notice of award for case management · pdf filecase management system using customer...

1

NOTICE OF AWARD FOR

CASE MANAGEMENT SYSTEM USING CUSTOMER RELATIONSHIP MANAGEMENT FOR DPB

December 21, 2005 Please be advised that contract 64261 has been issued to IBM commencing on December 21, 2005 and ending on December 20, 2008 to provide a case management system using customer relationship management to the Division of Pensions and Benefits. The RFP, RFP Addendum language including questions and answers, and a Siebel Software License and Services Agreement and Order Form are attached below.

SEE BELOW

Table of Contents 1.0 INFORMATION FOR BIDDERS ................................................................................................................................................................... 5

1.1 PURPOSE AND INTENT......................................................................................................................................................................... 5 1.2 BACKGROUND ....................................................................................................................................................................................... 5

1.2.1 DIVISION OF PENSIONS AND BENEFITS .................................................................................................................................... 5 1.2.2 OFFICE OF THE DIRECTOR OF PENSIONS AND BENEFITS..................................................................................................... 6 1.2.3 OFFICE OF CLIENT SERVICES..................................................................................................................................................... 6 1.2.4 OFFICE OF PENSION OPERATIONS............................................................................................................................................ 7 1.2.5 OFFICE OF HEALTH BENEFITS.................................................................................................................................................... 7 1.2.6 OFFICE OF BOARDS AND COMMISSIONS.................................................................................................................................. 8 1.2.7 OFFICE OF FINANCIAL SERVICES............................................................................................................................................... 8 1.2.8 LEGAL AND LEGISLATIVE UNIT ................................................................................................................................................... 8 1.2.9 MANAGEMENT INFORMATION AND SUPPORT SERVICES....................................................................................................... 8 1.2.10 EXTERNAL AGENCY IT SUPPORT............................................................................................................................................. 8 1.2.11 CURRENT OPERATIONAL ISSUES ............................................................................................................................................ 9

1.3 KEY EVENTS .......................................................................................................................................................................................... 9 1.3.1 ELECTRONIC QUESTION AND ANSWER PERIOD...................................................................................................................... 9

1.3.1.1 QUESTION PROTOCOL ...................................................................................................................................................... 10 1.3.1.2 CUT-OFF DATE FOR QUESTIONS AND INQUIRIES ........................................................................................................ 10

1.3.2 MANDATORY SITE VISIT............................................................................................................................................................ 10 1.3.3 MANDATORY PRE-BID CONFERENCE..................................................................................................................................... 10 1.3.5 SUBMISSION OF BID PROPOSAL ............................................................................................................................................. 10 1.3.6 DOCUMENT REVIEW.................................................................................................................................................................. 10

1.4 ADDITIONAL INFORMATION ............................................................................................................................................................... 11 1.4.1 REVISIONS TO THIS RFP............................................................................................................................................................ 11 1.4.2 ADDENDUM AS A PART OF THIS RFP....................................................................................................................................... 11 1.4.3 ISSUING OFFICE.......................................................................................................................................................................... 11 1.4.4 BIDDER RESPONSIBILITY........................................................................................................................................................... 11 1.4.5 COST LIABILITY ........................................................................................................................................................................... 11 1.4.6 CONTENTS OF BID PROPOSAL ................................................................................................................................................. 11 1.4.7 PRICE ALTERATION .................................................................................................................................................................... 11 1.4.8 JOINT VENTURE .......................................................................................................................................................................... 12

2.0 DEFINITIONS ............................................................................................................................................................................................. 13 2.1 STANDARD DEFINITIONS ................................................................................................................................................................... 13 2.2 CONTRACT SPECIFIC DEFINITIONS.................................................................................................................................................. 13

3.0 SCOPE OF WORK ..................................................................................................................................................................................... 15 3.1 SOFTWARE REQUIREMENTS............................................................................................................................................................. 15 3.2 REQUIRED FEATURES AND FUNCTIONS ......................................................................................................................................... 15 3.3 SYSTEM SECURITY............................................................................................................................................................................. 16 3.4 BACK UP AND RECOVERY ................................................................................................................................................................. 16 3.5 DOCUMENTATION/LICENSING........................................................................................................................................................... 17 3.6 INTERFACES ........................................................................................................................................................................................ 17 3.7 TECHNICAL PLATFORMS AND ARCHITECTURES ........................................................................................................................... 17 3.8 TRAINING.............................................................................................................................................................................................. 17 3.9 SYSTEM AVAILABILITY........................................................................................................................................................................ 18 3.10 WARRANTY/ MAINTENANCE/SUPPORT.......................................................................................................................................... 18

3.10.1 HELP DESK................................................................................................................................................................................. 18 3.11 DELIVERABLES.................................................................................................................................................................................. 18 3.12 PAYMENT............................................................................................................................................................................................ 19

4.0 PROPOSAL PREPARATION AND SUBMISSION .................................................................................................................................... 20 4.1 GENERAL.............................................................................................................................................................................................. 20 4.2 PROPOSAL DELIVERY AND IDENTIFICATION .................................................................................................................................. 20 4.3 NUMBER OF BID PROPOSAL COPIES ............................................................................................................................................... 20 4.4 PROPOSAL CONTENT......................................................................................................................................................................... 20

4.4.1 SECTION 1 – FORMS................................................................................................................................................................... 21 4.4.1.1 OWNERSHIP DISCLOSURE FORM .................................................................................................................................... 21

2

4.4.1.2 MACBRIDE PRINCIPLES CERTIFICATION......................................................................................................................... 21 4.4.1.3 AFFIRMATIVE ACTION ........................................................................................................................................................ 21 4.4.1.4 BUSINESS REGISTRATION CERTIFICATE FROM THE DIVISION OF REVENUE.......................................................... 22 4.4.1.5 EXECUTIVE ORDER 134 .................................................................................................................................................... 22 4.4.1.6 SET ASIDE CONTRACTS .................................................................................................................................................... 22 4.4.1.7 EXECUTIVE ORDER 129 ..................................................................................................................................................... 22 4.4.1.8 BID BOND ............................................................................................................................................................................. 22

4.4.2 SECTION 2 - TECHNICAL PROPOSAL ....................................................................................................................................... 22 4.4.2.1 MANAGEMENT OVERVIEW ................................................................................................................................................ 23 4.4.2.2 CONTRACT MANAGEMENT................................................................................................................................................ 23 4.4.2.3 CONTRACT SCHEDULE...................................................................................................................................................... 23 4.4.2.4 MOBILIZATION AND IMPLEMENTATION PLAN ................................................................................................................. 24 4.4.2.5 POTENTIAL PROBLEMS ..................................................................................................................................................... 24

4.4.3 SECTION 3 - ORGANIZATIONAL SUPPORT AND EXPERIENCE.............................................................................................. 25 4.4.3.1 LOCATION ............................................................................................................................................................................ 25 4.4.3.2 ORGANIZATION CHART (CONTRACT SPECIFIC)............................................................................................................. 25 4.4.3.3 RESUMES............................................................................................................................................................................. 25 4.4.3.4 BACKUP STAFF ................................................................................................................................................................... 25 4.4.3.5 ORGANIZATION CHART (ENTIRE FIRM) ........................................................................................................................... 25 4.4.3.6 EXPERIENCE OF BIDDER ON CONTRACTS OF SIMILAR SIZE AND SCOPE ................................................................ 26 4.4.3.7 FINANCIAL CAPABILITY OF THE BIDDER ......................................................................................................................... 26 4.4.3.8 SUBCONTRACTOR(S)......................................................................................................................................................... 26 4.4.3.9 DISCLOSURE OF INVESTIGATIONS/LITIGATION DECLARATION .................................................................................. 27

4.4.4 SECTION 4 - COST PROPOSAL.................................................................................................................................................. 27 4.4.4.1 LINE 1 CRM SOFTWARE..................................................................................................................................................... 27 4.4.4.2 LINE 2 INSTALLATION......................................................................................................................................................... 27 4.4.4.3 LINE 3 INTEGRATION SERVICES....................................................................................................................................... 27 4.4.4.4 LINE 4 TRAINING ................................................................................................................................................................. 28 4.4.4.5 LINE 5 MAINTENANCE ........................................................................................................................................................ 28 4.4.4.6 LINE 6 ADDITIONAL WORK/SPECIAL PROJECTS PRICE LINE ....................................................................................... 28

5.0 SPECIAL TERMS AND CONDITIONS....................................................................................................................................................... 29 5.1 PRECEDENCE OF CONTRACTUAL TERMS AND CONDITIONS ...................................................................................................... 29 5.2 STATE CONTRACT MANAGER ........................................................................................................................................................... 29

5.2.1 STATE CONTRACT MANAGER RESPONSIBILITIES ................................................................................................................. 29 5.2.2 OTHER DUTIES OF THE STATE CONTRACT MANAGER......................................................................................................... 29 5.2.3 COORDINATION WITH THE STATE CONTRACT MANAGER.................................................................................................... 30

5.3 PERFORMANCE BOND........................................................................................................................................................................ 30 5.4 BUSINESS REGISTRATION................................................................................................................................................................. 30 5.5 CONTRACT TERM AND EXTENSION OPTION................................................................................................................................... 31 5.6 CONTRACT TRANSITION .................................................................................................................................................................... 31 5.7 AVAILABILITY OF FUNDS.................................................................................................................................................................... 31 5.8 CONTRACT AMENDMENT................................................................................................................................................................... 32 5.9 CONTRACTOR RESPONSIBILITIES.................................................................................................................................................... 32 5.10 SUBSTITUTION OF STAFF ................................................................................................................................................................ 32 5.11 SUBSTITUTION OR ADDITION OF SUBCONTRACTOR(S) ............................................................................................................. 32 5.12 OWNERSHIP OF MATERIAL.............................................................................................................................................................. 33 5.13 DATA CONFIDENTIALITY .................................................................................................................................................................. 33 5.14 NEWS RELEASES .............................................................................................................................................................................. 33 5.15 ADVERTISING..................................................................................................................................................................................... 33 5.16 LICENSES AND PERMITS.................................................................................................................................................................. 33 5.17 CLAIMS AND REMEDIES ................................................................................................................................................................... 33

5.17.1 CLAIMS ....................................................................................................................................................................................... 33 5.17.2 REMEDIES.................................................................................................................................................................................. 34 5.17.3 REMEDIES FOR NON-PERFORMANCE ................................................................................................................................... 34

5.18 LATE DELIVERY ................................................................................................................................................................................. 34 5.19 RETAINAGE ........................................................................................................................................................................................ 34 5.20 STATE'S OPTION TO REDUCE SCOPE OF WORK.......................................................................................................................... 34 5.21 SUSPENSION OF WORK ................................................................................................................................................................... 34 5.22 CHANGE IN LAW ................................................................................................................................................................................ 34 5.23 CONTRACT PRICE INCREASE (PREVAILING WAGE)..................................................................................................................... 35 5.24 ADDITIONAL WORK AND/OR SPECIAL PROJECTS........................................................................................................................ 35

3

5.25 FORM OF COMPENSATION AND PAYMENT ................................................................................................................................... 35 5.25.1 PAYMENT TO CONTRACTOR - OPTIONAL METHOD............................................................................................................. 36

5.26 CONTRACT ACTIVITY REPORT........................................................................................................................................................ 36 5.27 REQUIREMENTS OF EXECUTIVE ORDER 134............................................................................................................................... 36

5.27.1 DEFINITIONS.............................................................................................................................................................................. 36 5.27.2 BREACH OF TERMS OF EXECUTIVE ORDER 134.................................................................................................................. 36 5.27.3 CERTIFICATION AND DISCLOSURE REQUIREMENTS .......................................................................................................... 37 5.27.4 STATE TREASURER REVIEW................................................................................................................................................... 37

5.28 REQUIREMENTS OF EXECUTIVE ORDER 129................................................................................................................................ 37 5.28.1 SOURCE DISCLOSURE REQUIREMENTS............................................................................................................................... 38 5.28.2 BREACH OF CONTRACT OF EXECUTIVE ORDER 129 .......................................................................................................... 38

6.0 PROPOSAL EVALUATION/CONTRACT AWARD.................................................................................................................................... 39 6.1 PROPOSAL EVALUATION COMMITTEE............................................................................................................................................. 39 6.2 ORAL PRESENTATION AND/OR CLARIFICATION OF BID PROPOSAL ........................................................................................... 39

6.2.1 BIDDER SCRIPTED DEMONSTRATIONS................................................................................................................................... 39 6.3 EVALUATION CRITERIA ...................................................................................................................................................................... 39

6.3.1 THE BIDDER'S TECHNICAL APPROACH AND MANAGEMENT PLANS IN MEETING THE REQUIREMENTS OF THIS RFP 40 6.3.2 THE BIDDER’S COST PROPOSAL.............................................................................................................................................. 40

6.4 NEGOTIATION AND BEST AND FINAL OFFER (BAFO) ..................................................................................................................... 40 6.5 CONTRACT AWARD............................................................................................................................................................................. 41

7.0 ATTACHMENTS, APPENDICES AND EXHIBITS ..................................................................................................................................... 42 ATTACHMENT 1 - OWNERSHIP DISCLOSURE FORM ................................................................................................................................. 43 ATTACHMENT 1A - DISCLOSURE OF INVESTIGATIONS AND ACTIONS INVOLVING BIDDER................................................................ 44 ATTACHMENT 2 - MACBRIDE PRINCIPLES FORM....................................................................................................................................... 45 ATTACHMENT 3 – AFFIRMATIVE ACTION SUPPLEMENT........................................................................................................................... 46 ATTACHMENT 4 - SUBCONTRACTOR SET ASIDE FORMS......................................................................................................................... 49 ATTACHMENT 5 - PRICE SCHEDULES.......................................................................................................................................................... 53 ATTACHMENT 6 – EXECUTIVE ORDER 129 CERTIFICATION..................................................................................................................... 56 ATTACHMENT 7 - RECIPROCITY FORM ....................................................................................................................................................... 57 APPENDIX 1- NJ STATE STANDARD TERMS AND CONDITIONS ............................................................................................................... 58 EXHIBIT 1 - FUNCTIONALITY BY OFFICE...................................................................................................................................................... 65 EXHIBIT 2 - FUNCTIONAL PROCESS SCENARIOS ...................................................................................................................................... 67 EXHIBIT 3 - TECHNICAL BACKGROUND AND OVERVIEW.......................................................................................................................... 69 EXHIBIT 4 - INVENTORY OF SYSTEMS......................................................................................................................................................... 71 EXHIBIT 5 – CLIENT SERVICES PROCESS MAPS........................................................................................................................................ 86 EXHIBIT 6 - CLIENT SERVICES CSI TRACKING (CLIENT SERVICES INQUIRY) ........................................................................................ 90 EXHIBIT 7 – AVAYA COMPUTER TELEPHONY CONFIGURATION.............................................................................................................. 94 EXHIBIT 8 - FILENET ENVIRONMENT............................................................................................................................................................ 95 EXHIBIT 9 – LOCAL AREA NETWORK (LAN)................................................................................................................................................. 96 EXHIBIT 10 – SYSTEM SCREEN SHOTS AND PAPER FORMS ................................................................................................................... 97 ADDENDA................................................................................................................................................................................................ 129

ADDENDUM 1 ........................................................................................................................................................................................... 129 ADDENDUM 2 ........................................................................................................................................................................................... 130 ADDENDUM 3 ........................................................................................................................................................................................... 147 ADDENDUM 4 ........................................................................................................................................................................................... 149

LICENSE AGREEMENT AND ORDER FORMS............................................................................................................................................ 150

4

5

1.0 INFORMATION FOR BIDDERS

1.1 PURPOSE AND INTENT This Request for Proposal (RFP) is issued by the Purchase Bureau, Division of Purchase and Property, Department of the Treasury (the "Division"), on behalf of the State of New Jersey, Department of the Treasury, Division of Pensions and Benefits (DPB). The purpose of this RFP is to solicit bid proposals to engage a contractor to provide a Case Management System (System) that will automate aspects of DPB services allowing users; quicker access to electronic data, more uniform and accurate responses to caller queries and concerns, improved call/letter tracking and recording. The contractor shall provide a system that includes Customer Relationship Management (CRM) style software that must seamlessly interface with:

• Avaya Telephony Environment which is defined in Exhibit 7 of this RFP • NICE CEM (Customer Experience Management) for total call recording which is defined in Exhibit 7

of this RFP. • FileNET IMS (Image Management System) which is defined in Exhibit 8 of this RFP.

The system shall also extract mainframe and Local Area Network (LAN)-based data for initial data load and periodic updates. The expected services are described in RFP Section 3.0 (Scope of Work). The intent of this RFP is to award a contract to that responsible bidder whose bid proposal, conforming to this RFP, is most advantageous to the State, price and other factors considered.

1.2 BACKGROUND 1.2.1 DIVISION OF PENSIONS AND BENEFITS

The Division of Pensions and Benefits (DPB) administers the second largest non-federal, public employee benefits program in the nation. Employees include State employees, teachers, police officers, fire fighters, correction officers, judges, and many other local officials whose jobs are fundamental to the safety and well being of all New Jersey residents. Participants in DPB benefits programs include:

• Approximately 725,000 retired and active participants in State Pension Plans • Approximately 17,081 participants in the Alternate Benefit Program

Approximately one out of every twelve residents of New Jersey is an active or retired member of a State-administered retirement system. In addition, DPB administers an extensive pension loan program to its members, processing approximately 121,000 loans totalling almost $362 million in a recent twelve (12) month period. The Boards of Trustees are responsible for the proper operation of their respective employee benefits programs, which include the following:

• Public Employees’ Retirement System • Teachers’ Pension and Annuity Fund • Police and Firemen’s Retirement System • State Police Retirement System • Consolidated Police and Firemen’s Pension Fund • State House Commission for Judicial Retirement System

The State Health Benefits Commission and the Pension and Health Benefits Review Commission are responsible for the proper operation of the State’s Health Benefits Program (Section 1.2.5, Office of Health Benefits).

6

There are over 1,700 different participating local government employers that employ the majority of plan participants. These employers include counties and municipalities, school boards, fire and police departments as well as independent public agencies and authorities. More specifically, these local employer groups employ 80% of the pension membership and 50% of the health benefit membership. In addition, there are approximately 100,000 (includes State colleges and universities) State employees served by DPB. DPB’s additional benefits programs are:

• New Jersey State Employees Deferred Compensation Plan • Supplemental Annuity Collective Trust (“SACT”) • Additional Contributions Tax Sheltered Program (“ACTS”) • Tax$ave Program (Internal Revenue Code Section 125) • Alternate Benefits Plan (Higher Educational Employees) • Long Term Care • Transportation Benefits

These programs include:

• The SACT with over 5,000 participants • The Deferred Compensation Plan with over 35,700 participants.

The boards responsible for the proper operation of these programs include the:

• New Jersey State Employees Deferred Compensation Board • Supplemental Annuity Collective Trust Council

The current full-time equivalent (FTE) count for DPB is approximately 350 employees. Of these 350, 40 are dedicated to staffing the DPB Call Center. At any given time, approximately 50% of DPB employees would use the CRM System concurrently.

1.2.2 OFFICE OF THE DIRECTOR OF PENSIONS AND BENEFITS

The Director of DPB is responsible for the coordination of the functions of DPB, the development of the DPB budget, and communication with other branches of State government, local government and the public. The Director of DPB serves as the Secretary to the Supplemental Annuity Collective Trust Council, the State Health Benefits Commission and the State House Commission in its capacity as the Board of Trustees for the Judicial Retirement System. The Director of DPB is also responsible for legal and legislative matters and Board of Trustees administration. In addition, the Treasurer has delegated the responsibility of maintaining the Federal-State Agreement for Social Security to the Director of DPB. DPB falls under the jurisdiction of the New Jersey Department of the Treasury. The Director of DPB reports directly to the State Treasurer. The Treasurer is an ex-officio member of all State pension boards and commissions.

1.2.3 OFFICE OF CLIENT SERVICES DPB Office of Client Services disseminates pension, life insurance and health benefits information to employees, retirees and employers covered by the various New Jersey State-administered retirement systems and related benefit programs through:

* Telecommunications * Individual Counseling Sessions * Written Correspondence * E-mail * Publications * Group Meetings and Seminars for both employees and employers * Web site.

7

The work of DPB Office of Client Services, as overseen by a Deputy Director, is divided among three units:

1) Telecommunications 2) Counseling, Education and Support 3) Publications.

The Telecommunications Unit counsels employees, retirees and employers via the telephone by providing information about pension, life insurance, health benefits and general procedures. The Counseling, Education and Support Unit responds to written requests for information, both letters and emails, and conducts personal interviews with employees and retirees who visit DPB. The unit provides seminars, employer group meetings, employer instructions and various presentations concerning pension, life insurance and health benefits to employees, employers and retirees. The Counseling, Education and Support Unit is also responsible for providing receptionist services for the entire DPB. The Publications Unit exercises overall responsibility for creating, editing, updating and printing of written materials disseminated by DPB, including manuals, reports, forms, benefit statements and booklets. The Office of Client Services’ Call Center receives approximately 360,000 calls per year of which approximately 312,000 are answered. There are approximately 48,000 abandoned calls per year. Additional inquiries are made as follows (the numbers are only approximations):

• 1,326,000 calls are received per year through Interactive Voice Response (IVR). • 90,000 requests are received per year through the Benefit Information Library (BIL), a system which

provides recorded messages on topics of interest to employees, retirees and employers. • 13,000 e-mails are received per year. • 13,000 walk-in interviews are conducted per year. • 24,000 pieces of written correspondence are handled per year.

1.2.4 OFFICE OF PENSION OPERATIONS

The work of this office, as overseen by an Assistant Director, is divided among three bureaus: Enrollment and Purchase, Claims, and Retirement. The Enrollment and Purchase Bureau processes all enrollments, transfers and purchases of service credit for all of the State retirement systems. The Claims Bureau processes all death claims, withdrawals and loan requests. In addition, this bureau oversees beneficiary designations filed by active and retired members and issues group life insurance policies, riders and special endorsements. The Retirement Bureau prepares retirement estimates and processes retirement applications for all of the State retirement systems.

1.2.5 OFFICE OF HEALTH BENEFITS

DPB also administers the operations of the State’s Health Benefits Program that includes seven (7) different health plans and eleven (11) dental plans. This program, with a cost of over $2.3 billion annually, provides coverage including dental for employees and dependents of the State (including dental) and participating local government employers (medical and prescription drug only). There are:

• The State Health Benefits Program with over 780,000 participants • The Dental Program over 85,000 participants • The Prescription Drug Program over 141,000 participants in

Approximately one out of every eleven residents of New Jersey is a participant in the State Health Benefits Program.

8

The State Health Benefits Commission and the Pension and Health Benefits Review Commission are responsible for the proper operation of the State’s Health Benefits Program.

