

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2635 ADMINISTRATIVE REQUIREMENTS 2636 This section contains the mandatory administrative requirements that must be met in 2637 order to be considered responsive to this solicitation. Unless designated otherwise, all 2638 of the requirements in this section are mandatory. However, documents that must be 2639 submitted with the Bidder’s Final Proposal are noted as Mandatory “(M)” in this section. 2640 Additionally, this section contains optional requirements noted as Optional “(O)” that 2641 may require documents to be submitted with the Bidder’s proposal response. The 2642 administrative requirements listed in this section are denoted as follows: 2643 1. (M) All subsections labeled “Mandatory” or “M” are not negotiable. To be 2644 considered responsive and responsible to these requirements, all requirements 2645 identified as (M) must be responded to. A “fail” will result in a proposal being 2646 deemed non-responsive and, therefore, will be disqualified. Failure to respond to 2647 any mandatory requirements shall result in disqualification of the proposal. The 2648 responses will be evaluated in accordance with Section 7, Evaluation. 2649 2. (O) All subsections labeled as “Optional” or “O” are not required to be offered by 2650 the Bidder in order to be compliant to the solicitation requirements. A Bidder may 2651 choose whether to meet administrative requirements labeled as (O), such as 2652 those relating to preference points. However, if a Bidder offers any of these (O) 2653 requirements, the Bidder must meet the minimum requirements as stated in the 2654 subsection. The State will review responses to optional requirements and apply 2655 points, if applicable, per criteria stated in Section 7, Evaluation.

2656 3.1 Ability to Perform 2657 Prior to award of the Contract, the State must be assured that the Bidder selected has 2658 all of the resources to successfully perform under the Contract. This includes, but is not 2659 limited to, personnel in the numbers and with the skills required; equipment of 2660 appropriate type and in sufficient quantity; financial resources sufficient to complete 2661 performance under the Contract; and experience in similar endeavors. If, during the 2662 evaluation process, the State is unable to assure itself of the Bidder’s ability to perform 2663 under the Contract, if awarded, the State has the option of requesting from the Bidder 2664 any information that the State deems necessary to determine the Bidder’s responsibility. 2665 If such information is required, the Bidder will be so notified and will be permitted five (5) 2666 Business Days to submit the information requested, in writing. Examples of the type of 2667 financial responsibility information requested may include annual reports and current 2668 audited balance sheets for the Bidder firm.

2669 3.2 Primary Bidder 2670 An award, if made, will be to a primary Bidder. The awarded primary Bidder will be 2671 responsible for successful performance of all subcontractors and support services

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2672 offered in response to this solicitation. All state policies, guidelines, and requirements 2673 that apply to the primary Bidder also apply to subcontractors, as applicable to the 2674 products and services they provide and to their role as a subcontractor. Furthermore, 2675 the State will consider the primary Bidder to be the sole point of contact regarding 2676 contractual matters for the term of the resulting Contract. The Bidder shall not assign 2677 financial documents to a third-party without prior written approval by the State, and an 2678 amendment to the resulting Contract.

2679 3.3 Subcontractors 2680 It is the Bidder’s responsibility to ensure that any subcontractor that the Bidder chooses 2681 to use in fulfilling the requirements of this solicitation, and which is expected to receive 2682 more than ten percent (10%) of the value of the Contract, also meets all administrative 2683 and bid requirements of the solicitation, as applicable to the services provided by the 2684 subcontractor. 2685 Nothing contained in the resulting Contract shall create any relationship between the 2686 State and any subcontractors, and no subcontract shall relieve the Bidder of its 2687 responsibilities and obligations. The Bidder is fully responsible to the State for the acts 2688 and omissions of its subcontractors and of persons either directly or indirectly employed 2689 by them. 2690 The Contractor shall not change subcontractor(s) and/ or DVBE subcontractor(s) if such 2691 changes conflict with the work to be performed under this Contract. For DVBE 2692 subcontractor changes, the Contractor shall utilize another DVBE subcontractor. The 2693 State recognizes that changes to subcontractor(s) may be necessary and in the best 2694 interests of the State, however, advance notification of a contemplated change and the 2695 reasons for such change must be made to the State no less than seven (7) Business 2696 Days prior to the existing subcontractor’s termination. If this should occur, the 2697 Contractor should be aware that the State Contract administrator or designee must 2698 approve any changes to the subcontractor(s) prior to the termination of the existing 2699 subcontractor(s). This also includes any changes made between submittal of the Final 2700 Proposal and actual start of the Contract. 2701 The State will not compensate the Contractor for any of the Contractor’s time or effort to 2702 educate or otherwise make the new subcontractor(s) ready to begin work on the 2703 Contract. 2704 The Bidder’s obligation to pay its subcontractors is an independent obligation from the 2705 State’s obligation to pay or to enforce the payment of any money to any subcontractor. 2706 Contractor is solely responsible for any payments to or claims made by subcontractors. 2707

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2708 Bidder Declaration Form (M) 2709 The Bidder must complete and submit Exhibit 5: GSPD-05-105 Bidder Declaration with 2710 its proposal. When completing the declaration, the Bidder must identify all 2711 subcontractors proposed for participation in the Contract. The Bidder awarded the 2712 Contract is contractually obligated to use the subcontractors for the corresponding work 2713 identified, unless the Agency/state entity agrees to a substitution and it is incorporated, 2714 in writing. 2715 If the Bidder is not using subcontractors, the Bidder must still complete Exhibit 5, 2716 answering the applicable questions on the form, and submit it with its proposal. The 2717 form is also available at: www.documents.dgs.ca.gov/pd/poliproc/MASTEr-BidDeclar08- 2718 09.pdf

2719 3.4 Amendment 2720 Any Contract executed as a result of this solicitation may be amended, consistent with 2721 the terms and conditions of the Contract and by mutual consent of both parties, subject 2722 to approval by the Statewide Technology Procurement Division under PCC 12100. 2723 Contractor’s estimated hours to accomplish the Work Authorization purpose.

2724 3.5 Financial Responsibility Information

2725 Financial Stability 2726 In order to minimize the potential risk of default due to financial issues, the State 2727 reserves the right to request additional documentation throughout the life of the 2728 awarded Contract. 2729 The State must be assured that the Bidder continues to have the financial resources to 2730 sustain its operations during system development and implementation phases including 2731 the time required for the State to pay the Contractor after system acceptance.

2732 Responsibility Certification (M) 2733 The Bidder must certify in writing, to the best of its knowledge and belief that the Bidder, 2734 the Bidder’s subcontractor(s) or any personnel related to the Contract to be awarded 2735 are not presently debarred, suspended, proposed for debarment, or declared ineligible 2736 for the award of contracts by any state or federal agency. The Bidder must sign and 2737 submit Exhibit 23: Responsibility Certification, with its proposal. The proposal shall be 2738 deemed non-responsive if the certification is not submitted with Bidder’s Final Proposal. 2739 2740

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2741 Federal Responsibility Certification (M) 2742 The Bidder must complete and submit Exhibit 24: Federal Debarment, Suspension, 2743 Ineligibility, and Voluntary Exclusion – Certification with its proposal. This certification is 2744 required by the regulations implementing Executive Order 12549, Debarment and 2745 Suspension, 29 Code of Federal Regulations, Part 98, Section 98.510, Participants; 2746 responsibilities. This certification states that neither the Bidder nor its principals are 2747 presently debarred, suspended, proposed for debarment, declared ineligible, or 2748 voluntarily excluded from participation in this transaction by any federal department or 2749 agency. The regulations were published as Part VII of the May 26, 1988 Federal 2750 Register (pages 19160-19211).

2751 3.6 General Provisions 2752 The Bidder is advised that deviations from the State approved Terms and Conditions 2753 may be grounds for rejection of its proposal.

2754 Modified General Provisions – Information Technology (GSPD 2755 401IT for eWIC MIS Project) 2756 The Contract awarded as a result of this solicitation shall automatically incorporate the 2757 modified GSPD 401IT for eWIC MIS Project, General Provisions – Information 2758 Technology, which is located in Attachment A.2 of this RFP.

2759 Cloud Computing Services Special Provisions 2760 If the Bidder’s solution includes commercial Software as a Service (SaaS) as part of the 2761 solution, the Contract awarded as a result of this solicitation shall automatically 2762 incorporate by reference the “State Model: Cloud Computing Services Special 2763 Provisions for Software as a Service (SaaS),” which can be found at the following URL: 2764 http://www.dgs.ca.gov/pd/Home/CloudComputing.aspx

2765 3.7 Insurance 2766 Contractor shall, at its sole cost and expense, obtain, and, during the term of this 2767 Contract, maintain, in full force and effect, the insurance coverage described in 2768 Appendix A: Statement of Work, Subsection C.3, Insurance. 2769 The policy must include the State of California, its officers, agents, employees and 2770 servants as additional insureds, but only insofar as the operations under the Contract 2771 are concerned. 2772 In accordance with GSPD 401IT 09/05/2014, provision 20, Insurance, the Contractor 2773 shall furnish insurance certificate(s) evidencing required insurance coverage acceptable 2774 to the State, including endorsements showing the State as an “additional insured” if

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2775 required under the Contract. Any required endorsements requested by the State must 2776 be separately provided; merely referring to such coverage on the certificates(s) is 2777 insufficient for this purpose. When performing work on State-owned or -controlled 2778 property, Contractor shall provide a waiver of subrogation in favor of the State for its 2779 workers’ compensation policy. 2780 The Contractor shall agree to furnish the State satisfactory evidence thereof within ten 2781 (10) calendar days of Contract award.

2782 Workers’ Compensation/Employer’s Liability (M) 2783 The Contractor shall maintain statutory workers' compensation and employer's liability 2784 coverage for all its employees who will be engaged in the performance of the contract, 2785 including special coverage extensions where applicable. Employer's liability limits of 2786 $1,000,000 shall be required. The Bidder must sign and submit with its proposal Exhibit 2787 7: Workers’ Compensation Certification.

2788 3.8 Administrative Requirements Document (M) 2789 The Bidder must indicate its willingness and ability to satisfy these requirements by 2790 marking “Yes” on the “Bidder agrees Yes/No” column for each mandatory administrative 2791 requirement on Exhibit 4: Response to Administrative Requirements. Answering “No” to 2792 any of the mandatory administrative requirements in the Final Proposal will result in the 2793 proposal being deemed non-responsive.

2794 3.9 Cover Letter (M) 2795 The Bidder must submit a cover letter containing the following: 2796 1. Be on company letterhead. 2797 2. Include the legal name of the bidding organization. 2798 3. Include the address of the Bidder’s company. 2799 4. Include a statement that the proposal response is the Bidder’s binding offer, good 2800 for 240 calendar days from scheduled Contract award date, as specified in 2801 Subsection 2.3, Key Action Dates. 2802 5. Include a statement indicating that the Bidder agrees to the terms and conditions 2803 of this solicitation and accepting responsibility as the prime Contractor if awarded 2804 the Contract resulting from this solicitation. 2805 6. Include a statement indicating that the Bidder has available staff with the 2806 appropriate skills to complete the Contract for all services and provide all 2807 deliverables as described in this solicitation and SOW. 2808 7. Be signed by an individual who is authorized to bind the bidding firm 2809 contractually. The individual’s name must also be typed, and include the title or

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2810 position that the individual holds in the firm. An unsigned Final Proposal may be 2811 rejected. 2812 8. Include the email and phone number of the person signing the letter. 2813 9. Include the date signed.

2814 3.10 STD 213, Standard Agreement (M) 2815 The STD 213, Standard Agreement, must be signed by a party authorized to bind the 2816 firm contractually. The Bidder must complete and submit Exhibit 1: STD 213 Standard 2817 Agreement, with its proposal, and include Appendix A: Statement of Work, behind the 2818 STD 213. 2819 The Bidder shall only complete the “CONTRACTOR’S NAME” in block 1, and all of the 2820 information required for the “CONTRACTOR” block in the lower part of Exhibit 1. THE 2821 BIDDER SHALL NOT INCLUDE ANY DOLLAR FIGURES. 2822 The Bidder is advised that deviations to the STD 213 may be grounds for rejection of its 2823 proposal.

2824 3.11 Statement of Work (M) 2825 Appendix A: Statement of Work identifies and describes the tasks and responsibilities of 2826 the Contractor and the responsibilities of the State during the term of the Contract. The 2827 Bidder must submit Appendix A: Statement of Work behind Exhibit 1: STD 213 with its 2828 proposal. The Bidder is advised that deviations to the Statement of Work (SOW) may be 2829 grounds for rejection of its Final Proposal. Refer to Part 2, Bidder’s Response, Appendix 2830 A: Statement of Work.

2831 3.12 Confidentiality Statement (M) 2832 The Bidder must agree to the State’s confidentiality requirements by submitting a signed 2833 Exhibit 3: Confidentiality Statement for the Bidder’s firm. The completed confidentiality 2834 statement must be submitted with Exhibit 2: Intent to Bid, as specified in Subsection 2.3, 2835 Key Action Dates.2 2836 The Bidder engaging in services pertaining to this solicitation, requiring contact with 2837 confidential State information or State customer information will be required to exercise 2838 security precautions for all such data that is made available and must accept full legal 2839 responsibility for the protection of this confidential information. This includes all 2840 statistical, personal, technical, and/or other confidential personal data and information 2841 relating to the State’s operations that are designated confidential by the State.

2 A signed Exhibit 3: Confidentiality Statement, must be submitted to the Procurement Official before the Bidder may receive access to the Bidders’ Library. ______Section 3 Administrative Requirements Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 84 State of California RFP OSI #31875 Office of Systems Integration

2842 The Bidder will also be required, upon Contract award, to submit a signed confidentiality 2843 statement from all personnel, agents, and subcontractors assigned to the awarded 2844 Contract.

2845 3.13 Secretary of State Certification (M) 2846 If required by law, the prime Contractor must submit a certificate of status from 2847 California Secretary of State, showing that the prime Contractor is certified with the 2848 California Secretary of State to do business in the State of California. If the Bidder does 2849 not currently have this certification, the firm must be certified before a Contract award 2850 can be made, and must provide information in the Final Proposal to support the status 2851 of its application to be certified to do business in the State of California. 2852 Domestic and foreign corporations, Limited Liability Companies (LLCs), Limited Liability 2853 Partnerships (LLPs) and Limited Partnerships (LPs) must be registered with the 2854 California Secretary of State to be awarded the Contract. 2855 The Bidder must complete and submit Exhibit 6: Secretary of State Certification with its 2856 proposal. The required document(s) may be obtained through the California Secretary 2857 of State, Certification and Records Unit at (916) 657-5448 or through the following 2858 website: http://kepler.sos.ca.gov/

2859 3.14 Seller’s Permit (M) 2860 This proposal is subject to all requirements set forth in §6452, §6487, §7101 and 2861 §18510 of the Revenue and Taxation Code §10295 of the Public Contract Code, 2862 requiring the Bidder to provide a copy of its retailer’s seller’s permit or certification of 2863 registration and, if applicable, the permit or certification of all participating affiliates 2864 issued by the State of California’s Board of Equalization. The Bidder must complete and 2865 submit Exhibit 8: Seller’s Permit Certification, with its proposal. For more information on 2866 seller’s permit or certification of registration, refer to the following link: http://boe.ca.gov.

2867 3.15 Payee Data Record (STD 204) (M) 2868 The Payee Data Record (STD. 204) indicates the Bidder is subject to state income tax 2869 withholdings pursuant to California Revenue and Taxation Code §18662. 2870 The Bidder must complete and submit Exhibit 9: Payee Data Record with its proposal. 2871 The Bidder must provide the company’s Federal Employer Identification Number 2872 (Business IRS Number) on this form. The form can be located at the following website: 2873 http://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf 2874 2875

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2876 3.16 Iran Contracting Act of 2010 (M) 2877 Division 2, Part 1, Chapter 2.7 of the PCC is the Iran Contracting Act of 2010. This Act 2878 §2203 requires that no one shall submit a proposal for a contract, or enter into or renew 2879 a contract, with a public entity for goods or services valued at $1,000,000 or more if that 2880 person (i.e., bidder or contractor) engages in investment activities of $20,000,000 or 2881 more as described in PCC §2202.5 pursuant to all provisions of the Iran Contracting Act 2882 of 2010. The Iran Contracting Act of 2010, at §2204 requires bidders to certify at the 2883 time the proposal is submitted or the Contract is renewed, that the person is not 2884 identified on a list created pursuant to subdivision (b) of PCC §2203 as a person 2885 engaging in investment activities in Iran described in subdivision (a) of PCC §2202.5, or 2886 as a person described in subdivision (b) of PCC §2202.5, as applicable. 2887 The Bidder must complete and submit Exhibit 10: Iran Contracting Act of 2010, with its 2888 proposal and, if the Bidder is selected, again each time their awarded Contract is 2889 renewed.

2890 3.17 Bond and Other Security Documents (M) 2891 The Bidder must submit as Exhibit 11, with its proposal, Item #1a as described below in 2892 Table 3-1. A Final Proposal submitted without the required documents shall be 2893 considered non-responsive and the proposal shall be rejected. Within 21 days after 2894 Contract Award, the Bidder must submit the corresponding Item #1b as described below 2895 in Table 3-1. For this requirement, the length of time for surety consideration shall be 2896 three (3) years.

2897 Table 3-1: Bond Requirements

Item # Bidder Bond Item # Contract Bond Required at Final Proposal Required within 21 days after Submittal Contract Award 1a Letter of Bondability 1b Performance Bond

2898 2899 Definitions: 2900 1a Letter of Bondability (Required at Final Proposal Submittal) 2901 The Letter of Bondability shall be from an admitted surety insurer, on insurer’s 2902 letterhead and signed by an individual authorized to bind the firm, which states the 2903 surety unconditionally offers to guarantee to the extent of 50 percent (50%) of the 2904 Bidder’s proposed base Contract price, the Bidder’s performance in all respects of the 2905 terms and conditions and provisions of the Agreement, and that within 21 calendar days 2906 after Contract award, the surety will execute the Performance Bond requirement.

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2907 1b Performance Bond (Required within 21 calendar days after Contract Award) 2908 The Bidder shall furnish to the Deputy Director of the Department of Technology, STPD, 2909 identified in Subsection 2.6.1. Requirements (Initial) Protests, at no cost to the State, a 2910 Performance Bond in the amount of 50 percent (50%) of the Bidder’s proposed base 2911 Contract price. The bond shall be on a form from an admitted surety insurer and must 2912 guarantee Contractor’s compliance with the terms of this Contract. 2913 Within 21 days after Contract award (unless submitted with the proposal), the 2914 successful Bidder MUST submit the instrument satisfying the bond requirement in the 2915 form of a Performance Bond. Failure to submit the required document within 21 days 2916 may be cause for termination of the Contract. 2917 Because of the potential consequences that might result if the successful Bidder is 2918 unable to furnish any of the specified documents, Bidders should take the necessary 2919 steps, prior to submittal of their proposals; to ensure that if awarded, they can meet 2920 these requirements.

2921 3.18 Bidding Preference Programs

2922 Bidder’s Preference and Incentives Declaration (M) 2923 The Bidder must complete and submit Exhibit 13: Bidding Preferences and Incentives, 2924 with its proposal. The Bidder must indicate on Exhibit 13 whether it is or is not claiming 2925 each preference and incentive. Refer to Section 7, Evaluation, for details on the amount 2926 and application of preference and incentive points during proposal evaluation.

2927 Disabled Veteran Business Enterprise (DVBE) Program 2928 The Disabled Veteran Business Enterprise (DVBE) Participation Goal Program for State 2929 contracts are established in Public Contract Code (PCC), §10115 et seq., Military and 2930 Veterans Code (MVC), §999 et seq., and California Code of Regulations (CCR), Title 2, 2931 §1896.60 et seq.

2932 DVBE Participation Requirement (Not Applicable) 2933 For the purpose of this Solicitation, the DVBE participation requirement has been 2934 waived. 2935 The DVBE Program requirements information may be viewed at: 2936 http://www.documents.dgs.ca.gov/pd/smallbus/CUF/DVBEIncentiveRequireGoodIT.pdf

2937 DVBE Incentive (O) 2938 In accordance with Military and Veterans Code §999.5(a), an incentive will be given to 2939 all Bidders who exceed three percent (3%) DVBE participation. For Contract award

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2940 evaluation purposes only, the State shall apply the incentive amount to those Bidders 2941 who are responsive to the DVBE program requirement and propose DVBE participation 2942 in the resulting Contract that exceeds three percent (3%). If Bidder is claiming a DVBE 2943 incentive, the Bidder must complete and submit Exhibit 5: Bidder Declaration GSPD-05- 2944 105 and Exhibit 13: Bidding Preferences and Incentives. If the Bidder is not using 2945 subcontractors, the Bidder must still complete Exhibit 5, answering the applicable 2946 questions on the form, and submit it with its proposal. 2947 The Bidder who has been certified by California as a DVBE (or who has obtained the 2948 participation of subcontractors certified by California as DVBEs) must also complete and 2949 submit Exhibit 12: STD. 843 Disabled Veteran Business Declarations, with its proposal, 2950 for each DVBE. All disabled veteran owners and disabled veteran managers of the 2951 DVBE(s) must sign the form(s). This form may be accessed at: 2952 www.documents.dgs.ca.gov/pd/poliproc/STD-843FillPrintFields.pdf 2953 Completed certification applications and required support documents must be submitted 2954 to the Office of Small Business and Disabled Veteran Business Enterprise Services 2955 (OSDS) no later than 5:00 p.m. Pacific Time on the Final Proposal due date, and the 2956 OSDS must be able to approve the application as submitted. 2957 The Office of Small Business and DVBE Services offer program information and may be 2958 reached at: 2959 Office of Small Business and DVBE Services 2960 707 Third Street, 1st Floor, Room 400 2961 West Sacramento, CA 95606 2962 http://www.dgs.ca.gov/pd/Programs/OSDS.aspx 2963 Receptionist: (916) 375-4940 Fax (916) 375-4650

2964 Small Business Preference (O) 2965 Section 14835 et seq. of the California Government Code requires that a five percent 2966 (5%) preference be given to Bidders who qualify as a small business The rules and 2967 regulations of this law, including the definition of a small business, or qualifying non- 2968 small business, are contained in Title 2, California Code of Regulations, §1896 et seq. 2969 The definition of nonprofit veteran service agencies qualifying as a small business is 2970 contained in §999.50 et seq. of the Military and Veterans Code. 2971 The Bidder must complete and submit Exhibit 13: Bidding Preferences and Incentives 2972 and Exhibit 5: GSPD-05-105 Bidder Declaration, with its proposal. If the Bidder is not 2973 using subcontractors, the Bidder must still complete Exhibit 5, answering the applicable 2974 questions on the form, and submit it with its proposal. More information regarding the 2975 Small Business Preference may be found at: www.dgs.ca.gov/pd/Programs/OSDS.aspx

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2976 Non-Small Business Preference (O) 2977 A five percent (5%) proposal preference is available to Bidders who qualify as a non- 2978 small business claiming at least 25 percent (25%) California-certified small business 2979 subcontractor participation. If claiming the non-small business subcontractor preference, 2980 the Bidder’s response must include a list of the small businesses with which the firm 2981 commits to subcontract in an amount of at least 25 percent (25%) of the net proposal 2982 price with one (1) or more California-certified small businesses. Each listed certified 2983 small business must perform a “commercially useful function” in the performance of the 2984 Contract as defined in Government Code section 14838(b)(1)(2). 2985 Bidders claiming the five percent (5%) preference must commit to subcontract at least 2986 25 percent (25%) of the net proposal price with one (1) or more California-certified small 2987 businesses. Completed certification applications and required support documents must 2988 be submitted to the Office of Small Business and DVBE Services (OSDS) no later than 2989 5 p.m., Pacific Time, of the Final Proposal due date, and the OSDS must be able to 2990 approve the application as submitted. Questions regarding certification should be 2991 directed to the OSDS at (916) 375-4940. 2992 If claiming a small business preference or using small business subcontractors, the 2993 Bidder must complete and submit Exhibit 5: GSPD-05-105 Bidder Declaration and 2994 Exhibit 13: Bidding Preferences and Incentives, with its proposal. If the Bidder is not 2995 using subcontractors, the Bidder must still complete Exhibit 5, answering the applicable 2996 questions on the form, and submit it with its proposal.