1.2.6 OFFICE OF BOARDS AND COMMISSIONS

The Office of Boards and Commissions has the general responsibility for the proper operation of their respective employee benefits program. The Office adopts rules in compliance with statute and advice of the Attorney General. The Office may grant hearings in disputes concerning issues of law or fact concerning Board decisions about, e.g. health benefits, claims or pensions. Hearings are held by the Office of Administrative Law. The Office maintains a record of all proceedings and hold regular meetings and special meetings when necessary.

1.2.7 OFFICE OF FINANCIAL SERVICES

The work of this office, as overseen by a Deputy Director, is divided among seven sections:

• Audit/Billing • Defined Contribution Plans • Accounting Services • Cash Receipts/Disbursements • Ledgers/Financial Statements • Account Reconciliations • Health Benefits/Financial.

The Office of Financial Services is charged with the custodianship of pension and health benefits assets. These assets are in excess of $80 billion and include approximately 600,000 individual member accounts. These combined systems place DPB second among the top pensions and benefits administrators in the nation. This office is responsible for the accounting functions necessary for the successful operations of the various pension funds, health benefits and agency funds, as well as the administration of the Pension Adjustment Program, the Supplemental Annuity Collective Trust and Deferred Compensation Plan.

1.2.8 LEGAL AND LEGISLATIVE UNIT

The Legal, Legislative, Planning and Research Unit is located within the Office of the Director of DPB and operates under the direction of an Assistant Director. The Legal section provides legal expertise in development and implementation of new and existing policies, programs, operations, and in updating the New Jersey Administrative Code as it pertains to the benefits administered by DPB. The Legislative section reviews and analyzes legislation impacting DPB.

1.2.9 MANAGEMENT INFORMATION AND SUPPORT SERVICES

The work of this office, as overseen by an Assistant Director, is responsible for the development and maintenance of all processing and management information systems for DPB relative to active and retired benefits. This office also has the responsibility for the training, usage and maintenance of all automated office and voice equipment. This office consists of five sections:

• Optical Disk and Records Management • Data Entry • Computer Scheduling and Production Control • Systems Development • Support Services.

The Support Services section has the overall responsibility for the building and equipment, mail room, warehouse operations and forms inventory.

1.2.10 EXTERNAL AGENCY IT SUPPORT

9

Support for DPB IT is provided by two external agencies:

Office of Treasury Technology (OTT) OTT is divided into multiple units, each providing various services and support to the divisions within the Department of the Treasury. The three major organizational groups are Support Services, Operations and Information Management and Technical Planning. Support Services is subdivided into Customer Relationship Management, Application Development, and Imaging Services. Operations is subdivided into Desktop Support, Network Services, Systems Support. Special Projects are shared among all units. Additionally, OTT provides assistance in obtaining vendor price quotations for hardware and software from various organizational units depending on the nature of the information needed. As part of its charter, OTT is also responsible for performing reviews and approvals of all IT Treasury procurements to ensure consistency in meeting departmental standards and objectives. Office of Information Technology (OIT) The Office of Information Technology was established in accordance with Executive Order No. 87, effective September 1998. Constituted as an independent organization “in but not of” the Department of the Treasury, OIT is responsible for telecommunications and information processing needs within the Executive Branch of State government on an enterprise-wide basis, servicing 15 departments and numerous agencies. The mission of OIT is to enable excellence in New Jersey State government through effective use of information technologies. The goal is to perform the duties that are most efficiently accomplished through a centralized organization with an enterprise perspective, and to use technology to make government services more affordable, accessible and responsive including:

• Providing an appropriate technical infrastructure for governmental information processing and communications;

• Supplying skilled technical assistance to other agencies in planning, designing, and developing information systems and access tools to meet their business needs;

• Establishing plans, policies, and standards that promote government-wide efficiency and synergy in the use of information technologies;

• Ensuring that the State’s IT investments take advantage of cost-effective advances in technology and methodology.

1.2.11 CURRENT OPERATIONAL ISSUES

The DPB currently faces the below-listed business challenges: • Lack of a comprehensive case tracking system • Excessive overall call processing time • Inability to capture case and contact information across multiple channels • Inefficient means of routing calls and e-mails to appropriate Call Center Counselors and /or business unit

end users • Lack of consistent responses to customer inquiries • Multiple systems required to view member and participating employer data • Insufficient means to measure performance metrics quality and quantity • Inability for members and participating employers to view case information remotely • Lack of support for means of inquiry such as e-mail, web chat and fax.

1.3 KEY EVENTS

1.3.1 ELECTRONIC QUESTION AND ANSWER PERIOD

It is the policy of the Purchase Bureau to accept questions and inquiries from all vendors by e-mail. Written questions must be e-mailed to the Purchase Bureau to the attention of the assigned Purchase Bureau buyer at the following address: E- Mail: [email protected]

10

After the submission of bid proposals, unless requested by the State, contact with the State is limited to status inquiries only and such inquiries are only to be directed to the buyer at the above e-mail address. Any further contact or information about the proposal to the buyer or any other State official connected with the solicitation will be considered an impermissible supplementation of the bidder's bid proposal.

1.3.1.1 QUESTION PROTOCOL

Questions must be e-mailed in writing to the attention of the assigned Purchase Bureau buyer. Questions should be directly tied to the RFP by the writer. Questions should be asked in consecutive order, from beginning to end, following the organization of the RFP. Each question should begin by referencing the RFP page number and section number to which it relates.

1.3.1.2 CUT-OFF DATE FOR QUESTIONS AND INQUIRIES

The cut-off date for questions and inquiries relating to this RFP is June 2, 2005. All questions will be answered by an addendum. Addenda, if any, to this RFP will be posted to the Purchase Bureau website (see Section 1.4.1. of this RFP for further information.)

1.3.2 MANDATORY SITE VISIT

Not applicable to this procurement. 1.3.3 MANDATORY PRE-BID CONFERENCE

Not applicable to this procurement.

1.3.5 SUBMISSION OF BID PROPOSAL

In order to be considered for award, the bid proposal must be received by the Purchase Bureau of the Division of Purchase and Property at the appropriate location by the required time. ANY BID PROPOSAL NOT RECEIVED ON TIME AT THE RIGHT PLACE WILL BE REJECTED. THE DATE, TIME AND LOCATION ARE:DATE: 06/23/05 TIME: 2:00 P.M. LOCATION:

BID RECEIVING ROOM - 9TH FLOOR PURCHASE BUREAU DIVISION OF PURCHASE AND PROPERTY DEPARTMENT OF THE TREASURY 33 WEST STATE STREET, P.O. BOX 230 TRENTON, NJ 08625-0230 Directions to the Purchase Bureau can be found on the following website: http://www.state.nj.us/treasury/purchase/directions.shtml

1.3.6 DOCUMENT REVIEW

Not applicable to this procurement.

http://www.state.nj.us/treasury/purchase/directions.shtml

11

1.4 ADDITIONAL INFORMATION

1.4.1 REVISIONS TO THIS RFP In the event that it becomes necessary to clarify or revise this RFP, such clarification or revision will be by addendum. ALL RFP ADDENDA WILL BE ISSUED ON THE PURCHASE BUREAU WEB SITE. TO ACCESS ADDENDA THE BIDDER MUST SELECT THE BID NUMBER ON THE PURCHASE BUREAU BIDDING OPPORTUNITIES WEB PAGE AT THE FOLLOWING ADDRESS: HTTP://WWW.STATE.NJ.US/TREASURY/PURCHASE/BID/SUMMARY/BID.SHTML. There are no designated dates for release of addenda. Therefore interested bidders should check the Purchase Bureau "Bidding Opportunities" website on a daily basis from time of RFP issuance through bid opening. It is the sole responsibility of the bidder to be knowledgeable of all addenda related to this procurement.

1.4.2 ADDENDUM AS A PART OF THIS RFP Any addenda to this RFP shall become part of this RFP and part of any contract resulting from this RFP.

1.4.3 ISSUING OFFICE This RFP is issued by the Purchase Bureau, Division of Purchase and Property. The buyer noted in Section 1.3.1 is the sole point of contact between the bidder and the State for purposes of this RFP.

1.4.4 BIDDER RESPONSIBILITY The bidder assumes sole responsibility for the complete effort required in this RFP. No special consideration shall be given after bids are opened because of a bidder's failure to be knowledgeable of all the requirements of this RFP. By submitting a bid proposal in response to this RFP, the bidder represents that it has satisfied itself, from its own investigation, of all the requirements of this RFP.

1.4.5 COST LIABILITY The State assumes no responsibility and bears no liability for costs incurred by bidders before the award of the contract resulting from this RFP.

1.4.6 CONTENTS OF BID PROPOSAL Subsequent to bid opening, all information submitted by bidders in response to the bid solicitation is considered public information, except as may be exempted from public disclosure by the Open Public Records Act, N.J.S.A. 47:1A-1 et seq., and the common law. A bidder may designate specific information as not subject to disclosure when the bidder has a good faith legal/factual basis for such assertion. The State reserves the right to make the determination and shall so advise the bidder. The State will not honor attempts by bidders either to designate their entire bid proposal as proprietary and/or to claim copyright protection for their entire proposal. All bid proposals, with the exception of information determined by the Director to be proprietary, are available for public inspection. Interested parties can make an appointment with the Purchase Bureau to inspect bid proposals received in response to this RFP.

1.4.7 PRICE ALTERATION

http://www.state.nj.us/treasury/purchase/bid/summary/bid.shtml

12

Bid prices must be typed or written in ink. Any price change (including "white-outs") must be initialed. Failure to do so may preclude an award being made to the bidder.

1.4.8 JOINT VENTURE If a joint venture is submitting a bid proposal, the agreement between the parties relating to such joint venture should be submitted with the joint venture’s bid proposal. Authorized signatories from each party comprising the joint venture must sign the bid proposal. A separate Ownership Disclosure Form, Affirmative Action Employee Information Report, MacBride Principles Certification, and business registration must be supplied for each party to a joint venture.

13

2.0 DEFINITIONS The following definitions shall be part of any contract awarded or order placed as result of this RFP.

2.1 STANDARD DEFINITIONS Addendum – Written clarification or revision to this RFP issued by the Purchase Bureau. Amendment – A change in the scope of work to be performed by the contractor. An amendment is not effective until it is signed by the Director, Division of Purchase and Property. Bidder - An individual or business entity submitting a bid proposal in response to this RFP.

Contract - This RFP, any addendum to this RFP, and the bidder’s proposal submitted in response to this RFP, as accepted by the State. Contractor - The contractor is the bidder awarded a contract. Director - Director, Division of Purchase and Property, Department of the Treasury. By statutory authority, the Director is the chief contracting officer for the State of New Jersey. Division - The Division of Purchase and Property Evaluation Committee - A committee established by the Director to review and evaluate bid proposals submitted in response to this RFP and to recommend a contract award to the Director. May - Denotes that which is permissible, not mandatory. Project - The undertaking or services that are the subject of this RFP. Request for Proposal (RFP) – This document which establishes the bidding and contract requirements and solicits bid proposals to meet the purchase needs of the using Agencies as identified herein. Shall or Must – Denotes that which is a mandatory requirement. Failure to meet a mandatory requirement will result in the rejection of a bid proposal as materially non-responsive. Should - Denotes that which is recommended, not mandatory. State Contract Manager – The individual responsible for the approval of all deliverables, i.e., tasks, sub-tasks or other work elements in the Scope of Work as set forth in Sections 5.2, 5.2.1, 5.2.2 and 5.2.3. Subtasks – Detailed activities that comprise the actual performance of a task. State - State of New Jersey. Task – A discrete unit of work to be performed. Using Agency or Agency - The entity for which the Division has issued this RFP and will enter into a contract.

2.2 CONTRACT SPECIFIC DEFINITIONS All Inclusive Hourly Rate – An hourly rate that is inclusive of all direct and indirect costs, including, but not limited to, direct labor costs, overhead, fee or profit, clerical support, equipment, materials, supplies, managerial (administrative) support, all documents, reports, forms, reproduction and any other costs. Time spent traveling to and from the work site or employee's normal workstation shall not be included in the rate. It shall include normal work breaks but not including meals. No additional fees or costs shall be paid to the contractor.

14

Firm Fixed All Inclusive Fee – A price that is all-inclusive of direct cost and indirect costs, including, but not limited to, direct labor costs, overhead, fee or profit, clerical support, equipment, materials, supplies, managerial (administrative) support, all documents, reports, forms, travel, reproduction and any other costs. No additional fees or costs shall be paid to the contractor unless approved by the Director as Additional Work/Special Projects pursuant to Section 5.24..

15

3.0 SCOPE OF WORK

3.1 SOFTWARE REQUIREMENTS The contractor’s software shall provide functionality that at a minimum will: • Capture and track inquiries and contacts from members and employers received through multiple

channels (telephone, letters, e-mail, etc.) • Enable DPB‘s Client Service staff and other interested parties one point of access to information

regarding the status of inquiries and services being provided to members and employers. • Be able to direct and forward a “case” to the appropriate staff person for resolution. • Provide automated follow-up and tracking for unresolved “cases”. • Provide tools to staff enabling standardized answers to common questions and ready access to

commonly used resource materials. • Provide performance statistics for management reporting on the operation of all aspects of the system. • Reduce Call Center volume by directing, where possible, calls to self-service channels

3.2 REQUIRED FEATURES AND FUNCTIONS The provided CM System shall consist of, and/or include, CRM. The CM System shall address RFP Section 1.2.11, Current Operational Iissues, by: A. Utilizing comprehensive case management to provide a member interaction repository which will maintain the history of all member communications associated with the following:

• Retirement Systems • Health Benefit Systems • Deferred Compensation /SACT • Alternate Benefit Program,

by enabling agents to handle integrated service and support seamlessly across the channels listed below:

• Telephone • IVR • E-Mail • Internet Self-Service • Written Correspondence • Interactive Web Chat • Fax

B. Accepting user input based on Social Security Number (SSN), Member Id, Retirement Number and/or Personal Identification Number (PIN). In addition, end users shall be able to run searches based on these criteria. C. Providing tools that integrate with legacy and enterprise systems (see Exhibits 1, 2, 4, 5 and 6) to enable consolidation of mission-critical information and provide a complete and integrated view to the user. Screen shots showing appropriate data fields are provided in Exhibit 10. In addition, data must be refreshed on a daily basis. D. Utilizing scripting to standardize response delivery to members by means of a workflow-based user interface designed to guide call center agents through a client interaction. E. Incorporating a zero-footprint, zero-administration, browser-based web client system that produces a multi-media agent desktop that will consolidate all member interactions and provides the ability for automatic refresh after data entry. Screens should present relevant information quickly, without multiple screen requests and be optimized for browser-based applications. The response time for display of all screens and data refreshes shall be less than two (2) seconds under full load during peak use time. F. Utilizing automated e-mail management/response functions that will:

• Send personalized automatic acknowledgment messages when an e-mail message is received • Route e-mail messages to the right agent with the right skills at the right time

16

• Generate intelligent Auto Response and Auto Suggest e-mail responses to increase accuracy and decrease response times

• Process both unstructured and structured (web form) e-mail messages

G. Incorporating existing Client Services Counselor’s Notebook as a searchable knowledge base. The Counselor’s Notebook is a central repository of all pertinent information needed for staff of DPB to perform their daily job functions. Counselor’s Notebook provides up-to-date information on retirement, health benefit and alternate benefit plans. There are several website links that are provided in addition to the in-house information that assist personnel in performing their job duties. H. Providing for historical and real-time management reporting of all Call Center interactions utilizing both out of the box and ad-hoc reporting. I. Providing access through a completely web-based client. J. Providing one interface for all users. K. Allowing the system administrator to modify the user interface without contractor support via a user friendly toolkit featuring drag and drop, wizards or other ease-of-use interfaces. L. Providing a way to detect duplicate records, monitor data quality and display records for resolution and approval. M. Clearly demonstrating how balancing the workload across all tiers of the application is performed (Load Balancing). N. Providing an upgrade path involving little or no down time. O. Providing a robust rules engine to drive automation and notification across DPB by means of on-screen alerts, e-mails, etc. P. Providing an extensible architecture such as an object oriented architecture with extendable components and methods. Q. Providing a visual mechanism to create and manage complex process flows, trigger alerts and actions within the system. R. Providing a solution that allows members to utilize Internet self-service and/or assisted service via the web giving them access to a knowledge base of information via a specialized search engine.

3.3 SYSTEM SECURITYSystem Security shall provide at a minimum the following: • System administrator authentication via secure logon and password. • User authentication via secure logon and password. • A DPB System Administrator with the ability to modify roles, permissions, etc. • User logons associated with a defined access roles/permissions (Create/Read/Update/Delete) • Records of access levels and permissions for users • Restricted data view based on roles and permissions • Role-based security • A means to keep system software free of viruses, worms and other malicious software • Password encryption.

3.4 BACK UP AND RECOVERY

In the event of a disaster, the contractor shall have the Case Management System back up and running with restored data within twenty-four hours of OTT providing a hardware and operating system platform. The contractor shall develop a Backup and Recovery Plan that provides at a minimum the following:

17

• Features for automated fault tolerance and backup in the event of a failure by the host server • Description of data recovery and how it will be restored with no more than twenty-four (24) hours of lost

data. • Description of procedures to be implemented in case of an extended disaster or outage • Description of how proposed architecture, technical capabilities, and organization shall protect the system

during emergencies • Documented testing procedure which, when followed, shall ensure the availability of critical resources and

facilities that maintain the continuity of operations in a disaster situation. The contractor shall ensure that the Backup and Recovery Plan is kept current with system upgrades. An updated Backup and Recovery Plan must be submitted to the State Contract Manager each time a change is made to the Backup and Recovery Plan.

3.5 DOCUMENTATION/LICENSING

The contractor shall provide the State Contract Manager with all documentation for all software provided by the contractor needed to properly run and administer the application. The documentation shall include, but not be limited to:

• Technical manuals • User manuals • Data dictionaries • Process flow charts • Licenses

The documentation shall be updated each time there is a change to the application and the contractor shall provide the State Contract Manager with new documents that incorporate the changes, or change documents that can be easily and logically placed in the existing documentation. The contractor shall insure that all licensing is current during the term of the contract and any extensions thereof.

3.6 INTERFACES

The contractor shall develop all interfaces needed to insure a seamless and certified integration between the CRM software and the following DPB systems:

• Avaya Definity telephony suite • Avaya Conversant IVR • NICE CEM • FileNET IMS (Image Management System).

Schematics and/or descriptions of the above systems can be found in Exhibits 7 and 8.

3.7 TECHNICAL PLATFORMS AND ARCHITECTURES

The CRM application shall run on at least one of the following Treasury-supported operating systems: • AIX • UNIX • LINUX • Windows

Database software shall run on a Treasury-supported platform of Oracle, Microsoft SQL, or both. The contractor shall supply all necessary software and/or middleware needed to make the application and database software operate properly. DPB currently operates with a Microsoft desktop and Outlook e-mail environment.

3.8 TRAINING

18

The contractor shall train up to five (5) DPB administrators in all aspects of the system and in such detail that the administrators will be able to manage all aspects of the software. The training shall be conducted on-site at the DPB facility located at 50 West State St., Trenton, NJ. The contractor shall supply all software, training manuals, and other documentation and materials needed to conduct the training. The State will be using the five administrators to train State personnel in the end-use of the system. Should training manuals be needed for this training, the contractor shall provide the necessary number of manuals as ordered by the State through price line 7.

3.9 SYSTEM AVAILABILITY

The CRM application will be a mission critical function for the DPB. As such, all components of the CRM application shall be available 99.5 per cent of the time, 365 days per year. A failure of the operating system, hardware or network shall not count against the application unless the application caused the failure.

3.10 WARRANTY/ MAINTENANCE/SUPPORT

The contractor shall supply a two (2) year warranty from time of software acceptance by the State Contract Manager that the software is free from defects, bugs or imperfections. Should an application problem arise during the warranty period, the contractor shall respond to the problem within four (4) hours and shall resolve the problem within twenty-four (24) hours. All work during the warranty period shall be conducted at no additional cost to the State. All upgrades, fixes and/or patches completed during the warranty period shall be completed at no additional charge to the State. If purchased by the State, the contractor shall supply maintenance support for the complete CRM application package for three years from the expiration of the warranty. The contractor shall supply a maintenance support plan that will:

• Provide upgrades at no additional cost for new maintenance releases, software updates, and/or software version upgrades for all software required to make the application work properly and supplied by the contractor in the complete CRM application software package

• Help Desk support for minor technical/user issues and problem reporting via a staffed toll-free telephone number.

• Provide four (4) hour response to application problems • Provide problem resolution within twenty-four (24) hours of notification.

All routine maintenance work will be scheduled to occur between the hours of 1:00 a.m. and 4:00 a.m. eastern time.

3.10.1 HELP DESK

The contractor shall provide a Help Desk between the hours of 8:00 a.m. and 5:00 p.m. eastern time Monday through Friday except State Holidays. Help Desk personnel shall be capable of assisting State employees with minor technical issues in using the application. Help Desk support shall be available 24 hours per day, seven days per week, 365 days per year. During operational hours, the Help Desk shall be the first point of notification for application problems and it will be the Help Desk operator’s responsibility to escalate the call. During non-operational hours, the contractor shall provide a toll-free, staffed phone number for problem notification. All Help Desk services shall adhere to Executive Order 129 requirements and shall not be outsourced outside the United States.

3.11 DELIVERABLES

The work required by the contract resulting from this RFP shall be performed in the following three (3) stages:

1. Discovery/Design Phase:

During the Discovery/Design Phase, the contractor, at a minimum, shall:

19

• Provide a Project Plan describing the activities for each phase. • Review and validate DPB’s CRM functional, technical, data, capacity,

architecture/infrastructure, performance and training requirements. • Identify hardware required to support the project. • Complete a Requirement’s Matrix to include high level business process and functional

requirements. This matrix will also be used as a basis for acceptance testing criteria. • Define any custom functionality and interfaces to external systems • Develop the deployment and end user training strategies. • Produce a “blueprint” showing how DPB requirements will be fully implemented. This should

include all data models, screen definitions, business rules, reports and all interfaces to supported hardware environment.

• Document the means by which legacy data will be migrated into the new environment. • In conjunction with the State Contract Manager, create an Acceptance Test Plan to be

approved by the State Contract Manager to determine the criteria the application must meet before acceptance.

2. Configuration/Testing/Validation Phase:

During the Configuration/Testing/Validation Phase, the contractor, at a minimum, shall:

• Configure and install the application and provide any required extensions or external interfaces and prepare DPB for the deployment and on-going support of the solution.

• Conduct user sessions with the configured application based on preliminary and revised design so to refine the application design to best meet DPB identified business requirements.

• Develop an End User Training plan to be approved by the State Contract Manager that identifies the formal and informal training to be provided.

• Establish a Test Environment on hardware provided by the State to ensure that software is loaded and running properly and databases are built completely and correctly.

• Perform Unit Testing, System Testing and Integration Testing as the application is being developed.

• Assist DPB in formulating a Cutover Plan outlining the steps that must be taken to aid the move from the test environment to production pilot implementation to the eventual deployment to a full production environment.

• Assist DPB in executing the Acceptance Test Plan developed during the Discovery/Design Phase.

3. Deployment Phase:

During the Deployment Phase, the contractor, at a minimum, shall:

• Bring all elements of the implementation together to successfully transition to full deployment.

• Provide all end user training as detailed in the Training Plan developed in Phase 2. • Assist in solving any deployment issues. • Provide a 60 day follow-up on-site wrap-up meeting

3.12 PAYMENT

Payment for the services and products required under this contract shall be made at the end of each of the three phases outlined in Section 3.11, Deliverables, in accordance with the Prompt Payment Act. The completion of each phase shall be determined by the State Contract Manager once all required products and services have been provided and accepted. At the completion of Phase 1, the State shall pay one-third of the software price listed in the cost proposal. At the completion of Phase 2, the State shall pay one-third of the software price listed in the cost proposal, plus one-half of the integration services and one-half of the installation services listed in the cost proposal. Upon completion of Phase 3, the State shall pay all remaining costs.

20

4.0 PROPOSAL PREPARATION AND SUBMISSION

4.1 GENERAL The bidder must follow instructions contained in this RFP and in the bid cover sheet in preparing and submitting its bid proposal. The bidder is advised to thoroughly read and follow all instructions. The information required to be submitted in response to this RFP has been determined to be essential in the bid evaluation and contract award process. Any qualifying statements made by the bidder to the RFP’s requirements could result in a determination that the bidder’s proposal is materially non-responsive. However, the State reserves the right to request the removal of any assumptions or clarifications in order to eliminate non-responsive elements. This proposal will not be used with respect to any proposal that is otherwise technically non-responsive. Each bidder is given wide latitude in the degree of detail it elects to offer or the extent to which plans, designs, systems, processes and procedures are revealed. Each bidder is cautioned, however, that insufficient detail may result in a determination that the bid proposal is materially non-responsive or, in the alternative, may result in a low technical score being given to the bid proposal. The bidder is instructed to clearly identify any requirement of this RFP that the bidder cannot satisfy.

4.2 PROPOSAL DELIVERY AND IDENTIFICATION In order to be considered, a bid proposal must arrive at the Purchase Bureau in accordance with the instructions on the RFP cover sheet. Bidders submitting proposals are cautioned to allow adequate delivery time to ensure timely delivery of proposals. State regulation mandates that late bid proposals are ineligible for consideration. THE EXTERIOR OF ALL BID RESPONSE PACKAGES MUST BE LABELED WITH THE BID IDENTIFICATION NUMBER, FINAL BID OPENING DATE AND THE BUYER’S NAME. All of this information is set forth at the top of the RFP cover sheet (page 3 of the RFP).

4.3 NUMBER OF BID PROPOSAL COPIES Each bidder must submit one (1) complete ORIGINAL bid proposal, clearly marked as the “ORIGINAL” bid proposal. Each bidder must submit three (3) full, complete, and exact copies of the original proposal and six (6) full, complete, and exact ELECTRONIC copies of the original proposal on compact disk (CD). The copies of the proposal on CD must be in PDF file format to be viewable by State evaluators using Adobe Acrobat Reader software. Bidders failing to provide the requested number of copies will be charged the cost incurred by the State in producing the requested number of copies. It is suggested that the bidder make and retain a copy of its bid proposal.

4.4 PROPOSAL CONTENT The bid proposal should be submitted in one volume and that volume divided into four (4) sections as follows: • Section 1 - Forms (Section 4.4.1) • Section 2 - Technical Proposal (Section 4.4.2) • Section 3 - Organizational Support and Experience (Section 4.4.3) • Section 4 - Cost Proposal (Section 4.4.4) The following Table describes the format of the bid proposal that should be prepared with tabs (separators), and the content of the material located behind each tab.

21

TAB CONTENTS RFP SECTION REFERENCE COMMENTS

Cover sheet Completed and signed cover sheet (Page 3 of this RFP)

4.4.1.1 Ownership Disclosure Form (Attachment 1) 4.4.1.2 MacBride Principles Certification (Attachment 2)

4.4.1.3Affirmative Action Employee Information Report or New Jersey Affirmative Action Certificate (Attachment 3)

4.4.1.4 Business Registration

4.4.1.6 Notice of Intent to Subcontract Form and Subcontractor Utilization Plan (Attachment 4)

4.4.1.7 Executive Order 129

1 Forms

1.1 of the Standard Terms & Conditions

Business Registration from Division of Revenue

4.4.2.1 Management Overview 4.4.2.2 Contract Management 4.4.2.3 Contract Schedule 4.4.2.4 Mobilization and Implementation Plan

2 Technical Proposal

4.4.2.5 Potential Problems 4.4.3.1 Location 4.4.3.2 Organization Chart (Contract Specific) 4.4.3.3 Resumes 4.4.3.4 Backup Staff 4.4.3.5 Organization Chart (Entire Firm)

4.4.3.6 Experience of Bidder on Contracts of Similar Size and Scope

4.4.3.7 Financial Capability of the Bidder

3 Organizational Support and Experience Proposal

4.4.3.8 Subcontractor(s)

4 Cost Proposal 4.4.4 Price Schedules (Attachment 5)

4.4.1 SECTION 1 – FORMS

4.4.1.1 OWNERSHIP DISCLOSURE FORM

In the event the bidder is a corporation or partnership, the bidder must complete the attached Ownership Disclosure Form. A completed Ownership Disclosure Form must be received prior to or accompany the bid proposal. Failure to do so will preclude the award of the contract. The Ownership Disclosure Form is attached as Attachment 1 to this RFP.

4.4.1.2 MACBRIDE PRINCIPLES CERTIFICATION The bidder must complete the attached MacBride Principles Certification evidencing compliance with the MacBride Principles. Failure to do so may result in the award of the contract to another vendor. The MacBride Principles Certification Form is attached as Attachment 2 to this RFP

4.4.1.3 AFFIRMATIVE ACTION The bidder must complete the attached Affirmative Action Employee Information Report, or, in the alternative, supply either a New Jersey Affirmative Action Certificate or evidence that the bidder is operating under a Federally approved or sanctioned affirmative action program. The requirement is a precondition to entering into a valid and binding contract.

22

The Affirmative Action Forms are attached as Attachment 3 to this RFP.

4.4.1.4 BUSINESS REGISTRATION CERTIFICATE FROM THE DIVISION OF REVENUE

FAILURE TO SUBMIT A COPY OF THE BIDDER’S BUSINESS REGISTRATION CERTIFICATE (OR INTERIM REGISTRATION) FROM THE DIVISION OF REVENUE WITH THE BID PROPOSAL MAY BE CAUSE FOR REJECTION OF THE BID PROPOSAL. The bidder may go to www.nj.gov/njbgs to register with the Division of Revenue or to obtain a copy of an existing Business Registration Certificate. Refer to Appendix 1, Section 1.1. of the Standard Terms and Conditions and Section 5.3 of this RFP for additional information concerning this requirement.

4.4.1.5 EXECUTIVE ORDER 134

Refer to Section 5.27 of this RFP for more details concerning this requirement.

4.4.1.6 SET ASIDE CONTRACTS

This is a contract with set aside subcontracting goals for Small Businesses. All bidders must include in their bid proposal a completed and signed Notice of Intent to Subcontract form (Attachment 4). Bidders intending to utilize subcontractors must also include a completed and signed Subcontractor Utilization Plan form (Attachment 4). Failure to submit the required forms shall result in a determination that the bid is materially non-responsive. Bidders seeking eligible small businesses should contact the New Jersey Commerce and Economic Growth Commission at (609) 292-2146.

4.4.1.7 EXECUTIVE ORDER 129

THE BIDDER SHALL SUBMIT WITH ITS BID PROPOSAL A COMPLETED SOURCE DISCLOSURE FORM. Refer to Section 5.28 and Attachment 6 for more information concerning this new requirement.

4.4.1.8 BID BOND Not applicable to this procurement.

4.4.2 SECTION 2 - TECHNICAL PROPOSAL In this Section, the bidder shall describe its approach and plans for accomplishing the work outlined in the Scope of Work Section, i.e., Section 3.0. The bidder must set forth its understanding of the requirements of this RFP and its ability to successfully complete the contract. In this section, the bidder shall:

• Describe proposed system solutions to each of the Business Challenges listed in Section 1.2.11 and Section 3.1 referencing each Business Challenge in the response.

• Describe how the proposed system meets the Required CRM System Features and Functions as listed in Section 3.3 referencing each CRM System Feature and Function in the response.

• Provide the number and dates of new releases of the recommended software over the past five years as well as how long the current release has been in production, when the next version is expected to be released, and the anticipated release schedules of new software and the effort involved in implementing the releases.

• Provide a brief summary based on past experience of the anticipated cost savings, efficiencies realized, or other business case support for implementing or utilizing the bidder’s CRM products or services.

http://www.nj.gov/njbgs

23

• Provide copies of current CRM product brochures and price lists, including commercial and government pricing if applicable.

• List all functions available in the CRM Solution that could benefit the State. Include base and partnered functionality.

• Explain how users’ opinions are incorporated into subsequent releases of the product and how the bidder ensures that users are satisfied with subsequent versions of the product prior to general release.

• Describe the methodology by which the product will interface with DPB existing systems according to Section 3.7. This narrative should include: descriptions of the integration strategy as well as evidence of how integration with legacy applications has been accomplished with previous customers; discussion of integration strategies and mechanisms including API sets, integration tool sets, standards compliance and any other approaches.

• Describe the typical hardware/software solution. This narrative shall specify all operating system, hardware, network requirements, and software needed to implement the bidder’s proposed application on one of the technical platforms listed in Section 3.8. The bidder may propose multiple solutions if the application will run on more than one platform. The description should include specifications for: servers (application and database); database management system (DBMS); programming languages; network infrastructure and capacity (LAN and WAN); PC client configuration; data storage; monitoring tools and any other tools needed to administer the application.

• Provide a description of, if applicable, arrangements with other necessary software or operating system suppliers for pre-release changes to those systems so the proposed application software can be upgraded to run under those changes. The bidder shall explain how its software is kept in step with changes to other necessary software and the operating system.

This section of the bid proposal should contain at least the following information:

4.4.2.1 MANAGEMENT OVERVIEW The bidder shall set forth its overall technical approach and plans to meet the requirements of the RFP in a narrative format. This narrative should convince the State that the bidder understands the objectives that the contract is intended to meet, the nature of the required work and the level of effort necessary to successfully complete the contract. This narrative should convince the State that the bidder’s general approach and plans to undertake and complete the contract are appropriate to the tasks and subtasks involved. Mere reiterations of RFP tasks and subtasks are strongly discouraged, as they do not provide insight into the bidder's ability to complete the contract. The bidder’s response to this section should be designed to convince the State that the bidder’s detailed plans and approach proposed to complete the Scope of Work are realistic, attainable and appropriate and that the bidder’s bid proposal will lead to successful contract completion. The bidder shall list the major shareholders of the company and describe to what extent the shareholders are involved with the management of the company, in particular, the development of products.

4.4.2.2 CONTRACT MANAGEMENT The bidder should describe its specific plans to manage, control and supervise the contract to ensure satisfactory contract completion according to the required schedule. The plan should include the bidder's approach to communicate with the State Contract Manager including, but not limited to, status meetings, status reports, etc.

4.4.2.3 CONTRACT SCHEDULE The bidder shall include a contract schedule. If key dates are a part of this RFP, the bidder’s schedule should incorporate such key dates and should identify the completion date for each task and sub-task required by the Scope of Work. Such schedule should also identify the associated deliverable item(s) to be submitted as evidence of completion of each task and/or subtask.

24

The bidder should identify the contract scheduling and control methodology to be used and should provide the rationale for choosing such methodology. The use of Gantt, Pert or other charts is at the option of the bidder.

4.4.2.4 MOBILIZATION AND IMPLEMENTATION PLAN The bidder must include as part of its proposal a mobilization and implementation plan, beginning with the anticipated date of notification of contract award of July 1, 2005. Such mobilization and implementation plan should include the following elements: Bidder should present a detailed and organized work plan that reflects a reasonable assessment of the resource and schedule requirements necessary to deliver the CRM system on time and within budget. Bidder should describe deliverables including products (e.g. software, any hardware, tools, etc.) and services (e.g. procurement, software installation, maintenance). Bidder should assess challenges and opportunities, and should be able to document the assumptions necessary to complete the proposal. The bidder's plan for the deployment and use of management, supervisory or other key personnel during the mobilization and implementation period. The plan should show all management, supervisory and key personnel that will be assigned to manage, supervise and monitor the bidder’s mobilization and implementation of the contract. The bidder should clearly identify management, supervisory or other key staff that will be assigned only during the mobilization and implementation period. Provide proof of ability to recruit and retain experienced resources in similar software and industry background as the DPB environment. The bidder should submit a plan for the purchase and distribution of equipment, inventory, supplies, materials, etc. that will be required to fully implement the contract on the required start date. The bidder should submit a plan for the use of subcontractor(s), if any, on this contract. Emphasis should be on how any subcontractor identified will be involved in the mobilization and implementation plan. The bidder should submit details of bidder partnerships. These partnerships may be non-integrated, third-party vendors or integrated partners.

• Non-integrated third-party vendors are considered to be vendors who are proposed to meet the requirements in this RFP, but the bidder is not offering custom interfaces between its system and the third-party vendor’s system.

• Integrated partners are considered to be vendors proposed to meet the requirements identified in

this RFP and the integration between the bidder’s package and the partner’s package is already developed. Please discuss the degree of integration with each of the partners. This integration is considered to be included in the proposed price.

Note: This question does not intend to elicit a comprehensive inventory of the bidder’s industry-wide partnerships. Rather, DPB seeks to understand which specific partnerships are included in this proposal to serve DPB.

4.4.2.5 POTENTIAL PROBLEMS The bidder should set forth a summary of any and all problems that the bidder anticipates during the term of the contract. For each problem identified, the bidder should provide its proposed solution.

25

4.4.3 SECTION 3 - ORGANIZATIONAL SUPPORT AND EXPERIENCE The bidder should include information relating to its organization, personnel, and experience, including, but not limited to, references, together with contact names and telephone numbers, evidencing the bidder's qualifications, and capabilities to perform the services required by this RFP.

4.4.3.1 LOCATION The bidder shall include the location of the bidder's office that will be responsible for managing the contract. The bidder should include the telephone number and name of the individual to contact. In addition to the listing the office responsible for managing the contract, the bidder shall list the location and staff of the following company facilities:

• Headquarters • Operations Center(s) • Development Center(s) • Training Center(s) • Support Center(s)

4.4.3.2 ORGANIZATION CHART (CONTRACT SPECIFIC)

The bidder should include a contract organization chart, with names showing management, supervisory and other key personnel (including sub-vendor's management, supervisory or other key personnel) to be assigned to the contract. The chart should include the labor category and title of each such individual.

4.4.3.3 RESUMES Detailed resumes shall be submitted for all management, supervisory and key personnel to be assigned to the contract. Resumes should be structured to emphasize relevant qualifications and experience of these individuals in successfully completing contracts of a similar size and scope to those required by this RFP. Experience should be quantified to convey total work effort individual devoted to each project. Resumes should include the following:

• CRM general experience along with business process reengineering experience with major CRM systems;

• Experience with Avaya Definity Switch, Avaya Call Management System (CMS), Avaya

Automated Call Distribution (ACD), Avaya Conversant IVR, NICE CEM, IBM mainframe and LAN based file extracts and FileNET Imaging systems;

• Experience with the integration of CRM to FileNET Image processing systems;

• Experience with the integration of CRM with mainframe legacy and workflow based application

systems; and

• Experience with Windows 2000/XP based systems, desktop and server, including Microsoft Exchange/Outlook.

4.4.3.4 BACKUP STAFF

The bidder should include a list of backup staff that may be called upon to assist or replace primary individuals assigned. Backup staff must be clearly identified as backup staff. In the event the bidder must hire management, supervisory and/or key personnel if awarded the contract, the bidder should include, as part of its recruitment plan, a plan to secure backup staff in the event personnel initially recruited need assistance or need to be replaced during the contract term.

4.4.3.5 ORGANIZATION CHART (ENTIRE FIRM)

26

The bidder should include an organization chart showing the bidder’s entire organizational structure. This chart should show the relationship of the individuals assigned to the contract to the bidder's overall organizational structure. The bidder should also describe the vision of the organization including, its origin, how it has developed and in what direction it is moving as well as how DPB, considering its size, location and business, fits into the overall vision and long term strategy of the organization.

4.4.3.6 EXPERIENCE OF BIDDER ON CONTRACTS OF SIMILAR SIZE AND SCOPE

The bidder shall provide a minimum of three customer references of a similar size and scope that have implemented the bidder’s CRM system in the past three (3) years as evidence of the bidder’s ability to successfully complete the services required by this RFP. Emphasis should be placed on contracts that are similar in size and scope to the work required by this RFP. A description of all such contracts should be included and should show how such contracts relate to the ability of the firm to complete the services required by this RFP. For each such contract, the bidder shall provide two names and telephone numbers of individuals for the other contract party, the number of installed sites and the type of business. Beginning and ending dates should also be given for each contract.

4.4.3.7 FINANCIAL CAPABILITY OF THE BIDDER The bidder shall provide proof of its financial capacity and capabilities to undertake and successfully complete the contract. To satisfy this requirement, the bidder shall submit a certified financial statement, including applicable notes, reflecting the bidder’s assets, liabilities, net worth, revenues, expenses, profit or loss, and cash flow for the most recent calendar year or the bidder’s most recent fiscal year; or, if a certified financial statement is not available, then either a reviewed or compiled statement from an independent accountant setting forth the same information required for the certified financial statement. In addition, the bidder must submit a bank reference. The bidder shall also provide:

• The amount of money per year the bidder spent on research and development of applications, tool sets and methodologies in the last three years (if possible, break down by Customer Support Service expenditures); also include forecasts for the next three years. Include specific expenditures by vertical industry segment supported (i.e., consumer packaged goods, pharmaceuticals, utilities, etc.) Also include R&D expenditures as a percentage of gross revenue.

• The percentage of your revenue derived from Customer Support Services Systems. The bidder

shall provide information in this regard for the past 3 years with projections for the next 3 years. • The industry targeted as the primary market for its software applications. • A description of formal, significant business partnerships and their objectives. This response will

differ from the partnership response in Section 4.4.2.4, Implementation Plan, in that DPB seeks to understand the breadth and depth of the bidder’s partnerships and how the partners contribute to the overall viability of the organization.

4.4.3.8 SUBCONTRACTOR(S)

A. All bidders must complete the Notice of Intent to Subcontract Form whether or not they intend to

utilize subcontractors in connection with the work set forth in this RFP. If the bidder intends to utilize subcontractor(s), then the Subcontractor Utilization Plan must also be submitted with the bid.

N.J.A.C. 17:13-4 and Executive Order 71 mandate that if the bidder proposes to utilize a subcontractor,

the bidder must make a good faith effort to meet the set-aside subcontracting targets of awarding a total of twenty-five percent (25%) of the value of the contract to New Jersey-based, New Jersey Commerce and Economic Growth Commission registered small businesses, with a minimum of five (5) percent awarded to each of the three categories set forth below, and the balance of ten (10) percent spread

27

across the three annual gross revenue categories: Category I – $1 to $500,000; Category II - $500,001 to $5,000,000; Category III - $5,000,001 to $12,000,000.

B. Should the bidder choose to use subcontractors and fail to meet the Small Business Subcontracting

targets set forth above, the bidder must submit documentation demonstrating its good faith effort to meet the targets with its bid proposal or within seven (7) business days upon request.

C. Should the bidder propose to utilize a subcontractor(s) to fulfill any of its obligations, the bidder shall be

responsible for the subcontractor’s(s): (a) performance; (b) compliance with all of the terms and conditions of the contract; and (c) compliance with the requirements of all applicable laws.

D. The bidder must provide a detailed description of services to be provided by each subcontractor,

referencing the applicable Section or Subsection of this RFP. E. The bidder should provide detailed resumes for each subcontractor’s management, supervisory and

other key personnel that demonstrate knowledge, ability and experience relevant to that part of the work which the subcontractor is designated to perform.

F. The bidder should provide documented experience to demonstrate that each subcontractor has

successfully performed work on contracts of a similar size and scope to the work that the subcontractor is designated to perform in the bidder’s proposal.

4.4.3.9 DISCLOSURE OF INVESTIGATIONS/LITIGATION DECLARATION

The bidder shall provide a detailed description of any investigation, litigation, including administrative complaints or other administrative proceedings, involving any public sector clients during the past five years including the nature and status of the investigation, and, for any litigation, the caption of the action, a brief description of the action, the date of inception, current status, and, if applicable, disposition. The bidder shall use the chart in Attachment 1A, Disclosure of Investigations and Actions Involving Bidder, located after the Attachment 1, Ownership Disclosure Form.

4.4.4 SECTION 4 - COST PROPOSAL The price schedule is attached to this RFP as Attachment 5 as described below. Failure to submit all requested pricing information shall result in the bidder’s proposal being considered materially non-responsive. Each bidder must hold its price(s) firm through issuance of contract to permit the completion of the evaluation of bid proposals received and the contract award process.

4.4.4.1 LINE 1 CRM SOFTWARE

On line 1, the bidder shall provide the cost for the complete CRM software package. This cost shall include all third-party software including middleware, but exclusive of server operating system software, needed to run the CRM application on the hardware and operating system platform recommended in the bidder’s proposal. On a separate sheet of paper, the bidder shall itemize all third-party software and the price for each software product included in the complete CRM software package. No additional costs for software will be paid by the State for software not included in this list that is needed to make the application run.

4.4.4.2 LINE 2 INSTALLATION

On line 2, the bidder shall provide the total cost required to install the complete CRM software package on the hardware and operating system platform recommended in the bidder’s proposal. A complete installation shall include all functionality of the CRM application working properly including all integration services. The installation will be complete upon acceptance by the State Contract Manager.

4.4.4.3 LINE 3 INTEGRATION SERVICES

28

On line 3, the bidder shall provide the total fixed cost to complete all the integration services required by the Scope of Work of this RFP. The integration services cost shall include all software, personnel hours and testing required to complete the integration. The integration services shall be complete when all integrations are working properly and have been accepted by the State contract manager.

4.4.4.4 LINE 4 TRAINING

On line 4, the bidder shall provide all costs to train five (5) DPB employees to be proficient with all aspects of the CRM software as required by Section 3.9 of this RFP. On a separate sheet of paper, the bidder shall itemize each training class a trainee will attend and the cost for that class per trainee. This cost shall be used for the term of the contract should additional employees need training.