2997 Commercially Useful Function (M) 2998 All certified small business, micro business, and/or DVBE Contractors, subcontractors 2999 or suppliers must meet the commercially useful function requirements under 3000 Government Code section 14837 (for SB), Military and Veterans Code Section 999 (for 3001 DVBE), and Title II California Code of Regulations, Section 1896.4 and 1896.62. 3002 A contractor, subcontractor, or supplier will not be considered to perform a commercially 3003 useful function if the contractor’s, subcontractor’s, or supplier’s role is limited to that of 3004 an extra participant in the transaction, the awarded contract, or project through which 3005 funds are passed to obtain the appearance of small business or micro business 3006 participation. 3007 The Bidder must complete and submit Exhibit 14: Commercially Useful Function (CUF) 3008 Certification, with its proposal. All Bidders and subcontractors identified in the proposal 3009 response to fulfill the requirements for one (1) or more of the socio-economic programs 3010 (DVBE and small business) must perform a commercially useful function (CUF) in the 3011 resulting contract. CUF is defined pursuant to Military and Veterans Code section

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3012 999(b)(5)(B) and Government Code section 14837(d)(4)(A) for the DVBE and small 3013 business programs, respectively. 3014 Bidders claiming one (1) or more of the socio-economic programs must complete and 3015 submit Exhibit 5: GSPD-05-105 Bidder Declaration, with its proposal. The GSPD-05-105 3016 is also available at: www.documents.dgs.ca.gov/pd/poliproc/MASTEr-BidDeclar08- 3017 09.pdf. If the Bidder is not using subcontractors, the Bidder must still complete Exhibit 5, 3018 answering the applicable questions on the form, and submit it with its proposal. 3019 Bidder(s) may be required to submit additional written clarifying information regarding 3020 CUF on Exhibit 14: Commercially Useful Function Certification. Failure to submit the 3021 requested written information as specified may be grounds for proposal rejection.

3022 Target Area Contract Preference Act (TACPA) (O) (Not Applicable) 3023 Target Area Contract Preference will be granted to California-based firms in accordance 3024 with Government Code section 4530 whenever contracts for goods or services are in 3025 excess of $100,000 and the Bidder meets certain requirements as defined in the 3026 California Administrative Code (Title 2, §1896.30 et seq.) regarding labor needed to 3027 produce the goods or provide the services being procured. The Target Area Preference 3028 is optional on the part of the Bidder (not mandatory), is for proposal evaluation purposes 3029 only, and does not alter the amount of the awarded Contract. Bidders desiring to claim 3030 Target Area Contract Preference Act (TACPA) preference must complete and submit 3031 Exhibit 15: STD 830 Target Area Contract Preference Act – Preference Request for 3032 Goods and Services and Exhibit 13: Bidding Preferences and Incentives, with its 3033 proposal. The STD 830 is also available at: 3034 http://www.documents.dgs.ca.gov/dgs/fmc/pdf/std830.pdf. 3035 Additional instructions are provided on the form. The TACPA preference does not apply 3036 where the worksite is fixed by the terms of the Contract.

3037 3.19 Productive Use Requirements 3038 The productive use requirements protect the State from being an experimentalist for 3039 new equipment and software having no record of proven consistent performance. The 3040 State will only accept proven technology products. 3041 The proposed solution must include only equipment and off-the-shelf software that is 3042 currently supported by its manufacturer for at least the time specified in Table 3-2, 3043 Productive Use Timeframes. No equipment and/or software may be proposed, 3044 specified, or employed if the manufacturer has announced an end to support. The 3045 productive use requirements defined in this subsection do not apply to any portion of the 3046 custom software developed or modified for the State under this Contract prior to 3047 proposed submittal and throughout Contract duration.

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3048 Customer In-Use 3049 The State requires each equipment and software component proposed as part of an 3050 automated system adhere to the following: 3051 1. Must have been installed and in productive use, in substantially the conformation 3052 bid. 3053 2. For a paying customer external to the Bidder’s organization. 3054 3. For at least the number of months shown in the table below and prior to the Final 3055 Proposal deadline identified in Subsection 2.3, Key Action Dates.

3056 Table 3-2: Productive Use Timeframes

Product Project Cost Installation Final Proposal Submission Category 1 - Critical Software {Less than $10,000} 1 month 1 month Software that is required to control {$10,000 up to $100,000} 4 months 3 months the overall operation of a computer {More than $100,000} 8 months 6 months system or peripheral equipment. Included in this category are operating systems, data base management systems, language interpreters, assemblers and compilers, communications software, and other essential system software. Category 2 - All Information {Less than $10,000} 1 month 1 month Technology Equipment and Non- {$10,000 up to $100,000} 4 months 3 months critical Software. {More than $100,000} 6 months 4 months Information technology equipment is defined in SAM §4819.2. 3057 Design changes in required system control modules or in components critical to the 3058 processing requirements of the State's workload are also subject to the In-use 3059 requirement. Increases or decreases in numbers of components or minor alteration in 3060 equipment or minor modifications or updates to software to provide improvements or 3061 features, to correct errors, or to accommodate hardware changes may be exempt from 3062 the In-use requirement by the Department of Technology, Statewide Technology 3063 Procurement Division, if no changes in logic, architecture or design are involved. 3064 3065 3066

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3067 Equipment 3068 All equipment offered must be new and the latest model in current production. Used, 3069 shopworn, refurbished, demonstrator, prototype, or discontinued models are not 3070 acceptable.

3071 Public Works Requirements (Not Applicable) 3072 Proposals that require the contractor to perform site modifications, wire or cable 3073 installation, alteration or improvement to building, modification to fire wall to complete 3074 wiring requirements, etc. must include the following Public Works Requirements 3075 (applicable to installation) language and corresponding exhibits in the solicitation 3076 document. 3077 In accordance with the provisions of §1773 of the California Labor Code, the Contractor 3078 shall conform and stipulates to the general prevailing rate of wages, including employer 3079 benefits as defined in §1773.1 of the California Labor Code, applicable to the classes of 3080 labor to be used for public works such as at the delivery site for the assembly and 3081 installation of the equipment of materials purchased under the Contract. 3082 Pursuant to §1770 of the California Labor Code, the Department of Industrial Relations 3083 has ascertained the general prevailing rate of wages in the county in which the work is 3084 to be done, to be as listed in the Department of Transportation booklet entitled General 3085 Prevailing Wage Rates. The booklet is required to be posted at the job site. Contact the 3086 Department of Industrial Relations, Prevailing Wage Unit at (415) 972-8628. 3087 Prior to the commencement of performance, the Contractor must obtain and provide to 3088 the State, a payment bond, on STD 807 when the contract involves public works 3089 expenditure (labor/installation costs) in excess of $5,000.00. Such bond shall be in a 3090 sum not less than one-half the contract price for the public works portion of the 3091 labor/installation costs. Forms will be made available to the Contractor. Refer to the 3092 following link for form and information: 3093 http://www.dgs.ca.gov/dgs/ProgramsServices/Forms/FMC/search/resultsNumber.aspx? 3094 number=807 3095 The Bidder shall complete and submit Exhibit 16: List of Proposed Subcontractors 3096 (Public Works), with its proposal. If no subcontractors are proposed, indicate ”None.” 3097 The State reserves the right to approve or object to the use of proposed subcontractors 3098 on the list. 3099 The Bidder must certify that it is aware of the provisions of §3700 of the California Labor 3100 Code which requires every employer to be insured against liability for workers’ 3101 compensation or to undertake self-insurance in accordance with the provisions of that 3102 Code, and that it will comply with such provisions before commencing with the

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3103 performance of work of this Contract. Bidder must complete and submit Exhibit 7: 3104 Workers’ Compensation Certification, with an original signature, with its proposal.

3105 3.20 Laws To Be Observed

3106 Labor 3107 Pursuant to §1775 of the California Labor Code, the Contractor shall, as a penalty to the 3108 State or political subdivision on whose behalf the Contract is made or awarded, forfeit 3109 not more than 50 dollars ($50) for each calendar day, or portion thereof, for each worker 3110 paid by the Contractor, or its subcontractor, less than the prevailing wage so stipulated; 3111 and in addition, the Contractor further agrees to pay to each worker the difference 3112 between the actual amount paid for each calendar day, or portion thereof, and the 3113 stipulated prevailing wage rate for the same. This provision shall not apply to properly 3114 registered apprentices. 3115 Pursuant to §1810-§1815 of the California Labor Code, inclusive, it is further agreed 3116 that the maximum hours a worker is to be employed is limited to eight (8) hours a day 3117 and 40 hours a week and the Contractor shall forfeit, as a penalty to the State, 25 3118 dollars ($25) for each worker employed in the execution of the Contract for each 3119 calendar day during which a worker is required or permitted to labor more than eight (8) 3120 hours in any calendar day or more than 40 hours in any calendar week, in violation of 3121 §1810-§1815 of the California Labor Code, inclusive.

3122 Travel and Subsistence Payments 3123 The Contractor shall pay the travel and subsistence of each worker needed to execute 3124 the work, as such travel and subsistence payments are defined in the applicable 3125 collective bargaining agreements filed in accordance with California Labor Code 3126 §1773.8.

3127 Apprentices 3128 Special attention is directed to §1777.5, §1777.6, and §1777.7 of the California Labor 3129 Code and Title 8, California Code of Regulations §200 et seq. Each contractor and/or 3130 subcontractor must, prior to commencement of the public works contract, contact the 3131 Division of Apprenticeship Standards, 525 Golden Gate Avenue, San Francisco, CA, or 3132 one of its branch offices to insure compliance and complete understanding of the law 3133 regarding apprentices and specifically the required rationale thereunder. Responsibility 3134 for compliance with this section lies with the prime contractor. 3135 3136

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3137 Payroll 3138 The Contractor shall keep an accurate payroll record showing the name, address, social 3139 security account number, work classification and straight time and overtime hours 3140 worked by each employee. A certified copy of the employee’s payroll record shall be 3141 made available for inspection as specified in §1776 of the California Labor Code.

3142 3.21 Contractor’s License (M) (Not Applicable) 3143 Contractors and subcontractors performing cable and/or wiring installation work or 3144 structural modifications for the State are required to have the appropriate state 3145 contractor’s license. The company submitting the proposal, as well as any 3146 subcontractors performing the work, must have the appropriate license. The license 3147 must be in the name of the company or the name of the “qualifying individual” of the 3148 company. The Bidder must complete and submit Exhibit 17: Contractor’s License 3149 Information with its proposal. 3150 The Bidder certifies under penalty of perjury, the accuracy of the representations made 3151 with regard to the Contractor’s license number, class, and expiration date. 3152 The Contractor shall pay the rate of wages for regular, overtime, and holiday work plus 3153 employer payments for benefits generally prevailing in the locality in which the work is 3154 performed, for all crafts, classifications or types of workmen used on State premises at 3155 the point of delivery by the Contractor for the assembly and installation of material 3156 purchased under this Contract. 3157 A Final Proposal that does not contain the information or that contains information that 3158 is later proven false shall be considered non-responsive and rejected by the State. 3159

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3160 BID REQUIREMENTS 3161 This section contains the mandatory qualification and solution requirements the Bidder 3162 must meet in order to be considered responsive and responsible to this solicitation. In 3163 addition to meeting these requirements, the Bidder must comply with the Statement of 3164 Work as described in Appendix A of the solicitation. 3165 Unless designated otherwise, all of the requirements in this section are mandatory. The 3166 requirement sections labeled as Mandatory “(M)”, Mandatory Scored “(MS)”, or 3167 Mandatory Optional “(MO)” may include documents that must be submitted with the 3168 Bidder’s Final Proposal. 3169 The State has determined that it is best to define its own needs, desired operating 3170 objectives, and desired operating environment. The State will not tailor these needs to 3171 fit a Bidder’s solution; rather, the Bidder shall propose to meet the State’s needs as 3172 defined in this solicitation. 3173 The requirement classifications listed in this section are denoted in Table 4-1, 3174 Requirements Classifications. 3175

3176 Table 4-1: Requirement Classifications

Classification Symbol Description Mandatory (M) requirements are not negotiable and are scored on a pass/fail basis. Failure to respond to an (M) Mandatory M requirement will result in Bidder’s proposal being deemed non-responsive and, therefore, disqualified. Mandatory Optional (MO) requirements are not negotiable and are scored on a pass/fail basis. Bidder must respond to and agree to meet Mandatory Optional requirements, but, it is at Mandatory MO the State’s discretion whether or not to exercise the option to Optional include them in the Contract. Failure to respond to an (MO) requirement will result in Bidder’s proposal being deemed non-responsive and, therefore, disqualified. Mandatory Scored (MS) requirements are not negotiable and are scored on a pass/fail basis. If the Bidder achieves a “pass,” Bidder will earn points based on its response. Failure to respond to an (MS) requirement will result in Bidder’s Mandatory Scored MS proposal being deemed non-responsive and, therefore, disqualified. The State’s evaluation team will review responses to (MS) requirements and apply points, if applicable, per criteria stated in Section 7, Evaluation.

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Classification Symbol Description Bidder is not required to respond to Desirable Scored (DS) requirements, but if it does, Bidder may earn points based on its response. Failure to respond to a (DS) requirement will Desirable Scored DS result in Bidder receiving no (DS) points. The State’s evaluation team will review responses to (DS) requirements and apply points, if applicable, per criteria stated in Section 7, Evaluation. 3177

3178 4.1 Qualification Requirements 3179 Bidder is expected to have relevant experience and a proven record of success. Bidder 3180 must meet the minimum Bidder qualifications, Bidder reference, key staff qualifications, 3181 and key staff reference requirements described in this subsection to be considered 3182 responsive and responsible to this solicitation. Bidder qualifications and references will 3183 be evaluated in accordance with Section 7, Evaluation. Failure to meet any 3184 requirements in this subsection will result in Bidder’s proposal being deemed non- 3185 responsive and therefore, disqualified. 3186 Bidder and key staff qualifications requirements specify the minimum Bidder firm and 3187 key staff experience and competencies necessary for the Bidder to be considered 3188 responsive and responsible to this solicitation. Bidder and key staff reference 3189 requirements provide the State the ability to confirm claimed experience, and to assess 3190 the Bidder’s and key staff members’ prior records and performance in providing similar 3191 or relevant services to other organizations. 3192 Bidder must provide Bidder and key staff reference forms in their entirety, signed, and 3193 dated by a client representative who fulfilled a management or supervisory role on the 3194 referenced project. A reference contact may not be an employee of OSI at the time of 3195 submission. Photocopies, scans, and electronic signatures will be accepted as long as 3196 the form, response, and signature are legible. No information corrections or changes 3197 may be made on the reference forms. Forms with alterations or changes to the entered 3198 information may be rejected. 3199 The State may contact the Bidder and key staff references to validate the claimed 3200 experience and reference submitted. The evaluation team will make two (2) attempts via 3201 phone and/or email to validate qualifications and references using the information 3202 provided in the reference forms. Failure to provide verifiable references may cause the 3203 proposal to be rejected.

3204 Bidder Qualifications and References (M)

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3205 Bidder must complete and submit Exhibit 18: Bidder Qualifications and References with 3206 its proposal to confirm that the Bidder’s experience meets all Bidder qualification 3207 requirements. Bidder must provide enough detail in its response for the State to 3208 evaluate the Bidder’s ability to meet the requirements and perform the services as 3209 described in this solicitation. Refer to Section 7, Evaluation, for details on Bidder 3210 qualifications and references evaluation and scoring, including points that may be 3211 earned. 3212 Table 4-2, Exhibit 18: Bidder Qualifications and References Instructions, provides 3213 specific instructions for Bidder to complete Exhibit 18.1: Bidder Qualifications Form, and 3214 Exhibit 18.2: Bidder Reference Form. Final proposals that do not include the required 3215 Exhibit 18 forms will be deemed non-responsive.

3216 Table 4-2: Exhibit 18: Bidder Qualifications and References Instructions

Required Exhibit 18 Forms Exhibit 18 Instructions Exhibit 18.1: Bidder • Bidder must submit with its proposal one (1) completed Exhibit Qualifications Form 18.1: Bidder Qualifications Form. • Any one (1) project may be used to satisfy multiple requirements. • All Bidder experience must have occurred within seven (7) years prior to the solicitation release date and must have been completed in the United States of America. Exhibit 18.2: Bidder • Bidder must submit with its proposal one (1) completed and Reference Form signed Exhibit 18.2: Bidder Reference Form for each project (one per reference project) Bidder uses to claim experience for one or more Bidder qualifications requirements on the Exhibit 18.1: Bidder Qualifications Form. • References must be external to the Bidder’s organization and corporate structure. • Bidder must provide each Exhibit 18.2 in its entirety, signed, and dated by an individual who fulfilled a management or supervisory role on the referenced project. • Photocopies, scans, and electronic signatures will be accepted as long as the form, response, and signature are legible. • No information corrections or changes may be made on the Bidder Reference Form. Forms with alterations or changes to the entered information may be rejected.

3217 Key Staff Qualifications and References (M) 3218 Bidder must complete and submit Exhibit 19: Key Staff Qualifications and References 3219 with its proposal, to confirm that the Bidder’s key staff experience meets all key staff

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3220 qualifications requirements. Bidder must provide enough detail in the response for the 3221 State to evaluate Bidder’s ability to meet the requirements and perform the services as 3222 described in this solicitation. 3223 Bidder is fully responsible for all necessary staffing resources to successfully implement 3224 the services required under this Contract, as defined in the Statement of Work. Bidder is 3225 required to propose staff for the eleven (11) key staff positions identified in Table 4-3, 3226 Exhibit 19: Key Staff Qualifications and References Instructions. A single proposed key 3227 staff member may not be proposed for multiple key roles. Bidder is expected to utilize 3228 additional staff as needed to fully implement its solution, at no additional cost to the 3229 State, but only the required key staff will be evaluated as part of Bidder’s Final Proposal. 3230 Table 4-3, Exhibit 19: Key Staff Qualifications and References Instructions, provides 3231 instructions for completing each Exhibit 19 form for key staff and Exhibit 19.12 Key Staff 3232 Reference Form. Final proposals that do not include the required Exhibit 19 forms will 3233 be deemed non-responsive.

3234 Table 4-3: Exhibit 19: Key Staff Qualifications and References Instructions

Required Exhibit 19 Forms Exhibit 19 Instructions Exhibit 19.1 Project Manager • Bidder must complete and submit with its proposal one (1) completed Key Staff Qualifications Form for each Exhibit 19.2: Technical Manager proposed key staff member. Proposed key staff must meet all of the mandatory qualification requirements for the role for which they are proposed. Exhibit 19.3: Business Analyst Lead • Any single project may be used to satisfy multiple requirements. Exhibit 19.4: Data Conversion Lead • All experience used to meet qualifications requirements must have occurred within the last seven (7) years prior Exhibit 19.5: Implementation to the solicitation release date. Manager • Bidder must provide complete information to confirm Exhibit 19.6: Training Manager that each proposed key staff member possesses the experience and qualifications required for their Project Exhibit 19.7: Testing Manager role. • Bidder may cite as many projects as necessary per Exhibit 19.8: System Architect proposed key staff to meet the requirements but each must be the equivalent of at least four (4) months of full- Exhibit 19.9: Contract Manager time active participation.

Exhibit 19.10: Database Administrator Exhibit 19.11: Help Desk Manager

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Required Exhibit 19 Forms Exhibit 19 Instructions Exhibit 19.12: Key Staff Reference • Bidder must also submit with its proposal one (1) Form completed and signed Exhibit 19.12: Key Staff (one per reference project) Reference Form for each project used to satisfy Key staff qualification requirements on the Key staff member’s Exhibit 19 Qualifications Form. • References must be external to the Bidder’s organization and corporate structure. • Bidder must provide each Exhibit 19.12 in its entirety, signed, and dated by a client representative who fulfilled a management or supervisory role on the referenced project. • Photocopies, scans, and electronic signatures will be accepted as long as the form, response, and signature are legible. • No information corrections or changes may be made on the Key Staff Reference Form. Forms with alterations or changes to the entered information may be rejected.

3235 4.2 Solution Requirements 3236 This subsection contains the detailed solution requirements Bidder must meet in order 3237 to be considered responsive to this solicitation: 3238 • Functional requirements in Exhibit 20.1. 3239 • Technical requirements in Exhibit 20.2. 3240 • Deliverables in Exhibit 21.1. 3241 • Narrative response requirements in Exhibit 25.

3242 Functional and Technical Requirements (M)/(MO) 3243 Bidder must complete and submit Exhibit 20.1: Functional Requirements and Exhibit 3244 20.2: Technical Requirements with its proposal. Functional requirements represent the 3245 business objectives, needs, and outcomes of all stakeholders. Technical requirements 3246 specify the quality of service, performance, and operation of the new MIS. The 3247 functional and technical requirements are organized by function. The heading of each 3248 function indicates whether the requirements in that function are Mandatory or 3249 Mandatory Optional. All references to “users” in requirements presumes authorized 3250 users with appropriate security level access for that requirement, as defined by State- 3251 assigned roles. 3252 Table 4-4, Exhibit 20 Functional and Technical Requirements Columns and Instructions, 3253 provides a description of each column and the instructions for completing Exhibits 20.1 3254 and 20.2.

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3255 Table 4-4: Exhibit 20 Functional and Technical Requirements Columns and Instructions

Exhibit Column Column Use Column Description and Instruction Header Req ID Display Only The requirement’s unique identifier. Requirement Display Only The requirement text. Priority Display Only The relative importance of delivering the requirement. Priority 1 is the highest priority; priority 3 is the lowest. Reference Display Only The requirement source: • The USDA FNS FReD (F). • The WUMEI (W). • The California WIC Policy and Procedure Manual (WPPM). • California-specific business practice (C). A requirement may have more than one reference. Bidder Agrees to Bidder Must Bidder must indicate compliance and confirmation Meet (Yes/No) Complete with the requirement by marking “Yes” or “No” in this column. A blank or “No” answer will be deemed non-responsive and the Bidder disqualified.

3256 Deliverables (M) 3257 Bidder must complete and submit Exhibit 21: Deliverables with its proposal. Exhibit 21 3258 includes two parts: Exhibit 21.1: Deliverables List and Exhibit 21.2: Deliverables Table. 3259 Table 4-5, Exhibit 21.1 Deliverables List Columns and Instructions, provides a 3260 description of each column of Exhibit 21.1: Deliverables List, and instructions to 3261 complete this Exhibit.

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3262 Table 4-5: Exhibit 21.1 Deliverables List Columns and Instructions

Exhibit Column Column Use Column Description and Instruction Header Del ID Display Only The deliverable unique identifier. Deliverable Name Display Only The deliverable name. Purpose Display Only The deliverable purpose. Revision Task Display Only Subsequent task group(s) in which the Bidder will revise Group(s) the deliverable. or Frequency Bidder Agrees to Bidder Must Bidder must indicate compliance and confirmation with Produce (Y / N) Complete each deliverable by marking “Yes” or “No” in this column. A blank or “No” answer will be deemed non-responsive and the Bidder disqualified. 3263 Table 4-6, Exhibit 21.2 Deliverables Table Columns and Instructions, provides a 3264 description of each column of Exhibit 21.2: Deliverables Table, which provides the 3265 minimum required content for each deliverable identified in Exhibit 21.1: Deliverables 3266 List. Exhibit 21.2: Deliverables Table does not require Bidder response but Bidder must 3267 submit the entire Exhibit 21 with its proposal.

3268 Table 4-6: Exhibit 21.2 Deliverables Table Columns

Exhibit Column Column Use Column Description and Instruction Header Del ID Display Only The deliverable unique identifier. Deliverable Name Display Only The deliverable name. Minimum Display Only A description of the minimum required content for the Required Content deliverable. 3269

3270 Narrative Response Requirements (MS) 3271 Bidder must submit with its proposal a narrative response to the requirements identified 3272 in Exhibit 25: Narrative Response Requirements, to be considered responsive to the 3273 solicitation requirements. Narrative response requirements include a combination of 3274 Mandatory (M) requirements and Mandatory Scored (MS) requirements. 3275 The narrative response requirements are organized into the following categories: 3276 • Category 1: California-Specific Requirements - California Requirements are 3277 those specific to California, designed to assess whether the Bidder accurately 3278 understands California’s unique challenges and requirements, and has proposed 3279 a solution that is tailored to meet them.

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3280 • Category 2: Data Conversion Requirements - Data Conversion Requirements 3281 are designed to assess whether the Bidder understands California’s data 3282 cleansing and conversion requirements, has a data conversion plan tailored to 3283 meet those requirements, and is capable of success with minimal impact to 3284 business continuity. 3285 • Category 3: Training Requirements - Training Requirements are designed to 3286 assess whether the Bidder understands the magnitude of California’s training 3287 requirements and has the experience and expertise to meet them. 3288 • Category 4: Implementation Requirements - Implementation Requirements 3289 are designed to assess the Bidder’s proposed implementation approach and its 3290 plans for Pilot and statewide rollout, to ensure timely implementation in 3291 compliance with California requirements to meet federal regulations. 3292 Bidder’s responses must provide sufficient detail to permit the State to evaluate the 3293 Bidder’s ability to meet the requirement, but may not exceed 50 pages for the entire 3294 narrative response, not including the List of Training Equipment (TR-06) and the Project 3295 Schedule (IM-01). Refer to Section 7, Evaluation for details on how the narrative 3296 response requirements will be scored as part of the overall evaluation. Table 4-7 3297 provides a description of each column of Exhibit 25 and instructions to complete this 3298 Exhibit.