4.4.4.5 LINE 5 MAINTENANCE

On line 5, the bidder shall provide one price for maintenance for a three year period after the warranty expires. The maintenance shall be in accordance with Section 3.11. The price shall be a firm, fixed price. The maintenance service is optional and the State may choose not to purchase the service. However, the cost shall be included in the total bid price for ranking purposes. If the State chooses to purchase the maintenance support, the State must purchase the entire three years and the purchase must be completed before the end of the contract term.

4.4.4.6 LINE 6 ADDITIONAL WORK/SPECIAL PROJECTS PRICE LINE

On a separate sheet of paper, the bidder shall provide a title, job description, and a firm, fixed, hourly rate for each category of work the bidder believes may be required to do Additional Work/Special Projects under this contract (See Section 5.24). This line shall include at a minimum:

• Team Leader: Hourly Rate: $____________ • Senior Consultant: Hourly Rate: $____________ • Junior Consultant: Hourly Rate: $____________ • Secretarial Staff Hourly Rate: $____________

29

5.0 SPECIAL TERMS AND CONDITIONS

5.1 PRECEDENCE OF CONTRACTUAL TERMS AND CONDITIONS The contract shall consist of this RFP, addenda to this RFP, the vendor’s bid proposal, and the Division's Notice of Acceptance. Unless specifically noted within this RFP, the Special Terms and Conditions, take precedence over the Standard Terms and Conditions, attached as Appendix 1 In the event of a conflict between the provisions of this RFP, including the Standard Terms and Conditions and the Special Terms and Conditions, and any addendum to the RFP, the addendum shall govern. In the event of a conflict between the provisions of this RFP, including any addendum to this RFP, and the bidder’s proposal, the RFP and/or the addendum shall govern.

5.2 STATE CONTRACT MANAGER

The State Contract Manager is the State employee responsible for the overall management and administration of the contract. The State Contract Manager for this project will be identified at the time of execution of contract. At that time, the contractor will be provided with the State Contract Manger name, department, division, agency, address, telephone number, fax phone number, and email address.

5.2.1 STATE CONTRACT MANAGER RESPONSIBILITIES

For an agency contract where only one State office uses the contract, the State Contract Manager will be responsible for engaging the contractor, assuring that Purchase Orders are issued to the contractor, directing the contractor to perform the work of the contract, approving the deliverables and approving payment vouchers. The State Contract Manager is the person that the contractor will contact after the contract is executed for answers to any questions and concerns about any aspect of the contract. The State Contract Manager is responsible for coordinating the use and resolving minor disputes between the contractor and any component part of the State Contract Manager's Department. If the contract has multiple users, then the State Contract Manager shall be the central coordinator of the use of the contract for all Using Agencies, while other State employees engage and pay the contractor. All persons and agencies that use the contract must notify and coordinate the use of the contract with the State Contract Manager.

5.2.2 OTHER DUTIES OF THE STATE CONTRACT MANAGER

The State Contract Manager shall have the following additional duties:

a) If the State Contract Manager determines that the Contractor has failed to perform the work of the contract and is unable to resolve that failure to perform directly with the contractor, the State Contract Manager shall file a formal complaint with the Contract Compliance Unit in the Division of Purchase and Property and request that office to assist in the resolution the contract performance problem with the contractor.

b) The State Contract Manager is responsible for arranging for contract extensions and preparing any re-

procurement of the contract with the Purchase Bureau.

c) The State Contract Manager is responsible for obtaining permission from the Director to reduce the scope of work, amend the contract or add work or special projects to the contract after contract award.

d) The State Contract Manager is responsible for completion of the Project Performance Assessment Form

for submission to the CCAU Unit of the Division, with a copy to the Associate Director of OMB; and

30

e) The State Contract Manager is responsible for submitting the Contractor final deliverables to the Associate Director of OMB.

f) The State Contract Manager is also responsible to formally report, to the Division of Purchase and

Property’s Assistant Director, CCAU, using the PB-36 Formal Complaint form, all instances when deliverables, i.e. commodities and/or services, are not in accordance with the contract specifications or scope of work. Variances from contract pricing shall be reported in this same manner to ensure that State and other using agencies receive the goods and/or services at the pricing established at the time of contract award or amendment(s) to the contract.

5.2.3 COORDINATION WITH THE STATE CONTRACT MANAGER

Any contract user that is unable to resolve disputes with a contractor shall refer those disputes to the State Contract Manager for resolution. Any questions related to performance of the work of the contract by contract users shall be directed to the State Contract Manager. The contractor may contact the State Contract Manager if the contractor can not resolve a dispute with contract users.

5.3 PERFORMANCE BOND

This section supplements Section 3.3b of the Standard Terms and Conditions. A performance bond is required. The amount of the performance bond is noted on the RFP cover sheet. The contractor must provide the performance bond within thirty (30) days of the effective date of the contract award. The performance bond must remain in full force and effect for the term of the contract and any extension thereof. Within thirty (30) days of the anniversary of the contract effective date, the contractor shall provide proof to the Director that the performance bond in the required amount is in effect. Failure to provide such proof may result in the suspension of payment to the contractor until such time the contractor complies with this requirement. For performance bonds based on a percentage of the total estimated contract price, the performance bond requirement is calculated as follows. For the first year of the contract, the performance bond percentage on the RFP cover sheet is applied to the estimated total contract amount for the full term of the contract. On each anniversary of the effective date of the contract, the amount of the required performance bond, unless otherwise noted, is calculated by applying the established RFP performance bond percentage to the outstanding balance of the estimated amount of the contract price to be paid to the contractor. In the event that the contract price is increased by amendment to the contract, the contractor may be required to provide, within thirty (30) days of the effective date of the amendment, performance bond coverage for the increase in contract price. The required increase in the performance bond amount is calculated by applying the established bond percentage set forth on RFP cover sheet to the increase in contract price. Failure to provide such proof to the Director of this required coverage may result in the suspension of payment to the contractor until such time the contractor complies with this requirement.

5.4 BUSINESS REGISTRATION

The following shall supplement the Standard Terms and Conditions pertaining to Business Registration set forth in, Appendix 1, Section 1.1. “Affiliate” means any entity that (1) directly, indirectly, or constructively controls another entity, (2) is directly, indirectly, or constructively controlled by another entity, or (3) is subject to the control of a common entity. An entity controls another entity if it owns, directly or individually, more than 50% of the ownership in that entity. “Business organization” means an individual, partnership, association, joint stock company, trust, corporation, or other legal business entity or successor thereof; “Business registration” means a business registration certificate issued by the Department of the Treasury or such other form or verification that a contractor or subcontractor is registered with the Department of Treasury;

31

“Contractor” means a business organization that seeks to enter, or has entered into, a contract to provide goods or services with a contracting agency; “Contracting agency” means the principal departments in the Executive Branch of the State Government, and any division, board, bureau, office, commission or other instrumentality within or created by such department, or any independent State authority, commission, instrumentality or agency, or any State college or university, any county college, or any local unit; with respect to this Contract, the contracting agency shall mean the Division; “Subcontractor” means any business organization that is not a contractor that knowingly provides goods or performs services for a contractor or another subcontractor in the fulfillment of a contract. A bidder shall submit a copy of its business registration at the time of submission of its bid proposal in response to this RFP. A subcontractor shall provide a copy of its business registration to any contractor who shall forward it to the contracting agency. No contract with a subcontractor shall be entered into by any contractor unless the subcontractor first provides proof of valid business registrations. The contractor shall provide written notice to all subcontractors that they are required to submit a copy of their business registration to the contractor. The contractor shall maintain a list of the names of any subcontractors and their current addresses, updated as necessary during the course of the contract performance. The contractor shall submit to the contracting agency a copy of the list of subcontractors, updated as necessary during the course of performance of the contract. The contractor shall submit a complete and accurate list of the subcontractors to the contracting agency before a request for final payment is made to the using agency. The contractor and any subcontractor providing goods or performing services under the contract, and each of their affiliates, shall, during the term of the contract, collect and remit to the Director of the Division of Taxation in the Department of the Treasury the use tax due pursuant to the “Sales and Use Tax Act, P.L. 1966, c. 30 (N.J.S.A. 54:32B-1 et seq.) on all their sales of tangible personal property delivered into the State. This paragraph shall apply to all contracts awarded on and after September 1, 2004

5.5 CONTRACT TERM AND EXTENSION OPTION The term of the contract shall be for a period of three (3) years. The anticipated “Contract Effective Date” is provided on the cover sheet of this RFP (page 3 of this RFP). If delays in the bid process result in an adjustment of the anticipated Contract Effective Date, the bidder agrees to accept a contract for the full term of the contract. The contract may be extended for additional periods of up to one (1) year for a total of two (2) years, by mutual written consent of the contractor and the Director at the same terms, conditions and pricing. The length of each extension shall be determined when the extension request is processed. Should the contract be extended, the contractor shall be paid at the rates in effect in the last year of the contract.

5.6 CONTRACT TRANSITION In the event services end by either contract expiration or termination, it shall be incumbent upon the contractor to continue services, if requested by the Director, until new services can be completely operational. The contractor acknowledges its responsibility to cooperate fully with the replacement contractor and the State to ensure a smooth and timely transition to the replacement contractor. Such transitional period shall not extend more than one hundred-eighty (180) days beyond the expiration date of the contract, or any extension thereof. The contractor will be reimbursed for services during the transitional period at the rate in effect when the transitional period clause is invoked by the State.

5.7 AVAILABILITY OF FUNDS

32

The State's obligation to pay the contractor is contingent upon the availability of appropriated funds from which payment for contract purposes can be made. No legal liability on the part of the State for payment of any money shall arise unless funds are made available each fiscal year to the Using Agency by the Legislature.

5.8 CONTRACT AMENDMENT Any changes or modifications to the terms of the contract shall only be valid when they have been reduced to writing and executed by the contractor and the Director.

5.9 CONTRACTOR RESPONSIBILITIES The contractor shall have sole responsibility for the complete effort specified in the contract. Payment will be made only to the contractor. The contractor shall have sole responsibility for all payments due any subcontractor. The contractor is responsible for the professional quality, technical accuracy and timely completion and submission of all deliverables, services or commodities required to be provided under the contract. The contractor shall, without additional compensation, correct or revise any errors, omissions, or other deficiencies in its deliverables and other services. The approval of deliverables furnished under this contract shall not in any way relieve the contractor of responsibility for the technical adequacy of its work. The review, approval, acceptance or payment for any of the services shall not be construed as a waiver of any rights that the State may have arising out of the contractor’s performance of this contract.

5.10 SUBSTITUTION OF STAFF If it becomes necessary for the contractor to substitute any management, supervisory or key personnel, the contractor will identify the substitute personnel and the work to be performed. The contractor must provide detailed justification documenting the necessity for the substitution. Resumes must be submitted evidencing that the individual(s) proposed as substitution(s) have qualifications and experience equal to or better than the individual(s) originally proposed or currently assigned. The contractor shall forward a request to substitute staff to the State Contract Manager for consideration and approval. No substitute personnel are authorized to begin work until the contractor has received written approval to proceed from the State Contract Manager.

5.11 SUBSTITUTION OR ADDITION OF SUBCONTRACTOR(S) This Subsection serves to supplement but not to supersede Section 3.11 of the Standard Terms and Conditions of this RFP. If it becomes necessary for the contractor to substitute a subcontractor, add a subcontractor or substitute its own staff for a subcontractor, the contractor will identify the proposed new subcontractor or staff member(s) and the work to be performed. The contractor must provide detailed justification documenting the necessity for the substitution or addition. The contractor must provide detailed resumes of its proposed replacement staff or of the proposed subcontractor’s management, supervisory and other key personnel that demonstrate knowledge, ability and experience relevant to that part of the work which the subcontractor is to undertake. The qualifications and experience of the replacement(s) must equal or exceed those of similar personnel proposed by the contractor in its bid proposal. The contractor shall forward a written request to substitute or add a subcontractor or to substitute its own staff for a subcontractor to the State Contract Manager for consideration. If the State Contract Manager approves the request, the State Contract Manager will forward the request to the Director for final approval.

33

No substituted or additional subcontractors are authorized to begin work until the contractor has received written approval from the Director.

5.12 OWNERSHIP OF MATERIAL All data, technical information, materials gathered, originated, developed, prepared, used or obtained in the performance of the contract, including, but not limited to, all reports, surveys, plans, charts, literature, brochures, mailings, recordings (video and/or audio), pictures, drawings, analyses, graphic representations, software computer programs and accompanying documentation and print-outs, notes and memoranda, written procedures and documents, regardless of the state of completion, which are prepared for or are a result of the services required under this contract shall be and remain the property of the State of New Jersey and shall be delivered to the State of New Jersey upon 30 days notice by the State. With respect to software computer programs and/or source codes developed for the State, the work shall be considered “work for hire”, i.e., the State, not the contractor or subcontractor, shall have full and complete ownership of all software computer programs and/or source codes developed. To the extent that any of such materials may not, by operation of the law, be a work made for hire in accordance with the terms of this Agreement, contractor or subcontractor hereby assigns to the State all right, title and interest in and to any such material, and the State shall have the right to obtain and hold in its own name and copyrights, registrations and any other proprietary rights that may be available. Should the bidder anticipate bringing pre-existing intellectual property into the project, the intellectual property must be identified in the bid proposal. Otherwise, the language in the first paragraph of this section prevails. If the bidder identifies such intellectual property ("Background IP") in its bid proposal, then the Background IP owned by the bidder on the date of the contract, as well as any modifications or adaptations thereto, remain the property of the bidder. Upon contract award, the bidder or contractor shall grant the State a non-exclusive, perpetual royalty free license to use any of the bidder/contractor's Background IP delivered to the State for the purposes contemplated by the Contract.

5.13 DATA CONFIDENTIALITY All financial, statistical, personnel and/or technical data supplied by the State to the contractor are confidential. The contractor is required to use reasonable care to protect the confidentiality of such data. Any use, sale or offering of this data in any form by the contractor, or any individual or entity in the contractor’s charge or employ, will be considered a violation of this contract and may result in contract termination and the contractor’s suspension or debarment from State contracting. In addition, such conduct may be reported to the State Attorney General for possible criminal prosecution.

5.14 NEWS RELEASES The contractor is not permitted to issue news releases pertaining to any aspect of the services being provided under this contract without the prior written consent of the Director.

5.15 ADVERTISING The contractor shall not use the State’s name, logos, images, or any data or results arising from this contract as a part of any commercial advertising without first obtaining the prior written consent of the Director.

5.16 LICENSES AND PERMITS The contractor shall obtain and maintain in full force and effect all required licenses, permits, and authorizations necessary to perform this contract. The contractor shall supply the State Contract Manager with evidence of all such licenses, permits and authorizations. This evidence shall be submitted subsequent to the contract award. All costs associated with any such licenses, permits and authorizations must be considered by the bidder in its bid proposal.

5.17 CLAIMS AND REMEDIES

5.17.1 CLAIMS

34

All claims asserted against the State by the contractor shall be subject to the New Jersey Tort Claims Act, N.J.S.A. 59:1-1, et seq., and/or the New Jersey Contractual Liability Act, N.J.S.A. 59:13-1, et seq.

5.17.2 REMEDIES Nothing in the contract shall be construed to be a waiver by the State of any warranty, expressed or implied, of any remedy at law or equity, except as specifically and expressly stated in a writing executed by the Director.

5.17.3 REMEDIES FOR NON-PERFORMANCE In the event the contractor fails to comply with any material contract requirement, the Director may take steps to terminate the contract in accordance with the State Administrative Code. In this event, the Director may authorize the delivery of contract items by any available means, with the difference between the price paid and the defaulting contractor’s price either being deducted from any monies due the defaulting contractor or being an obligation owed the State by the defaulting contractor.

5.18 LATE DELIVERY

The contractor must immediately advise the State Contract Manager of any circumstance or event that could result in late completion of any task or subtask called for to be completed on a date certain. Notification must also be provided to the Director at the address below: The State of New Jersey Director, Division of Purchase and Property Purchase Bureau PO Box 230 33 West State St. Trenton, New Jersey 08625-0230

5.19 RETAINAGE Not applicable to this procurement.

5.20 STATE'S OPTION TO REDUCE SCOPE OF WORK The State has the option, in its sole discretion, to reduce the scope of work for any task or subtask called for under this contract. In such an event, the Director shall provide advance written notice to the contractor. Upon receipt of such written notice, the contractor will submit, within five (5) working days to the Director and the State Contract Manager, an itemization of the work effort already completed by task or subtask. The contractor shall be compensated for such work effort according to the applicable portions of its cost proposal.

5.21 SUSPENSION OF WORK The State Contract Manager may, for valid reason, issue a stop order directing the contractor to suspend work under the contract for a specific time. The contractor shall be paid until the effective date of the stop order. The contractor shall resume work upon the date specified in the stop order, or upon such other date as the State Contract Manager may thereafter direct in writing. The period of suspension shall be deemed added to the contractor's approved schedule of performance. The Director and the contractor shall negotiate an equitable adjustment, if any, to the contract price.

5.22 CHANGE IN LAW Whenever an unforeseen change in applicable law or regulation affects the services that are the subject of this contract, the contractor shall advise the State Contract Manager and the Director in writing and include in such written transmittal any estimated increase or decrease in the cost of its performance of the services

35

as a result of such change in law or regulation. The Director and the contractor shall negotiate an equitable adjustment, if any, to the contract price.

5.23 CONTRACT PRICE INCREASE (PREVAILING WAGE) If the Prevailing Wage Act (N.J.S.A. 34:11-56 et seq.) is applicable to the contract, the contractor may apply to the Director, on the anniversary of the effective date of the contract, for a contract price increase. The contract price increase will be available only for an increase in the prevailing wages of trades and occupations covered under this contract during the prior year. The contractor must substantiate with documentation the need for the increase and submit it to the Director for review and determination of the amount, if any, of the requested increase, which shall be available for the upcoming contract year. No retroactive increases will be approved by the Director.

5.24 ADDITIONAL WORK AND/OR SPECIAL PROJECTS The contractor shall not begin performing any additional work or special projects without first obtaining written approval from both the State Contract Manager and the Director. In the event of additional work and/or special projects, the contractor must present a written proposal to perform the additional work to the State Contract Manager. The proposal should provide justification for the necessity of the additional work. The relationship between the additional work and the base contract work must be clearly established by the contractor in its proposal. The contractor’s written proposal must provide a detailed description of the work to be performed broken down by task and subtask. The proposal should also contain details on the level of effort, including hours, labor categories, etc., necessary to complete the additional work. The written proposal must detail the cost necessary to complete the additional work in a manner consistent with the contract. The written cost proposal must be based upon the hourly rates, unit costs or other cost elements submitted by the contractor in the contractor’s original bid proposal submitted in response to this RFP. Whenever possible, the cost proposal should be a firm, fixed cost to perform the required work. The firm fixed price should specifically reference and be tied directly to costs submitted by the contractor in its original bid proposal. A payment schedule, tied to successful completion of tasks and subtasks, must be included. Upon receipt and approval of the contractor’s written proposal, the State Contract Manager shall forward same to the Director for the Director’s written approval. Complete documentation from the Using Agency, confirming the need for the additional work, must be submitted. Documentation forwarded by the State Contract Manager to the Director must all include all other required State approvals, such as those that may be required from the State of New Jersey’s Office of Management and Budget (OMB) and Office of Information and Technology (OIT). No additional work and/or special project may commence without the Director’s written approval. In the event the contractor proceeds with additional work and/or special projects without the Director’s written approval, it shall be at the contractor’s sole risk. The State shall be under no obligation to pay for work performed without the Director’s written approval.

5.25 FORM OF COMPENSATION AND PAYMENT This Section supplements Section 4.5 of the RFP’S Standard Terms and Conditions. The contractor must submit official State invoice forms to the Using Agency with supporting documentation evidencing that work for which payment is sought has been satisfactorily completed. Invoices must reference the tasks or subtasks detailed in the Scope of Work section of the RFP and must be in strict accordance with the firm, fixed prices submitted for each task or subtask on the RFP pricing sheets. When applicable, invoices should reference the appropriate RFP price sheet line number from the contractor’s bid proposal. All invoices must be approved by the State Contract Manager before payment will be authorized. Invoices must also be submitted for any special projects, additional work or other items properly authorized and satisfactorily completed under the contract. Invoices shall be submitted according to the payment

36

schedule agreed upon when the work was authorized and approved. Payment can only be made for work when it has received all required written approvals and has been satisfactorily completed.

5.25.1 PAYMENT TO CONTRACTOR - OPTIONAL METHOD The State of New Jersey now offers State contractors the opportunity to be paid through the Mastercard procurement card (p-card). A contractor’s acceptance and a State agency’s use of the p-card, however, is optional. P-card transactions do not require the submission of either a contractor invoice or a State payment voucher. Purchasing transactions using the p-card will usually result in payment to a contractor in three days. A contractor should take note that there will be a transaction-processing fee for each p-card transaction. To participate, a contractor must be capable of accepting the Mastercard. Additional information can be obtained from banks or merchant service companies.

5.26 CONTRACT ACTIVITY REPORT Not applicable to this procurement.

5.27 REQUIREMENTS OF EXECUTIVE ORDER 134

In order to safeguard the integrity of State government procurement by imposing restrictions to insulate the award of State contracts from political contributions that pose the risk of improper influence, purchase of access, or the appearance thereof, Executive Order 134 was signed on September 22, 2004 (“EO 134”). Pursuant to the requirements of EO 134, the terms and conditions set forth in this section are material terms of any contract resulting from this RFP:

5.27.1 DEFINITIONS

For the purpose of this section, the following shall be defined as follows: a) Contribution – means a contribution reportable as a recipient under “The New Jersey Campaign Contributions and Expenditures Reporting Act.” P.L. 1973, c. 83 (C.19:44A-1 et seq.), and implementing regulations set forth at N.J.A.C. 19:25-7 and N.J.A.C. 19:25-10.1 et seq. Through December 31, 2004, contributions in excess of $400 during a reporting period were deemed "reportable" under these laws. As of January 1, 2005, that threshold was reduced to contributions in excess of $300. b) Business Entity – means any natural or legal person, business corporation, professional services corporation, limited liability company, partnership, limited partnership, business trust, association or any other legal commercial entity organized under the laws of New Jersey or any other state or foreign jurisdiction. It also includes (i)all principals who own or control more than 10 percent of the profits or assets of a business entity or 10 percent of the stock in the case of a business entity that is a corporation for profit, as appropriate; (ii)any subsidiaries directly or indirectly controlled by the business entity; (iii)any political organization organized under 26 U.S.C.A. 527 that is directly or indirectly controlled by the business entity, other than a candidate committee, election fund, or political party committee; and (iv)if a business entity is a natural person, that person’s spouse or child, residing in the same household.

5.27.2 BREACH OF TERMS OF EXECUTIVE ORDER 134 It shall be a breach of the terms of the contract for the Business Entity to (i)make or solicit a contribution in violation of this Order, (ii)knowingly conceal or misrepresent a contribution given or received; (iii)make or solicit contributions through intermediaries for the purpose of concealing or misrepresenting the source of the contribution; (iv)make or solicit any contribution on the condition or with the agreement that it will be contributed to a campaign committee or any candidate of holder of the public office of Governor, or to any State or county party committee; (v)engage or employ a lobbyist or consultant with the intent or understanding that such lobbyist or consultant would make or solicit any contribution, which if made or

37

solicited by the business entity itself, would subject that entity to the restrictions of EO 134; (vi)fund contributions made by third parties, including consultants, attorneys, family members, and employees; (vii)engage in any exchange of contributions to circumvent the intent of EO 134; or (viii)directly or indirectly through or by any other person or means, do any act which would subject that entity to the restrictions of EO 134.

5.27.3 CERTIFICATION AND DISCLOSURE REQUIREMENTS a) The State shall not enter into a contract to procure from any Business Entity services or any material, supplies or equipment, or to acquire, sell or lease any land or building, where the value of the transaction exceeds $17,500, if that Business Entity has solicited or made any contribution of money, or pledge of contribution, including in-kind contributions to a candidate committee and/or election fund of any candidate for or holder of the public office of Governor, or to any State or county political party committee during certain specified time periods b) Prior to awarding any contract or agreement to any Business Entity, the Business Entity proposed as the intended awardee of the contract shall submit the Certification and Disclosure form, certifying that no contributions prohibited by Executive Order 134 have been made by the Business Entity and reporting all contributions the Business Entity made during the preceding four years to any political organization organized under 26 U.S.C.527 of the Internal Revenue Code that also meets the definition of a “continuing political committee” within the mean of N.J.S.A. 19:44A-3(n) and N.J.A.C. 19:25-1.7. The required form and instructions, available for review on the Purchase Bureau website at http://www.state.nj.us/treasury/purchase/forms.htm#eo134 , shall be provided to the intended awardee for completion and submission to the Purchase Bureau with the Notice of Intent to Award. Upon receipt of a Notice of Intent to Award a Contract, the intended awardee shall submit to the Division, in care of the Purchase Bureau Buyer, the Certification and Disclosure(s) within five (5) business days of the State’s request. Failure to submit the required forms will preclude award of a contract under this RFP, as well as future contract opportunities. c) Further, the Contractor is required, on a continuing basis, to report any contributions it makes during the term of the contract, and any extension(s) thereof, at the time any such contribution is made. The required form and instructions, available for review on the Purchase Bureau website at http://www.state.nj.us/treasury/purchase/forms.htm#eo134 , shall be provided to the intended awardee with the Notice of Intent to Award.

5.27.4 STATE TREASURER REVIEW The State Treasurer or his designee shall review the Disclosures submitted pursuant to this section, as well as any other pertinent information concerning the contributions or reports thereof by the intended awardee, prior to award, or during the term of the contract, by the contractor. If the State Treasurer determines that any contribution or action by the contractor constitutes a breach of contract that poses a conflict of interest in the awarding of the contract under this solicitation, the State Treasurer shall disqualify the Business Entity from award of such contract.

5.28 REQUIREMENTS OF EXECUTIVE ORDER 129

Under the Executive Order 129 issued on September 9, 2004 (“E.O. 129”), the State shall not award a contract to a bidder that submits a bid proposal to perform services, or have its subcontractor[s] perform services, outside the United States, unless one of the following conditions is met: a) The bidder or its subcontractor provide a unique service, and no comparable, domestically-provided service can adequately duplicate the unique features of the service provided by the bidder or and/or its subcontractor; or b) A significant and substantial economic cost factor exists such that a failure to use the bidder’s and/or the subcontractor’[s] services would result in economic hardship to the State; or

38

c) The Treasurer determines that a failure to use the bidder’s and/or its subcontractor’s services would be inconsistent with the public interest.

5.28.1 SOURCE DISCLOSURE REQUIREMENTS

Pursuant to E.O. 129, all bidders seeking a contract with the State of New Jersey must disclose: a) The location by country where services under the contract will be performed; and b) The location by country where any subcontracted services will be performed. Accordingly, the bidder should submit with its bid proposal the Source Disclosure Certification form (Appendix 6), filled out with the sourcing information required for itself and any proposed subcontractor, identified in the Intent to Subcontract Form. If the information is not submitted with the bid proposal, it shall be submitted within five (5) business days of the State’s request for the information. FAILURE TO SUBMIT SOURCING INFORMATION WHEN REQUESTED BY THE STATE SHALL PRECLUDE AWARD OF A CONTRACT TO THE BIDDER.

5.28.2 BREACH OF CONTRACT OF EXECUTIVE ORDER 129 A SHIFT TO OUTSOURCED SERVICES DURING THE TERM OF THE CONTRACT SHALL BE DEEMED A BREACH OF THE CONTRACT. If, during the term of the contract, the contractor or subcontractor, who had on contract award declared that services would be performed in the United States, proceeds to shift the performance of the services outside of the United States, the contractor shall be deemed in breach of the contract, which contract shall be subject to termination for cause pursuant to Section 3.5b.1 of the Standard Terms and conditions, unless the Director shall have first determined in writing that extraordinary circumstances require a shift of services or that a failure to shift the services would result in economic hardship to the State.

39

6.0 PROPOSAL EVALUATION/CONTRACT AWARD

6.1 PROPOSAL EVALUATION COMMITTEE

Bid proposals may be evaluated by an Evaluation Committee composed of members of affected departments and agencies together with representative(s) from the Purchase Bureau. Representatives from other governmental agencies may also serve on the Evaluation Committee. On occasion, the Evaluation Committee may choose to make use of the expertise of an outside consultant in an advisory role.

6.2 ORAL PRESENTATION AND/OR CLARIFICATION OF BID PROPOSAL After the submission of bid proposals, unless requested by the State, contact with the State is limited to status inquiries only and such inquiries are only to be directed to the buyer. Any further contact or information about the proposal to the buyer or any other State official connected with the solicitation will be considered an impermissible supplementation of the bidder's bid proposal. A bidder may be required to give an oral presentation, and/or a demonstration to the Evaluation Committee concerning its bid proposal. The Evaluation Committee may also require a bidder to submit written responses to questions regarding its bid proposal. The purpose of such communication with a bidder, either through an oral presentation, and/or a demonstration, and/or a letter of clarification, is to provide an opportunity for the bidder to clarify or elaborate on its bid proposal or demonstrate its software functionality. Original bid proposals submitted, however, cannot be supplemented, changed, or corrected in any way. No comments regarding other bid proposals are permitted. Bidders may not attend presentations made by their competitors. It is within the Evaluation Committee’s discretion whether to require a bidder to give an oral presentation, and/or a demonstration, and/or require a bidder to submit written responses to questions regarding its bid proposal. Action by the Evaluation Committee in this regard should not be construed to imply acceptance or rejection of a bid proposal. The Purchase Bureau buyer will be the sole point of contact regarding any request for an oral presentation, and/or a demonstration, and/or a clarification.

6.2.1 BIDDER SCRIPTED DEMONSTRATIONS

Bidders may be selected to demonstrate the proposed software functionality through the use of a set of business context scripts that have been developed by DPB. Each bidder selected will be asked to conduct a demonstration utilizing those scripts to a panel of functional evaluators. The demonstration will take place at a DPB office located at 50 West State Street, Trenton, NJ. The time of the demonstration will be provided by the State when it releases the demonstration scripts to the bidder. A bidder participating in the demonstration will be allowed one day to meet with DPB for the purpose of reviewing the scripted scenarios and prepare for the demonstration. DPB is fully committed to the business context demonstration process and recognizes its importance within the overall selection process; accordingly, lack of bidder response to this key step will strongly undermine its chances for success. The selected bidder(s) will be allowed up to two consecutive days to conduct the demonstration. The bidder is required, as part of the proposal submission, to provide an agenda for the demonstration and indicate the preferred days. It is expected that the bidder will strictly follow the scripted processes. The bidder will be permitted to demonstrate only those features of the product that are in generally available. A wrap-up session will be allowed, at which time the bidder may discuss plans for new functionality to be included in the product. In addition to the demonstration, the bidder will be provided time to present an overview of the company and its products.

6.3 EVALUATION CRITERIA

40

The following evaluation criteria categories, not necessarily listed in order of significance, will be used to evaluate bid proposals received in response to this RFP. The evaluation criteria categories may be used to develop more detailed evaluation criteria to be used in the evaluation process:

6.3.1 THE BIDDER'S TECHNICAL APPROACH AND MANAGEMENT PLANS IN MEETING THE REQUIREMENTS OF THIS RFP A. The bidder's proposed implementation tools, its ability to integrate with DPB technology environment, the

underlying technology of the proposed CRM solution, the described and demonstrated software functionality as it relates to DPB requirements, and the proposed maintenance and support plans.

B. The bidder's detailed approach and plans to perform the services required by the Scope of Work of this

RFP. C. The bidder’s documented experience in successfully completing contracts of a similar size and scope to

the work required by this RFP. D. The qualifications and experience of the bidder’s management, supervisory or other key personnel

assigned to the contract, with emphasis on documented experience in successfully completing work on contracts of similar size and scope to the work required by this RFP; the bidder’s described future vision which will include its change management capabilities.

E. The overall ability of the bidder to mobilize, undertake and successfully complete the contract. This

judgment will include, but not be limited to, the following factors: the number and qualifications of management, supervisory and other staff proposed by the bidder to complete the contract, the availability and commitment to the contract of the bidder’s management, supervisory and other staff proposed and the bidder’s contract management plan, including the bidder’s contract organizational chart and the bidder’s long term viability.

6.3.2 THE BIDDER’S COST PROPOSAL

For evaluation purposes, bidders will be ranked according to the total bid price as determined by adding the prices included in lines 1 through 5. While the prices for Additional Work/Special Projects which are included in price line 6 will not be part of the total bid price, the State reserves the right to negotiate these prices as part of the negotiating process covered in Section 6.4. Bidder must submit all requested pricing information on Attachment 5 of this RFP. Failure to submit all requested pricing information shall result in the bid proposal being deemed non-responsive and ineligible for contract award.

6.4 NEGOTIATION AND BEST AND FINAL OFFER (BAFO) Following the opening of bid proposals, the State reserves the right, pursuant to N.J.S.A. 52:34-12(f), to negotiate the terms of a proposed contract award with any bidder. In addition, the State reserves the right to seek a Best and Final Offer (BAFO) from one or more bidders. In response to the State's request to negotiate, bidders must continue to satisfy all mandatory RFP requirements but may improve upon their original technical proposal in any revised technical proposal. However, any revised technical proposal that does not continue to satisfy all mandatory requirements will be rejected as non-responsive and the original technical proposal will be used for any further evaluation purposes. In response to the State's request for a BAFO, bidders may submit a revised price proposal that is equal to or lower in price than their original submission, but must continue to satisfy all mandatory requirements. Any revised price proposal that is higher in price than the original will be rejected as non-responsive and the original bid will be used for any further evaluation purposes.

41

After receipt of the results of the negotiation or the BAFO(s), the Evaluation Committee will complete its evaluation and recommend to the Director for award that responsible bidder whose bid proposal, confirming to this RFP, is most advantageous to the State, price and other factors considered. All contacts, records of initial evaluations, any correspondence with bidders related to any scripts or records of demonstrations, any request for negotiation or BAFO, any revised technical and/or price proposals, the Evaluation Committee Report and the Award Recommendation, will remain confidential until a Notice of Intent to Award a contract is issued.

6.5 CONTRACT AWARD

The contract shall be awarded with reasonable promptness by written notice to that responsible bidder whose bid proposal, conforming to the RFP, will be most advantageous to the State, price and other factors considered. Any or all bids may be rejected when the State Treasurer or the Director of the Division of Purchase and Property determines that it is in the public interest so to do.

42

7.0 ATTACHMENTS, APPENDICES AND EXHIBITS ATTACHMENTS - To be submitted with bid proposal. 1. Ownership Disclosure Form1A. Disclosure of Investigations and Actions Involving Bidder2. MacBride Principles Form3. Affirmative Action Supplement Forms4. Subcontractor Set Aside Forms5. Price Schedules6. Executive Order 129 Certification - Source Disclosure Certification Form 7. Reciprocity Form (Optional Submittal) APPENDICES 1. New Jersey Standard Terms and Conditions EXHIBITS 1. Functionality by Office2. Functional Process Scenarios3. Technical Background and Overview4. Inventory of Systems5. Client Services Process Maps6. Client Services CSI Tracking (Client Services Inquiry)7. Avaya Computer Telephony Configuration8. FileNET Environment9. Local Area Network (LAN) Diagram10. System Screen Shots and Paper Forms

43

ATTACHMENT 1 - OWNERSHIP DISCLOSURE FORM OWNERSHIP DISCLOSURE FORM

DEPARTMENT OF THE TREASURY BID NUMBER: 06-X-37929 DIVISION OF PURCHASE & PROPERTY STATE OF NEW JERSEY BIDDER: __________________________________________ 33 W. STATE ST., 9TH FLOOR PO BOX 230 __________________________________________ TRENTON, NEW JERSEY 08625-0230 INSTRUCTIONS: Provide below the names, home addresses, dates of birth, offices held and any ownership interest of all officers of the firm named above. If

additional space is necessary, provide on an attached sheet. OWNERSHIP INTEREST NAME HOME ADDRESS DATE OF BIRTH OFFICE HELD (Shares Owned or % of Partnership)

___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ INSTRUCTIONS: Provide below the names, home addresses, dates of birth, and ownership interest of all individuals not listed above, and any partnerships, corporations and any other owner having a 10% or greater interest in the firm named above. If a listed owner is a corporation or partnership, provide below the same information for the holders of 10% or more interest in that corporation or partnership. If additional space is necessary, provide that information on an attached sheet Complete the certification at the bottom of this form. If this form has previously been submitted to the Purchase Bureau in connection with another bid, indicate changes, if any, where appropriate, and complete the certification below.

If there are no owners with 10% or more interest in your firm, enter “None” below. OWNERSHIP INTEREST NAME HOME ADDRESS DATE OF BIRTH OFFICE HELD (Shares Owned or % of Partnership)

___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________

COMPLETE ALL QUESTIONS BELOW YES NO 1. Within the past five years has another company or corporation had a 10% or greater interest in the firm identified above?

(If yes, complete and attach a separate disclosure form reflecting previous ownership interests.) _____ _____

2. Has any person or entity listed in this form or its attachments ever been arrested, charged, indicted or convicted in a criminal or disorderly persons matter by the State of New Jersey, any other State or the U.S. Government? (If yes, attach a detailed explanation for each instance

_____ _____

3. Has any person or entity listed in this form or its attachments ever been suspended, debarred or otherwise declared ineligible by any agency of government from bidding or contracting to provide services, labor, material, or supplies? (If yes, attach a detailed explanation for each instance

_____ _____

4. Are there now any criminal matters or debarment proceedings pending in which the firm and/or its officers and/or managers are involved? (If yes, attach a detailed explanation for each instance

_____ _____

5. Has any Federal, State or Local license, permit or other similar authorization, necessary to perform the work applied for herein and held or applied for by any person or entity listed in this form, been suspended or revoked, or been the subject or any pending proceedings specifically seeking or litigating the issue of suspension or revocation? (If yes, attach a detailed explanation for each instance)

_____ _____

CERTIFICATION: I, being duly sworn upon my oath, hereby represent and state that the foregoing information and any attachments thereto to the best of my knowledge are true and complete. I acknowledge that the State of New Jersey is relying on the information contained herein and thereby acknowledge that I am under a continuing obligation from the date of this certification through the completion of any contracts with the State to notify the State in writing of any changes to the answers or information contained herein. I acknowledge that I am aware that it is a criminal offense to make a false statement or misrepresentation in this certification, and if I do so, I recognize that I am subject to criminal prosecution under the law and that it will also constitute a material breach of my agreement(s) with the State of New Jersey and that the State at its option, may declare any contract(s) resulting from this certification void and unenforceable. I, being duly authorized, certify that the information supplied above, including all attached pages, is complete and correct to the best of my knowledge, I certify that all of the foregoing statements made by me are true. I am aware that if any of the foregoing statements made by me are willfully false, I am subject to punishment. Company Name: ____________________________

_________________________________________(Signature) Address: ___________________________________

PRINT OR TYPE: _________________________________________(Name)___________________________________________

PRINT OR TYPE: ________________________________________ (Title) FEIN/SSN#: ________________________________

Date __________________________________________ PB-ODF.1 R4/29/96

ATTACHMENT 1A - DISCLOSURE OF INVESTIGATIONS AND ACTIONS INVOLVING BIDDER

The bidder shall provide a detailed description of any investigation, litigation, including administrative complaints or other administrative proceedings, involving any public sector clients during the past five years including the nature and status of the investigation, and, for any litigation, the caption of the action, a brief description of the action, the date of inception, current status, and, if applicable, disposition. Investigation Indicate “NONE” if no investigations were undertaken. Attach additional pages if necessary.

Person or Entity

Date of Inception Brief Description Disposition/Status

(if applicable)

Bidder Contact Name and Telephone Number

for additional information

Litigation/Administrative Complaints Indicate “NONE” if no Litigation/Administrative Complaints. Attach additional pages if necessary.

Person or Entity

Date of Inception

Caption of the Action

Brief Description of the Action

Current Status/ Disposition,

(if applicable)

Bidder Contact Name and Telephone Number

for additional information

44

45

ATTACHMENT 2 - MACBRIDE PRINCIPLES FORM

NOTICE TO ALL BIDDERS REQUIREMENT TO PROVIDE A CERTIFICATION IN COMPLIANCE WITH MACBRIDE PRINCIPLES

AND NORTHERN IRELAND ACT OF 1989 Pursuant to Public Law 1995, c. 134, a responsible bidder selected, after public bidding, by the Director of the Division of Purchase and Property, pursuant to N.J.S.A. 52:34-12, or the Director of the Division of Building and Construction, pursuant to N.J.S.A. 52:32-2, must complete the certification below by checking one of the two representations listed and signing where indicated. If a bidder who would otherwise be awarded a purchase, contract or agreement does not complete the certification, then the Directors may determine, in accordance with applicable law and rules, that it is in the best interest of the State to award the purchase, contract or agreement to another bidder who has completed the certification and has submitted a bid within five (5) percent of the most advantageous bid. If the Directors find contractors to be in violation of the principles which are the subject of this law, they shall take such action as may be appropriate and provided by law, rule or contract, including but not limited to, imposing sanctions, seeking compliance, recovering damages, declaring the party in default and seeking debarment or suspension of the party. I certify, pursuant to N.J.S.A. 52:34-12.2 that the entity for which I am authorized to bid: ____ has no ongoing business activities in Northern Ireland and does not maintain a physical presence therein through the

operation of offices, plants, factories, or similar facilities, either directly or indirectly, through intermediaries, subsidiaries or affiliated companies over which it maintains effective control; or

____ will take lawful steps in good faith to conduct any business operations it has in Northern Ireland in accordance with

the MacBride principles of nondiscrimination in employment as set forth in N.J.S.A. 52:18A-89.8 and in conformance with the United Kingdom’s Fair Employment (Northern Ireland) Act of 1989, and permit independent monitoring of their compliance with those principles.

I certify that the foregoing statements made by me are true. I am aware that if any of the foregoing statements made by me are willfully false, I am subject to punishment.

Signature of Bidder

Name (Type or Print)

Title (Type or Print)

Company Name (Type or Print)

Date

46

ATTACHMENT 3 – AFFIRMATIVE ACTION SUPPLEMENT

AFFIRMATIVE ACTION TERM CONTRACT - ADVERTISED BID PROPOSAL DEPT OF THE TREASURY DIVISION OF PURCHASE & PROPERTY STATE OF NEW JERSEY 33 WEST STATE STREET, 9TH FLOOR PO BOX 230 TRENTON, NEW JERSEY 08625-0230

NAME OF BIDDER: _________________________________________

SUPPLEMENT TO BID SPECIFICATIONS

DURING THE PERFORMANCE OF THIS CONTRACT, THE CONTRACTOR AGREES AS FOLLOWS:

1. THE CONTRACTOR OR SUBCONTRACTOR, WHERE APPLICABLE, WILL NOT DISCRIMINATE AGAINST ANY EMPLOYEE OR APPLICANT FOR EMPLOYMENT BECAUSE OF AGE, RACE, CREED, COLOR, NATIONAL ORIGIN, ANCESTRY, MARITAL STATUS, SEX, AFFECTIONAL OR SEXUAL ORIENTATION. THE CONTRACTOR WILL TAKE AFFIRMATIVE ACTION TO ENSURE THAT SUCH APPLICANTS ARE RECRUITED AND EMPLOYED, AND THAT EMPLOYEES ARE TREATED DURING EMPLOYMENT, WITHOUT REGARD TO THEIR AGE, RACE, CREED, COLOR, NATIONAL ORIGIN, ANCESTRY, MARITAL STATUS, SEX, AFFECTIONAL OR SEXUAL ORIENTATION. SUCH ACTION SHALL INCLUDE, BUT NOT BE LIMITED TO THE FOLLOWING: EMPLOYMENT, UPGRADING, DEMOTION, OR TRANSFER; RECRUITMENT OR RECRUITMENT ADVERTISING; LAYOFF OR TERMINATION; RATES OF PAY OR OTHER FORMS OF COMPENSATION; AND SELECTION FOR TRAINING, INCLUDING APPRENTICESHIP. THE CONTRACTOR AGREES TO POST IN CONSPICUOUS PLACES, AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT, NOTICES TO BE PROVIDED BY THE PUBLIC AGENCY COMPLIANCE OFFICER SETTING FORTH PROVISIONS OF THIS NONDISCRIMINATION CLAUSE;

2. THE CONTRACTOR OR SUBCONTRACTOR, WHERE APPLICABLE WILL, IN ALL SOLICITATIONS OR ADVERTISEMENTS ,FOR EMPLOYEES PLACED BY OR ON BEHALF OF THE CONTRACTOR, STATE THAT ALL QUALIFIED APPLICANTS WILL RECEIVE CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO AGE, RACE, CREED, COLOR, NATIONAL ORIGIN, ANCESTRY, MARITAL STATUS, SEX, AFFECTIONAL OR SEXUAL ORIENTATION.

3. THE CONTRACTOR OR SUBCONTRACTOR, WHERE APPLICABLE, WILL SEND TO EACH LABOR UNION OR REPRESENTATIVE OR WORKERS WITH WHICH IT HAS A COLLECTIVE BARGAINING AGREEMENT OR OTHER CONTRACT OR UNDERSTANDING, A NOTICE, TO BE PROVIDED BY THE AGENCY CONTRACTING OFFICER ADVISING THE LABOR UNION OR WORKERS' REPRESENTATIVE OF THE CONTRACTOR'S COMMITMENTS UNDER THIS ACT AND SHALL POST COPIES OF THE NOTICE IN CONSPICUOUS PLACES AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT.