3299 Table 4-7: Exhibit 25 Narrative Response Requirements Instructions

Exhibit Column Column Use Column Description and Instruction Header ID Display Only The requirement’s unique identifier. Scoring Type Display Only The requirement scoring type (M or MS). Requirement Display Only The requirement text to which the Bidder must respond in its narrative response. Max Points Display Only The maximum number of points Bidder could achieve by earning the requirement’s highest rating. Bidder Response Bidder Must Bidder must either respond to the requirement here or or Response Complete identify its response location within its proposal (e.g., Location section, subsection, and page). 3300

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3306 COST 3307 Cost is an evaluation criterion weighted at 40% of the total points (800 of the 2,000 total 3308 points, before preferences and incentives). Cost evaluation will be based on the lowest 3309 total cost as calculated according to the methodology in this section and Section 7, 3310 Evaluation. Bidder’s cost proposal must be all-inclusive to fully implement Bidder’s 3311 proposed solution through the Contract term. 3312 The pricing format is structured to facilitate a straightforward comparison among all 3313 Bidders and foster competition to obtain the best market pricing. Consequently, the 3314 Bidder must complete and format its Cost proposal as described in this section. Failure 3315 to comply with the instructions in this section, such as submission of incomplete 3316 proposals, use of alternative pricing structures, or different formats than the one 3317 required, may result in the rejection of Bidder’s proposal. 3318 Important Note: It is imperative that no cost information is included in the body of the 3319 proposal. Cost information must only be submitted in the Bidder’s Final Proposal, 3320 Volume 3, Cost. Inclusion of cost figures in any proposal content other than Volume 3, 3321 Cost, may result in the rejection of Bidder’s proposal.

3322 5.1 Project Payment 3323 The payment schedule for the eWIC MIS Project is deliverables-based, with the 3324 following exceptions: 3325 • The State will pay all OTech costs directly to CDT. 3326 • The State will reimburse the Contractor the actual costs for all State-approved 3327 non-OTech hardware, software, and equipment purchases. 3328 • The State will reimburse the Contractor the actual costs for all State-approved 3329 local agency peripheral device purchases. 3330 • The State will pay the Contractor for State-approved unanticipated tasks. 3331 • The State will pay the Contractor for M&O services if the State exercises any 3332 M&O optional years following the base Contract term. 3333 Table 5-1, eWIC MIS Project Payment Milestones, identifies each payment milestone 3334 and the Task Group(s) and payment percentage associated with each. For State- 3335 approved deliverables, the State will pay the Contractor at seven (7) specified payment 3336 milestones throughout the Project. The State has established maximum cost 3337 percentages for each payment milestone. These maximums represent fixed 3338 percentages that will be applied to each of the specified deliverables based on the costs 3339 the Bidder includes for each in its Cost proposal. At each payment milestone, the 3340 Contractor must invoice the State for the total milestone payment for the approved 3341 deliverables produced as part of the indicated Task Group(s). The State will withhold

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3342 10% from each milestone payment, which will be paid to the Contractor as the eighth 3343 and final payment upon system acceptance at the end of the base Contract term.

3344 Table 5-1: eWIC MIS Project Payment Milestones

For Deliverables % of Total in Task One-Time Payment Milestone Group(s) Costs* 1 Project Initiation and Planning 1 3%* 2 Requirements Analysis and Validation 2 6%* 3 System Design 3 8%* 4 System Development and Documentation 4 8%* Testing; Implementation Preparation; Pilot 5 5, 8, 9 30%* Operations 6 Data Migration Preparation; Training, 6, 7 30%* 7 Statewide Rollout, Post-Implementation 10, 11 15%* 8 System Acceptance 12 10% Withhold * The State will withhold 10% from each Payment 1-7, which will be paid as Payment 8. 3345 Figure 5-1, Estimated Project Timeline and Pay Points, illustrates the payment 3346 milestones in context with the overall Project schedule. Actual timelines and payment 3347 dates will depend on the Project Schedule, as defined in Exhibit 21.1: Deliverables 3348 Table. Detailed requirements regarding payment terms, invoicing, and payments, are 3349 located in Appendix A: Statement of Work.

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3350 Figure 5-1: Estimated Project Timeline and Pay Points

2018 2019 2020 2021 Task Task Group Name Group Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2

1 Planning and Project Management 1

2 System Requirements 2

3 System Design 3

4 System Development and Documentation 4

5 Testing 5

6 Data Migration Preparation 6

7 Training 6

8 Implementation Preparation 5

9 Pilot Operations 5

10 Statewide Rollout 7

11 Post-Implementation 7

12 Warranty and Project Close-Out 8

Payment Milestone 3351

3352 5.2 Cost Limitation 3353 The Total amount of this Agreement shall not exceed the amount specified on the 3354 Standard Agreement, and any amendments thereafter.

3355 5.3 Cost Workbook (M) 3356 Bidder must complete and submit as its Cost proposal, Exhibit 22: Cost Workbook, 3357 separately sealed and labeled as Volume 3: Cost, in accordance with Section 6, 3358 Proposal Format and Submission Requirements. Exhibit 22 is a set of Excel 3359 spreadsheets that capture Bidder’s proposed costs to: fully implement its proposed 3360 solution, meet all business functional and technical requirements, fulfill the Statement of 3361 Work, and meet all contractual obligations.

3362 5.4 Cost Worksheet Instructions 3363 Services, features, and costs included in Exhibit 22: Cost Workbook are those that the 3364 Bidder must provide for the entire Contract term as identified in the Statement of Work, 3365 which includes all optional years. Bidder must provide individual prices as indicated in 3366 the cost worksheets. Items submitted with no price will be considered as offered at no 3367 cost.

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3368 Costs must be inclusive of all purchase, delivery, freight, installation, safety inspection, 3369 licensing, travel, training, and any other expenses associated with the delivery and 3370 implementation of the proposed solution. Do not include sales tax in the cost. If awarded 3371 the Contract, sales tax, if applicable, should be added at the time of invoicing. The sales 3372 tax rate should be based on the area where the service is to be provided. Refer to 3373 Board of Equalization Regulation 1502 (f)(1)(D), located in the Bidders’ Library. 3374 Bidder must complete all cost worksheets, even if there are no costs for items indicated 3375 on a particular worksheet. In these instances, Bidder must indicate the cost as a zero 3376 ($0). In addition, if any character other than a numeral is used (e.g., a dash), the State 3377 will assume the cost of the item to be zero ($0). All cost worksheets must be filled out 3378 completely or the proposal may be rejected. 3379 All worksheets are currently “Protected” without a password, to assist the Bidder in 3380 completing the worksheets without disrupting existing formulas or formatting. If the 3381 Bidder requires additional rows on relevant cost worksheets, the Bidder must click on 3382 the “Add Row” button at the top left of the worksheet. A new blank row will be inserted 3383 at the top of the list, with all formulas and formatting intact. 3384 Cells that Bidder must complete are blank and unshaded. Bidder must not modify any 3385 shaded cells, which are display-only. The State has populated some cells with formulas; 3386 however, it is Bidder’s responsibility to ensure worksheets and calculations are correct 3387 and accurate. The State will not assume responsibility for any cost figures that do not 3388 calculate properly. If any cost worksheet formulas are modified or any required cells are 3389 left blank, the State may reject the proposal. The Bidder must contact the Procurement 3390 Official listed in Section 2.2.1 to request approval for any modifications to the cost 3391 worksheet formulas. Cells that are shaded peach are those that are auto-calculated 3392 based on Bidder’s entries in other cells. 3393 The Cost Workbook for this solicitation contains the following worksheets: 3394 1. Cost Summary. 3395 2. OTech Services. 3396 3. OTech Hardware and Equipment. 3397 4. OTech Software. 3398 5. Other Hardware, Software, and Equipment. 3399 6. Hourly Service Rates. 3400 7. Local Agency Equipment. 3401 8. Payment Milestones. 3402 9. Mandatory Optional Requirements. 3403 The subsections that follow provide instructions for each worksheet. 3404

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3405 Cost Summary (Worksheet 1) 3406 The Cost Summary worksheet is a calculated worksheet that brings forward all 3407 subtotals from the individual worksheets and calculates the Bidder’s Proposed Total 3408 Cost. Bidder must enter its company name where indicated, which will auto populate in 3409 all subsequent worksheets. This is the only field Bidder may enter on this worksheet.

3410 OTech Services (Worksheet 2) 3411 The new MIS solution will be hosted within the OTech Cloud Environment. The State 3412 will reimburse OTech directly for service costs associated with equipment and hardware 3413 procurement and to establish the various environments. Bidder must include costs to 3414 load and configure all operating and foundation software as well as to provide ongoing 3415 new MIS solution management, maintenance, operations, and support. All OTech costs 3416 will be used for evaluation purposes only and will not become part of the Contract that 3417 results from this solicitation. For OTech costing information, refer to OTech links 3418 provided in the Bidders’ Library. The OTech rates are subject to change. Bidder must 3419 include any planned OTech rate increases applicable to the proposed solution during 3420 the Contract period. 3421 Bidder must itemize and describe all OTech service components on this worksheet. 3422 Include a sequential item number for each row that identifies a distinct OTech service 3423 cost. Item descriptions should be detailed and include the item name, brand, model, 3424 specifications (where relevant) and the item purpose. 3425 This worksheet accommodates one-time, monthly, and annual costs. Bidder should 3426 enter unit costs and quantities, if applicable, and the worksheet will automatically 3427 calculate the total item cost. Bidder must provide item costs by Project Year for each 3428 year of the base Contract period and must provide a total cost for the subsequent four 3429 (4) optional years for each item. 3430 This worksheet allows the Bidder the option to add rows, if necessary, by clicking the 3431 “Add Row” button below the cell titled “Bidder Name.” Once all OTech services costs 3432 are entered, please delete any unused rows. Total costs for OTech services for each 3433 Project Year will automatically populate the Cost Summary worksheet (Worksheet 1) 3434 and will contribute to the Bidder’s Proposed Total Cost calculation.

3435 OTech Hardware and Equipment (Worksheet 3) 3436 Bidder must use the OTech Hardware and Equipment worksheet to itemize and 3437 describe all hardware and equipment necessary to implement the proposed solution at 3438 OTech. Bidder must include all components and configurations. Include a sequential 3439 item number for each row that identifies a distinct OTech hardware or equipment cost.

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3440 Item descriptions should be detailed and include the item name, brand, model, 3441 specifications (where relevant) and the item purpose. 3442 This worksheet accommodates one-time, monthly, and annual costs. Bidder should 3443 enter unit costs and quantities, if applicable, and the worksheet will automatically 3444 calculate the total item cost. Bidder must provide item costs by Project Year for each 3445 year of the base Contract period and must provide a total cost for the subsequent four 3446 (4) optional years for each item. 3447 This worksheet allows the Bidder the option to add rows, if necessary, by clicking the 3448 “Add Row” button below the cell titled “Bidder Name.” Once all hardware and equipment 3449 costs are entered, please delete any unused rows. Total costs for OTech hardware and 3450 equipment for each Project Year will automatically populate the Cost Summary 3451 worksheet (Worksheet 1) and will contribute to the Bidder’s Proposed Total Cost 3452 calculation. 3453 All OTech costs will be used for evaluation purposes only and will not become part of 3454 the Contract that results from this solicitation. For OTech costing information, refer to 3455 the OTech Cloud Computing Service Offering and Rates link provided in the Bidders’ 3456 Library. The OTech rates are subject to change. Bidder must include any planned 3457 OTech rate increases applicable to the proposed solution during the Contract period.

3458 OTech Software (Worksheet 4) 3459 Bidder must use the OTech Software worksheet to itemize and describe all software 3460 and licensing costs necessary to implement the proposed solution at OTech. Bidder 3461 must include all components and configurations, for all software, including commercial 3462 off-the-shelf (COTS), open source, and proprietary. Include a sequential item number 3463 for each row that identifies a distinct software cost. Item descriptions should be detailed 3464 and include the item name, brand, model, specifications (where relevant) and the item 3465 purpose. 3466 This worksheet accommodates one-time, monthly, and annual costs. Bidder should 3467 enter unit costs and quantities, if applicable, and the worksheet will automatically 3468 calculate the total item cost. Bidder must provide item costs by Project Year for each 3469 year of the base Contract period and must provide a total cost for the subsequent four 3470 (4) optional years for each item. 3471 This worksheet allows the Bidder the option to add rows, if necessary, by clicking the 3472 “Add Row” button below the cell titled “Bidder Name.” Once all software costs are 3473 entered, please delete any unused rows. Total costs for OTech software for each 3474 Project Year will automatically populate the Cost Summary worksheet (Worksheet 1) 3475 and will contribute to the Bidder’s Proposed Total Cost calculation.

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3476 All OTech costs will be used for evaluation purposes only and will not become part of 3477 the Contract that results from this solicitation. For OTech costing information, refer to 3478 the OTech links provided in the Bidders’ Library. The OTech rates are subject to 3479 change. Bidder must include any planned OTech rate increases applicable to the 3480 proposed solution during the Contract period.

3481 Other Hardware, Software, Equipment and Tools (Worksheet 5) 3482 Bidder must use the Other Hardware, Software, and Equipment worksheet to indicate 3483 any additional hardware, software, equipment, tools, or other items not provided by 3484 OTech that are necessary to fully implement, monitor, and operate its proposed 3485 solution. An example would be specific cables to connect mainframes or specialized 3486 printers necessary to implement the solution at local agency sites. Bidder must include 3487 all components and configurations, for all hardware and software, including COTS, open 3488 source, and proprietary. 3489 Include a sequential item number for each row that identifies a distinct item. Item 3490 descriptions should be detailed and include the item name, brand, model, specifications 3491 (where relevant) and the item purpose. Bidder must include any open-source or third- 3492 party software it proposes, even if there is no cost for the software. 3493 This worksheet accommodates one-time, monthly, and annual costs. Bidder should 3494 enter unit costs and quantities, if applicable, and the worksheet will automatically 3495 calculate the total item cost. Bidder must provide item costs by Project Year for each 3496 year of the base Contract period and must provide a total cost for the subsequent four 3497 (4) optional years for each item. 3498 This worksheet allows the Bidder the option to add rows, if necessary, by clicking the 3499 “Add Row” button below the cell titled “Bidder Name.” Once all costs are entered, 3500 please delete any unused rows. Total costs for each Project Year will automatically 3501 populate the Cost Summary worksheet (Worksheet 1) and will contribute to the Bidder’s 3502 Proposed Total Cost calculation.

3503 Hourly Service Rates (Worksheet 6) 3504 Bidder must use the Hourly Service Rates worksheet to propose hourly rates by team 3505 role for the following two purposes: 3506 1. To propose maximum hourly rates, by team role, for unanticipated tasks and 3507 M&O support. 3508 2. To determine the maximum total Contract value for optional M&O, by year. 3509 Bidder must enter the hourly rate associated with each team role, where indicated. 3510 These are the maximum hourly rates, per role, Bidder may use for unanticipated tasks 3511 for the base Contract term. The Contractor may use other classifications to perform the

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3512 work; however, the unanticipated task rate charged will be the lowest hourly rate Bidder 3513 provides on this worksheet.

3514 Unanticipated Tasks 3515 Unanticipated tasks are additional work that must be performed and is within scope, but 3516 was not identified in the State's solicitation document or the Statement of Work. The 3517 State expects that during the Contract period, legislative and program changes may 3518 require modifications to the system and/or software, which may result in unanticipated 3519 tasks. The hourly rates entered on this worksheet are the maximum hourly rates, by 3520 role, that Bidder will use for unanticipated tasks during the base Contract term and 3521 M&O. These rates will also be used to support change requests and/or modifications to 3522 the Contract. 3523 Both the State and the Contractor must agree upon unanticipated task work that needs 3524 to be performed, which will result in unanticipated costs, which will be paid through the 3525 State’s Work Authorization process. No work can be performed in advance of the 3526 State's signed Work Authorization, which identifies the tasks the Contractor will perform. 3527 The State limits the budget for unanticipated tasks not to exceed 5% of the base 3528 Contract amount, not to include the optional M&O portion of the Contract.

3529 Optional M&O Support 3530 Following warranty and system acceptance, the State may elect to purchase optional 3531 M&O support by executing up to four (4) one-year extensions to the base term Contract, 3532 each year at the State’s option. Maintenance and operations tasks that occur during the 3533 optional years will be billed hourly using the rates Bidder proposes on this worksheet, 3534 up to a maximum M&O Contract amount per year. The maximum annual M&O Contract 3535 amount is calculated automatically by applying Bidder’s hourly rates to 5,000 3536 hypothetical hours, spread evenly across all team roles. The total cost is the maximum 3537 Contract value for each year of optional M&O. 3538 The State reserves the right to re-allocate hours by role and to modify the total number 3539 of hours used per role up to the total Contract value for M&O for each year, if the State 3540 elects to exercise its option to use the optional M&O services for a given year. The rates 3541 quoted by the Bidder on this worksheet do not constitute a commitment by the State to 3542 offer M&O support work to the successful Bidder in any of the four (4) optional years. 3543 The M&O maximum Contract value amounts will automatically populate the Cost 3544 Summary worksheet (Worksheet 1) and will contribute to the Bidder’s Proposed Total 3545 Cost calculation. 3546

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3547 Local Agency Equipment (Worksheet 7) 3548 Bidder must use the Local Agency Equipment worksheet to itemize and describe all 3549 local agency peripheral equipment necessary to implement the proposed solution at all 3550 local agencies sites, statewide. 3551 Include a sequential item number for each row that identifies a distinct item. Item 3552 descriptions should be detailed and include the item name, brand, model, specifications 3553 (where relevant) and the item purpose. Quantities are estimates and the State does not 3554 guarantee it will purchase the quantities Bidder proposes. If the State requires additional 3555 equipment beyond what Bidder proposes, the Bidder must supply the equipment at the 3556 same cost quoted in this worksheet. 3557 This worksheet has been pre-populated with known local agency peripheral equipment 3558 needs and quantities. Bidder must itemize and cost any additional items necessary to 3559 implement its proposed solution at local agency sites. Item descriptions should be 3560 detailed and include the item name, brand, model, specifications (where relevant), and 3561 the item purpose. 3562 This worksheet allows the Bidder the option to add rows, if necessary, by clicking the 3563 “Add Row” button below the cell titled “Bidder Name.” Once all costs are entered, 3564 please delete any unused rows. Total costs for local agency equipment will 3565 automatically populate the Cost Summary worksheet (Worksheet 1) and will contribute 3566 to the Bidder’s Proposed Total Cost calculation.

3567 Payment Milestones (Worksheet 8) 3568 Bidder must propose a single Total Payment Milestones Cost in this worksheet. This is 3569 the cost to produce all deliverables identified in Exhibit 21: Deliverables, by Task Group. 3570 The State will provide deliverables payments at seven (7) pre-defined payment 3571 milestones, based on deliverables produced as a part of the indicated Task Groups. 3572 Each payment milestone has been allocated a percentage of the Total Deliverables 3573 Cost. The worksheet will automatically populate the payment amount for each payment 3574 milestone, including the actual payment at the milestone and the 10% withhold amount, 3575 which will be paid as the eighth and final payment, following System Acceptance. 3576 The total payment milestones cost will automatically populate the Cost Summary 3577 worksheet (Worksheet 1) and will contribute to the Bidder’s Proposed Total Cost 3578 calculation.

3579 Mandatory Optional (MO) Requirements (Worksheet 9) 3580 Bidder must propose costs to implement those requirements that have been designated 3581 as Mandatory Optional, which are Mandatory for the Bidder to offer and to cost, but only 3582 contracted at the State’s sole option. ______Section 5: Cost Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 111 State of California RFP OSI #31875 Office of Systems Integration

3583 This worksheet is pre-populated with the Mandatory Optional requirements. Bidder must 3584 provide a single, total cost for each requirement. Total costs to implement Mandatory 3585 Optional requirements will automatically populate the Cost Summary worksheet 3586 (Worksheet 1) and will contribute to the Bidder’s Proposed Total Cost calculation. 3587

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3588 PROPOSAL FORMAT AND SUBMISSION REQUIREMENTS 3589 These instructions identify the mandatory format and submission requirements for the 3590 development and presentation of proposals. All format instructions must be followed, all 3591 mandatory requirements must be met, all questions in the solicitation must be 3592 answered, and all requested data must be supplied, for the Bidder to be considered 3593 responsive to this RFP. The Bidder should carefully examine the solicitation and be 3594 satisfied with the compliance conditions prior to submitting a proposal. 3595 It is important that all proposals be submitted in clearly marked, sealed envelopes or 3596 containers or they may be rejected. Proposals must be in the number of copies 3597 indicated in this section. 3598 The State will not be liable for any costs incurred by any Bidder in responding to this 3599 solicitation, regardless of whether the State awards the Contract through this process, 3600 decides not to move forward with the Project, cancels this solicitation for any reason, or 3601 contracts for the Project through other processes or by issuing another solicitation.

3602 6.1 Preparation 3603 Proposals are to be prepared in such a way as to provide a straightforward, concise 3604 delineation of capabilities to satisfy the requirements of this solicitation. Expensive 3605 bindings, colored displays, promotional materials, etc., are not necessary or desired. 3606 Emphasis should be concentrated on conformance to the solicitation instructions, 3607 responsiveness to the solicitation requirements, and completeness and clarity of 3608 content.

3609 6.2 Completion of Proposals 3610 Proposals must be complete in all respects as required by this section. A Final Proposal 3611 may be rejected if it is conditional or incomplete, or if it contains any alterations of form 3612 or other irregularities of any kind. A Final Proposal will be rejected if any such defect or 3613 irregularity constitutes a material deviation from the solicitation requirements. The Final 3614 Proposal must contain all costs as required in Section 5. Draft Proposals must contain 3615 all information required in the Final Proposal except costs.

3616 6.3 Final Proposal Content and Structure 3617 Final Proposal content must be structured as defined in this subsection.

3618 Volume 1: Response to Administrative and Bid Requirements 3619 Volume 1 contains the Bidder’s response to the administrative requirements of this 3620 solicitation, as defined in Section 3, Administrative Requirements, and to the bid

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3621 requirements of this solicitation, as defined in Section 4. Bid Requirements. Volume 1 3622 must be structured into sections as follows: 3623 1. Table of Contents 3624 a. All parts of the proposal, including forms, must be identified by volume and 3625 page number. 3626 b. The Table of Contents must identify all tables, figures, charts, graphs, etc. 3627 2. Cover Letter 3628 3. Required Exhibits 3629 a. Exhibit 2: Intent to Bid (if not already submitted). 3630 b. Exhibit 3: Confidentiality Statement (if not already submitted). 3631 c. Exhibit 4: Response to Administrative Requirements. 3632 d. Exhibit 5: GSPD 05-105 Bidder Declaration. 3633 e. Exhibit 6: Secretary of State Certification. 3634 f. Exhibit 7: Workers’ Compensation Certification. 3635 g. Exhibit 8: Seller’s Permit Certification. 3636 h. Exhibit 9: Payee Data Record. 3637 i. Exhibit 10: Iran Contracting Act of 2010. 3638 j. Exhibit 11: Bond and Other Security Documents. 3639 k. Exhibit 13: Bidding Preferences and Incentives. 3640 l. Exhibit 14: Commercially Useful Function Certification. 3641 m. Exhibit 23: Responsibility Certification. 3642 n. Exhibit 24: Federal Responsibility Certification. 3643 4. Optional Preference and Incentive Exhibits 3644 a. Exhibit 12: DVBE Declarations (required if claiming DVBE incentive). 3645 b. Exhibit 15: STD 830, TACPA Preference Request (required if claiming 3646 TACPA preference). 3647 5. Response to Qualification Requirements 3648 a. Exhibit 18.1: Bidder Qualifications Form. 3649 b. Exhibit 18.2: Bidder Reference Form. 3650 c. Exhibits 19.1 through 19.11: Key Staff Qualifications Forms. 3651 d. A copy of the Project Manager’s PMI certificate, as proof of current 3652 certification. 3653 e. A copy of the Business Analyst Lead’s International Institute of Business 3654 Analysts (IIBA) certificate, as proof of current certification, if applicable. 3655 f. A copy of the Help Desk Manager’s Help Desk Institute (HDI) or other Help 3656 Desk professional certificate, as proof of current certification, if applicable. 3657 g. Exhibit 19.12: Key Staff Reference Forms. 3658 h. Exhibit 25: Narrative Response Requirements.