4. THE CONTRACTOR OR SUBCONTRACTOR, WHERE APPLICABLE, AGREES TO COMPLY WITH THE REGULATIONS PROMULGATED BY THE TREASURER PURSUANT TO P.L. 1975, C. 127, AS AMENDED AND SUPPLEMENTED FROM TIME TO TIME AND THE AMERICANS WITH DISABILITIES ACT.

5. THE CONTRACTOR OR SUBCONTRACTOR AGREES TO ATTEMPT IN GOOD FAITH TO EMPLOY MINORITY AND FEMALE WORKERS CONSISTENT WITH THE APPLICABLE COUNTY EMPLOYMENT GOALS PRESCRIBED BY N.J.A.C. 17:27-5.2 PROMULGATED BY THE TREASURER PURSUANT TO P.L. 1975, C. 127, AS AMENDED AND SUPPLEMENTED FROM TIME TO TIME OR IN ACCORDANCE WITH A BINDING DETERMINATION OF THE APPLICABLE COUNTY EMPLOYMENT GOALS DETERMINED BY THE AFFIRMATIVE ACTION OFFICE PURSUANT TO N.J.A.C. 17:27-5.2 PROMULGATED BY THE TREASURER PURSUANT TO P.L. 1975, C. 127, AS AMENDED AND SUPPLEMENTED FROM TIME TO TIME.

6. THE CONTRACTOR OR SUBCONTRACTOR AGREES TO INFORM IN WRITING APPROPRIATE RECRUITMENT AGENCIES IN THE AREA, INCLUDING EMPLOYMENT AGENCIES, PLACEMENT BUREAUS, COLLEGES, UNIVERSITIES, LABOR UNIONS, THAT IT DOES NOT DISCRIMINATE ON THE BASIS OF AGE, CREED, COLOR, NATIONAL ORIGIN, ANCESTRY, MARITAL STATUS, SEX, AFFECTIONAL OR SEXUAL ORIENTATION, AND THAT IT WILL DISCONTINUE THE USE OF ANY RECRUITMENT AGENCY WHICH ENGAGES IN DIRECT OR INDIRECT DISCRIMINATORY PRACTICES.

7. THE CONTRACTOR OR SUBCONTRACTOR AGREES TO REVISE ANY OF ITS TESTING PROCEDURES, IF NECESSARY, TO ASSURE THAT ALL PERSONNEL TESTING CONFORMS WITH THE PRINCIPLES OF JOB-RELATED TESTING, AS ESTABLISHED BY THE STATUTES AND COURT DECISIONS OF THE STATE OF NEW JERSEY AND AS ESTABLISHED BY APPLICABLE FEDERAL LAW AND APPLICABLE FEDERAL COURT DECISIONS.

8. THE CONTRACTOR OR SUBCONTRACTOR AGREES TO REVIEW ALL PROCEDURES RELATING TO TRANSFER, UPGRADING, DOWNGRADING AND LAYOFF TO ENSURE THAT ALL SUCH ACTIONS ARE TAKEN WITHOUT REGARD TO AGE, CREED, COLOR, NATIONAL ORIGIN, ANCESTRY, MARITAL STATUS, SEX, AFFECTIONAL OR SEXUAL ORIENTATION, AND CONFORM WITH THE APPLICABLE EMPLOYMENT GOALS, CONSISTENT WITH THE STATUTES AND COURT DECISIONS OF THE STATE OF NEW JERSEY, AND APPLICABLE FEDERAL LAW AND APPLICABLE FEDERAL COURT DECISIONS.

THE CONTRACTOR AND ITS SUBCONTRACTORS SHALL FURNISH SUCH REPORTS OR OTHER DOCUMENTS TO THE AFFIRMATIVE ACTION OFFICE AS MAY BE REQUESTED BY THE OFFICE FROM TIME TO TIME IN ORDER TO CARRY OUT THE PURPOSES OF THESE REGULATIONS, AND PUBLIC AGENCIES SHALL FURNISH SUCH INFORMATION AS MAY BE REQUESTED BY THE AFFIRMATIVE ACTION OFFICE FOR CONDUCTING A COMPLIANCE INVESTIGATION PURSUANT TO SUBCHAPTER 10 OF THE ADMINISTRATIVE CODE (NJAC17:27).

* NO FIRM MAY BE ISSUED A PURCHASE ORDER OR CONTRACT WITH THE STATE UNLESS THEY COMPLY WITH THE AFFIRMATIVE ACTION REGULATIONS

PLEASE CHECK APPROPRIATE BOX (ONE ONLY) I HAVE A CURRENT NEW JERSEY AFFIRMATIVE ACTION CERTIFICATE, (PLEASE ATTACH A COPY TO YOUR PROPOSAL). I HAVE A VALID FEDERAL AFFIRMATIVE ACTION PLAN APPROVAL LETTER, (PLEASE ATTACH A COPY TO YOUR

PROPOSAL). I HAVE COMPLETED THE ENCLOSED FORM AA302 AFFIRMATIVE ACTION EMPLOYEE INFORMATION REPORT.

REV. 12/90

47

INSTRUCTIONS FOR COMPLETING THE AFFIRMATIVE ACTION EMPLOYEE INFORMATION REPORT

(FORM AA302)

IMPORTANT: READ THE FOLLOWING INSTRUCTIONS CAREFULLY BEFORE COMPLETING THE FORM. PRINT OR TYPE ALL INFORMATION. FAILURE TO PROPERLY COMPLETE THE ENTIRE FORM MAY DELAY ISSUANCE OF YOUR CERTIFICATE.

Item 1 - Enter the Federal Identification Number assigned to the Contractor or vendor by the Internal Revenue Service, or if a Federal Employer Identification Number has been applied for, but not yet issued, write the words “applied for”, or If your business is such that you have not, or will not receive a Federal Employee Identification Number, enter the Social Security Number assigned to the single owner or to a partner, in case of partnership. Item 2 - Check the box appropriate to your TYPE OF BUSINESS. If you are engaged in more than one type of business, check the predominant one. If you are a manufacturer deriving more than 50% of your receipts from your own retail outlets, check “Retail”. Item 3 - Enter the total “number” of employees in the entire company, including part-time employees. This number shall include all facilities in the entire firm or corporation. Item 4 - Enter the name by which the company is identified. If there is more than one company name, enter the predominant one. Item 5 - Enter the physical location of the company, include City, County, State and Zip Code. Item 6 - Enter the name of any parent or affiliated company including City, State and Zip Code. If there is none, so indicate by entering “None” or N/A. Item 7 - Check the appropriate box for the total number of employees in the entire company. “Entire Company” shall include all facilities in the entire firm or corporation, including part-time employees, not use those employees at the facility being awarded the contract. Item 8 - Check the box appropriate to your type of company establishment. Single-establishment Employer shall include an employer whose business is conducted at more than one location. Item 9 - If multi-establishment was entered in Item 8, enter the number of establishments within the State of New Jersey. Item 10 - Enter the total number of employees at the establishment being awarded the contract.

Item 11 - Enter the name of the Public Agency awarding the contract. Include City, State and Zip Code. Item 12 - Enter the appropriate figures on all lines and in all columns. THIS SHALL ONLY INCLUDE EMPLOYMENT DATA FROM THE FACILITY THAT IS BEING AWARDED THE CONTRACT. DO NOT list the same employee in more than one job category. Racial/Ethnic Groups w ill be so defined: Black: Not of Hispanic origin. Persons have origin in any of the Black racial groups of Africa. Hispanic: Persons of Mexican, Puerto Rican, Cuban or Central or South American or other Spanish culture or origin, regardless of race. American Indian or Alaskan Native: Persons having origins in any of the original peoples of North America, and who maintain cultural identification through tribal affiliation or community recognition. Asian or Pacific Islander: Persons having origin in any of the peoples of the Far East, Southeast Asia, the Indian Subcontinent or the Pacific Islands. This area includes for example, China, Japan, the Philippine Islands and Somoa. Item 13 - Check the appropriate box, if the race or ethnic group information was not obtained by 1 or 2, specify by what other means this was done in 3. Item 14 - Enter the dates of the payroll period used to prepare the employment data presented in Item 12. Item 15 - If this is the first time an Employee Information Report has been submitted for this company, check block “Yes”. Item 16 - If the answer to Item 15 is “No”, enter the date when the last Employee Information Report was submitted by this company. Item 17 - Print or type the name of the person completing this form. Include the signature, title and date. Item 18 - Enter the physical location where the form is being completed. Include City, State, Zip Code and Phone Number.

48

State of New Jersey AFFIRMATIVE ACTION EMPLOYEE INFORMATION REPORT

IMPORTANT - READ INSTRUCTIONS ON PRIOR PAGE CAREFULLY BEFORE COMPLETING FORM. TYPE OR PRINT SHARP BALL POINT PEN. FAILURE TO PROPERLY COMPLETE THE ENTIRE FORM MAY DELAY ISSUANCE OF YOUR CERTIFICATE.

SECTION A - COMPANY IDENTIFICATION 1. FID. NO. OR SOCIAL SECURITY 2. TYPE OF BUSINESS

1. MFG. 2. SERVICE 3. WHOLESALE 4. RETAIL 5. OTHER

3. TOTAL NO. OF EMPLOYEES IN THE ENTIRE COMPANY

4. COMPANY NAME

5. STREET CITY COUNTY STATE ZIP CODE

6. NAME OF PARENT OR AFFILIATED COMPANY (IF NONE, SO INDICATE) CITY STATE ZIP CODE

7. DOES THE ENTIRE COMPANY HAVE A TOTAL OF AT LEAST 50 EMPLOYEES? YES NO

8. CHECK ONE: IS THE COMPANY: SINGLE-ESTABLISHMENT EMPLOYER MULTI-ESTABLISHMENT EMPLOYER

9. IF MULTI-ESTABLISHMENT EMPLOYER, STATE THE NUMBER OF ESTABLISHMENTS IN N.J. : [ ]

10. TOTAL NUMBER OF EMPLOYEES AT THE ESTABLISHMENT WHICH HAS BEEN AWARDED THE CONTRACT: [ ] 11. PUBLIC AGENCY AWARDING CONTRACT: CITY STATE ZIP CODE

OFFICIAL USE ONLY DATE RECEIVED OUT OF STATE PERCENTAGES ASSIGNED CERTIFICATION NUMBER

MO/DAY/YR COUNTY MINORITY FEMALE

SECTION B - EMPLOYMENT DATA 12. Report all permanent, temporary and part-time employees ON YOUR OWN PAYROLL. Enter the appropriate figures on all lines and in all columns. Where there

are no employees in a particular category, enter a zero. Include ALL employees, not just those in minority categories, in columns 1, 2, & 3. ALL EMPLOYEES MINORITY GROUP EMPLOYEES (PERMANENT)

JOB Col. 1 Col. 2 Col. 3 MALE FEMALE CATEGORIES TOTAL

(Cols. 2&3) MALE FEMALE BLACK HISPANIC AMERICAN

INDIAN ASIAN BLACK HISPANIC AMERICAN

INDIAN ASIAN

Officials and Managers

Professionals

Technicians

Sales Workers

Office and Clerical

Craftworkers (Skilled)

Operatives (Semi-skilled)

Laborers (Unskilled)

Service Workers

TOTAL Total employment from Previous Report (if any)

The data below shall NOT be included in the request for the categories above. Temporary and Part-time Employees

13. HOW WAS INFORMATION AS TO RACE OR ETHNIC GROUP IN SECTION B OBTAINED?

1. VISUAL SURVEY 2. EMPLOYMENT RECORD 3. OTHER (SPECIFY)

15. IS THIS THE FIRST EMPLOYEE INFORMATION REPORT (AA.302) SUBMITTED?

16. IF NO, DATE OF LAST REPORT SUBMITTED

14. DATES OF PAYROLL PERIOD USED 1. YES 2. NO | MO. | DAY | YEAR |

SECTION C - SIGNATURE AND IDENTIFICATION 17. NAME OF PERSON COMPLETING FORM (PRINT OR TYPE)

(CONTRACTOR EEO OFFICER) SIGNATURE TITLE

| MO. | DAY | YEAR | 18. ADDRESS (NO. & STREET) (CITY) (STATE) (ZIP CODE) PHONE (AREA CODE, NO. & EXTENSION) FORM AA302

49

ATTACHMENT 4 - SUBCONTRACTOR SET ASIDE FORMS

NOTICE TO ALL BIDDERS

NOTICE OF INTENT TO SUBCONTRACT FORM

SUBCONTRACTOR UTILIZATION PLAN FORM

PROCEDURES FOR SMALL BUSINESS

PARTICIPATION AS SUBCONTRACTORS If the bidder intends to utilize any subcontractors during the course of the contract(s) to be awarded as a result of this Request for Proposal (RFP), the bidder will include small business subcontracting targets pursuant to NJAC 17:13-4. and Executive Order 71. Each bidder is required to make a good faith effort to meet the set-aside subcontracting targets of awarding a total of twenty-five percent (25%) of the value of the contract to New Jersey-based, New Jersey Commerce and Economic Growth Commission-registered (Commerce) small businesses, with a minimum of five (5) percent awarded to each of the three categories set forth below, and the balance of ten (10) percent spread across the three categories. All bidders must complete the Notice of Intent to Subcontract form. Failure to include a completed and signed Notice of Intent to Subcontract form will be sufficient cause to reject a bidder’s proposal as non-responsive. Pursuant to Section 3.11 of the Standard Terms and Conditions, any bidder intending to subcontract must also complete the Subcontractor Utilization Plan (Plan). Bidders are instructed to list all proposed subcontractors on the Plan. A bidder intending to subcontract must include a completed and signed Plan or be subject to rejection of its proposal as non-responsive. DEFINITIONS: “Small business” means a business that

is independently owned and operated

is incorporated or registered in and has its principal place of business located in the State of New Jersey.

Has 100 or fewer full-time employees

Has gross revenues falling in one of the following three categories:

1. 0 to $500,000 (Category I); 2. $500,001 to $5,000,000 (Category II);

3. $5,000,001 to $12,000,000 (Category III).

“Commerce-registered” means a small business that meets the requirements and definitions of “small business” and has applied for and been approved by Commerce as a small business.

50

SUGGESTED PROCEDURE TO DEMONSTRATE A GOOD FAITH EFFORT: If a bidder intends to subcontract, the following actions should be taken to achieve the set-aside subcontracting goal requirements:

1. Attempt to locate eligible small businesses in Categories I, II and III appropriate to the RFP; 2. Request a listing of small businesses by Category from Commerce;

3. Record efforts to locate eligible businesses, including the names of businesses contacted and the means

and results of such contacts;

4. Provide all potential subcontractors with detailed information regarding the specifications;

5. Attempt, whenever possible, to negotiate prices with potential subcontractors submitting higher than acceptable price quotes;

6. Obtain, in writing, the consent of any proposed subcontractor to use its name in response to the RFP; and,

7. Maintain adequate records documenting efforts to achieve the set-aside subcontracting goals.

Proposals should also contain the following items with the Plan, as applicable: 1. A copy of Commerce’s proof of registration as a small business for any business proposed as a subcontractor;

and, 2. Documentation of the bidder’s good faith effort to meet the targets of the set-aside subcontracting requirement in

sufficient detail to permit the Business Unit of the Division of Purchase and Property to effectively assess the bidder’s efforts to comply if the bidder has failed to attain the statutory goals.

If awarded the contract, the bidder shall notify each subcontractor listed in the Plan, in writing. NOTE THAT A BIDDER’S FAILURE TO SATISFY THE SMALL BUSINESS SUBCONTRACTING TARGETS OR PROVIDE SUFFICIENT DOCUMENTATION OF ITS GOOD FAITH EFFORTS TO MEET THE TARGETS WITH THE BID PROPOSAL OR WITHIN SEVEN (7) BUSINESS DAYS UPON REQUEST SHALL PRECLUDE AWARD OF A CONTRACT TO THE BIDDER. Bidders seeking eligible small businesses should contact:

New Jersey Commerce and Economic Growth Commission Office of Small Business 20 West State Street PO Box 820 Trenton, New Jersey 08625-0820 Telephone: (609) 292-2146

Each bidder awarded a contract for a procurement which contains the set-aside subcontracting goal requirement shall fully cooperate in any studies or surveys which may be conducted by the State to determine the extent of the bidder’s compliance with NJAC 17:13-1.1 et seq., and this Notice to All Bidders. PB – SA – 2B

51

REQUIRED SUBMISSION

STATE OF NEW JERSEY

DIVISION OF PURCHASE AND PROPERTY (DPP)

NOTICE OF INTENT TO SUBCONTRACT FORM

THIS NOTICE OF INTENT TO SUBCONTRACT FORM MUST BE COMPLETED AND INCLUDED AS PART OF EACH BIDDER’S PROPOSAL. FAILURE TO SUBMIT THIS FORM WILL BE CAUSE FOR REJECTION OF THE BID AS NON-RESPONSIVE.

DPP Solicitation Number: 06-X-37929

DPP Solicitation Title: Case Management System Utilizing Customer Relationship Management

Bidder’s Name and Address:

INSTRUCTIONS: PLEASE CHECK ONE OF THE BELOW LISTED BOXES:

If awarded this contract, I will engage subcontractors to provide certain goods

and/or services. ALL BIDDERS THAT INTEND TO ENGAGE SUBCONTRACTORS MUST ALSO SUBMIT A COMPLETED AND CERTIFIED SUBCONTRACTOR UTILIZATION PLAN WITH THEIR BID PROPOSALS.

If awarded this contract, I do not intend to engage subcontractors to provide any goods and/or services.

ALL BIDDERS THAT DO NOT INTEND TO ENGAGE SUBCONTRACTORS MUST ATTEST TO THE FOLLOWING CERTIFICATION: I hereby certify that if the award is granted to my firm and if I determine at any time during the course of the contract to engage subcontractors to provide certain goods and/or services, pursuant to Section 3.11 of the Standard Terms and Conditions, I will submit the Subcontractor Utilization Plan (Plan) for approval to the Division of Purchase and Property in advance of any such engagement of subcontractors. Additionally, I certify that in engaging subcontractors, I will make a good faith effort to achieve the subcontracting set-aside goals established for this contract, and I will attach to the Plan documentation of such efforts in accordance with NJAC 17:13-4 and the Notice to All Bidders. PRINCIPAL OF FIRM: _____________________________________ _______________________________ ______________ (Signature) (Title) (Date)

REQUIRED SUBMISSION IF BIDDER INTENDS TO SUBCONTRACT

STATE OF NEW JERSEY, DIVISION OF PURCHASE AND PROPERTY (DPP) SUBCONTRACTOR UTILIZATION PLAN (REFERENCED IN RFP STANDARD TERMS AND CONDITIONS)

DPP Solicitation No.: 06-X-37929

NOTE: If utilizing subcontractors, failure to submit this properly completed form will be sufficient cause for rejection of the bid as non-responsive.

DPP Solicitation Title: Case Management System Utilizing Customer Relationship Management

Bidder’s Name and Address: • Bidder’s Telephone No.:____________________ • Bidder’s Contact Person:___________________

INSTRUCTIONS: List all businesses to be used as subcontractors. This form may be duplicated for extended lists.

REGISTERED WITH NJ

COMMERCE AND ECONOMIC GROWTH COMMISSION *

SMALL BUSINESS CATEGORY

SUBCONTRACTOR’S NAME ADDRESS, ZIP CODE

TELEPHONE NUMBER AND VENDOR ID NUMBER

I

II III

TYPE(S) OF GOODS OR SERVICES TO BE

PROVIDED

ESTIMATED VALUE

OF SUBCONTRACTS

* For those Bidders listing Small Business Subcontractors: Attach copies of NJ Commerce & Economic Growth Commission registration for each subcontractor listed. If bidder has not achieved established subcontracting set-aside goals, also attach documentation of good faith effort to do so in the relevant category in accordance with NJAC17:13-4 and the Notice to All Bidders.

I hereby certify that this Subcontractor Utilization Plan (Plan) is being submitted in good faith. I certify that each subcontractor has been notified that it has been listed on this Plan and that each subcontractor has consented, in writing, to its name being submitted for this contract. Additionally, I certify that I shall notify each subcontractor listed on the Plan, in writing, if the award is granted to my firm, and I shall make all documentation available to the Division of Purchase and Property upon request. I further certify that all information contained in this Plan is true and correct and I acknowledge that the State will rely on the truth of the information in awarding the contract. PRINCIPAL OF FIRM: _________________________________________________ ____________________________________________ __________________________ (Signature) (Title) (Date)

PB-SA-3 Revised 12/03

52

53

ATTACHMENT 5 - PRICE SCHEDULES

56

ATTACHMENT 6 – EXECUTIVE ORDER 129 CERTIFICATION

SOURCE DISCLOSURE CERTIFICATION FORM

Bidder: __________________________ Solicitation Number: 06-X-37929 I hereby certify and say: I have personal knowledge of the facts set forth herein and am authorized to make this Certification on behalf of the Bidder. The Bidder submits this Certification as part of a bid proposal in response to the referenced solicitation issued by the Division of Purchase and Property, Department of the Treasury, State of New Jersey (the “Division”), in accordance with the requirements of Executive Order 129, issued by Governor James E. McGreevey on September 9, 2004 (hereinafter “E.O. No. 129”). The following is a list of every location where services will be performed by the bidder and all subcontractors.

Bidder or Subcontractor

Description of Services

Performance Location[s] by Country

Any changes to the information set forth in this Certification during the term of any contract awarded under the referenced solicitation or extension thereof will be immediately reported by the Vendor to the Director, Division of Purchase and Property (the “Director”). I understand that, after award of a contract to the Bidder, it is determined that the Bidder has shifted services declared above to be provided within the United States to sources outside the United States, prior to a written determination by the Director that extraordinary circumstances require the shift of services or that the failure to shift the services would result in economic hardship to the State of New Jersey, the Bidder shall be deemed in breach of contract, which contract will be subject to termination for cause pursuant to Section 3.5b.1 of the Standard Terms and Conditions. I further understand that this Certification is submitted on behalf of the Bidder in order to induce the Division to accept a bid proposal, with knowledge that the Division is relying upon the truth of the statements contained herein. I certify that, to the best of my knowledge and belief, the foregoing statements by me are true. I am aware that if any of the statements are willfully false, I am subject to punishment. Bidder:___________________________________________________ [Name of Organization or Entity] By:________________________________ Title: __________________________ Print Name:_________________________ Date:___________________________

57

ATTACHMENT 7 - RECIPROCITY FORM

RECIPROCITY FORM (Optional Submission)

IMPORTANT NOTICE TO ALL BIDDERS Effective October 7, 1991 in accordance with N.J.S.A. 52:32-1.4 and N.J.A.C. 17:12-2.13, the State of New Jersey will invoke reciprocal action against an out-of-State bidder whose State or locality maintains a preference practice for their bidders. For States having preference laws, regulations, or practices, New Jersey will use the annual surveys compiled by the Council of State Governments, National Association of State Purchasing Officials, or the National Institute of Governmental Purchasing to invoke reciprocal actions. The State may obtain additional information anytime it deems appropriate to supplement the above survey information. Any bidder may submit information related to preference practices enacted for a local entity outside the State of New Jersey. This information may be submitted in writing as part of the bid response proposal, and should be in the form or resolutions passed by an appropriate governing body, regulations, a Notice to Bidders, laws, etc. It is the responsibility of the bidder to provide the documentation with the bid proposal or submit it to the Director, Division of Purchase and Property within five (5) working days of the public bid opening. Written evidence for a specific procurement that is not provided to the Director within five working days of the public bid opening will not be considered in the evaluation of that procurement, but will be retained and considered in the evaluation of subsequent procurements. Any bidder having evidence of out-of-State local entities invoking preference practices should complete the form below, with a copy of appropriate documentation. The form and documentation may be submitted with you bid response proposal.

Name of Locality having preference practices:

City /Town/Authority

County

State

Documentation Attached

Resolution Regulations/Laws Notice to Bidder Other _________________________

Name of Firm Submitting this information _____________________________________________ Please Print

58

APPENDIX 1- NJ STATE STANDARD TERMS AND CONDITIONS

STATE OF NEW JERSEY STANDARD TERMS AND CONDITIONS

I. Unless the bidder is specifically instructed otherwise In the Request for Proposal, the following terms and conditions will

apply to all contracts or purchase agreements made with the State of New Jersey. These terms are in addition to the terms and conditions set forth in the Request for Proposal (RFP) and should be read in conjunction with same unless the RFP specifically indicates otherwise. If a bidder proposes changes or modifications or takes exception to any of the State's terms and conditions, the bidder must so state specifically in writing in the bid proposal. Any proposed change, modification or exception in the State's terms and conditions by a bidder will be a factor in the determination of an award of a contractor purchase agreement.

II. All of the State's terms and conditions will become a part of any contract(s) or order(s} awarded as a result of the Request

for Proposal, whether stated in part, in summary or by reference. In the event the bidder's terms and conditions conflict with the State's, the State's terms and conditions will prevail, unless the bidder is notified in writing of the State's acceptance of the bidder's terms and conditions.

III. The statutes, laws or codes cited are available for review at the New Jersey State Library, 185 West State Street, Trenton,

New Jersey 08625. IV. If awarded a contract or purchase agreement, the bidder's status shall be that of any independent principal and not as an

employee of the State.

1. STATE LAW REQUIRING MANDATORY COMPLIANCE BY ALL CONTRACTORS

1.1 BUSINESS REGISTRATION – Effective September 1, 2004, pursuant to an amendment to N.J.S.A. 52:32-44, State and local entities (including the Division of Purchase and Property) are prohibited from entering into a contract with an entity unless the contractor has provided a copy of its business registration certificate (or interim registration) as part of its bid submission. Failure to submit a copy of the Business Registration Certificate within the bid proposal may be cause for rejection of the bid proposal.

The contractor and any subcontractor providing goods or performing services under the contract, and each of their

affiliates, shall, during the term of the contract, collect and remit to the Director of the Division of Taxation in the Department of the Treasury the use tax due pursuant to the “Sales and Use Tax Act, P.L. 1966, c. 30 (N.J.S.A. 54:32B-1 et seq.) on all their sales of tangible personal property delivered into the State. This requirement shall apply to all contracts awarded on and after September 1, 2004. Any questions in this regard can be directed to the Division of Revenue at (609) 292-1730. Form NJ-REG can be filed online at http://www.state.nj.us/treasury/revenue/busregcert.htm

1.2 ANTI-DISCRIMINATION - All parties to any contract with the State of New Jersey agree not to discriminate in

employment and agree to abide by all anti-discrimination laws including those contained within N.J.S.A. 10:2-1 through N.J.S.A. 10:2-4, N.J.S.A.l0:5-1 et seq. and N.J.S.A.l0:5-31 through 10:5-38, and all rules and regulations issued there under.

1.3 PREVAILING WAGE ACT - The New Jersey Prevailing Wage Act, N.J.S.A. 34: 11-56.26 et seq. is hereby made

part of every contract entered into on behalf of the State of New Jersey through the Division of Purchase and Property, except those contracts which are not within the contemplation of the Act. The bidder's signature on this proposal is his guarantee that neither he nor any subcontractors he might employ to perform the work covered by this proposal has been suspended or debarred by the Commissioner, Department of Labor for violation of the provisions of the Prevailing Wage Act.

1.4 AMERICANS WITH DISABILITIES ACT - The contractor must comply with all provisions of the Americans With

Disabilities Act (ADA), P.L 101-336, in accordance with 42 U.S.C. 12101 et seq. 1.5 THE WORKER AND COMMUNITY RIGHT TO KNOW ACT - The provisions of N.J.S.A. 34:5A-l et seq. which

require the labeling of all containers of hazardous substances are applicable to this contract. Therefore, all goods offered for purchase to the State must be labeled by the contractor in compliance with the provisions of the Act.

1.6 OWNERSHIP DISCLOSURE - Contracts for any work, goods or services cannot be issued to any corporation or

partnership unless prior to or at the time of bid submission the bidder has disclosed the names and addresses of all its owners holding 10% or more of the corporation or partnership's stock or interest. Refer to N.J.S.A. 52:25-24.2.

1.7 COMPLIANCE - LAWS - The contractor must comply with all local, state and federal laws, rules and regulations

applicable to this contract and to the goods delivered and/or services performed hereunder.

http://www.state.nj.us/treasury/revenue/busregcert.htm

59

1.8 COMPLIANCE - STATE LAWS - It is agreed and understood that any contracts and/or orders placed as a result of this proposal shall be governed and construed and the rights and obligations of the parties hereto shall be determined in accordance with the laws of the STATE OF NEW JERSEY.

1.9 COMPLIANCE - CODES - The contractor must comply with NJUCC and the latest NEC70, B.O.C.A. Basic Building

code, OSHA and all applicable codes for this requirement. The contractor will be responsible for securing and paying all necessary permits, where applicable.

2. LIABILITIES

2.1 LIABILITY - COPYRIGHT - The contractor shall hold and save the State of New Jersey, its officers, agents, servants and employees, harmless from liability of any nature or kind for or on account of the use of any copyrighted or uncopyrighted composition, secret process, patented or unpatented invention, article or appliance furnished or used in the performance of his contract.

2.2 INDEMNIFICATION - The contractor shall assume all risk of and responsibility for, and agrees to indemnify,

defend, and save harmless the State of New Jersey and its employees from and against any and all claims, demands, suits, actions, recoveries, judgments and costs and expenses in connection therewith on account of the loss of life, property or injury or damage to the person, body or property of any person or persons whatsoever, which shall arise from or result directly or indirectly from the work and/or materials supplied under this contract. This indemnification obligation is not limited by, but is in addition to the insurance obligations contained in this agreement.

2.3 INSURANCE - The contractor shall secure and maintain in force for the term of the contract liability insurance as

provided herein. The Contractor shall provide the State with current certificates of insurance for all coverages and renewals thereof, naming the State as an additional insured and which must contain the proviso that the insurance provided in the certificate shall not be canceled for any reason except after thirty days written notice to:

STATE OF NEW JERSEY

Purchase Bureau – Bid Ref. #

The insurance to be provided by the contractor shall be as follows:

a. a Commercial General Liability policy as broad as the standard coverage forms in use in the State of New Jersey which shall not be circumscribed by any endorsements limiting the breadth of coverage.

The limits of liability for bodily injury and property damage shall not be less than $1 million per occurrence as a combined

single limit.

b. Automobile liability insurance which shall be written to cover any automobile used by the insured. Limits of liability for bodily injury and property damage shall not be less than $1 million per occurrence as a combined single limit.

c. Worker’s Compensation Insurance applicable to the laws of the State of New Jersey and Employers Liability Insurance

with limits not less than: $1,000,000 BODILY INJURY, EACH OCCURRENCE $1,000,000 DISEASE EACH EMPLOYEE $1,000,000 DISEASE AGGREGATE LIMIT

3. TERMS GOVERNING ALL PROPOSALS TO NEW JERSEY PURCHASE BUREAU

3.1 CONTRACT AMOUNT - The estimated amount of the contract(s), when stated on the Advertised Request for

Proposal form, shall not be construed as either the maximum or minimum amount which the State shall be obliged to order as the result of this Request for Proposal or any contract entered into as a result of this Request for Proposal.

3.2 CONTRACT PERIOD AND EXTENSION OPTION - If, in the opinion of the Director of the Division of Purchase and

Property, it is in the best interest of the State to extend a contract entered into as a result of this Request for Proposal, the contractor will be so notified of the Director‘s Intent at least 30 days prior to the expiration date of the existing contract. The contractor shall have 15 calendar days to respond to the Director's request to extend the contract. If the contractor agrees to the extension, all terms and conditions of the original contract, including price, will be applicable.

3.3 BID AND PERFORMANCE SECURITY

a. Bid Security - If bid security is required, such security must be submitted with the bid in the amount listed in the

Request for Proposal, see N.J.A.C. 17: 12- 2.4. Acceptable forms of bid security are as follows:

1. A properly executed individual or annual bid bond issued by an insurance or security company authorized to do business in the State of New Jersey, a certified or cashier's check drawn to the order of the Treasurer, State of New Jersey, or an irrevocable letter of credit drawn naming the Treasurer, State of New Jersey as beneficiary issued by a federally insured financial institution.

2. The State will hold all bid security during the evaluation process. As soon as is practicable after the

completion of the evaluation, the State will: a. Issue an award notice for those offers accepted by the State; b. Return all bond securities to those who have not been issued an award notice.

All bid security from contractors who have been issued an award notice shall be held until the successful execution of all required contractual documents and bonds (performance bond, insurance, etc. If the contractor fails to execute the required contractual documents and bonds within thirty (30) calendar days after receipt of award notice, the contractor may be found in default and the contract terminated by the State. In case of default, the State reserves all rights inclusive of, but not limited to, the right to purchase material and/or to complete the required work in accordance with the New Jersey Administrative Code and to recover any actual excess costs from the contractor. Collection against the bid security shall be one of the measures available toward the recovery of any excess costs.

b. Performance Security - If performance security is required, the successful bidder shall furnish performance

security in such amount on any award of a term contractor line item purchase, see N.J.A.C. 17: 12- 2.5. Acceptable forms of performance security are as follows: 1. The contractor shall be required to furnish an irrevocable security in the amount listed in the Request for

Proposal payable to the Treasurer, State of New Jersey, binding the contractor to provide faithful performance of the contract.

2. The performance security shall be in the form of a properly executed individual or annual performance bond

issued by an insurance or security company authorized to do business in the State of New Jersey, a certified or cashier's check drawn to the order of the Treasurer, State of New Jersey, or an irrevocable letter of credit drawn naming the Treasurer, State of New Jersey as beneficiary issued by a federally insured financial institution.

The Performance Security must be submitted to the State within 30 days of the effective date of the contract award and cover the period of the contract and any extensions thereof. Failure to submit performance security may result in cancellation of contract for cause pursuant to provision 3.5b,1, and nonpayment for work performed.

3.4 VENDOR RIGHT TO PROTEST - INTENT TO AWARD - Except in cases of emergency, bidders have the right to

protest the Director's proposed award of the contract as announced in the Notice of Intent to Award, see N.J.A.C. 17:12-3.3. Unless otherwise stated, a bidder's protest must be submitted to the Director within 10 working days after receipt of written notification that his bid has not been accepted or that an award of contract has been made. In the public interest, the Director may shorten this protest period, but shall provide at least 48 hours for bidders to respond to a proposed award. In cases of emergency, stated in the record, the Director may waive the appeal period. See N.J.A.C. 17: 12- 3 et seq.

3.5 TERMINATION OF CONTRACT

a. For Convenience

Notwithstanding any provision or language in this contract to the contrary, the Director may terminate at any time, in whole or in part, any contract entered into as a result of this Request for Proposal for the convenience of the State, upon no less than 30 days written notice to the contractor.

b. For cause:

1. Where a contractor fails to perform or comply with a contract, and/or fails to comply with the complaints

procedure in N.J.A.C. 17: 12-4.2 et seq., the Director may terminate the contract upon 10 days notice to the contractor with an opportunity to respond.

2. Where a contractor continues to perform a contract poorly as demonstrated by formal complaints, late

delivery, poor performance of service, short-shipping etc., so that the Director is repeatedly required to use the complaints procedure in N.J.A.C. 17:12-4.2 et seq. the Director may terminate the contract upon 10 days notice to the contractor with an opportunity to respond.

60

61

c. In cases of emergency the Director may shorten the time periods of notification and may dispense with an opportunity to respond.

d. In the event of termination under this section, the contractor will be compensated for work performed in

accordance with the contract, up to the date of termination. Such compensation may be subject to adjustments.

3.6 COMPLAINTS - Where a bidder has a history of performance problems as demonstrated by formal complaints and/or contract cancellations for cause pursuant to 3.5b a bidder may be bypassed for this award. See N.J.A.C. 17:12-2.8.

3.7 EXTENSION OF CONTRACT QUASI-STATE AGENCIES - It is understood and agreed that in addition to State

Agencies, Quasi-State Agencies may also participate in this contract. Quasi-State Agencies are defined in N.J.S.A. 52:27B-56.1 as any agency, commission, board, authority or other such governmental entity which is established and is allocated to a State department or any bi-state governmental entity of which the State of New Jersey is a member.

3.8 EXTENSION OF CONTRACTS TO POLITICAL SUBDIVISIONS, VOLUNTEER FIRE DEPARTMENTS AND

FIRST AID SQUADS, AND INDEPENDENT INSTITUTIONS OF HIGHER EDUCATION - N.J.S.A. 52:25-16.1 permits counties, municipalities and school districts to participate in any term contract{s), that may be established as a result of this proposal.

N.J.S.A. 52:25-16.2 permits volunteer fire departments, volunteer first aid squads and rescue squads to participate in any term contract(s) that may be established as a result of this proposal. N.J.S.A. 52:25-16.5 permits independent institutions of higher education to participate in any term contract(s) that may be established as a result of this proposal, provided that each purchase by the Independent Institution of higher education shall have a minimum cost of $500. In order for the State contract to be extended to counties, municipalities, school districts, volunteer fire departments, first aid squads and independent institutions of higher education the bidder must agree to the extension and so state in his bid. proposal. The extension to counties municipalities, school districts, volunteer fire departments, first aid squads and Independent Institutions of higher education must 'be under the same terms and conditions, including price, applicable to the State.

3.9 EXTENSIONS OF CONTRACTS TO COUNTY COLLEGES - N.J.S.A. 18A:64A - 25. 9 permits any college to participate in any term contract(s) that may be established as a result of this proposal.

3.10 EXTENSIONS OF CONTRACTS TO STATE COLLEGES - N.J.S.A. 18A:64- 60 permits any State College to

participate in any term contract{s) that may be established as a result of this proposal. 3.11 SUBCONTRACTING OR ASSIGNMENT - The contract may not be subcontracted or assigned by the contractor,

in whole or in part, without the prior written consent of the Director of the Division of Purchase and Property. Such consent, if granted, shall not relieve the contractor of any of his responsibilities under the contract.

In the event the bidder proposes to subcontract for the services to be performed under .the terms of the contract award, he shall state so in his bid and attach for approval a list of said subcontractors and an Itemization of the products and/or services to be supplied by them. Nothing contained in the specifications shall be construed as creating any contractual relationship between any subcontractor and the State.

3.12 MERGERS, ACQUISITIONS - If, subsequent to the award of any contract resulting from this Request for Proposal, the contractor shall merge with or be acquired by another firm, the following documents must be submitted to the Director, Division of Purchase & Property.

a. Corporate resolutions prepared by the awarded contractor and new entity ratifying acceptance of the original

contract, terms, conditions and prices.

b. State of New Jersey Bidders Application reflecting all updated information including ownership disclosure, pursuant to provision 1.5.

c. Vendor Federal Employer Identification Number. The documents must be submitted within thirty (30) days of completion of the merger or acquisition. Failure to do so may result in termination of contract pursuant to provision 3.5b.

62

If subsequent to the award of any contract resulting from this Request for Proposal, the contractor's partnership or corporation shall dissolve, the Director, Division of Purchase & Property must be so notified. All responsible parties of the dissolved partnership or corporation must submit to the Director in writing, the names of the parties proposed to perform the contract, and the names of the parties to whom payment should be made. No payment should be made until all parties to the dissolved partnership or corporation submit the required documents to the Director.

3.13 PERFORMANCE GUARANTEE OF BIDDER - The bidder hereby certifies that:

a. The equipment offered is standard new equipment, and is the manufacturer's latest model in production, with parts regularly used for the type of equipment offered; that such parts are all in production and not likely to be discontinued; and that no attachment or part has been substituted or applied contrary to manufacturer's recommendations and standard practice.

b. All equipment supplied to the State and operated by electrical current is UL listed where applicable. c. All new machines are to be guaranteed as fully operational for the period stated in the Request For Proposal

from time of written acceptance by the State. The bidder will render prompt service without charge, regardless of geographic location.

d. Sufficient quantities of parts necessary for proper service to equipment will be maintained at distribution points

and service headquarters. e. Trained mechanics are regularly employed to make necessary repairs to equipment in the territory from which

the service request might emanate within a 48-hour period or within the time accepted as industry practice. f. During the warranty period the contractor shall replace immediately any material which is rejected for failure to

meet the requirements of the contract. g. All services rendered to the State shall be performed in strict and full accordance with the specifications stated

in the contract. The contract shall not be considered complete until final approval by the State's using agency is rendered.

3.14 DELIVERY GUARANTEES - Deliveries shall be made at such time and in such quantities as ordered in strict

accordance with conditions contained in the Request for Proposal.

The contractor shall be responsible for the delivery of material in first class condition to the State's using agency or the purchaser under this contract and in accordance with good commercial practice. Items delivered must be strictly in accordance with the Request for Proposal. In the event delivery of goods or services is not made within the number of days stipulated or under the schedule defined in the Request for Proposal, the using agency may be authorized to obtain the material or service from any available source, the difference in price, if any, to be paid by the contractor failing to meet his commitments.

3.15 DIRECTOR'S RIGHT OF FINAL BID ACCEPTANCE - The Director reserves the right to reject any or all bids, or

to award in whole or in part if deemed to be in the best interest of the State to do so. The Director shall have authority to award orders or contracts to the vendor or vendors best meeting all specifications and conditions in accordance with N.J.S.A. 52:34-12. Tie bids will be awarded by the Director in accordance with N.J.A.C.17:12-2.1D.

3.16 BID ACCEPTANCES AND REJECTIONS - The provisions of N.J.A.C. 17:12-2.9, relating to the Director's right, to

waive minor elements of non-compliance with bid specifications and N.J.A.C. 17: 12- 2.2 which defines causes for automatic bid rejection, apply to all proposals and bids.

3.17 STATE'S RIGHT TO INSPECT BIDDER'S FACILITIES - The State reserves the right to inspect the bidder's

establishment before making an award, for the purposes of ascertaining whether the bidder has the necessary facilities for performing the contract.

The State may also consult with clients of the bidder during the evaluation of bids. Such consultation is intended to assist the State in making a contract award which is most advantageous to the State.

3.18 STATE'S RIGHT TO REQUEST FURTHER INFORMATION - The Director reserves the right to request all

information which may assist him or her in making a contract award, including factors necessary to evaluate the, bidder s financial capabilities to perform the contract. Further, the Director reserves the right to request a bidder to explain, in detail, how the bid price was determined.

63

3.19 MAINTENANCE OF RECORDS - The contractor shall maintain records for products and/or services delivered against the contract for a period of three (3) years from the date of final payment. Such records shall be made available to the, State upon request for purposes of conducting an audit or for ascertaining information regarding dollar volume or number of transactions.

4. TERMS RELATING TO PRICE QUOTATION

4.1 PRICE FLUCTUATION DURING CONTRACT - Unless otherwise noted by the State, all prices quoted shall be

firm through issuance of contract or purchase order and shall not be subject to increase during the period of the contract.

In the event of a manufacturer's or contractor's price decrease during the contract period, the State shall receive the full benefit of such price reduction on any undelivered purchase order and on any subsequent order placed during the contract period. The Director of Purchase and Property must be notified, in writing, of any price reduction within five (5) days of the effective date. Failure to report price reductions will result in cancellation of contract for cause, pursuant to provision 3.5b.1.

4.2 DELIVERY COSTS - Unless otherwise noted in the Request for Proposal, all prices for items in bid proposals are to be submitted F.O.B. Destination. Proposals submitted other than F.O.B. Destination may not be considered. Regardless of the method of quoting shipments, the contractor shall assume all costs, liability and responsibility for the delivery of merchandise in good condition to the State's using agency or designated purchaser.

F.O.B. Destination does not cover "spotting" but does include delivery on the receiving platform of the ordering agency at any destination in the State of New Jersey unless otherwise specified. No additional charges will be allowed for any additional transportation costs resulting from partial shipments made at contractor's convenience when a single shipment is ordered. The weights and measures of the State's using agency receiving the shipment shall govern.

4.3 C.O.D. TERMS - C.O.D. terms are not acceptable as part of a bid proposal and will be cause for rejection of a bid. 4.4 TAX CHARGES - The State of New Jersey is exempt from State sales or use taxes and Federal excise taxes.

Therefore, price quotations must not include such taxes. The State's Federal Excise Tax Exemption number is 22-75-0050K.

4.5 PAYMENT TO VENDORS - Payment for goods and/or services purchased by the State will only be made against

State Payment Vouchers. The State bill form in duplicate together with the original Bill of Lading, express receipt and other related papers must be sent to the consignee on the date of each delivery. Responsibility for payment rests with the using agency which will ascertain that the contractor has performed in a proper and satisfactory manner in accordance with the terms and conditions of the award. Payment will not be made until the using agency has approved payment.

For every contract the term of which spans more than one fiscal year, the State's obligation to make payment beyond the current fiscal year is contingent upon legislative appropriation and availability of funds. The State of New Jersey now offers State contractors the opportunity to be paid through the MasterCard procurement card (p-card). A contractor's acceptance and a State Agency's use of the p-card, however, is optional. P-card transactions do not require the submission of either a contractor invoice or a State payment voucher. Purchasing transactions utilizing the p-card will usually result in payment to a contractor in three days. A Contractor should take note that there will be a transaction processing fee for each p-card transaction. To participate, a contractor must be capable of accepting MasterCard. For more information, call your bank or any merchant services company.