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3659 6. Response to Solution Requirements 3660 a. Exhibit 20: Functional and Non-Functional Requirements. 3661 b. Exhibit 21: Deliverables.

3662 Volume 2: Contract 3663 Volume 2 contains the Contract and must be structured into sections as follows: 3664 1. Exhibit 1: STD 213, Standard Agreement. 3665 2. Appendix A: Statement of Work. 3666 3. Attachment A.1: Service Level Agreements and Liquidated Damages. 3667 4. Attachment A.2: GSPD401IT for eWIC MIS Project. 3668 5. Attachment A.3: Special Terms and Conditions for eWIC MIS Project. 3669 6. Attachment A.4: Deliverable Expectations Document.

3670 Volume 3: Cost 3671 Volume 3 contains the cost worksheets, which must be in a separately sealed envelope 3672 or container and structured as follows: 3673 1. Exhibit 22: Cost Workbook.

3674 Volume 4: Literature (Optional) 3675 Volume 4 must contain any technical and other reference literature necessary to 3676 support the responses to the requirements of this solicitation. This volume may contain 3677 no marketing material.

3678 6.4 Final Proposal Format 3679 It is the Bidder’s responsibility to ensure its proposal is submitted in a manner that 3680 enables the State to easily locate all response descriptions and exhibits for each 3681 requirement of this solicitation. Proposals must be formatted as follows: 3682 1. Page numbers must be located in the same page position throughout the 3683 proposal. Each page must be numbered with the exhibit or section reference 3684 (e.g., Exhibit 20, Page 8 of 50, Cover Letter, Page 1 of 3). 3685 2. Figures, tables, charts, etc., must be assigned index numbers and be referenced 3686 by these numbers in the text and in the table of contents. Figures, tables, charts, 3687 etc., should be placed as close to text references as possible. 3688 3. The proposal must be tabbed, to identify the volume and section or exhibit. 3689 4. Proposals must be submitted in printed format (hard copy), and also in electronic 3690 file format (soft copy) on a CD or USB portable data storage device, as follows: 3691 a. Each volume of the proposal must be provided separately in a three-ring 3692 binder, submitted in the following number of copies:

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3693 i. Nine (9) hard copies plus one (1) marked, “Master,” for a total of ten (10) 3694 hard copies. 3695 ii. Two (2) soft copies. 3696 b. The Master must contain original signatures and initials wherever a signature 3697 or initials are required. 3698 c. If discrepancies exist between two (2) or more copies of the proposal, the 3699 proposal may be rejected. However, if not rejected, the Master will provide the 3700 basis for resolving such discrepancies. 3701 d. All hard copies must be on standard 8.5” x 11” paper, except for charts, 3702 diagrams, and similar materials, which may be foldouts. If foldouts are used, 3703 the folded size must fit within the 8.5” x 11” format. Hard copy of large size 3704 drawings must not be larger than Standard E-size format. 3705 e. Double sided printing is preferred. The following must be shown on each 3706 page of the Proposal: 3707 i. “RFP OSI #31875” 3708 ii. Bidder name. 3709 iii. Volume number. 3710 iv. Exhibit number. 3711 v. Page number (Page # of ##). 3712 vi. “Draft” or “Final,” as applicable. 3713 f. As stated in Subsection 2.4.5, Confidentiality, Bidders should be aware that 3714 marking the Final Proposal “confidential” or “proprietary” may exclude it from 3715 consideration for award. 3716 g. Soft copies of the proposals must be in or compatible with Microsoft Office 3717 2010. 3718 5. Bidders must ensure that the proposal contains no pricing information of any 3719 type, except in the sealed “Cost” envelope of the proposal, Volume 3. The 3720 inclusion of pricing in any fashion or format in any other place in the proposal 3721 may result in immediate rejection of the proposal.

3722 6.5 Draft Proposals 3723 The Draft Proposal must contain all material, structured and formatted as specified in 3724 this section, for Volumes 1, 2, and 4 of the Final Proposal. The Draft Proposal must not 3725 contain any cost data or Volume 3. Bidder must ensure that any completed State forms 3726 contain no cost data. The STD213, Standard Agreement need not be signed. 3727 3728 3729

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3730 6.6 Packaging and Labeling 3731 Bidder must provide all of its proposal documents at the same time within the same 3732 package (box or boxes). The overall proposal package must be sealed and labeled as 3733 follows: 3734 1. Bidder name and address. 3735 2. “RFP OSI #318785” 3736 3. “Draft Proposal” or “Final Proposal,” as applicable. 3737 4. Box “# of #,” if more than one (1) box is required for the entire submission. 3738 Each binder and CD or USB must be clearly marked with: 3739 1. Bidder name. 3740 2. “RFP OSI #31875” 3741 3. “Draft” or “Final,” as applicable. 3742 4. The volume number and title: 3743 a. Volume 1: Response to Administrative and Bid Requirements. 3744 b. Volume 2: Contract. 3745 c. Volume 3: Cost. 3746 d. Volume 4: Literature. 3747 Volume 3, Cost, (including binders and CDs or USB drives) must be in its own sealed 3748 package that is separate from Volumes 1, 2, and 4. If cost information is not submitted 3749 in its own separately sealed package, the proposal may be rejected.

3750 6.7 Proposal Submission 3751 Mail or deliver proposals to the Procurement Official listed in Subsection 2.2.1, 3752 Procurement Official. If mailed, it is recommended that Bidders use certified or 3753 registered mail with return receipt requested, as delivery of documents is at the Bidder’s 3754 own risk of untimely delivery, lost mail, etc. Bidders must mail or deliver the entire 3755 proposal submission at the same time, within one or more packages or boxes. 3756 Proposals must be received no later than the date and time specified in Subsection 2.3, 3757 Key Action Dates. A proposal not received by the date and time specified in Subsection 3758 2.3, Key Action Dates, shall be rejected. 3759

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3760 3761 3762 3763 3764 3765 3766 3767 PAGE INTENTIONALLY LEFT BLANK 3768

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3769 EVALUATION 3770 This section presents the evaluation process and scoring procedures the State will 3771 follow when evaluating proposals submitted in response to this solicitation. The 3772 evaluation process is a multi-step thorough review of each Bidder’s proposal to 3773 determine that it is responsive and responsible, and whether it provides “best value” to 3774 the State. The best value proposal is the proposal that meets all requirements set forth 3775 in this solicitation and offers the State the best combination of administrative, 3776 qualification, solution, and cost value as determined through the evaluation process 3777 specified in this section. Special instructions and procedures apply to Draft Proposals. 3778 Final selection will be based on compliance with all requirements, and points allocated 3779 60% for Bid requirements (scored qualifications and solution requirements), and 40% 3780 for cost, among the proposals that are responsive and responsible to the solicitation 3781 requirements. Responsiveness is indicated by meeting all administrative, bid, and cost 3782 requirements, and complying with Subsection 2.4, Rules Governing Competition. 3783 Proposals that do not comply with the mandatory components stipulated in this 3784 solicitation may be deemed non-responsive and the Bidder disqualified. The State 3785 reserves the right to modify or cancel this procurement in its entirety or in part at any 3786 time. 3787 The Bidder is required to thoroughly review the solicitation to ensure that its proposal 3788 and proposal responses are fully compliant with the solicitation requirements and 3789 thereby avoid the possibility of being ruled non-responsive or non-responsible. If the 3790 State finds that a Bidder’s Final Proposal has a material deviation from a specified 3791 requirement, the proposal will be considered non-responsive and the Bidder 3792 disqualified.

3793 7.1 Evaluation Team 3794 This procurement is being conducted under the guidance of a Procurement Official from 3795 the CDT STPD (refer to Subsection 2.2.1, Procurement Official). The Procurement 3796 Official will serve as the Bidder’s contact point for questions and clarification, and will 3797 identify the rules governing this procurement. 3798 The State will establish an Evaluation Team composed of OSI and CDPH management 3799 and staff to review and evaluate proposals. The State Procurement Official will provide 3800 guidance to the evaluation team and provide oversight of the evaluation process. The 3801 State may engage additional qualified individuals or SMEs during the evaluation 3802 process to assist the State in gaining a better understanding of technical, financial, 3803 legal, contractual, or program issues. These other individuals do not have voting 3804 privileges or responsibility for the evaluation process and will serve solely in an advisory 3805 capacity. ______Section 7: Evaluation Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 119 State of California RFP OSI #31875 Office of Systems Integration

3806 7.2 Evaluation Steps

3807 Evaluation of Required Information and Requirements 3808 Proposals must be complete and meet all format and submission requirements as 3809 identified in Section 6, Proposal Format and Submission Requirements. A Final 3810 Proposal may be rejected if it is conditional or incomplete, contains any alterations of 3811 form, or contains other irregularities of any kind, including alterations to any terms and 3812 conditions. A Final Proposal will be rejected if any such defect or irregularity constitutes 3813 a material deviation from the solicitation requirements.

3814 Receipt and Preliminary Review 3815 All proposals received by the time and date specified in Subsection 2.3, Key Action 3816 Dates, will be acknowledged as having been received on time. Each proposal will be 3817 date- and time-marked as it is received, and verified that it was submitted under an 3818 appropriate cover, sealed, and properly identified. 3819 Proposals will remain sealed until the designated time for opening. Bidder’s Response, 3820 Volume 3 Cost, shall remain sealed and in the possession of the Procurement Official 3821 listed in Subsection 2.2.1, until the evaluations of all Bidder response volumes 1, 2, and 3822 4 have been completed for all Bidders that submitted a proposal. 3823 The Procurement Official will check all proposals for proper identification and to ensure 3824 that required information conforms to the proposal format and submission requirements 3825 of Section 6, Proposal Format and Submission Requirements. Absence of required 3826 information may make the proposal non-responsive and may result in Bidder 3827 disqualification.

3828 Mandatory Requirements Evaluation 3829 The State will review each proposal to determine its compliance with all of the 3830 requirements set forth in Section 3, Administrative Requirements, and Section 4, Bid 3831 Requirements. The Evaluation Team will evaluate and score each submitted proposal 3832 by consensus for compliance with the requirements designated in Section 3 and Section 3833 4. If a proposal fails to meet any requirement specified in Section 3 or Section 4, the 3834 State will determine if the deviation is material and if so, the proposal will be deemed 3835 non-responsive and the Bidder disqualified.

3836 State’s Right to Validate Compliance With Requirements 3837 The State will check each proposal in detail to determine its compliance with the 3838 solicitation requirements. The State reserves the right to determine if the Bidder’s 3839 response to a requirement, as detailed in its description and/or supporting 3840 documentation, supports or contradicts the Bidder’s claim of intended compliance. If a ______Section 7: Evaluation Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 120 State of California RFP OSI #31875 Office of Systems Integration

3841 proposal fails to meet a mandatory requirement, the State will determine if the deviation 3842 is material, as defined in Subsection 2.4.1, Identification and Classification of 3843 Solicitation Requirements. A material deviation is cause for rejection of the proposal. A 3844 material deviation cannot be waived. 3845 During proposal evaluation, the State may request that the Bidder clarify any area of the 3846 proposal that the State determines to be unclear. However, this request for clarification 3847 will not be an opportunity for the Bidder to change its proposal.

3848 7.3 Draft Proposal Evaluation 3849 Draft proposals must be submitted for review by the date and time designated in 3850 Subsection 2.3, Key Action Dates. The Evaluation Team will review Draft Proposals in 3851 an attempt to detect any inconsistencies that, if contained in the Final Proposal, may 3852 cause the proposal to be rejected. It is not the intent of the State to review the Draft 3853 Proposal at this time for total responsiveness to all the solicitation requirements. 3854 Following Draft Proposal review, the State will participate in confidential discussions 3855 with individual Bidders. The State will schedule each Bidder for a specific date, time, 3856 and location, and will meet with the Bidder’s representative(s) and discuss items that 3857 need clarification, and any defects found by the State. Prior to the scheduled 3858 discussion, the State will prepare and provide to each Bidder a discussion agenda that 3859 itemizes the points to be covered in its confidential discussion. 3860 The State will not be in a position during this review to determine if a defect could be 3861 material and cause the Final Proposal to be rejected. The State makes no warranty that 3862 all such errors will be identified during its Draft Proposal review or that such errors 3863 remaining in the Final Proposal will not cause the proposal to be rejected.

3864 7.4 Final Proposal Evaluation 3865 This subsection outlines how the State will evaluate Final Proposals and award points in 3866 a manner that preserves the integrity of the competitive procurement process. During 3867 Final Proposal evaluation, failure to respond to a mandatory requirement will be 3868 deemed non-responsive and the Bidder disqualified.

3869 Scoring Thresholds 3870 The maximum bid requirements (non-cost) points available for this solicitation is 1,200. 3871 Preferences and incentives scores may provide an additional 160 points but are only 3872 available after solicitation qualifies for cost opening. All point calculations will be 3873 rounded to two (2) decimal places (the nearest hundredth). 3874 To minimize the risk of unqualified Bidders earning the best value score based on an 3875 unreasonably low cost, this solicitation incorporates minimum scoring thresholds to

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3876 qualify for cost opening. A scoring threshold is a minimum score a Bidder’s Final 3877 Proposal must achieve in order to proceed to cost opening. For this solicitation, there 3878 are three minimum scoring thresholds: one for Bidder references (45 points), one for 3879 key staff references (90 points), and one for narrative response requirements (450 3880 points). The Bidder’s cost proposal will only be opened if it complies with the 3881 requirements in Section 3, Administrative Requirements, and Section 4, Bid 3882 Requirements, and meets all three scoring thresholds without material deviation. 3883 Bidders that have a material deviation will be disqualified and their cost will not be 3884 opened. The distribution and allocation of maximum points possible for each proposal 3885 element is provided in Table 7-1, Scoring and Point Distribution, which identifies each 3886 evaluation component, the scoring methodology, the maximum points available for 3887 scored components, and all scoring thresholds.

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3888 Table 7-1 Scoring and Point Distribution

Scoring and Point Distribution Evaluation Maximum Points Evaluation Component Methodology Available Section 3, Administrative Requirements Pass / Fail N/A

Section 4, Bid Requirements 1,200 points Qualification Requirements: Scored 600 points Bidder Qualifications (Exhibit 18.1) Scored 240 points Bidder References (Exhibit 18.2) Scored 60 points *Minimum Bidder References Scoring Threshold 45 points (Minimum score to proceed to Cost opening) Key Staff Qualifications (Exhibits 19.1 – 19.11) Scored 180 points Key Staff References (Exhibit 19.12) Scored 120 points *Minimum Key Staff References Scoring Threshold 90 points (Minimum score to proceed to Cost opening) Solution Requirements: Scored 600 points Functional Requirements (Exhibit 20.1) Pass / Fail N/A Technical Requirements (Exhibit 20.2) Pass / Fail N/A Deliverables (Exhibit 21) Pass / Fail N/A Narrative Response Requirements (Exhibit 25) Scored 600 points *Minimum Narrative Response Requirements Scoring Threshold 450 points (Minimum score to proceed to Cost opening) Section 5, Cost 800 points Cost Workbook (Exhibit 22) Scored 800 points Preference and Incentive Points 160 points Incentive: Small Business Preference Points Scored 100 points Incentive: DVBE Incentive Scored 60 points Solicitation Maximum Total Points 2,160 points 3889 *Refer to Section 7.4.1, Scoring Thresholds.

3890 Errors in the Final Proposal 3891 It is essential that the Bidder carefully review its Final Proposal, since it will not have the 3892 option to correct errors after the Final Proposal submission deadline.

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3893 An error in the Final Proposal may cause the rejection of that proposal; however, the 3894 State may, at its sole option, retain the proposal and make certain corrections. In 3895 determining if a correction will be made, the State will consider the conformance of the 3896 proposal to the format and content required by the solicitation, and any unusual 3897 complexity of the format and content required by the solicitation. 3898 1. The State may, at its sole option, correct obvious clerical errors. 3899 2. The State may, at its sole option, correct an error if the Bidder's intent is clearly 3900 established, based on review of the complete Final Proposal submittal. 3901 3. The State may, at its sole option, correct discrepancy and arithmetic errors, 3902 based on the order of precedence below, if the Bidder’s intent is not clearly 3903 established by the complete Final Proposal submittal: 3904 a. The master copy shall have priority over additional copies. 3905 b. The proposal narrative shall have priority over the Contract. 3906 c. The Contract shall have priority over the cost worksheets. 3907 d. Within each of these, the lowest level of detail will prevail. If necessary, 3908 the extensions and summary costs will be recomputed accordingly, even if 3909 the lowest level of detail is obviously misstated. The total price of unit- 3910 price items will be the product of the unit price and the quantity of the item. 3911 If the unit price is ambiguous, unintelligible, uncertain for any cause, or 3912 omitted, it shall be the amount obtained by dividing the total price by the 3913 quantity of the item. 3914 4. The State may, at its sole option, correct errors of omission. In the following four 3915 situations, the State will take the indicated actions if the Bidder's intent is not 3916 clearly established by the complete Final Proposal submittal: 3917 a. If an item is described in the narrative but omitted from the Contract and 3918 cost worksheets, the proposal will be interpreted to mean that the item will 3919 be provided by the Bidder at no cost. 3920 b. If a minor item is not mentioned at all in the Final Proposal and is essential 3921 to satisfactory performance, the proposal will be interpreted to mean that 3922 the item will be provided at no cost. 3923 c. If a major item is not mentioned at all in the Final Proposal, the proposal 3924 will be interpreted to mean that the Bidder does not intend to supply that 3925 item. 3926 d. If a major item is omitted, and the omission is not discovered until after 3927 Contract award, the Bidder shall be required to supply that item at no cost. 3928 The determination of whether an item is minor or major is the 3929 responsibility of the State. 3930 5. If Bidder does not follow the instructions for computing costs not related to the 3931 Contract, if any, (e.g., State personnel costs), the State may reject the proposal,

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3932 or at its sole option, re-compute such costs based on instructions contained in 3933 the solicitation. 3934 6. If the State makes re-computations or interpretations, as applied in accordance 3935 with this section, that significantly change the amount of money to be paid to the 3936 Bidder (if awarded the Contract) or cause the Bidder to be obligated to supply a 3937 major item at no cost, the Bidder will be given the opportunity to promptly 3938 establish the grounds legally justifying relief from its proposal. 3939 7. The State may request clarification of items in the Bidder’s proposal if the 3940 meaning is not clear to the State. Responses to requests for clarification must be 3941 confirmed in writing by the Bidder as instructed by the State’s Procurement 3942 Official at the time of the request. 3943 8. At the State’s sole discretion, it may declare all Final Proposals to be Draft 3944 Proposals in the event that the State determines that Final Proposals from all 3945 Bidders contain material deviations. Bidders may not protest the State’s 3946 determination that all proposals have material deviations. If all proposals are 3947 declared noncompliant, the State may issue an addendum to the solicitation. 3948 Should this occur, the State may hold confidential discussions with participating 3949 Bidders that are interested in continuing to be considered. Each participating 3950 Bidder will be notified of the new Final Proposal submission deadline. This 3951 submission must conform to the requirements of the original solicitation as 3952 amended by any subsequent addenda. The new Final Proposals will be 3953 evaluated as required by this section.

3954 Rejection of Proposals 3955 The State may reject any or all proposals and may waive any immaterial deviation or 3956 defect in a proposal. The State's waiver of any immaterial deviation or defect shall in no 3957 way modify the solicitation documents or excuse the Bidder from full compliance with 3958 the solicitation specifications if awarded the Contract.

3959 Administrative Requirements Evaluation (M, O) 3960 All Section 3 administrative requirements are mandatory with the exception of 3961 Subsection 3.18.2.2 DVBE Incentive, Subsection 3.18.3, Small Business Preference, 3962 Subsection 3.18.4, Non-Small Business Preference, and Subsection 3.19.5, Target 3963 Area Contract Preference Act (TACPA), which are optional. Bidder is not required to 3964 respond to optional administrative requirements in Section 3. Mandatory requirements 3965 are labeled with (M) and optional requirements are labeled with (O). 3966 Review of the proposals will begin with ensuring that the Bidder has responded to all 3967 administrative requirements in Section 3 that require proposal submittal documents. 3968 Only proposals that pass the mandatory Section 3 administrative and Section 4 bid 3969 requirements evaluation, and that meet or exceed the minimum qualification and ______Section 7: Evaluation Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 125 State of California RFP OSI #31875 Office of Systems Integration

3970 narrative response requirements scoring thresholds will proceed to cost opening. If a 3971 proposal fails to meet any mandatory requirement specified in Section 3, Administrative 3972 Requirements, or Section 4, Bid Requirements, the State will determine if the 3973 deviation(s) is material. If the deviation is determined to be material, the proposal will be 3974 deemed non-responsive and the Bidder disqualified.

3975 Bid Requirements Evaluation (Maximum 1,200 points) 3976 Bid requirements are those non-administrative requirements the Bidder must meet in 3977 order to be considered responsive to this solicitation. Bid requirements are organized 3978 into two types: qualification requirements and solution requirements. 3979 Qualification requirements are those that qualify the Bidder and its key staff to be 3980 considered for Contract award. Qualification requirements include Bidder qualifications 3981 and references, and key staff qualifications and references. 3982 Solution requirements are those related to the system and services the Bidder would 3983 provide, if selected, and include functional requirements, technical requirements, 3984 deliverables, and narrative response requirements. 3985 The subsections that follow explain how each type of Bid requirement is evaluated and 3986 scored, as summarized in Table 7-1, Scoring and Point Distribution.

3987 Qualification Requirements Evaluation (Maximum 600 points) 3988 Bidder will earn points based on its response to the Bidder and key staff qualifications 3989 requirements and its reference scores. The Evaluation Team will consider all 3990 information in Bidder’s proposal to evaluate Bidder and key staff qualifications. Narrative 3991 descriptions on Bidder and key staff member qualifications and reference forms must be 3992 clear and apply directly to the solicitation requirements. Narrative descriptions may be 3993 used to validate other information provided on any form. Any conflicting information may 3994 result in the proposal being deemed non-responsive and the Bidder being disqualified. 3995 The State will evaluate Bidder and key staff qualifications using the information 3996 contained in the completed Exhibit 18: Bidder Qualifications and References forms and 3997 Exhibit 19: Key Staff Qualifications and References forms that Bidder submits with its 3998 Final Proposal. Reference contacts may be contacted to verify Bidder and key staff 3999 information and claimed experience. 4000 All reference projects must be the equivalent of at least four (4) months of full-time 4001 active participation. To aid the State in evaluating Bidder and key staff qualifications, 4002 Bidder must use a MM/DD/YYYY format when indicating project start and end dates. If 4003 Bidder submits a proposal with any other date format, the State will count only the 4004 whole months or years between the start and end dates. For example, Bidder “A” cites

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4005 start and end dates for a project as 6/2011 and 12/2011. The Bidder or key staff 4006 member would only be credited with five (5) months of experience. 4007 If the amount of experience claimed for a project conflicts with the project duration, as 4008 defined on the Project Reference Form, Bidder will only receive experience credit for the 4009 lesser of the claimed experience and the project duration. 4010 If a project end date is ongoing or exceeds the Final Proposal due date, then the Bidder 4011 or key staff member will receive credit for only the experience acquired up to the Final 4012 Proposal due date. Concurrent project timeframes (overlapping dates) may only count 4013 once for calculating the number of years and months of qualification experience for key 4014 staff qualifications. Concurrent projects may be counted separately only for those 4015 requirements that are based on the number of projects. 4016 Bidders that do not return all required completed and signed Bidder and key staff 4017 qualifications and reference forms with its Final Proposal will be deemed non- 4018 responsive and the Bidder disqualified.

4019 Bidder Qualifications Evaluation (Maximum 240 points) 4020 The Evaluation Team will evaluate the completed Exhibit 18.1: Bidder Qualifications 4021 Form and all Exhibit 18.2: Bidder Reference Forms first for compliance with the 4022 mandatory requirements specified in Subsection 4.1.1, Bidder Qualifications and 4023 References. The Evaluation Team will validate claimed experience on the associated 4024 Bidder Reference Form for each project the Bidder identified to meet each requirement. 4025 If the completed Bidder Qualifications and Reference Forms fail to document the Bidder 4026 experience sufficiently for the Evaluation Team to determine if the Bidder meets a 4027 requirement, the State will determine if the deviation is material. If the deviation is 4028 determined to be material, the proposal will be considered non-responsive, and the 4029 Bidder disqualified. 4030 The Evaluation Team will also evaluate the Bidder Qualifications and Reference Forms 4031 to ascertain whether the Bidder meets the evaluation criteria to qualify for any of the 4032 Desirable Scored (DS) experience points. If the State is unable to validate that the 4033 information supplied by the Bidder qualifies for (DS) experience points, no points will be 4034 awarded for such experience.

4035 Bidder References Evaluation (Maximum 60 points) 4036 The State will evaluate the Bidder’s references using the information provided in Exhibit 4037 18.2: Bidder Reference Form. The Bidder must submit one (1) Exhibit 18.2 form for 4038 each project cited on Exhibit 18.1: Bidder Qualifications Form. Each Bidder reference 4039 form must be signed by a reference contact who performed a management or 4040 supervisory role on the referenced project.

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4041 Bidder will receive points based on its reference scores. Each of the ten (10) Bidder 4042 reference questions is rated from 0 to 4, with four of them offering an “N/A” option for 4043 project elements that may not apply to the reference project. Each reference has a 4044 maximum total score of 4 for each applicable question. If all ten questions are rated, the 4045 total maximum score for a reference is 40. Any questions to which the reference marked 4046 “N/A” are not included in the maximum total score calculation, which prevents the 4047 Bidder from being penalized for “N/A” responses. For example, a reference that rated 4048 eight questions and responded “N/A” to two questions has a maximum total score of 32. 4049 The ratio of the total score earned across all Bidder’s references to the maximum score 4050 possible for all Bidder’s references, is known as the Bidder’s Reference Rating Factor. 4051 All point calculations will be rounded to two (2) decimal places (the nearest hundredth). 4052 The Bidder’s Reference Rating Factor is multiplied by the maximum number of points 4053 available for Bidder References (60 points) to determine the points Bidder will earn for 4054 its references. This process is shown in Table 7-2, Bidder Reference Scoring Example. 4055 For this example, Bidder A submitted three reference projects and Bidder B submitted 4056 six reference projects. Each reference rated all ten questions so the max score for each 4057 reference is 40. The number of references and scores included in this example are for 4058 demonstration purposes only and have no significance.

4059 Table 7-2 Bidder Reference Scoring Example

Bidder Reference Scoring Example

Reference Scores x Max Total Score* = Reference = Points Bidder Points 1 2 3 4 5 6 Max Score** Rating Factor Awarded Available 90 40 30 20 - - - .75 60 = 45.00 Bidder A 3x40 points 217 = 54.25 38 35 40 32 37 35 6x40 .90 60 Bidder B points *Total Score is sum of all confirmed reference scores for the Bidder **Max Score is the number of confirmed references x the max score per reference (4 x the number of questions that did not receive an “N/A” response) Note: Point values in this example explain the calculations and have no other significance.

4060 Bidder must achieve a minimum score of 45 points awarded to meet the required 4061 scoring threshold for Bidder references, to proceed to Cost opening.

4062 Key Staff Qualifications Evaluation (Maximum 180 points) 4063 For each key staff, the Evaluation Team will first evaluate the completed Key Staff 4064 Qualifications Form for compliance with the mandatory requirements specified in 4065 Subsection 4.1.2, Key Staff Qualifications and References, and on the form itself. The ______Section 7: Evaluation Part #1 – Bidder Instructions Informal Draft v3.0 10/28/16 Page 128 State of California RFP OSI #31875 Office of Systems Integration

4066 Evaluation Team will validate claimed experience on the associated Key Staff 4067 Reference Form for each requirement. If the completed key staff qualifications and 4068 reference forms fail to document the key staff member’s experience sufficiently for the 4069 Evaluation Team to determine if Bidder meets a requirement, the State will determine if 4070 the deviation is material. 4071 The Evaluation Team will next evaluate the completed Key Staff Qualifications Form to 4072 ascertain whether the Bidder meets the evaluation criteria to qualify for any of the 4073 Desirable Scored (DS) experience points for the specific key staff member, if applicable. 4074 If the State is unable to validate that the information supplied by the Bidder qualifies for 4075 (DS) experience points, no points will be awarded for such experience.

4076 Key Staff References Evaluation (Maximum 120 points) 4077 The State will evaluate the Bidder’s key staff references using the information provided 4078 on each key staff member’s submitted Exhibit 19.12: Key Staff Reference Forms. The 4079 Bidder must submit one (1) reference form for every project cited on the staff member’s 4080 Exhibit 19: Staff Qualifications Form. 4081 References must be returned with the proposal in order to meet the staff reference 4082 requirements. Bidders who do not return the required reference forms will be deemed 4083 non-responsive and the Bidder disqualified. Each staff reference form must be signed 4084 by a reference contact who performed a management or supervisory role on the 4085 referenced project. 4086 Bidder will receive points based on its key staff reference scores. Each of the seven (7) 4087 staff reference questions is rated from 0 to 4, for a total potential score of 28 per 4088 reference. The eighth staff member reference question asks the reference to indicate 4089 whether or not the project was for a WIC implementation, and if so, which transfer 4090 system. 4091 For each key staff member, the ratio of the total score earned across all the key staff 4092 member’s references to the maximum score possible for all the key staff member’s 4093 references (28 x the number of references), is the key staff member’s Reference Rating 4094 Factor. The key staff member’s Reference Rating Factor is multiplied by the maximum 4095 points available for that key staff member’s references to determine the number of 4096 points the Bidder will earn for that key staff member’s references. All point calculations 4097 will be rounded to two (2) decimal places (the nearest hundredth). Table 7-3, Key Staff 4098 Reference Points identifies the maximum points available for each key staff member’s 4099 references.

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4100 Table 7-3 Key Staff Reference Points

Key Staff Reference Points Max Points Key Staff Member Available

Project Manager 20

Technical Manager 10

Business Analyst Lead 10

Data Conversion Lead 10

Implementation Manager 12

Training Manager 12

Testing Manager 12

System Architect 10

Contract Manager 10

Database Administrator 7

Help Desk Manager 7

4101 4102 Bidder will earn the accumulated points for references for all key staff members. This 4103 process is shown in Table 7-4, Key Staff Reference Scoring Example. The scores and 4104 number of references included in this example are for demonstration purposes only and 4105 have no significance.

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4106 Table 7-4 Key Staff Reference Scoring Example

Key Staff Reference Scoring Example

Reference Scores x Max Key Staff Total Score* = Reference = Points Points Member 1 2 3 4 5 6 Max Score** Rating Factor Awarded Available 81 Staff A 25 28 28 - - - 3x28 .96 14 = 13.44 points 117 Staff B 20 24 26 22 25 - 5x28 .84 14 = 11.76 points 135 Staff C 27 27 27 27 27 - 5x28 .96 14 = 13.44 points 112 Staff D 28 28 28 28 - - 4x28 1.00 9 = 9.00 points 165 Staff E 28 28 27 28 28 26 6x28 .98 9 = 8.82 points

Total Key Staff Reference Points Awarded to Bidder: 56.46 points *Total Score is sum of all confirmed reference scores for the Bidder **Max Score is the number of confirmed references x 28 points per reference Note: Point values in this example explain the calculations and have no other significance.

4107 Bidder must achieve a minimum score of 90 points for all key staff references combined to meet 4108 the required scoring threshold for staff references, to proceed to Cost opening.

4109 Bidder and Key Staff Reference Checks 4110 If needed to verify either Bidder or key staff qualifications, the State will make two (2) 4111 attempts via phone and/or email to the reference contact identified on the bidder or key 4112 staff reference form, to validate the claimed information and experience. The Bidder 4113 should ensure that its reference contacts are available for validation during the 4114 evaluation period identified in Subsection 2.3, Key Action Dates. If the State has not 4115 received a response from the reference contact after the first attempt, a second attempt 4116 will be made. If no response is received after the second attempt, the State will contact 4117 the Bidder and request that the Bidder assist the State by having the reference respond 4118 to the State within a 48-hour period from the second attempted contact. If the evaluators 4119 are still unable to contact the reference the Bidder’s proposal may be deemed non- 4120 responsive for failure to provide verifiable references, and the Bidder may be 4121 disqualified.

4122 Solution Requirements Evaluation (Maximum 600 points) 4123 This subsection describes how the State will evaluate and score the Bidder’s response 4124 to the solution requirements: 4125 • Functional requirements in Exhibit 20.1.

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4126 • Technical requirements in Exhibit 20.2. 4127 • Deliverables in Exhibit 21.1. 4128 • Narrative response requirements in Exhibit 25.

4129 The Scoring Key and Instructions 4130 Solution requirements are categorized as described in Table 4-1, Requirement 4131 Classifications: M, MO, MS, or DS. Requirements themselves are designated as either 4132 non-scored or scored, depending on the requirement classification. 4133 Non-Scored requirements are those categorized as Mandatory (M) or Mandatory 4134 Optional (MO), which are evaluated on a Pass / Fail basis. Non-scored requirements 4135 are the functional and technical requirements, and the Deliverables. 4136 Scored requirements are those that may earn the Bidder points and are categorized as 4137 either Mandatory Scored (MS) or Desirable Scored (DS). To be considered responsive 4138 to this solicitation, the Bidder must respond to all MS requirements and may earn points 4139 based on its response. The Bidder is not required to respond to any DS requirement but 4140 if it does, the Bidder will earn points based on its response. Failure to respond to a DS 4141 requirement will not cause the Bidder to be disqualified; it will only prevent the Bidder 4142 from earning points for that requirement. 4143 The Evaluation Team will use Table 7-5, Scoring Key, to evaluate and score the 4144 Bidder’s response to the solution requirements and determine the percentage of the 4145 maximum available points the Bidder will earn for its responses to scored requirements. 4146 Each scored requirement may contain one or more bulleted items but the maximum 4147 points available apply to the requirement as a whole. Bulleted items are not weighted 4148 and points are not subdivided within a single requirement. 4149

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4150 Table 7-5 Scoring Key

Scoring Key % Max Evaluation Criteria Score Points Awarded Non-Scored Requirement: Mandatory (M) and Mandatory Optional (MO) Bidder responded “Yes” that it agrees to meet the requirement or provide Pass N/A the deliverable. (“P”) Bidder did not respond “Yes” that it agrees to meet the requirement or Fail N/A provide the deliverable. (“F”)* Scored Requirement: Mandatory Scored (MS) and Desirable Scored (DS) • Response demonstrates a thorough understanding by providing such Excellent 100% detail that the State is confident that the Bidder fully understands and (“E”) has the ability to comply with the requirement. • Response is highly detailed regarding how Bidder will meet the requirement in full. • Response demonstrates major strengths and few, if any, minor weaknesses. • The risk that the Bidder fails to deliver the requirement is unlikely. • Response demonstrates an acceptable understanding of the Acceptable 75% requirement, even if some minor ambiguities are present. (“A”) • Response provides sufficient detail to understand how the Bidder will meet critical aspects of the requirement. • Response strengths outweigh weaknesses. • The risk that the Bidder fails to deliver the requirement is acceptable. • Response includes ambiguities or inaccuracies that demonstrate a Deficient 25% minimal understanding of the requirement; OR (“D”) • Response contains insufficient detail to understand how the Bidder will meet the requirement; OR • Response weaknesses outweigh strengths; OR • The risk that the Bidder fails to deliver the requirement is likely. • Bidder did not respond to the requirement; OR Fail 0 • Response includes exceptions and/or conditions; OR (“F”)* • Response conflicts with a Mandatory requirement. * A “Fail” score on any M, MO, or MS requirement will result in Bidder’s disqualification, if deviation is material. 4151

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4152 The Evaluation Team will use the Scoring Key to evaluate the Bidder’s response to 4153 each requirement and assign each one a score. Non-scored requirements will be 4154 awarded either a “Pass” (“P”) or a “Fail” (“F”) score. 4155 For scored requirements, the Bidder will earn one of the following scores based on the 4156 evaluation criteria that best describes the Bidder’s response: 4157 Excellent Response (“E”) – 100% Max Points Awarded: A Bidder that meets all of 4158 the “E” criteria gives the State the highest level of confidence that the Bidder could meet 4159 the requirement, if selected. To achieve an “E” score and earn 100% of the maximum 4160 points available for the requirement, the Bidder’s response must meet all of the 4161 evaluation criteria associated with the “E” score. If a requirement has bulleted items, 4162 each bulleted item must meet the “E” evaluation criteria to earn this score. 4163 Acceptable Response (“A”) – 75% Max Points Awarded: The minimum scoring 4164 threshold is designed so that a Bidder that provides an “A” response to every 4165 requirement gives the State sufficient confidence the Bidder can meet all solicitation 4166 requirements and is therefore qualified to proceed to Cost opening. To achieve an “A” 4167 score and earn 75% of the maximum points available for a requirement, the Bidder’s 4168 response to that requirement must meet all of the evaluation criteria associated with the 4169 “A” score. If a requirement has bulleted items, each bulleted item must meet the “A” 4170 evaluation criteria to earn this score. Note that the Bidder’s response to some bulleted 4171 items may meet the “E” criteria, but still only achieves an “A” score because the 4172 requirement as a whole does not meet the “E” criteria. 4173 Deficient Response (“D”) – 25% Max Points Awarded: The scoring key allows for the 4174 possibility of an anomalous “D” response, which meets any of the criteria associated 4175 with the “D” score. A “D” score means the Bidder provided a response that gives the 4176 State little confidence in the Bidder’s ability to meet the requirement. Note that the 4177 Bidder’s response to some bulleted items may meet the “E” or “A” criteria, but still only 4178 achieves a “D” score because the entire response does not meet the “E” or “A” criteria. 4179 Note also that for each “D” score a Bidder earns, the Bidder must earn two “E” scores 4180 on other requirements to achieve the minimum scoring threshold and proceed to Cost 4181 opening. 4182 Fail Response (“F”) – 0% Max Points Awarded: The scoring key allows for the 4183 possibility of an anomalous “F” response, which meets any of the criteria associated 4184 with the “F” score. An “F” score means the Bidder provided a response that gives the 4185 State no confidence in the Bidder’s ability to meet the requirement. Note that the 4186 Bidder’s response to some bulleted items may meet the “E”, “A”, or “D” criteria, but still 4187 only achieves an “F” score because the entire response does not meet the “E”, “A”, or 4188 “D” criteria. Note also a “Fail” score on any M, MO, or MS requirement will result in 4189 Bidder’s disqualification, if deviation is material.

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4190 Functional and Technical Requirements Evaluation (Pass/Fail) 4191 The functional and technical requirements identified in Exhibit 20 are all mandatory (M) 4192 requirements. Bidders must respond “Yes” that it agrees to meet each requirement, as 4193 described in Subsection 4.2.1, Functional and Technical requirements. The Evaluation 4194 Team will evaluate Bidder’s responses to Exhibits 20.1 and 20.2 to confirm compliance. 4195 If the Bidder responds with a “No” response to any functional or technical requirement, 4196 the State will determine if the deviation is material. If the deviation is determined to be 4197 material, the proposal will be deemed non-responsive and the Bidder disqualified.

4198 Deliverables Evaluation (Pass/Fail) 4199 Bidders must respond “Yes” that it agrees to produce each deliverable identified in 4200 Exhibit 21: Deliverables. The Evaluation Team will evaluate Bidder’s responses to every 4201 deliverable listed in Exhibit 21 to confirm compliance. If the Bidder responds with a “No” 4202 response to any deliverable, the State will determine if the deviation is material. If the 4203 deviation is determined to be material, the proposal will be deemed non-responsive and 4204 the Bidder disqualified.

4205 Narrative Response Requirements Evaluation (Maximum 600 points) 4206 The Evaluation Team will evaluate and score the Bidder’s narrative response to Exhibit 4207 25: Narrative Response Requirements. Each requirement will be evaluated and scored 4208 in accordance with the Scoring Key, in Table 7-5. In order to proceed to Cost opening, 4209 Bidder must score a minimum of 450 points, which is the score Bidder would receive if it 4210 met every narrative responsive requirement sufficiently and received “S” scores on all 4211 requirements.

4212 Bidder Proposal Non-Cost Score Calculation 4213 The Bidder proposal non-cost score is the sum of the Bidder’s qualifications and 4214 narrative response scores from the Bidder’s Final Proposal evaluation. Table 7-6, 4215 Bidder Proposal Non-Cost Score Calculation Example, illustrates the Bidder proposal 4216 non-cost score calculation.

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4217 Table 7-6 Bidder Proposal Non-Cost Score Calculation Example

Example Bidder Proposal Non-Cost Score Calculation* Qualification Bid Solution Requirements Bidder Requirements Total Requirements Score Score Score

A 510 points 510 points 1,020 points

B 520 points 580 points 1,100 points

C 485 points 500 points 985 points 4218 * Point values in this example explain the calculations and have no other significance.

4219 Scoring Threshold Evaluation 4220 Before Bidder’s sealed Cost proposal may be opened, the Evaluation Team will 4221 evaluate the Bidder’s reference and narrative response requirements scores to 4222 determine if Bidder qualifies for Cost opening, as identified in Table 7-1, Scoring and 4223 Point Distribution. If Bidder’s references score is at least 45, Bidder’s key staff 4224 references score is at least 90, and Bidder’s narrative response requirements score is at 4225 least 450, and Bidder’s Final Proposal has no material deviations, the Bidder may 4226 proceed to Cost opening. If one or more scores do not meet the minimum scoring 4227 threshold, the Evaluation team will deem the Bidder’s Final Proposal to be non- 4228 responsive, the Bidder disqualified, and the Bidder’s cost proposal will not be opened.

4229 Cost Evaluation 4230 After Section 3, Administrative Requirements, and Section 4, Bid Requirements have 4231 been evaluated the Evaluation Team will open the sealed cost proposals (Bidder’s 4232 response to Volume 3) for those Bidders whose proposals have been deemed 4233 responsive and responsible. If a Bidder was determined to be non-responsive and/or 4234 not responsible during the evaluation of the administrative and bid requirements, the 4235 cost will remain unopened for that Bidder. 4236 NOTE: If a Bidder’s cost proposal fails to meet the requirement to be submitted under 4237 separate, sealed cover, the State may immediately deem the Bidder’s proposal to be 4238 non-responsive and may discontinue evaluation of the proposal. 4239 All cost worksheets will be validated to verify completeness and mathematical accuracy. 4240 If appropriate, errors will be corrected in accordance with Subsection 7.4.1. After costs 4241 worksheets have been verified for accuracy, the Bidder with the lowest proposed total 4242 cost will receive the maximum score of 800 points. All other Bidders will receive a 4243 proportionally lower score using the ratio of the lowest proposed total cost to the

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4244 Bidder’s proposed total cost, applied to the maximum points of 800, as shown in the 4245 Bidder cost score formula Table 7-7, Bidder Cost Score Formula.

4246 Table 7-7 Bidder Cost Score Formula

Bidder Cost Score Formula

(Lowest proposed total cost) X 800 points = Bidder Cost Score (Bidder’s proposed total cost) 4247 The cost score calculation example in Table 7-8, Bidder Cost Score Calculation 4248 Example illustrates that Bidder C proposed the lowest cost and received the maximum 4249 cost score. 4250 4251 Table 7-8 Bidder Cost Score Calculation Example Bidder Cost Score Calculation Example* Bidder’s Bidder Proposed Calculation Bidder Cost Score Total Cost $300,000 A $300,000 X 800 points 800 points $300,000 $300,000 B $500,000 X 800 points 480 points $500,000 $300,000 C $400,000 X 800 points 600 points $400,000 4252 * Point values in this example explain the calculations and have no other significance.

4253 Bidder Total Proposal Score 4254 The Bidder’s Total Proposal Score is the Bidder’s Bid Requirements Score plus the 4255 Bidder’s Cost Score. The maximum Bidder Total Proposal Score is 2,000 points. Table 4256 7-9, Bidder Total Proposal Score Calculation Example, depicts hypothetical Total 4257 Proposal Score calculations. Preference and incentive points, if earned, are applied to 4258 the Bidder Total Proposal Score.

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4259 Table 7-9 Bidder Total Proposal Score Calculation Example Bidder Total Proposal Score Calculation Example* Bidder Bid Bidder Cost Bidder Total Bidder Requirements Score Score Proposal Score

A 1,020 points 800 points 1,820 points

B 1,100 points 480 points 1,580 points

C 985 points 600 points 1,585 points 4260 * Point values in this example explain the calculations and have no other significance.

4261 DVBE Incentive 4262 In accordance with section 999.5(a) of the Military and Veterans Code, for evaluation 4263 purposes only, the State shall provide an incentive to Bidders who provide California- 4264 certified DVBE participation in the amounts shown in Table 7-10, DVBE Participation 4265 Incentive Formula. 4266 The State will verify DVBE and apply the incentive accordingly. The DVBE Incentive 4267 points are a percentage of the total possible points. The maximum incentive for this 4268 procurement is three percent (3%) of the total points available, and is based on the 4269 amount of DVBE participation confirmed.

4270 Table 7-10 DVBE Participation Incentive Formula

DVBE Participation Incentive Formula

Confirmed DVBE DVBE Incentive DVBE Incentive Participation Percentage Points* ≥ 3% 3% 60 Points <3% 0% 0 * 3% of the total points available

4271 Preference Programs 4272 Bidders who claim preference points will be evaluated to determine whether they 4273 submitted the forms, documents, exhibits, and/or responses necessary to validate their 4274 qualification and eligibility for the claimed points. If the State determines that the 4275 submitted information is insufficient, or that required documents do not otherwise 4276 validate the eligibility for points in any of the claimed programs, then the claimed points 4277 for that program will not be added to the Bidder’s final overall proposal score. If the 4278 State is able to validate the Bidder’s claim, the qualified preference points will be

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4279 applied to the Bidder’s final overall proposal score, provided that the Bidder’s proposal 4280 is not otherwise determined to be non-responsive to any mandatory requirements.

4281 Small Business Preference 4282 The State will verify Small Business/Non-Small Business preference claim and apply 4283 the five percent (5%) preference accordingly. 4284 In accordance with Government Code section 14835 et seq., Bidders who qualify as a 4285 small business will be given a five percent (5%) preference for evaluation purposes 4286 only. The five percent (5%) preference is calculated on the total number of points 4287 awarded to the highest scoring non-small business that is responsible and responsive to 4288 the proposal requirements. The rules and regulations of this law, including the definition 4289 of a small business for the delivery of goods and services, are contained in the 4290 California Code of Regulations, Title 2, section 1896 et seq. 4291 This five percent (5%) small business preference is also available to a non-small 4292 business claiming 25% California certified small business subcontractor participation. 4293 The five percent (5%) preference is calculated on the total number of points awarded to 4294 the highest scoring non-small business that is responsible and responsive to the 4295 proposal requirements and that is not subcontracting a minimum of 25% to a small 4296 business. Non-small business Bidders claiming the five percent (5%) small business 4297 preference must commit to subcontract at least 25% of the net proposal price with one 4298 (1) or more California certified small businesses. 4299 Completed certification applications and required support documents must be submitted 4300 to the Department of General Services Office of Small Business and DVBE Services 4301 (OSDS) no later than 5:00 p.m., Pacific Time, on the Final Proposal due date, and the 4302 OSDS must be able to approve the application as submitted. Questions regarding 4303 certification should be directed to the OSDS at (916) 375-4940. 4304 For an illustration of this process, refer to the example in Table 7-11, Small Business 4305 Preference Points Calculation. Points in this example explain the calculations and have 4306 no other significance. 4307 The preference points for Bidders A and B are based on five percent (5%) of the Bidder 4308 proposal score of Bidder C, the highest scorer of a non-small business, which is 4309 (1,585.00 points) x (.05) = 79.25 points (rounded). Bidder C, which is neither a small 4310 business nor a non-small business subcontracting a minimum of 25 percent (25%) to a 4311 small business, receives no small business preference points.

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4312 Table 7-11 Small Business Preference Points Calculation Example

Small Business Preference Points Calculation Example

Small Non-Small Small Business Bidder Total Business Business Bidder Preference Points Proposal Score Preference Preference Awarded Claim? Claim? A 1,820.00 points Yes No 79.25 points B 1,580.00 points No Yes 79.25 points C 1,585.00 points No No 0.00 points * Point values in this example explain the calculations and have no other significance.

4313 NOTE: Calculation is based on 5% of the Bidder with the highest “Bidder Total Proposal 4314 Score” that is a non-small business. In the example Table 7-11, Bidder C has the highest 4315 non-small business score.

4316 TACPA Preference (Not Applicable) 4317 The Target Area Contract Preference Act (TACPA) preference does not apply to this 4318 solicitation.

4319 Bidder Final Score Calculation and Rank Determination 4320 The Evaluation Team will calculate the Bidder’s Final Score. Table 7-12, Bidder Final 4321 Score Calculation Example, illustrates the Bidder’s Final Score that incorporates both 4322 preference and incentive points: 4323 Table 7-12 Bidder Final Score Calculation Example

Bidder Final Score Calculation Example

Small DVBE Bidder Total Business Verified Incentive Bidder Proposal Preference Bidder Final Score DVBE % Points Score Points Awarded Awarded

A 1,820.00 points 79.25 points 2% 0 points 1,899.25 points

B 1,580.00 points 79.25 points 3% 60 points 1,719.25 points

C 1,585.00 points 0.00 points 5% 60 points 1,610.00 points * Point values in this example explain the calculations and have no other significance.

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4324 Selecting the Proposed Awardee 4325 Award of Contract, if made, will be to the responsible Bidder whose Final Proposal 4326 complies with all the requirements of the solicitation and any addenda thereto, except 4327 for such immaterial defects as may be waived by the State, and whose proposal 4328 achieves the highest number of total points for Bidder and key staff qualifications and 4329 references, narrative response requirements, cost, and any applicable preferences 4330 and/or incentives. 4331 The State will determine which Bidders are responsive and responsible. The State will 4332 determine which Bidder has the highest combined score for the bid requirements and 4333 cost, up to the maximum points, plus any preference and/or incentive points. The State 4334 will rank all qualified proposals by the Bidder Final Score and then recommend the 4335 Bidder with the highest Bidder Final Score to be the proposed awardee. Table 7-13, 4336 Final Score and Rank Determination Example, demonstrates how the final ranking 4337 determination is made: 4338 Table 7-13 Final Score and Rank Determination Example Final Score and Rank Determination Example

Max Points Bidder A Bidder B Bidder C Scoring Element Available Points Points Points Total Proposal Score 2,000 1,820.00 1,580.00 1,585.00 Initial Rank 1 3 2 (Before preferences and incentives) Small Business 100 79.25 79.25 0.00 Preference Points DVBE Incentive Points 60 0 60.00 60.00 Bidder Final Score 2,160 1,899.25 1,719.25 1,645.00 Final Rank 1 2 3 4339 * Point values in this example explain the calculations and have no other significance.

4340 7.5 Negotiations 4341 The State of California reserves the right to negotiate. Should it be determined that it is 4342 in the State’s best interest, the State will conduct negotiations under PCC section 6611. 4343 The purpose of the negotiation process is to maximize the State’s ability to obtain best 4344 value based on the requirements and the evaluation factors set forth in the solicitation.

4345 7.6 Debriefing 4346 After Contract award, the State may hold a debriefing at the request of any Bidder for 4347 the purpose of receiving specific information concerning the evaluation. The discussion

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4348 will be based primarily on the qualifications, solution requirements, and cost evaluations 4349 of the Bidder’s Final Proposal. A debriefing is not the forum to challenge the solicitation 4350 specifications or requirements.

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4351 ATTACHMENTS 4352 The following attachments to this solicitation are informational or for use in the 4353 solicitation process and do not need to be submitted with the Bidder’s proposal. The 4354 attachments can be found in Part 2, Bidder’s Response: 4355 1. Attachment 1 - Template for Question Submittal. This attachment provides the 4356 format for which Bidders shall submit questions regarding this solicitation. 4357 2. Attachment 2 - Template for Request for Changes Submittal. This attachment 4358 provides the format for which Bidders shall submit requests for changes to this 4359 solicitation. 4360 3. Attachment 3 - Procedures for conducting protests under the Alternative Protest 4361 Process. 4362 4. Attachment 4 - Proposal Submission Checklist. This attachment references items 4363 to be submitted as part of the Final Proposal, but is not guaranteed to include all 4364 necessary items. 4365 5. Attachment 5 – Glossary. This attachment identifies all acronyms used 4366 throughout the solicitation documents and defines Project-specific terminology. 4367 6. Attachment 6 – Bidders’ Library. This attachment lists the contents of the 4368 Bidders’ Library. 4369

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4370 4371 4372 4373 4374 4375 4376 4377 4378 PAGE INTENTIONALLY LEFT BLANK 4379

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4380 Attachment 1: Template for Question Submittal 4381 Bidders are requested to use this form when submitting questions to the Procurement 4382 Official listed in Subsection 2.2.1. Instructions are as follows: 4383 Name of Bidder – Provide the name of the Bidding firm. 4384 Contact Person – Provide the name of the person to contact if the State needs 4385 clarification about the question. 4386 Contact Email and Phone # – Provide the email and phone number (including area 4387 code) for the listed contact person. 4388 Q # – Sequentially number each question, always starting at “1” for each submission. 4389 Section/Document(s) – Identify the section or document the request pertains to, such 4390 as “Subsection 5.4, Sales Tax.” 4391 Page # – Identify the page number of the section/document name or title the question 4392 pertains to. 4393 Question – Write the question in this column. 4394 Expand or reduce the number of rows to accommodate the number of questions.

4395

Solicitation Bidder Question Form Name of Bidder: Contact Person: Contact Email and Phone Number: Q # Section/Document(s) Page # Question 1

2

3

4

4396

4397

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4398 4399 4400 4401 4402 4403 4404 4405 4406 PAGE INTENTIONALLY LEFT BLANK

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4407 Attachment 2: Template for Request for Changes Submittal 4408 Bidders are requested to use this form when submitting a request for changes to the 4409 Procurement Official listed in Subsection 2.2.1. Instructions are as follows: 4410 Name of Bidder – Provide the name of the Bidding firm. 4411 Contact Person – Provide the name of the person to contact if the State needs 4412 clarification about the request for change. 4413 Contact Email and Phone # – Provide the email and phone number (including area 4414 code) for the listed contact person. 4415 Q # – Sequentially number each change request, always starting at one (1) for each 4416 request. 4417 Section/Document(s) – Identify the section or document the request pertains to, such 4418 as “Subsection 5.4, Sales Tax.” 4419 Page # – Identify the page number the change pertains to. 4420 Proposed Change – Write the requested change in this column. Apply tracked 4421 changes to original text to ensure the change is evident. 4422 Bidder’s Rationale – Provide explanation or the motivation for the requested change. 4423 Expand or reduce the number of rows to accommodate the number of questions.

4424

Solicitation Bidder Request for Change Form Name of Bidder: Contact Person: Contact Email and Phone Number: Q # Section/Document(s) Page # Proposed Change Bidder’s Rationale (in tracked changes) 1

2

3

4

4425

4426

4427

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4437 Attachment 3: Procedures for Conducting Protests under the 4438 Alternative Protest Process 4439 (This Attachment is not required to be submitted with your solicitation response.) 4440 California Code of Regulations, Title 1, Division 2. 4441 Chapter 5. Procedures for Conducting Protests under the Alternative Protest Process

4442 Article 1. General Provisions 4443 §1400. Purpose; Scope of Chapter. 4444 Protests under the Alternative Protest Pilot Project (AB 1159, Chapter 762 of 1997 Statutes, Public 4445 Contract Code Division 2, Part 2, Chapter 3.6 (sections 12125-12130)) shall be resolved by 4446 arbitration as defined and established by this chapter. 4447 4448 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4449 Contract Code. 4450 4451 1. New chapter 5 (articles 1-3), article 1 (sections 1400-1404) and section filed 8-18-98; 4452 operative 8-18-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 34). 4453 §1402. Definitions. 4454 (a) Arbitration, as used in this chapter, means a dispute resolution procedure in which the 4455 Department of General Services, Office of Administrative Hearings provides a neutral third party 4456 who decides the merits of a protest and issues a binding decision to the Parties. 4457 (b) Awardee includes Proposed Awardee and means the person or entity that was a successful 4458 Bidder to a Solicitation and has been, or is intended to be, awarded the contract. 4459 (c) Close of Business, as used in this chapter, means 5 p.m. Pacific Standard Time (PST) or 4460 Pacific Daylight Time (PDT), as applicable. 4461 (d) Contracting Department means either Procurement or the department which has applied 4462 and been approved by the Department of General Services to conduct the Solicitation under the 4463 Alternative Protest Pilot Project (Public Contract Code sections 12125-12130.). 4464 (e) Coordinator means the person designated as the Alternative Protest Pilot Project 4465 Coordinator by the Department of General Services, Procurement Division, to coordinate all aspects 4466 of the Solicitation under the Alternative Protest Pilot Project (Public Contract Code sections 12125- 4467 12130). 4468 (f) Estimated Contract Value means the value of Protestant's bid. 4469 (g) Frivolous means a protest with any or all of the following characteristics: 4470 (1) It is wholly without merit. 4471 (2) It is insufficient on its face. 4472 (3) The Protestant has not submitted a rational argument based upon the evidence or law which 4473 supports the protest. 4474 (4) The protest is based on grounds other than those specified in section 1410. 4475 (h) Major Information Technology Acquisition means the purchase of goods or services, or both, 4476 by a state agency, through contract, from non-governmental sources, that has significant mission 4477 criticality, risk, impact, complexity, or value attributes or characteristics. Pursuant to subdivision (e)

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4478 of Section 11702 of the Government Code, these purchases shall include, but not be limited to, all 4479 electronic technology systems and services, automated information handling, system design and 4480 analysis, conversion of data, computer programming, information storage and retrieval, 4481 telecommunications that include voice, video, and data communications, requisite system controls, 4482 simulation, electronic commerce, and all related interactions between people and machines. 4483 (i) OAH means the Department of General Services, Office of Administrative Hearings. 4484 (j) Party means the Procurement Division of the Department of General Services, the 4485 Contracting Department, the Awardee, and Protestant(s). 4486 (k) Procurement means the Procurement Division of the Department of General Services. 4487 (l) Protestant means a person or entity that was an unsuccessful Bidder to a Solicitation under 4488 the Alternative Protest Pilot Project (Public Contract Code sections 12125-12130) and that protests 4489 the award. 4490 (m) Small Business means a Certified California Small Business, pursuant to Government Code 4491 Division 3, Part 5.5, Chapter 6.5 (commencing with section 14835) and Title 2, California Code of 4492 Regulations, section 1896. 4493 (n) Solicitation means the document that describes the goods or services to be purchased, 4494 details the contract terms and conditions under which the goods or services are to be purchased, 4495 and establishes the method of evaluation and selection. 4496 (o) Solicitation File means the Solicitation and the documents used by the Contracting 4497 Department in the Solicitation process, including documents used to evaluate Bidders and select a 4498 Proposed Awardee. The Solicitation File shall remain available to the public except information that 4499 is confidential or proprietary. 4500 4501 Authority cited: Section 12126, Public Contract Code. Reference: Section 11702, Government 4502 Code; and Sections 12125-12130, Public Contract Code. 4503 4504 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4505 11343.4(d) (Register 98, No. 34). 4506 §1404. Notice of Intent to Award Contract. 4507 The Contracting Department shall post a Notice of Intent to Award Contract in a public place 4508 specified in the Solicitation, send rejection facsimiles to rejected Bidders, and send Notice of Intent 4509 to Award Contract facsimiles to any Bidder who made a written request for notice and provided a 4510 facsimile number. The Contracting Department shall indicate that the Solicitation File is available for 4511 inspection. The Contracting Department has the discretion to award a contract immediately, upon 4512 approval by the Director of the Department of General Services and, if the Solicitation was for a 4513 Major Information Technology Acquisition, the Director of the Department of Information 4514 Technology. 4515 4516 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4517 Contract Code. 4518 4519 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4520 11343.4(d) (Register 98, No. 34). 4521 4522

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4523 Article 2. Protest Procedure 4524 §1406. Notice of Intent to Protest; Service List. 4525 (a) An unsuccessful Bidder who intends to protest the awarded contract pursuant to this chapter 4526 must inform the Coordinator. The Notice of Intent to Protest must be in writing and must reach the 4527 Coordinator within the number of days specified in the Solicitation, which shall be not less than 1 4528 working day and not more than 5 working days after the posting of the Notice of Intent to Award 4529 Contract, as specified in the Solicitation. Failure to give written notice by Close of Business on that 4530 day shall waive the right to protest. 4531 (b) On the day after the final day to submit a Notice of Intent to Protest, the Coordinator shall 4532 make a service list consisting of those Bidders who did submit a Notice of Intent to Protest, the 4533 Awardee, and the Contracting Department. The Coordinator shall include addresses and facsimile 4534 numbers on this list and shall forward this service list to those Bidders who submitted a Notice of 4535 Intent to Protest. 4536 4537 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4538 Contract Code. 4539 4540 1. New article 2 (sections 1406-1418) and section filed 8-18-98; operative 8-18-98 pursuant to 4541 Government Code section 11343.4(d) (Register 98, No. 34). 4542 §1408. Filing a Protest. 4543 (a) A protest is filed by the submission of: the Detailed Written Statement of Protest and any 4544 exhibits specified in section 1412; a check or money order made payable to the Office of 4545 Administrative Hearings for the OAH filing fee of $50; and the arbitration deposit as specified in 4546 subsection (c) or (d) to the Coordinator by the Close of Business on the 7th working day after the 4547 time specified in the Solicitation for written Notice of Intent to Protest under section 1406. A copy of 4548 the Detailed Written Statement of Protest and exhibits must also be served on all Parties named in 4549 the service list as specified in section 1406. A Protestant who fails to comply with this subsection 4550 waives Protestant's right to protest. 4551 (b) Protestant(s) must provide a FAX (facsimile) number. Notification by facsimile is sufficient 4552 for service. If the Detailed Written Statement of Protest is sent to the Coordinator by facsimile, 4553 Protestant must: 4554 (1) Verify that the pages sent were all received by the Coordinator; and 4555 (2) Remit the required deposit and filing fee to Coordinator by any reasonable means. If sending via 4556 carrier, the postmark date or equivalent shall be used to determine timeliness. 4557 (c) Each Protestant not certified as a Small Business shall make a deposit of the estimated 4558 arbitration costs, by check or money order made payable to the Office of Administrative Hearings, 4559 as determined by the Estimated Contract Value. 4560 (1) For contracts up to $100,000.00, the deposit shall be $1500.00. 4561 (2) For contracts of $100,000.00 up to $250,000.00, the deposit shall be $3,000.00. 4562 (3) For contracts of $250,000.00 up to $500,000.00, the deposit shall be $5,000.00. 4563 (4) For contracts of $500,000.00 and above, the deposit shall be $7,000.00. 4564 (5) Failure to remit a timely required deposit waives the right of protest. 4565 (6) Any refund to Protestant(s) shall be made per section 1436. 4566 (d) Each Protestant certified as a Small Business shall submit a copy of the Small Business

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4567 Certification in lieu of the deposit specified in subsection (c). If Protestant is a Small Business and 4568 the protest is denied by the arbitrator, the Contracting Department shall collect the costs of the 4569 arbitration from Protestant. If Protestant does not remit the costs due, the Contracting Department 4570 may offset any unpaid arbitration costs from other contracts with Protestant and/or may declare 4571 Protestant to be a non-responsible Bidder on subsequent solicitations. 4572 4573 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4574 Contract Code. 4575 4576 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4577 11343.4(d) (Register 98, No. 34). 4578 §1410. Grounds for Protest. 4579 (a) The Public Contract Code, at section 12126(d) provides: Authority to protest under this 4580 chapter shall be limited to participating Bidders. 4581 (1) Grounds for Major Information Technology Acquisition protests shall be limited to violations of 4582 the Solicitation procedures and that the Protestant should have been selected. 4583 (2) Any other acquisition protest filed pursuant to this chapter shall be based on the ground that the 4584 bid or proposal should have been selected in accordance with selection criteria in the Solicitation 4585 document. 4586 (b) The burden of proof for protests filed under this chapter is preponderance of the evidence, 4587 and Protestant(s) must bear this burden. 4588 4589 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4590 Contract Code. 4591 4592 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4593 11343.4(d) (Register 98, No. 34). 4594 §1412. Detailed Written Statement of Protest. 4595 (a) The Detailed Written Statement of Protest must include the grounds upon which the protest 4596 is made, as specified in 1410(a). 4597 (b) The Detailed Written Statement of Protest shall contain reasons why Protestant should have 4598 been awarded the contract. 4599 (1) For Major Information Technology Acquisition protests, the Detailed Written Statement of Protest 4600 must specify each and every Solicitation procedure which was violated and the manner of such 4601 violation by specific references to the parts of the Solicitation attached as exhibits and why, but for 4602 that violation, Protestant would have been selected. 4603 (2) For other acquisition protests, the Detailed Written Statement of Protest must specify each and 4604 every selection criterion on which Protestant bases the protest by specific references to the parts of 4605 the Solicitation attached as exhibits. 4606 (3) For all protests, Protestant must specify each and every reason that all other Bidders who may 4607 be in line for the contract award should not be awarded the contract. 4608 (c) The Detailed Written Statement of Protest must be limited to 50 typewritten or computer 4609 generated pages, excluding exhibits, at a font of no less than 12 point or pica (10 characters per 4610 inch), on 8 1/2 inch by 11-inch paper of customary weight and quality. The color of the type shall be 4611 blue-black or black. In addition to a paper copy, the arbitrator may request that a Protestant submit

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4612 such information on computer compatible diskette or by other electronic means if the Protestant has 4613 the ability to do so. 4614 (d) Any exhibits submitted shall be paginated and the pertinent text highlighted or referred to in 4615 the Detailed Written Statement of Protest referenced by page number, section and/or paragraph 4616 and line number, as appropriate. 4617 (e) The Detailed Written Statement of Protest shall not be amended. 4618 (f) Protestant(s) may not raise issues in hearing which were not addressed in the Detailed 4619 Written Statement of Protest. 4620 (g) A Protestant who fails to comply with this subsection waives Protestant's right to protest. 4621 4622 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4623 Contract Code. 4624 4625 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4626 11343.4(d) (Register 98, No. 34). 4627 §1414. Review by Coordinator. 4628 (a) Within 2 working days after receipt of the Detailed Written Statement of Protest, the 4629 Coordinator shall notify the Contracting Department and the Awardee of a potential protest hearing. 4630 (b) The Coordinator shall review the Detailed Written Statement of Protest within 5 working 4631 days after receipt to preliminarily determine if the protest is Frivolous and notify Protestant of the 4632 option to withdraw or proceed in arbitration. 4633 (1) If Protestant withdraws the protest within 2 working days after the notification by the Coordinator 4634 of a preliminary determination of Frivolousness, the Coordinator shall withdraw the preliminary 4635 finding of Frivolousness and refund Protestant's deposit and filing fee. 4636 (2) If the Protestant previously filed two protests under the Alternative Protest Pilot Project 4637 preliminarily determined Frivolous by the Coordinator but then withdrew or waived them before the 4638 arbitration decision, the Coordinator shall make final the preliminary determination of Frivolousness 4639 for the Department of General Services. 4640 4641 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4642 Contract Code. 4643 4644 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4645 11343.4(d) (Register 98, No. 34). 4646 §1416. Review and Response by Contracting Department and Awardee. 4647 (a) The Awardee shall have 7 working days after notification by the Coordinator to submit to the 4648 Coordinator and Protestant a response to the Detailed Written Statement of Protest. 4649 (b) The Contracting Department, in conjunction with the Coordinator, shall have 7 days after the 4650 filing of the Detailed Written Statement of Protest to send a response to Protestant and Awardee. 4651 (c) Responses shall follow the standards set forth in section 1412(c) and (d). 4652 4653 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4654 Contract Code. 4655 4656 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4657 11343.4(d) (Register 98, No. 34).

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4658 §1418. Bond Requirement. 4659 (a) If the Coordinator has determined that a protest is Frivolous and the Protestant does not 4660 withdraw the protest, the Protestant shall be required to post a bond in an amount not less than 4661 10% of the Estimated Contract Value. 4662 (b) The percentage of the bond shall be determined by the Contracting Department and 4663 specified in the Solicitation. 4664 (c) Protestant shall post the bond, pursuant to Chapter 2 (commencing with section 995.010) of 4665 Title 14 of Part 2 of the Code of Civil Procedure, within 15 working days of the filing of the Detailed 4666 Written Statement of Protest or shall be deemed to have waived the right to protest. 4667 (1) If the arbitrator determines that the protest is Frivolous, the bond shall be forfeited to 4668 Procurement and the Coordinator will impose Sanctions. 4669 (2) If the arbitrator determines that the protest is not Frivolous, the bond will be returned to the 4670 Protestant and no Sanctions imposed. 4671 4672 Authority cited: Section 12126, Public Contract Code. Reference: Sections 995.010 et. seq., Code 4673 of Civil Procedure; and Sections 12125-12130, Public Contract Code. 4674 4675 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4676 11343.4(d) (Register 98, No. 34). 4677 4678 Article 3. Arbitration Procedure 4679 §1420. Arbitration Process. 4680 Within 19 calendar days after the Notice of Intent to Award has been posted, the Coordinator shall 4681 consolidate all remaining protests under the Solicitation, and send to OAH: 4682 (a) a copy of all Detailed Written Statements of Protest; 4683 (b) OAH filing fees; 4684 (c) arbitration deposits, and/or notice that any Protestant is a Small Business; 4685 (d) Awardee responses; 4686 (e) Coordinator/Contracting Department responses; 4687 (f) the Solicitation File; and 4688 (g) notice to OAH whether interpreter services will be needed for any Protestant or Awardee. 4689 OAH shall arrange interpreter services which shall be paid by the Contracting Department. 4690 4691 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4692 Contract Code. 4693 4694 1. New article 3 (sections 1420-1440) and section filed 8-18-98; operative 8-18-98 pursuant to 4695 Government Code section 11343.4(d) (Register 98, No. 34). 4696 §1422. Selection of Arbitrator. 4697 (a) Within 2 working days after receipt of the protest from the Coordinator, OAH shall furnish the 4698 names of ten arbitrators to Protestant(s), the Awardee, and the Coordinator. The arbitrator list shall 4699 include administrative law judges who are employees of OAH and contract private arbitrators who 4700 are not employees of the State of California. Protestant(s), the Awardee, and the Coordinator may 4701 each strike two of the ten names and notify OAH within 2 working days. Protestant(s) may also 4702 indicate if they prefer a contract arbitrator or an OAH administrative law judge. OAH may then select

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4703 as arbitrator any name not stricken and shall notify Protestant(s), the Awardee, and the Coordinator 4704 within 2 working days. If all names are stricken, the Director of OAH shall appoint an arbitrator. 4705 (b) A proposed arbitrator shall be disqualified on any of the grounds specified in Section 170.1 4706 of the Code of Civil Procedure for the disqualification of a judge. 4707 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4708 Contract Code. 4709 4710 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4711 11343.4(d) (Register 98, No. 34). 4712 §1424. Authority of Arbitrator. 4713 (a) Arbitrators are authorized to: 4714 (1) Administer oaths and affirmations; 4715 (2) Make rulings and orders as are necessary to the fair, impartial, and efficient conduct of the 4716 hearing; and 4717 (3) Order additional deposits from Protestant(s) to cover additional estimated costs. If OAH does not 4718 receive the required deposit(s) in the time specified, the right to protest will be deemed waived. 4719 (b) The arbitrator shall have exclusive discretion to determine whether oral testimony will be 4720 permitted, the number of witnesses, if any, and the amount of time allocated to witnesses. 4721 (c) It shall be in the arbitrator's exclusive discretion to determine whether to: 4722 (1) Conduct a prehearing conference; and/or 4723 (2) Permit cross-examination and, if so, to what extent; and/or 4724 (3) Review documents alone for all or part of the protest. 4725 (d) It shall be in the arbitrator's exclusive discretion to determine whether additional responses 4726 and rebuttals are to be submitted, and the timelines and page limits to be applied. 4727 4728 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4729 Contract Code. 4730 4731 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4732 11343.4(d) (Register 98, No. 34). 4733 §1426. Decision Based in Whole or in Part on Documents Alone. 4734 Any Party may request that the arbitrator base the arbitrator's decision on documents alone. It shall 4735 be the arbitrator's exclusive discretion to do so. 4736 4737 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4738 Contract Code. 4739 4740 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4741 11343.4(d) (Register 98, No. 34). 4742 §1428. Prehearing Conference. 4743 (a) If the arbitrator determines that a prehearing conference is necessary, OAH shall set the 4744 time and place and notify Protestant(s), the Awardee, and Procurement at least 5 working days 4745 prior to the prehearing conference. 4746 (b) The prehearing conference shall be held to identify and define issues in dispute and 4747 expedite the arbitration. The parties should be prepared to discuss, and the arbitrator may consider 4748 and rule on, any of the following matters applicable to the protest:

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4749 (1) Clarification of factual and legal issues in dispute as set forth in the Detailed Written Statement 4750 of Protest. 4751 (2) The extent to which testimony shall be permitted and the extent to which cross-examination will 4752 be allowed. 4753 (3) Identity of and limitations on number of witnesses, need for interpreters, scheduling and order of 4754 witnesses, etc. 4755 (4) Any other matters as shall promote the orderly and efficient conduct of the hearing. 4756 (c) At the prehearing conference, Protestant(s), the Awardee, and Procurement shall deliver a 4757 written statement which contains the name of each witness a party wishes to call at hearing along 4758 with a brief written statement of the subject matter of the witness's expected testimony. If the 4759 arbitrator, in his or her exclusive discretion, allows an expert witness to be called, the party calling 4760 the witness shall provide the name and address of the expert along with a brief statement of the 4761 opinion the expert is expected to give. The party shall also attach a statement of qualifications for 4762 the expert witness. 4763 4764 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4765 Contract Code. 4766 4767 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4768 11343.4(d) (Register 98, No. 34). 4769 §1430. Scheduling the Hearing. 4770 The arbitrator shall schedule the date, time, and place of hearing and notify all Parties. 4771 4772 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4773 Contract Code. 4774 4775 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4776 11343.4(d) (Register 98, No. 34). 4777 §1432. Discovery. 4778 The arbitrator has exclusive discretion to issue subpoenas and/or subpoena duces tecum. There 4779 shall be no right to take depositions, issue interrogatories, or subpoena persons or documents. 4780 4781 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4782 Contract Code. 4783 4784 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4785 11343.4(d) (Register 98, No. 34). 4786 §1434. Attendance at Hearings. 4787 The Arbitration hearings shall be open to the public unless the arbitrator, in his or her exclusive 4788 discretion, determines that the attendance of individuals or groups of individuals would disrupt or 4789 delay the orderly conduct or timely completion of the proceedings. 4790 4791 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4792 Contract Code. 4793

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4794 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4795 11343.4(d) (Register 98, No. 34). 4796 §1436. Arbitrator's Decision. 4797 (a) The final decision shall be in writing and signed by the arbitrator. It shall include a Statement 4798 of the Factual and Legal Basis for the decision, addressing the issues raised in the Detailed Written 4799 Statement(s) of Protest, and shall include an order upholding or denying the protest(s). The 4800 arbitrator's order shall not award a contract. 4801 (b) A copy of the decision shall be sent by regular mail to Procurement, the Contracting 4802 Department, the Awardee, and Protestant(s) within 45 calendar days after the filing of the first 4803 Detailed Written Statement of Protest. In the arbitrator's exclusive discretion, this timeline may be 4804 extended for an additional 15 calendar days. The arbitrator's failure to issue a decision within the 4805 time specified by this section shall not be a ground for vacating the decision. 4806 4807 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4808 Contract Code. 4809 4810 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4811 11343.4(d) (Register 98, No. 34). 4812 §1437. Costs. 4813 (a) For protests not determined Frivolous by Procurement: 4814 (1) If the arbitrator denies the protest, Protestant(s) will be liable for all costs of the arbitration. 4815 (2) If the arbitrator upholds the protest, the Contracting Department shall pay for all costs of the 4816 arbitration and Protestant(s) will be refunded the deposit by OAH. 4817 (b) If Procurement determined that the protest was Frivolous and the arbitrator affirms that the 4818 protest is Frivolous, the bond shall be forfeited to Procurement, the protest will be denied, and 4819 Protestant(s) will be liable for all costs of the arbitration. 4820 (c) If Procurement determined that the protest was Frivolous and the arbitrator determines that 4821 the protest is not Frivolous, any bond(s) posted by Protestant(s) shall be returned: 4822 (1) If the arbitrator denies the protest, Protestant(s) shall be liable for half of the costs of the 4823 arbitration. The Contracting Department shall pay the remaining half of the arbitration costs. 4824 (2) If the arbitrator upholds the protest, the Contracting Department shall pay for all costs of the 4825 arbitration and Protestant(s) will be refunded the deposit by OAH. 4826 (d) A Protestant who withdraws his or her protest before the arbitrator's decision has been 4827 issued will remain liable for all arbitration costs up to the time of withdrawal. These costs include, 4828 but are not limited to, the arbitrator's time in preparation, prehearing conferences, and hearing the 4829 protest. If Procurement deemed the protest Frivolous, any bond posted shall be forfeited to 4830 Procurement. 4831 (e) Except as provided in (f), if any costs are determined to be payable by Protestant(s), that 4832 amount shall be subtracted from deposit(s) of Protestant(s) as ordered by the arbitrator. Any 4833 additional costs shall be billed to Protestant(s) and any refunds shall be sent to Protestant(s) by 4834 OAH. 4835 (f) If a Protestant is a Small Business, then the Contracting Department shall pay OAH all 4836 arbitration costs and collect the amount due from Protestant. 4837

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4838 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4839 Contract Code. 4840 4841 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4842 11343.4(d) (Register 98, No. 34). 4843 §1438. Judicial Review. 4844 The grounds for judicial review shall be as set forth in Chapter 4 of Title 9 of Part III of the Code of 4845 Civil Procedure (commencing with section 1285). 4846 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4847 Contract Code. 4848 4849 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4850 11343.4(d) (Register 98, No. 34). 4851 §1440. Transcripts. 4852 (a) A party desiring a transcript of the proceedings shall contact the OAH Transcript Clerk to 4853 make arrangements to pay for preparation of the transcript. Prior to preparation of the transcript, a 4854 deposit equal to the estimated cost of the transcript shall be paid. Preparation of the transcript will 4855 be arranged by the OAH Transcript Clerk. The deposit shall be applied to the actual cost and any 4856 excess shall be returned to the party that submitted the request. Any balance due shall be paid by 4857 the party or a representative on behalf of the party requesting the transcript before the transcript is 4858 released to the requesting party. 4859 (b) Unless a record of a proceeding or any portion thereof was sealed, any person may request 4860 a transcript or a recording of the proceeding. If a record of a proceeding or any portion thereof was 4861 sealed, only parties to the proceeding may request a transcript of the sealed portions, and the 4862 sealed portions shall not be disclosed to anyone except in accordance with the order sealing the 4863 proceeding or subsequent order. 4864 4865 Authority cited: Section 12126, Public Contract Code. Reference: Sections 12125-12130, Public 4866 Contract Code. 4867 4868 1. New section filed 8-18-98; operative 8-18-98 pursuant to Government Code section 4869 11343.4(d) (Register 98, No. 34). 4870 4871

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4872 Attachment 4: Solicitation Submission Checklist 4873 (This Attachment is not required to be submitted with your solicitation response.)

4874 Does your Final Proposal follow the format specified in Section 6? 4875 Packaged and labeled as identified in Section 6 4876 Provided in the number of copies and formatted as identified in Section 6 4877 No cost data provided in any volumes, except in Volume 3 4878 Has your firm submitted the following Exhibits?

4879 Is your Final Proposal provided in the following order, as identified in Section 6?

4880 Volume 1: Response to Administrative Requirements 4881 Cover letter with original signature and information as specified in 4882 Subsection 3.9 4883 Exhibit 2: Intent to Bid (if not already submitted) 4884 Exhibit 3: Confidentiality Statement (if not already submitted) 4885 Exhibit 4: Response to Administrative Requirements 4886 Exhibit 5: GSPD 05-105, Bidder Declaration 4887 Exhibit 6: Secretary of State Certification 4888 Exhibit 7: Workers’ Compensation Certification 4889 Exhibit 8: Seller’s Permit Certification 4890 Exhibit 9: Payee Data Record 4891 Exhibit 10: Iran Contracting Act of 2010 4892 Exhibit 11: Bond and Other Security Documents 4893 Exhibit 13: Bidding Preferences and Incentives 4894 Exhibit 14: Commercially Useful Function Certification Form 4895 Exhibit 23: Responsibility Certification 4896 Exhibit 24: Federal Responsibility Certification 4897 Exhibit 12: DVBE Declarations (required if claiming DVBE incentive) 4898 Exhibit 15: STD 830. TACPA Preference Request (required if claiming 4899 TACPA preference) 4900 Exhibit 18: Bidder Qualifications and References

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4901 Exhibit 18.1: Bidder Qualifications Form 4902 Exhibit 18.2: Bidder Reference Forms 4903 Exhibit 19: Key Staff Qualifications and References 4904 Exhibit 19.1 through 19.11: Key Staff Qualifications Forms 4905 A copy of the Project Manager’s PMI certificate, as proof of current 4906 certification 4907 A copy of the Business Analyst Lead’s International Institute of 4908 Business Analysts (IIBA) certificate, as proof of current certification, if 4909 applicable 4910 A copy of the Help Desk Manager’s Help Desk Institute (HDI) or other 4911 Help Desk professional certificate, as proof of current certification, if 4912 applicable 4913 Exhibit 19.12: Key Staff Reference Forms 4914 Exhibit 25: Narrative Response Requirements 4915 Exhibit 20: Functional and Technical Requirements 4916 Exhibit 20.1: Functional Requirements 4917 Exhibit 20.2: Technical Requirements 4918 Exhibit 21: Deliverables 4919 Exhibit 21.1: Deliverables List 4920 Exhibit 21.2: Deliverables Table 4921 Volume 2: Contract 4922 Exhibit 1: STD 213, Standard Agreement 4923 Appendix A: Statement of Work 4924 Attachment A.1: Service Level Agreements and Liquidated Damages 4925 Attachment A.2: GSPD 401 IT for eWIC MIS Project 4926 Attachment A.3: Special Provisions for eWIC MIS Project

4927 Volume 3: Cost 4928 Exhibit 22: Cost Workbook

4929 Volume 4: Literature (Optional)

4930 This volume may contain no marketing material.

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4931 The State makes no warranty that the checklist is a full and comprehensive listing 4932 of every requirement specified in the solicitation. Checking off the items on the 4933 checklist does not establish your firm’s intent nor does it constitute 4934 responsiveness to the requirements. The checklist is only a tool to assist 4935 participating Bidders in compiling the Final Proposal. Bidders are encouraged to 4936 carefully read the entire solicitation. The need to verify all documentation and 4937 responses prior to the submission of Final Proposals cannot be over- 4938 emphasized. 4939

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4940 4941 4942 4943 4944 4945 4946 4947 PAGE INTENTIONALLY LEFT BLANK

4948

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4949 Attachment 5: Glossary

Attachment 5.1: Acronyms

Acronym Definition ADA Americans with Disabilities Act AOMB Average Overall Market Basket APL Approved Product List BAQ Business Analyst Lead Qualification BFPC Breastfeeding Peer Counseling BOE California Board of Equalization BMI Body Mass Index BQ Bidder Qualification BRF Bidder Reference C In Exhibit 20, refers to a California-specific business practice. CAD Card Acceptance Devices CalFresh CDSS program, federally known as the USDA Supplemental Nutrition Assistance Program (SNAP). CALSTARS California State Accounting and Reporting System, federally known as TANF. CalWORKs California Work Opportunity and Responsibility to Kids CCR California Code of Regulations CDSS California Department of Social Services CDPH California Department of Public Health CDPH/ITSD CDPH Information Technology Services Division CDPH/WIC California WIC Division CDT California Department of Technology CFR Code of Federal Regulations CGEN California Government Enterprise Network CHHS California Health and Human Services Agency CMQ Contract Manager Qualification CMP Civil Money Penalties CORE CALSTARS Online Reporting Environment CUF Commercially Useful Function CVB Cash Value Benefit CVV Cash Value Voucher DARE Data Analysis, Research, and Evaluation Section

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Attachment 5.1: Acronyms Acronym Definition DCQ Data Conversion Lead Qualification DDL Data Definition Language DED Deliverable Expectations Document Deski SAP Business Object's Desktop Intelligence DFEH Department of Fair Employment and Housing DGS California Department of General Services DHCS California Department of Health Care Services DML Data Manipulation Language DOL Department of Labor DS Desirable Scored, requirement scoring type DVBE Disabled Veteran Business Enterprise DS Desirable Scored, requirement scoring type EBA Electronic Benefit Account EBT Electronic Benefit Transfer F In Exhibit 20, refers to a USDA FNS Functional Requirement FAQs Frequently Asked Questions FI Food Instrument FI$CAL Financial Information System for California FISMA Federal Information Security Management Act FMNP Farmers’ Market Nutrition Program FNS Food and Nutrition Services FReD USDA FNS Functional Requirements Document GUI Graphical User Interface HDI Help Desk Institute IaaS Infrastructure as a Service IAPD Implementation Advanced Planning Document ID Identification number IIBA International Institute of Business Analysis IMQ Implementation Manager Qualification INEP Individual Nutrition Education Plan IOM Institute of Medicine IPO Independent Project Oversight ISO International Organization for Standardization

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Attachment 5.1: Acronyms Acronym Definition ISO/SR1 CDPH Information Security Systems Security Requirements for Projects IT Information Technology ITIL Information Technology Infrastructure Library IV&V Independent Verification and Validation LLC Limited Liability Company LLP Limited Liability Partnership LP Limited Partnership M Mandatory, requirement scoring type MADR Maximum Allowable Department Reimbursement or maximum prices allowed by peer group Medi-Cal California Medical Assistance Program, federally known as the Medicaid program. MEDS Medi-Cal Eligibility Data System MIS Management Information System MO Mandatory Optional, requirement scoring type MS Mandatory Scored, requirement scoring type MVC Military and Veterans Code M&O Maintenance and Operations NIST SP National Institute of Standards and Technology Special Publication NOA Notice of Action NSA Nutrition Services and Administration NUPC National Universal Product Code database NVRA National Voter Registration Act O Optional, requirement scoring type OCM Organizational Change Management OLTP MIS Online transactional processing database OSDS Office of Small Business and DVBE Services OSI Office of Systems Integration OTech CDT Office of Technology Services PaaS Platform as a Service PAN Primary Account Number PCC Public Contract Code PCDB Breastfeeding Peer Counseling Database PHFE WIC Public Health Foundation Enterprises WIC Program

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Attachment 5.1: Acronyms Acronym Definition PII Personally Identifiable Information PIN Personal Identification Number PLU Price Look Up code PMQ Project Manager Qualification PMV Program Monitoring Visit QMF IBM's Query Management Facility RDBMS Relational Database Management System RFP Request for Proposal RMV Routine Monitoring Visit RTC Regional Training Centers RTM Requirements Traceability Matrix SaaS Software as a Service SAM State Administrative Manual SAS Statistical Analysis System SDLC System Development Life Cycle SFTP Secure File Transfer Protocol SIMM Statewide Information Management Manual SLA Service Level Agreement SME Subject Matter Expert SNAP USDA Supplemental Nutrition Assistance Program. California’s SNAP is administered by the Department of Social Services and is known as CalFresh. SOW Statement of Work SQL Structured Query Language SRF Key staff reference requirement SRS System Requirements Specification SCO State Controller’s Office STO State Treasurer's Office STPD Statewide Technology Procurement Division TACPA Target Area Contract Preference Act TANF U.S. Department of Health and Human Services, Temporary Assistance for Needy Families Program. California’s TANF is known as CalWORKS. TIG WIC EBT Technical Implementation Guide TIP The Integrity Profile Report

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Attachment 5.1: Acronyms Acronym Definition TMQ Technical Manager Qualification TRQ Training Manager Qualification TSQ Testing Manager Qualification UAT User Acceptance Testing USC United States Code UPC Universal Product Code USDA United States Department of Agriculture USPS United States Postal Service VCC CDPH Virtual Contact Center VDI Virtual Desktop Infrastructure VMB CDPH/WIC Vendor Management Branch VOC Verification of Certification VPN Virtual Private Network VWIX Vendor WIC Information eXchange WAA Web Application Architecture WAFL SG WIC Authorized Food List Shopping Guide WBS Work Breakdown Structure WIC Women, Infants, and Children WIF WIC Identification Folder WIX WIC Information eXchange WPPM The California WIC Policy and Procedure Manual W WIC Universal MIS-EBT Interface requirement in Exhibit 20; identified as (W) in Source column. WUMEI WIC Universal MIS-EBT Interface 4950 4951 4952

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition A50 Vendor Category of vendors that receive more than 50% of their annual food sales revenue from WIC redemptions. Acceptance A Notice from the State to the Contractor that a Deliverable or Service has satisfied the Acceptance Criteria or met the Specifications described in Exhibit A of this Contract, and/or in a Work Authorization for that Deliverable or Service. Acceptance Criteria The Specification(s) against which Deliverables and Services shall be evaluated as the basis for Acceptance, as described in Appendix A of this Contract, and/or in a Work Authorization for that Deliverable or Service. Acceptance Test(s) The definition of “Acceptance Test(s)” provided here shall supersede the definition of “Acceptance Test” in the General Provisions – Information Technology 401-IT: A test that is: (i) managed by the Contractor according to State- approved Acceptance Criteria, at a time and facility, and with participants coordinated by the Contractor; and (ii) performed by the State, and local agencies, or their authorized agent(s) or third-party contractor(s) to determine whether the Deliverable, Service, or part thereof subject to the Acceptance Test meets the Acceptance Criteria. Adapter A hardware device or software component that converts transmitted data from one form to another. Agency/State entity Includes every state office, officer, department, division, bureau, board, and commission, including Constitutional Officers. “State entity” does not include the University of California, California State University, the State Compensation Insurance Fund, the Legislature, or the Legislative Data Center in the Legislative Counsel Bureau. Amendment A legally permissible modification to the Contract. Bid The word "bid" as used throughout is intended to mean "proposed," "propose," or "proposal" as appropriate. Business Day(s) All weekdays on which the State is open to the public to conduct business.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Business Requirements Higher-level statement of the goals, objectives, or needs of the Agency/state entity. Business requirements describe the reasons why a project has been initiated, the objective that the project will achieve, and the metrics that will be used to measure its success. Business requirements describe the needs of the Agency/state entity as a whole, not the groups or stakeholders within it. Calendar Day(s) All days in a month, including weekends and holidays, unless otherwise indicated in this Contract. Caseload The number of participants a WIC local agency should be serving each month. Cash Value Benefit A fixed dollar amount electronic benefit (accessed via EBT card) that is used by a participant to obtain authorized fruits and vegetables. Cash Value Voucher A fixed dollar amount check, voucher, or other document that is used by a participant to obtain authorized fruits and vegetables. CDPH/WIC California’s Special Supplemental Nutrition Program for Women, Infants, and Children. Charges Amounts to be paid by the State to the Contractor under this Contract, including fees and costs described in Exhibit 22, Cost Worksheets. Cherwell CDPH/ITSD's ITIL-based issue, incident, and change management tracking system, used to identify and track all defects and anomalies reported during the Project, Pilot, and statewide rollout. Commercial Off- The-Shelf A computer hardware or software product that is ready-made for Software specific uses and available for sale to the general public. COTS products are designed to be installed without requiring custom development. For example, Microsoft Office is a COTS product that is a packaged software solution for businesses and individuals.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Complex MIS For purposes of this solicitation requirements, an MIS project that: • Encompasses all System Development Life Cycle (SDLC) phases. • Involves multiple processing methods, technologies, and media to support a multi-layer organization (having two (2) or more administrative tiers) with 50 or more distinct sites or locations. • Includes user, recipient, and external system interfaces with system-enforced, role-based secure data access and entry privileges. • Requires data conversion, external system interface development, and integration with other applications.

Confidential Information Various trade secrets and confidential information of each party, subject to State and Federal law and the requirements described therein, including without limitation: all proprietary and confidential information of the State, Local Agencies, or Contractor, such as the Data, trade secrets, designs, drawings, specifications, computer programs, support materials, or other records concerning the State, Local Agencies, or Contractor and their finances, contracts, services, or personnel; information concerning Participants; the Documentation; the other Specifications; the Software; the Work Plan; the other Deliverables; any information or documentation concerning the State’s, a Local Agency’s, or Contractor’s plans or operations that are learned by Contractor, a Local Agency, or the State during the performance of this Contract; or information designated as confidential by the State, Local Agency, or Contractor. Contractor must designate in writing or stamp as confidential and proprietary the information it considers to be its Confidential Information. Contract Award The event following Notification of Intent to Award, as scheduled in the RFP, Section 2.3, Key Action Dates. Contractor Staff Contractor’s employees, Subcontractors and agents who shall provide the Services on behalf of Contractor. Cure Notice The Notice which is provided by the State to the Contractor and which initiates the time period for the Contractor to cure its breach or default.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Custom solution Typically, computer software developed for a specific customer to accommodate the customer's particular requirements, preferences, and expectations. Data The State’s records, files, forms, data, and other information and documents in electronic or hard copy form. Data extract The new MIS retrieves and extracts data for further processing or storage outside of the system. Day(s) Calendar day, unless otherwise indicated. Defect An error or fault in any system component or specification that results in the system not meeting business needs. A failure of a deliverable or service or an omission, defect or deficiency in a deliverable or service, which (in the user’s judgment) caused it not to conform to its specification. Defects may be in hardware software, or other equipment, or may be in specification such as requirements or design. Deficiency, Deficiencies A failure of a Deliverable or Service, or an omission, defect, error, or inadequacy in a Deliverable or Service, causing it not to conform to applicable Specifications. Delivery Date(s) The date(s) described in an accepted Project Schedule or this Contract for the delivery of the Deliverables and Services to the State. Desirable Scored Bidder is not required to respond to Desirable Scored (DS) bid requirements, but if it does, Bidder may earn points based on its response. Failure to respond to a (DS) requirement will result in Bidder receiving no (DS) points. The State’s evaluation team will review responses to (DS) requirements and apply points, if applicable, per criteria stated in Section 7, Evaluation.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Development(s) All materials, including but not limited to, all Deliverables, designs, drawings, technical data or design documents, reports, memoranda, studies, plans, formulas, compositions, processes, specifications, notes, statements, artwork, techniques, Software (including data and related documentation), exhibits, and any other documents or materials that are: (i) made, conceived of, or developed, in whole or in part, by the Contractor or its subcontractors in its performance of Services; or (ii) modifications made by or on behalf of the Contractor to Commercial/Third Party Software (but not the Commercial /Third Party Software itself), designed, developed or installed with Federal financial participation. Device See Peripheral Devices. EBT for WIC The portion of the EBT3 contract services that provide EBT implementation services for the California WIC Program. EBT3 project Managed by the OSI, the EBT3 project automates food and cash benefit issuance for CDSS and CDPH/WIC assistance programs Enhancement(s) System functionality that may be added at a future date. Not considered part of the core system. This includes updates, upgrades, additions, changes to, or new releases, in whole or in part, for the System. Equipment Is an all-inclusive term which refers either to individual Machines or to a complete Data Processing System or Subsystem, including its Hardware and Operating Software (if any). eWIC MIS Project The electronic Women, Infants, and Children Management Information System (eWIC MIS) Project managed by OSI that has the objective of replacing the legacy MIS and implementing a USDA- approved WIC MIS transfer system statewide that will interface with the WIC EBT system to replace paper Food Instruments with electronic Food Benefits. eWIC MIS Project Team The eWIC MIS Project Team includes OSI eWIC MIS Project staff, CDPH/WIC Division staff, CDPH/ITSD staff, and OTech staff dedicated to working on the eWIC MIS Project. Execution Date The date on which the Contract has been approved by the Food and Nutrition Service (FNS), executed by the Contractor and the Office of Systems Integration, and approved by the CDT. Federal Of or relating to the national government of the United States.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Form A template that uses both data from the new MIS and user inputs or modifications. Functional Requirements Functional requirements represent the business objectives, needs and outcomes of all stakeholders. They should be organized and presented in context of and with a baseline business process/workflow that they describe. They provide a description of what an enabling solution should provide and specifies essential details of a solution for stakeholders as a means to express and manage expectations. They describe actions and operations that the solution must be able to perform. They can describe services, reactions, and behaviors of the solution. They also describe information the solution will manage. The requirements should be expressed in business terms and should not include any technical references. The requirement should identify “what” is required to meet the business objective, not “how” the requirement will be implemented. Hardware Usually refers to computer Equipment and is contrasted with Software. See also Equipment. Incomplete certification An applicant is presumed eligible, but they are missing documentation. WIC will certify the applicant and allow a 30 day grace period to submit the missing documentation. Installation The process of having Equipment Installed at a Site. Install(ed) Equipment that has been delivered to and made operational at the Site for which it was designated and has been demonstrated by the Contractor as capable of performing according to the applicable functional requirements. Installation Schedule The date(s) in the Master Work Plan for completing Installation of Equipment. Key Staff Contractor staff fulfilling the roles of Project Manager, Technical Manager, Business Analyst Lead, Data Conversion Manager, Implementation Manager, Training Manager, Testing Manager, System Architect, Contract Manager, Database Administrator, and Help Desk Manager whose responsibilities are identified in Appendix A, Statement of Work, Section E.14, Key Staff. Large-scale MIS An MIS with more than 1,000 end users.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Legacy MIS The combination of all current systems, both mainframe and auxiliary, that together support CDPH/WIC information management needs. Letter Data from the new MIS is used to generate a formal document to print and/or mail. ListServ Software used by CDPH/WIC for managing and distributing electronic communications (e.g., e-mail transmissions) to and from a list of subscribers. Local agency County and city governments, as well as private non-profit community organizations, which contract with CDPH to operate CDPH WIC service sites. Mandatory Mandatory (M) administrative requirements are not negotiable. To be considered responsive and responsible to these requirements, all requirements identified as (M) must be responded to. A “fail” will result in a proposal being deemed non-responsive and, therefore, will be disqualified. Failure to respond to any mandatory requirements shall result in disqualification of the proposal. The responses will be evaluated in accordance with Section 7, Evaluation. Mandatory (M) bid requirements are not negotiable and are scored on a pass/fail basis. Failure to respond to an (M) requirement will result in Bidder’s proposal being deemed non-responsive and, therefore, disqualified. Mandatory Optional Mandatory Optional (MO) bid requirements are not negotiable and are scored on a pass/fail basis. Bidder must respond to and agree to meet Mandatory Optional requirements, but, it is at the State’s discretion whether or not to exercise the option to include them in the Contract. Failure to respond to an (MO) requirement will result in Bidder’s proposal being deemed non-responsive and, therefore, disqualified. Mandatory Scored Mandatory Scored (MS) bid requirements are not negotiable and are scored on a pass/fail basis. If the Bidder achieves a “pass,” Bidder will earn points based on its response. Failure to respond to an (MS) requirement will result in Bidder’s proposal being deemed non- responsive and, therefore, disqualified. The State’s evaluation team will review responses to (MS) requirements and apply points, if applicable, per criteria stated in Section 7, Evaluation.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Material Deviation A Bidder’s proposal response that is not in substantial accord with the solicitation requirements, provides an advantage to one Bidder over other Bidders, or has a potentially significant effect on the delivery, quantity, or quality of items bid, amount paid to the supplier, or on the cost to the State. Medi-Cal California’s version of the federal Medicaid program. MIS A computerized information processing system that provides an organization with information and tools to organize, evaluate, and efficiently manage its business activities, and to make operational, tactical, and strategic decisions. An MIS captures and consolidates relevant data from multiple sources, stores it in a centralized database, and outputs information in a form that is useable by staff at all levels of the organization. Functionality is business-specific and typically results in fixed, regularly scheduled reports in detailed or summary form, as well as ad hoc reporting and online query capabilities. Network Services The OTech Wide Area Network and the services associated with the installation, support and monitoring of the network. New MIS Refers to the proposed solution. Notice A written document given by one party to another. Notification Data from the new MIS is used to generate an electronic message to a user. Optional All subsections labeled as “Optional” or “O” are not required to be offered by the Bidder in order to be compliant to the solicitation requirements. A Bidder may choose whether to meet administrative requirements labeled as (O), such as those relating to preference points. However, if a Bidder offers any of these (O) requirements, the Bidder must meet the minimum requirements as stated in the subsection. The State will review responses to optional requirements and apply points, if applicable, per criteria stated in Section 7, Evaluation. Participant Pregnant women, breastfeeding women, postpartum women, infants and children who are receiving supplemental foods or food instruments or cash-value vouchers under the California WIC Program, and the breastfed infants of participant breastfeeding women.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Payment Milestone The completion of an event to the State’s satisfaction that permits a payment to the Contractor as defined in the RFP Table 5-1, eWIC MIS Project Payment Milestones and Exhibit 21: Deliverables. Performance Standard(s) The standard(s), as described in the Contract, that the System in whole and in part shall meet. Peripheral Devices Any device, such as a printer, modem, or CAD, concerned with input/output, storage, etc. Plug-in Software add-on to a program or application that adds functionality. Productive Use Refers to equipment that is currently supported by the manufacturer and deployed and in production for other systems prior to use on this Project. Priority Levels Severity levels used by the eWIC MIS Project for tracking and resolving project and system related issues, as specified in Attachment A.1, Service Level Agreement and Liquidated Damages. Project The planned undertaking regarding the entire subject matter and terms of this Contract, and the activities of all parties related to the System. Project Schedule The schedule of Project activities and events as approved by the State. Proposal A Bidder’s offer to the State to provide the goods and services requested in the RFP #31875. Retailer Categories of WIC-authorized vendors, to include: A50, full line grocer, or other retailer type. Report The new MIS creates a standard data file. Sandbox An isolated environment in which the Contractor has installed its proposed transfer system, as is or “out of the box.” Service(s) The Tasks and activities provided by the Contractor in support of the obligations and responsibilities required by this Contract to implement and operate the System, including Project management and oversight of all Deliverables. Service Level Agreement (SLA) The standards to which the System shall perform and which Services and Deliverables will meet as described in Attachment A.1, Service Level Agreements and Liquidated Damages. Site(s) Physical location(s) where Equipment is installed.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Software Means an all-inclusive term which refers to any computer programs, routines, or subroutines supplied by the Contractor, including Operating Software, Programming Aids, Application Programs, and Program Products. Solution Requirements Describes the characteristics of a solution that will meet the business requirements. Solution requirements describe specific characteristics of the solution both in terms of functionality and quality of service. Solution requirements are sub-classified into functional requirements and technical requirements. Source Code Program instructions that must be translated by a compiler, interpreter, or assembler into object code before execution. Sparx – Enterprise Architect The visual modeling and design tool the Project will use Specifications A statement, description, accounts, or listing that prescribes materials, elements, dimensions, or workmanship for the System or a component of the System and is provided in the System Requirements Specification; the Deliverables; manufacturers’ published specifications, or the Documentation. State Refers to the State of California. Business Day Monday through Friday, 8 a.m. to 5 p.m., Pacific Time, excluding State and federal holidays. State Data Center The State Data Center also referred to as the Office of Technology Services (OTech) includes both the Rancho Cordova and the Vacaville locations. State Project Director The individual chosen by the State with day-to-day management responsibilities for the Project. State Project Office The physical office located in Sacramento, California which serves as the headquarters for the State staff on the eWIC MIS Project. Statewide Rollout The process of implementing the new MIS at all State and local agencies, and their Sites. Store Categories of WIC-authorized vendors, to include: big box, chain, convenience, commissaries, and other store types. Stop Work Order A written Notice to the Contractor issued pursuant to paragraph 45 of the General Provisions – Information Technology 401-IT, that requires the Contractor to stop all, or any part, of the work called for by this Contract.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Subcontractor A person, partnership, or company with which Contractor has entered into a Contract to provide Equipment, Software or perform Services under this Contract on behalf of the Contractor. Supplies Materials needed for complete operation of Equipment or Services such as printer toner cartridges and printer paper. System of Record In production as the authoritative data source for the business function Tasks Activities to be performed by Contractor and State under this Contract, including without limitation, work in progress. Technical Requirements Technical requirements provide criteria to evaluate the operation of an enabling solution and primarily represent qualities of (expectations and characteristics) and constraints on (e.g., governmental regulations) the solution. They capture conditions that do not directly relate to the behavior or functionality of the solution, but rather describe environmental conditions of an effective solution or productive qualities of the solution. Mid-level non-functional requirements also define quality of service requirements, such as those relating to required capacity, speed, security, privacy, availability, response time, throughput, usability, and the information architecture and presentation of the user. Third Party Software Software which is: (a) developed by third parties, including without limitation Subcontractors; (b) generally distributed or available for commercial or government use; (c) not specifically designed or developed for the State, including without limitation operating system software, tools, utilities, and commercial-off-the-shelf software; and (d) supplied by Contractor for use with the System pursuant to this Agreement. Tier III Data Center A data center that comprises multiple active power and cooling distribution paths but with only one (1) path active; that has redundant components and is fault tolerant; and that provides 99.982% availability. Transfer system An EBT-ready WIC MIS that the USDA has certified for state WIC programs to implement.

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Attachment 5.2: Terms *Note: Terms in italics are defined terms for purposes of the Statement of Work and the Special Terms and Conditions of Attachment A.3

Term Definition Unauthorized Code Any: (i) virus, Trojan horse, worm or other software routines or equipment components designed to permit unauthorized access to disable, erase, or otherwise harm Software, Equipment, or Data or to perform any other such actions; and (ii) back door, time bomb, drop dead device, or other software routine designed to disable a computer program automatically with the passage of time or under the positive control of a person other than a licensee of the Software. Unauthorized Code does not include software routines in a computer program, if any, designed to permit an owner of the computer program (or other person acting by authority of the owner) to obtain access to a licensee’s computer system(s) (e.g., remote access via modem) solely for purposes of maintenance or operations. User Acceptance Testing The Acceptance Test(s) described as such in Appendix A, Statement of Work, of RFP# 31875. Virtual Contact Center CDPH application, which is currently used for contact center call services and will also be used for new MIS Help Desk services. Vendor A WIC-authorized retailer, farmer, farmers’ market, or farmers’ market association vendor. White hat testing Refers to an ethical computer hacker or computer security expert who specializes in identifying security weaknesses in a system. WIC California’s Special Supplemental Nutrition Program for Women, Infants, and Children. WIC-EBT Interface Universal interface between the new MIS and EBT for WIC systems. WIC MIS The existing mainframe application that supports the majority of WIC participant-related functions. Also a general term used in requirements to refer to a USDA FNS-approved transfer system that supports a WIC state agency’s administration of the Special Supplemental Nutrition Program for Women, Infants, and Children. Work Authorization A written form, used in accordance with Appendix A: Statement of Work within the general scope of this Contract. Working day Refer to “Business Day.” 4953

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4956 4957 4958 4959 4960 4961 4962 4963 PAGE INTENTIONALLY LEFT BLANK 4964

4965

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4966 Attachment 6: Bidders’ Library 4967 This attachment identifies the documents provided or links identified for Bidder reference in the Bidders’ Library. 4968 Documents are listed in Document name order. 4969 Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

7 CFR Part 246 Section 1 WIC federal regulations. Useful Links 7 CFR Part 246

7 CFR Part Section 1 Federal regulation that identifies Useful Links 7 Code of Federal 246.10 categories of supplemental foods that Regulations (CFR) Part

each state agency must authorize for 246.10 issuance to WIC participants. 2016 Proposed Exhibit 20 List of food categories and subcategories Documents 2016 Proposed Natl National for the California WIC Program. Specifically Categories Subcat Table Categories Referenced in the Subcategories RFP Table ADA Standards Exhibit 20 Technical and functional performance Useful Links 29 U.S.C. Sec. 794d criteria for web-based systems to comply with the Americans with Disabilities Act. 36 CFR 1194

42 U.S.C. 12101, et seq

Web Content Accessibility Guidelines

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

Advanced Exhibit 20 Specifies a federally-approved Useful Links Advanced Encryption Encryption cryptographic algorithm that can be used Standard Standard to protect electronic data. ANSI C9.8 N/A American National Standards Institute on Useful Links ANSI C9.8 Personal Identification Number Management and Security. ANSI X9.24 N/A American National Standards Institute on Useful Links ANSI X9.24 using symmetric techniques in retail financial services. ANSI X9.58 N/A American National Standards Institute on Useful Links ANSI X9.58 EBT financial transactions messages.

ANSI X9.92 N/A American National Standards Institute on Useful Links ANSI X9.92 public key cryptography for the financial services industry. ANSI X9.93 Section 1 American National Standards Institute Useful Links ANSI X9.93 Financial financial transaction messages. Transaction Messages – Electronic Benefits Transfer (2008) Board of Section 5 Sales and use tax regulations. Useful Links Board of Equalization Equalization Regulation 1502 (f)(1)(D) Regulation 1502 (f)(1)(D)

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

California Code of Section 7 Rules and regulations relating to the Useful Links California Code of Regulations, Title small business preference. Regulations, Title 2, section

2, section 1896 et 1896 et seq. seq. California Section 1 Description of services provided by Useful Links CGEN Overview Government OTech for the California State Enterprise Government WAN connectivity through Network (CGEN) vendor owned and managed equipment. Overview California Health N/A California Health and Safety Code Useful Links California Health and and Safety Code specific to the California WIC Program. Safety Code 123275- 123275-123355 123355 California WIC Exhibit 20 Vendor Authorization Criteria Useful Links California WIC Vendor

Vendor Regulations. Authorization Criteria Authorization Criteria CDHP security Exhibit 20 CDPH Information Security Office Documents ISO/SR1 v4 audit logging guidelines on security audit logs. Specifically requirements Referenced in the RFP

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

CDPH’s Exhibit 20, Provides the minimum security Documents CDPH’s Information Information Attachment requirements, mandated by the CDPH Specifically Systems Security Systems Security A Information Security Office from projects Referenced in the Requirements for Projects Requirements for governed and/or subject to the policies RFP (ISO/SR1) Version 4.0, Projects and standards of CDPH. dated February 2010 (ISO/SR1) Version 4.0, dated February 2010 CHHS Agency Exhibit 20 Security policies for entities within the Useful Links CHHS Agency Security

Security Policies California Health and Human Services Policies Agency.

Child Nutrition Act Section 1 Act that established the federal WIC Useful Links Child Nutrition Act of 1966 of 1966 Program in 1972 (Title 42, United States Code Section 1786). Cloud Computing Section 2 California Department of Technology’s Useful Links Cloud Computing Policy Policy Technology Letter (TL 14-04), regarding the Cloud Computing Policy. Service Center Attachment Provides a high level timeline for the Documents Service Center Transition - Transition - Draft A Contractor's transition and training plan. Specifically Draft Referenced in the RFP EBT Services N/A Standard Agreement between OSI and Other Informational EBT Services Contract Contract Fidelity Information Services, LLC for Documents EBT services for the EBT3 Project.

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

Electronic Exhibit 20 Electronic signature requirements of the Useful Links Electronic Signature Signature State of California. Requirements Requirements Executive Order Section 3 Order required by federal regulations, Useful Links Executive Order 12549, 12549, which necessitates the submittal of Debarment and

Debarment and Exhibit 24: Federal Debarment, Suspension Suspension Suspension, Ineligibility, and Voluntary Exclusion. Farmer Exhibit 20 Monitoring form for visits to farmers, Documents Farmer Monitoring Form Monitoring Form farmers’ markets, and farmers’ market Specifically associations. Referenced in the RFP Farmers’ Market Exhibit 20 Sanction and violation policies for Documents Farmers’ Market Vendor Vendor Program farmers, farmers’ markets, and farmers’ Specifically Program Sanctions and Sanctions and market associations. Referenced in the Violations Violations RFP

Federal income Section 1 Participants are required to meet Useful Links Federal income guidelines guidelines California residency and federal income guidelines. Federal Exhibit 20 Codifies the Department of Homeland Useful Links Federal Information Information Security’s role in administering the Security Modernization Act

Security implementation of information security (FISMA) Modernization Act policies for federal Executive Branch (FISMA) civilian agencies, overseeing agencies’ compliance with those policies, and assisting in developing those policies.

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

FNS 798 Report Section 1 WIC Financial Management and Useful Links FNS 798 Report Participation Report.

Government Section 7 Small business preference. Useful Links Government Code section

Code section 14835 et seq 14835 et seq. Health Level N/A Framework for the exchange, integration, Useful Links Health Level Seven Seven Standards sharing, and retrieval of electronic health Standards information. Healthy Hunger Exhibit 20 Authorizes funding and sets policy for Useful Links Healthy Hunger Free Kids Free Kids Act USDA's core child nutrition programs, Act including WIC.

HIPAA/ HITECH Exhibit 20 Federal and state health information Useful Links HIPAA/ HITECH security standards.

Implementation Section 1 Document approved by the USDA in Documents California WIC MIS IAPD Advanced April 2014 approving the California eWIC Specifically Submitted to USDA August Planning MIS Project. Referenced in the 2013 Document (IAPD) RFP Implementing the Section 1 Federal guidelines for establishing Useful Links Implementing the New WIC New WIC Policy immunization screening procedures and Policy for Immunization for Immunization conducting training. Screening and Referral Screening and Referral

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

Infant Formula Section 1 Used by CDPH/WIC to calculate rebates Documents Legacy MIS Reports Rebate Reports and prepare invoices. Specifically Inventory Referenced in the RFP Institute of Exhibit 19 The world's largest technical professional Useful Links IEEE Electrical and organization dedicated to advancing Electronics technology for the benefit of humanity. Engineers (IEEE) International Exhibit 20 Standard requirements for Card Useful Links International Organization Organization for Acceptance Devices (CAD). for Standardization (ISO)

Standardization 9564 (ISO) 9564 ISO 7810, 7811, Exhibit 20 Standard requirements for Personal Useful Links ISO 7810, 7811, 7812 and

7812 and 7813 Identification Numbers (PINs). 7813 standards standards ISO 8583 Exhibit 18 Industry standards for exchanging Useful Links ISO 8535 financial transaction messages.

Legacy MIS Data Exhibit 20 Provides a description of the legacy MIS To be determined Element and the technical specifications for the Dictionary data to be collected and reported to the State. Legacy MIS Local Exhibit 20 Quality assurance guidelines for To be determined Admin Training appointments. Manual

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

Legacy MIS Section 1 Reporting capabilities from the legacy Documents Reports Inventory Reports Inventory MIS (WIX, batch jobs, SharePoint, VWIX, Specifically and QMF). Referenced in the RFP National N/A Technical information to develop Useful Links National Information Information machine-readable information Exchange Model Exchange Model exchanges. National Institute Exhibit 20, Security and Privacy Controls for Federal Useful Links National Institute of of Standards and Attachment Information Systems and Organizations. Standards and Technology Technology A (NIST) Special Publication (NIST) Special (SP) 800-53 revision 4 Publication (SP) 800-53 revision 4 National Section 1 Reference to the existing USDA FNS Useful Links National Universal Product Universal Product NUPC database and planned Code Database Code Database modifications. National Voter Section 1 Federal and state mandate to provide Useful Links National Voter Registration Registration Act each adult applicant or participant the Act (NVRA) (NVRA) opportunity to register to vote. OSI Writing Style Attachment OSI standards for the writing and design Documents OSI Writing Style Guidelines, Rev. A of documents. Specifically Guidelines 5/06 Referenced in the RFP OTech Cloud Sections 2 Contains additional information regarding Useful Links OTech Cloud Computing

Computing and 5 OTech service offerings and rates. Service Offering and Rates Service Offering and Rates

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

PCI-DDS N/A Payment Card Industry standards for the Useful Links PCI-DDS safety of cardholder data from the PCI Security Standards Council. PHFE Equipment N/A Describes the existing local agency IT Technical PHFE Equipment Specifications landscape technology and constraints Documents Specifications that impact the new MIS. Project Attachment Describes the specific roles and To be determined Governance Plan A responsibilities of the eWIC MIS Project team and its stakeholders, focusing primarily on authority level and decision- making structure for increased effectiveness, transparency, and accountability. Public Contract Section 1 CDT policies and procedures under Useful Links Public Contract Code Code which this solicitation is being conducted. section 12100 et seq. section12100 et seq. Raptor Chart and N/A Listing of the PHFE Raptor Report Other Informational Raptor Chart and Report Report Index and names. Documents Index SLAD documentation Sample Food Section 1 A sample CDPH/WIC model for Documents Sample Food Forecast Forecast Model monitoring food benefit obligations and Specifically Model expenditures. Referenced in the RFP

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

SIMM 17 Attachment California Project Management Useful Links SIMM 17 A Framework.

SLAD N/A This document provides a list of data Technical SLAD Documentation Documentation elements that are currently exported from Documents the Legacy MIS to PHFE using the Raptor reporting tool. SSN Protection Exhibit 20 Guidelines for pairing of a Social Security Useful Links Social Security Number Statutes Number. Protection Act and Protection of Personal Information Staff Totals per Attachment Information to assist the Bidder to Documents Staff Totals per Region and Region A estimate the number of local agency staff Specifically WIC Regional Training Bidder will need to train, by geographical Referenced in the Centers areas of California, and to scope the RFP training effort. State Section 3 Definition of information technology Useful Links State Administrative

Administrative equipment. Manual section 4819.2 Manual section 4819.2 State Exhibit 20, State of California information security Useful Links State Administrative

Administrative Attachment policy, standards, and procedures. Manual Chapter 5300 Manual Chapter A 5300

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

State Information Exhibit 20, Standards, instructions, forms, and Useful Links State Information Management Attachment templates that State agencies must use Management Manual

Manual (SIMM) A to comply with Information Technology (SIMM) 5305A-5360B 5305A-5360B (IT) policy.

TG-3 and TR-39 Exhibit 20 Standard requirements for PIN pad Useful Links TG-3 and TR-39 peripheral devices connected to local machines. USDA FNS FReD Section 1 Provides a comprehensive description of Useful Links USDA FNS Functional functions that can be automated to Requirements Document support the WIC Program. (FReD) for a Model WIC

Information System USDA FNS 1 Operating Rules to enable the Useful Links USDA FNS Operating Operating Rules incorporation of WIC EBT business Rules for WIC EBT for WIC EBT practices into automated cash register (December 21, systems supporting food retail vendors 2010) wherever these systems are used within the United States. USDA FNS MIS Attachment Contractor will use these questions to Useful Links USDA FNS MIS Review

Review Tool A trace the System Requirements Tool Specification deliverable, as defined in Exhibit 21.2: Deliverables Table, Deliverable 2.2, to federal requirements. USDA FNS Section 1 Prescribes the analysis and processes Useful Links USDA FNS Handbook 901 Handbook 901 states must use to seek approval to transfer and implement the new MIS.

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

USDA FNS WIC Section 1 Standard functional requirements for the Useful Links USDA’s WIC Universal Universal MIS- universal interface between the new MIS MIS-EBT Interface

EBT Interface and the EBT for WIC systems. (WUMEI) standards (WUMEI) standards Vendor Exhibit 20 Data requirements for a vendor to apply Documents Vendor Agreement and Agreement to provide WIC services. Specifically Vendor Agreement - Exhibit Referenced in the A RFP Vendor Exhibit 20 Process flow of the processing and Documents New Vendor Application Application evaluation of vendor applications. Specifically Checklist - FINAL 06-01-16 Process Flow Referenced in the RFP Vendor Exhibit 20 Process flow of the processing and Documents Vendor Application Process Application evaluation of farmer, farmers’ market, Specifically – Farmers’ Market Unit Process – and farmers’ market association vendor Referenced in the Farmers’ Market applications. RFP Unit Vendor Exhibit 20 Data requirements for a vendor to apply Documents Vendor Application Application to provide WIC services. Specifically Referenced in the RFP Vendor Exhibit 20 Data requirements for a farmer vendor to Documents Vendor Application and Application and apply to provide WIC services. Specifically Agreement - Farmer Agreement - Referenced in the Farmer RFP

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

Vendor Exhibit 20 Data requirements for a farmers’ market Documents Vendor Application and Application and vendor to apply to provide WIC services. Specifically Agreement - Farmer Agreement – Referenced in the Farmers’ Market RFP Vendor Exhibit 20 Data requirements for a farmers’ market Documents Vendor Application and Application and association vendor to apply to provide Specifically Agreement - Farmer Agreement – WIC services. Referenced in the Farmers’ Market RFP Association Vendor Inventory Section 1 Used by SCO to report inventory audit Documents Legacy MIS Reports Audit Report findings to CDPH/WIC. Specifically Inventory Referenced in the RFP Web Application Exhibit 20, Provides a common architecture for Documents Web Application Architecture v65, Attachment CDPH web applications and ensures the Specifically Architecture v65, revision revision 6.2, May A security, performance, robustness, Referenced in the 6.2, May 22, 2013 22, 2013 scalability, availability, and operability of RFP all CDPH web applications. WIC Authorized Section 1 The educational document for Useful Links WIC Authorized Food List

Food List participants and vendors that Shopping Guide Shopping Guide summarizes the foods authorized by the California WIC Program in WIC Bulletin Regulations 82000-83000. WIC Bulletin N/A Regulations for the California WIC Useful Links WIC Bulletin Regulations Regulations Program.

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

WIC Bulletin Exhibit 20 State regulation that provides information Useful Links WIC Bulletin Regulations Regulations on peer groups and MADR rates. 50000-60300 50000-60300 WIC Bulletin Section 1 State regulation that identifies the Useful Links WIC Bulletin Regulations Regulations California WIC-authorized foods. 82000-83000 82000-83000 WIC EBT Section 1 Provides the implementation framework Useful Links WIC EBT Technical Technical for Online and Smart Card WIC EBT. Implementation Guide Implementation Guide (TIG) (March 9, 2012) WIC MIS data Exhibit 20 Documents the mandatory fields in the To be determined dictionary legacy MIS, in which a record must contain certain valid data. However, an authorized user may override this data requirement for a specific record. WIC Mobile Section 1 Provides participants easy access to Useful Links WIC Mobile WIC information from their smartphones.

WIC Policy and Exhibit 20 Contains State policies and procedures Useful Links WIC Policy and Procedure

Procedure governing the WIC Program in California Manual Manual and is designed to assist local agency staff in carrying out day-to-day operations and activities.

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Document Name RFP Description Location in Document Title or Link in Reference Bidders' Library Bidders’ Library

WIC Regional Attachment Specifications for RTC facilities. Documents RTC Specs Training Centers A Specifically Referenced in the RFP Windows Service Attachment Windows availability requirements for Documents Windows Service Availability A.1 new MIS. Specifically Availability Agreement Agreement Referenced in the RFP 4970 4971 4972

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