4.6 NEW JERSEY PROMPT PAYMENT ACT - The New Jersey Prompt Payment Act N.J.S.A. 52:32-32 et seq.

requires state agencies to pay for goods and services within sixty (60) days of the agency's receipt of a properly executed State Payment Voucher or within sixty (60) days of receipt and acceptance of goods and services, whichever is later. Properly executed performance security, when required, must be received by the state prior to processing any payments for goods and services accepted by state agencies. Interest will be paid on delinquent accounts at a rate established by the State Treasurer. Interest will not be paid until it exceeds $5.00 per properly executed invoice.

Cash discounts and other payment terms included as part of the original agreement are not affected by the Prompt Payment Act.

4.7 RECIPROCITY - In accordance with N.J.S.A. 52:32-1.4 and N.J.A.C. 17: 12- 2. 13, the State of New Jersey will

invoke reciprocal action against an out-of-State bidder whose state or locality maintains a preference practice for their bidders.

64

5. CASH DISCOUNTS - Bidders are encouraged to offer cash discounts based on expedited payment by the State. The

State will make efforts to take advantage of discounts, but discounts will not be considered in determining the lowest bid.

a. Discount periods shall be calculated starting from the next business day after the recipient has accepted the goods

or services received a properly signed and executed State Payment Voucher form and, when required, a properly executed performance security, whichever is latest.

b. The date on the check issued by the State in payment of that Voucher shall be deemed the date of the State's

response to that Voucher.

6. STANDARDS PROHIBITING CONFLICTS OF INTEREST - The following prohibitions on vendor activities shall apply to all contracts or purchase agreements made with the State of New Jersey, pursuant to Executive Order No. 189 (1988).

a. No vendor shall pay, offer to pay, or agree to pay, either directly or indirectly, any fee, commission, compensation,

gift, gratuity, or other thing of value of any kind to any State officer or employee or special State officer or employee, as defined by N.J.S.A. 52:13D-13b and e., in the Department of the Treasury or any other agency with which such vendor transacts or offers or proposes to transact business, or to any member of the immediate family, as defined by N.J.S.A. 52:13D-13i., of any such officer or employee, or partnership, firm or corporation with which they are employed or associated, or in which such officer or employee has an interest within the meaning of N.J.S.A. 52: 13D-13g.

b. The solicitation of any fee, commission, compensation, gift, gratuity or other thing of value by any State officer or

employee or special State officer or employee from any State vendor shall be reported in writing forthwith by the vendor to the Attorney General and the Executive Commission on Ethical Standards.

c. No vendor may, directly or indirectly, undertake any private business, commercial or entrepreneurial relationship

with, whether or not pursuant to employment, contract or other agreement, express or implied, or sell any interest in such vendor to, any State officer or employee or special State officer or employee or special State officer or employee having any duties or responsibilities in connection with the purchase, acquisition or sale of any property or services by or to any State agency or any instrumentality thereof, or with any person, firm or entity with which he is employed or associated or in which he has an interest within the meaning of N.J.S.A. 52: 130-13g. Any relationships subject to this provision shall be reported in writing forthwith to the Executive Commission on Ethical Standards, which may grant a waiver of this restriction upon application of the State officer or employee or special State officer or employee upon a finding that the present or proposed relationship does not present the potential, actuality or appearance of a conflict of interest.

d. No vendor shall influence, or attempt to influence or cause to be influenced, any State officer or employee or

special State officer or employee in his official capacity in any manner which might tend to impair the objectivity or independence of judgment of said officer or employee.

e. No vendor shall cause or influence, or attempt to cause or influence, any State officer or employee or special State officer or employee to use, or attempt to use, his official position to secure unwarranted privileges or advantages for the vendor or any other person.

f. The provisions cited above in paragraph 6a through 6e shall not be construed to prohibit a State officer or

employee or Special State officer or employee from receiving gifts from or contracting with vendors under the same terms and conditions as are offered or made available to members of the general public subject to any guidelines the Executive Commission on Ethical Standards may promulgate under paragraph 6c.

7. NOTICE TO ALL BIDDERS SET-OFF FOR STATE TAX NOTICE

Please be advised that, pursuant to P.L 1995, c. 159, effective January 1, 1996, and notwithstanding any provision of the law to the contrary, whenever any taxpayer, partnership or S corporation under contract to provide goods or services or construction projects to the State of New Jersey or its agencies or instrumentalities, including the legislative and judicial branches of State government, is entitled to payment for those goods or services at the same time a taxpayer, partner or shareholder of that entity is indebted for any State tax, the Director of the Division of Taxation shall seek to set off that taxpayer’s or shareholder’s share of the payment due the taxpayer, partnership, or S corporation. The amount set off shall not allow for the deduction of any expenses or other deductions which might be attributable to the taxpayer, partner or shareholder subject to set-off under this act. The Director of the Division of Taxation shall give notice to the set-off to the taxpayer and provide an opportunity for a hearing within 30 days of such notice under the procedures for protests established under R.S. 54:49-18. No requests for conference, protest, or subsequent appeal to the Tax Court from any protest under this section shall stay the collection of the indebtedness. Interest that may be payable by the State, pursuant to P.L. 1987, c.184 (c.52:32-32 et seq.), to the taxpayer shall be stayed.

65

EXHIBIT 1 - FUNCTIONALITY BY OFFICE

DIVISION OF PENSIONS AND BENEFITS

Office of the Director of Pensions and Benefits Correspondence and Inquiries

The Director of DPB’s office maintains a tracking and referral system to monitor correspondence and inquiries requiring resolution by the Director of DPB’s Office. These inquiries may result from correspondence, telephone calls or emails received directly from members or employers or referred to the Director of DPB’s Office from the State Treasurer, Governor’s Office or elected officials. Normally these cases have a high profile and are sensitive.

Office of Client Services Telephonic Inquiries

In-Person Correspondence Out of State Service Authorizations

Members and employers contact DPB through the Client Services Unit for general information or specific account information. Unit personnel complete the inquiry or refer the matter elsewhere for action. Former members request verification of former membership service in order to purchase credit in another state.

Office of Pension Operations Enrollment and Transfer Actions

An enrollment application is received from an employer for enrollment into one of the retirement systems. Once entered into the system the member’s processing status needs to be available to interested parties.

Purchase of Service Credit Actions

Members may make application to purchase additional service credit in the retirement systems. Once processing has begun the status of the member’s application needs to be available to interested parties.

Adjustment Actions

Member accounts currently subject to examination and correction.

Loan Actions Loan applications are processed. Once entered into the system the member’s processing status needs to be available to interested parties.

Withdrawal Actions

Withdrawal applications are processed. Once entered into the system the member’s processing status needs to be available to interested parties.

Death Claims Notice of a member’s death is received and a case is opened for disbursement of benefits. Once entered into the system the member’s processing status needs to be available to interested parties.

Retirement Actions

Retirement applications are processed. Once entered into the system the member’s processing status needs to be available to interested parties.

Retro Salary Adjustments

Adjustments to retirement benefits resulting from delayed union contract settlements.

Office of Health Benefits Enrollment, Changes and Terminations

An SHBP (State Health Benefit Program) enrollment application is received from an employer for a participant for enrollment, termination or coverage change. Once entered into the system the member’s processing

66

status needs to available to interested parties.

Office of Boards and Commissions Appeal Actions

Members have the right to appeal administrative actions to various boards or commissions. Appeal actions need to available to interested parties.

Office of Financial Services Retired Payroll Actions

Retired members monetary and demographic information, including addresses, need to be available to interested parties.

Deferred Compensation

Members request that monies in their Deferred Compensation account be rolled over to purchase service credit. (FS tracking file maintained.)

Audit Actions

Research and review member’s accounts for accurate service credit and ASF balances. Maintain a tracking list of audits being conducted on member’s accounts.

1099 W2s

Members inquire about 1099 and W2 year end statements, Information available through Retired Payroll.

Cash Receipts Checks are received from members and employers and recorded in Excel spreadsheet tracking system prior to deposit. (Daily)

EFT Enrollment, changes and termination of EFT transactions reflected through Retired Payroll.

Stop Payment Notices

Process requests for stop payments – send paperwork to requester and authorize replacement check. Maintain tracking list of stop payment requests.

Returned Check Undeliverable checks are returned to DPB and recorded on an Excel

spreadsheet (Excel spreadsheets are being converted to MS Access). Manual Checks Manually generated checks are produced in-house and available for

inquiry through the system. (OTT) Employer Contract Audits

The External Audit group maintains a file on the “S” drive reflecting employers subject to contract audit.

Death Matching Project

A spreadsheet file is maintained to identify retirees on our payroll that are reported as dead on federal/state files.

Signature Cards Periodic outreach to retirees requesting them to submit notarized

signature cards (fraud program). Spreadsheet available (Excel spreadsheets are being converted to MS Access),

Employer Billing Reprint

Enable client services staff to initiate a reprint of a bill upon request.

Alternate Benefit Program

Service credit audits are conducted for members and a spreadsheet file maintained.

67

EXHIBIT 2 - FUNCTIONAL PROCESS SCENARIOS


Functional Process Scenarios The following represents typical scenarios that a Client Services Call Center Counselor would deal with and the associated 3270 application screens used: Member calls 609-292-7524 – listens to announcements and makes a selection:

• Purchase/Enrollments/Transfers • Report of Death • Loans/Withdrawals • Retirement Processing • Retired Payroll • Health Benefits • Employer • Change of Address

The counselor enters the SSN if provided, and if not, requests the information from the caller in order to access the proper 3270 session. The 3270 sessions provide the member’s basic information:

• Member’s Account Information • Loan Information • Health Benefit • Retirement Information.

In order to get specific information depending on what the member selected, the following subsystems may have to be accessed:

• RTS – Retirement Tracking System • PTS - Purchase Tracking System • DIBS – Death Information Benefits System • SHIPS – State Health Information Processing System • Optical Disc • Correspondence Tracking • Manual Retirement Estimate Tracking List • Retro Calculation List • Counselors Notebook • Client Services Inquiry System (CSI)

Scenario #1: Death Claim Processing: Skill #4 – New Death Beneficiary calls to report the death of a member. Counselor asks for SSN number which is then entered into the Account History screen (Exhibit #1). Counselor then accesses DIBS screen (Exhibit #2) and manually enters all required information to begin the process. After updating the DIBS screen the counselor will then log on to FileNET (Exhibit #3) to verify beneficiary information. Once the information is verified the counselor will return to the DIBS screen to update verification of beneficiary. The counselor hits enter and the claim is updated to the DIBS system. Scenario #2: Death Claim Processing: Skill #4 – Check Status of Claim Beneficiary calls DPB and requests information regarding the status of the death claim. Counselor enters the DIBS system by manually entering member’s SSN. Refers to information on the system (Exhibit #2) if necessary

68

may need to access FileNET (Exhibit #3) to review scanned documents. If necessary paperwork is received and the DIBS system does not reflect – the counselor will type up a Client Services Inquiry and refer to Claims Outpost for disposition. Claims outpost will review and refer to claims for processing – the inquiry will be answered within 3-5 days and the counselor will receive confirmation and call beneficiary with information. Scenario #3 – Health Benefit Scenario Member calls in and inquires about Enrollment Date. Counselor asks for SSN number and accesses Account History screen (Exhibit #1) to verify membership. The counselor will then access 3270 screen - SHBPS Health Benefits enters SSN (Exhibit #4). If information is available on the inquiry screen, information is confirmed with member and call is ended. If the information is not available, or it is incorrect, the counselor will access FileNET (enters SSN) to retrieve an enrollment application for verification of the dates. If information is correct and the 3270 system needs adjustment, the counselor will create a CSI and refer to Health Benefit Outpost for disposition. The information is verified by the Outpost and referred to Health Benefits for correction to the 3270 system. Once the information is updated the member is called and the case is closed. Scenario #4 - Retired Member Inquiry Member calls to request an increase in his Federal Income Tax Withholding. The counselor will request member’s SSN or Retirement #. Counselor accesses Retired Payroll screen (Exhibit #5), Selects Inquiry, inputs SSN or Ret # then selects Standard Check History. Counselor then returns to main menu and selects Tax Information Screen. The counselor will then determine the member’s taxable monthly retirement allowance (regular salary + COLA, less any exclusion amount). The counselor will then access Counselor’s Notebook (Exhibit #6) to reference the Tax Tables (Exhibit #6A) to determine the amount to be withheld based on member’s selection of status and member allowances. Counselor then informs member of the additional amount to be entered on line 4 of Federal W4P (Exhibit #5B) form in order to have the Withholding increased to the desired amount. Member is informed that the W4P can be downloaded from our website or it can be manually sent to the member. The call ends. Scenario #5 – Retired Member Inquiring about Retirement Account Question: What is my current federal tax filing status? Counselor access Account History screen (Exhibit #1) and proceeds to Retired Payroll screen (Exhibit #5). Counselor selects #9 Retired Payroll Screen Tax Information. Question: What was amount direct deposited on 1/1/05? Counselor selects #2 on the same screen – Standard Check History to verify information to member. Question: What will the cost of living (COLA) amount be in February 2005? Counselor selects screen 10 – Allowance/Deduction information. Question: I am changing banks….how do I change my direct deposit information? Use screen 11 – EFT Member Information. Question: How do I change my address? Use screen #4 - Name and Address to verify information. Scenario #6 – Active Member Seeking Retirement Information Member is planning on retiring 7/1/05 and is requesting the counselor provide a retirement estimate and information on the retirement process. The counselor asks for member’s SSN or M/S # - accesses Account History screen (Exhibit #1) to ensure that member qualifies for retirement on the requested date. Counselor then accesses RTS (Exhibit #7) program and selects Generate Estimate Letter. Counselor completes the estimate form and generates the estimate to be mailed to the member. Counselor will then discuss retirement options and retirement process. Inform member of required documentation and available seminars to attend. Member is then mailed the estimate.

69

EXHIBIT 3 - TECHNICAL BACKGROUND AND OVERVIEW


Avaya Telephony System Overview The Avaya Definity G3 switch (“PBX”) is the incoming destination for all dial tone in our automated telephony system for Client Services Telecommunications Unit and the Deferred Compensation Unit. Telephone calls are distributed based on information the client is prompted to enter into the system. The Call Management System (“CMS”) is a state of the art server, which collects call flow data from the PBX. The CMS data can be viewed as a real-time, historical or integrated report. The CMS has numerous types of reports to be viewed in a graphical or table format. The CMS is capable of running various programming scripts in the background for our users; for example: a script can be created to run hourly system summaries of the call flow at the supervisor’s desktop. DPB’s frontline supervisors utilize the desktop software called CentreVu Supervisor to monitor the call flow for all agents, skills, etc. The reports are beneficial when handling the call flow during peak hours and is a great supervisory tool for monitoring the agents. The Conversant (“IVR”) is an interactive voice server that works with the PBX and DPB’s mainframe. The IVR is responsible for housing DPB’s automated voice applications available to clients. Clients can retrieve information from the following applications residing on the IVR server: Account History, Retirements, Health Benefits, Deferred Compensation, Supplemental Annuity Collective Trust (SACT), Loans, Purchases, Withdrawals, BIL (Benefit Information Library) text and Fax-on-Demand. The IVR system is also responsible for giving clients their approximate wait time while holding in queue for a counselor; gives employers the ability of a callback message and utilizes18 customized mailboxes for various Pension or legislative information requests. The Avaya CT CTI Server (Computer Telephony Integration) is server software that integrates the premium call control features of our DEFINITY system with customer information in our databases – without requiring special phones, connectors, PC circuit packs, or new wiring at every workstation, helps enable powerful applications that allow our business to step ahead of the competition. CTI supports:

• Intelligent call routing • Business process automation • Automated call handling (inbound and outbound) • Agent desktop automation • Directory and file management • Database information management • Web-enabled communications • Multimedia messaging

NICE Systems – Customer Experience Management (“CEM”) NICE Customer Experience Management Solution allows for the automated recording of all or selected telephone calls processed by the Avaya Call Center. Calls can be replayed at a later time if need be to establish proof of what transpired during a particular telephone call with a client. This product is also used for training purposes by recording the telephone calls of new counselors. Instant feed back of what an employee did right and wrong is invaluable. In addition, NICE is used as a supervisory tool for quality assurance to ensure that all counselors are following procedures and providing consistent answers to specific questions (i.e.: accessing appropriate informational screens, quality monitoring and approaches used to provide accurate information). Consistency of answers is paramount to a successful Call Center operation. FileNET Image Management System Overview

70

The Optical Disk section is responsible for the conversion of hard copy documents of pension membership, employers and health benefit files to the FileNET Image Management System. Included in this are new enrollment accounts, which are added to the system as employees enroll in the various retirement systems, and updates to these files. All prepping, scanning, indexing and verifying of documents are a centralized operation handled by DPB. All server maintenance and technical administration is handled by the Office of Treasury Technology.

71

EXHIBIT 4 - INVENTORY OF SYSTEMSActive Enrollment / Claims Retired Pension Fund Quarterly Accounting Defined Contribution

354 Payroll Certifications

342 Pension Payroll Batch -Monthly Payments -Weekly Pmts./ Reversals -Annual 1099 Processing

331 Post Audit

348 Deferred

Compensation

355 Enrollments Transfers Beneficiaries

374 Pension Payroll Online & Transaction Processing -Monetary Update -Non-monetary Update

332 Projections

349 Alternate Benefits

-ACTS

357 Service Purchases

375 Retirements -Quotes / Estimates -Board Processing -Final Letters

333 Zero Balance

363 Supplemental Annuity

Collective Trust (SACT)

362 Loans -Ret. Subsidiary -GL/Loan Reconciliation

376 Retired Member Status - W4P - EFT

334 Bi-Weekly Employee Quarterly Update

365 Death Information & Benefit System (DIBS)

377 Pension Adjustments (Cost of Living)

335 Miscellaneous Processing

384 Withdrawals Information & Tracking System (WITS)

336 Active Accounting -Higher Education Match

337 Employer Overages & Shortages

72

Health Benefits Health Benefits Miscellaneous Financial Support & Reporting

343 Maintain Applications

343

Financial - Billing / Cash Receipts - Payables/Disbursements - Rate Processing

353 Employer Transmittal Tracking

338 Actuarial Reporting

343 Maintain Enrollment (MERC) - COBRA - Retired

343

External Audit - Carrier - Federal(Death/Medicare) - Claims (3rd Party)

356 Delayed Enrollments Employer Obligations

339 Active Member On-line Update

343

Retired - Offering - Retired Payroll I/F - Retirement I/F (RBI)

343 Internal Audit - Subscriber Billing - integrity

364 Interest

345 Member Benefit Online System (MBOS)

343 Proof Processing - Medicare - Dependent

343

Interfaces - Carrier - Centralized Payroll - Bank

367 Employer Appropriations Billing

347 Employee Benefit Statements

343 Termination and Reinstatements

343 Correspondence - Online requests - Batch Printing

372 Cash Disbursements - Annual 1099 Processing

352 Account History

343 Employer Processing - Resolution Processing

343 Inquiry - Data Warehouse

381 General Ledger

358 Optical Disk

359 Management Info Reports

366 Board of Trustee Ballots

378 Employer Data Base

379 Security Support

387 Employer Access - EPIC - EAS

73

Post Audit - 331 Mission & Objective: To provide a mechanism to determine over/under payments for pension, contributory insurance and arrears at the employee level. To create a bill for the under payment and reimburse the over payment. Description: Post Audit verifies the accounts of every member of the State's pension funds. Each quarter, approximately 375,000 members are reprocessed through this system. The Post Audit System ensures that the correct contributions and service have been credited to each member's account. Automated External Interfaces: Shortage Notices Reimbursement Checks Projections - 332 Mission & Objective: To provide a mechanism for the employer to communicate employee changes for anticipated contributions and deductions. Create a turnaround document listing all current local employees with the latest contribution information available. Description: The Projections System is the mechanism by which DPB maintains anticipated contributions for each local member on a quarterly basis. Any section within DPB changing a local member's anticipated deductions submits a projection change transaction, which is batched and processed weekly. Currently, there are 5 automated interfaces which provide projections to this system. At the end of the quarter the accumulated transactions are written to the paper Report of Contributions for over 300,000 employees and sent to employers for corrections. Electronic Report of Contributions in Microsoft EXCEL format are generated for a large percentage of the employer population for update and return through an internet portal based secure file transfer. Along with the reports, the system also generates Report of Salary change forms used by the employer to report the member's new quarterly salaries. Electronic Reports of Salary Changes in various formats are also being collected. The system also produces transmittal forms for the employer to use when remitting contribution/deduction moneys to DPB. This process provides for the orderly communication of member deductions allowing for a streamlined data entry process necessary to meet quarterly account posting deadlines. Automated External Interfaces: Report of Salary Changes (paper and electronic) Salary Change electronic files Employer Access System. Zero Balance - 333 Mission & Objective: To provide a mechanism for the orderly reconciliation of local members pension contributions, service, salary and deductions. To take the returned ROC (created by the Projection System) and process the information that is keyed. Description: The Zero Balance System processes ROCs for 2700 local employers (roughly 300,000 members). The ROC contains anticipated quarterly contributions for each member for pension, loans, arrears, back deductions, insurance, and SACT. The employer reviews and updates the report and returns it to DPB with a check for the amount owed. The on-line Zero Balance System updates DPBs' projection information with the actual deductions/contributions. The process begins in the Audit Section who reviews all of the employer changes. The process continues with the system performing comparisons against the original calculated data (system generated ROC data). All discrepancies are reconciled and the appropriate file updates are made. Automated External Interfaces: ROC (input) reports received from the employers. Biweekly Employee Quarterly Update - 334

74

Mission & Objective: To capture, edit, reconcile, and update pension contributions and deductions for Centralized Payroll state employees and State Colleges and Universities on a quarterly basis. Description: The State Biweekly System processes contribution/deduction transactions for those locations that are paid by the State's Centralized Payroll Unit and the State Colleges and Universities. This accounts for approximately 150,000 members. These members are paid biweekly and the transactions are accumulated on a quarterly basis and submitted to DPB via electronic file. Two electronic files are submitted by Centralized Payroll. The first electronic file is a summary record of the quarter's contributions, payments and service for each member. The second electronic file is a detail record of each pay periods' contributions, payments, and salary. The State Colleges and University send a single electronic file which includes quarterly summary data and the salary paid in each of that quarter's pay periods. These electronic files are audited and compared to the cash transmitted. At the end of the quarter, the Active Accounting System posts these transactions to the individual member accounts. Automated External Interfaces: Electronic files from Centralized Payroll and the State Colleges and Universities. Miscellaneous Processing - 335 Mission & Objective: To provide a mechanism for the data entry, editing and batch updating of quarterly accounting transactions. Description: The Miscellaneous System establishes or adjusts loans, arrears and back deductions balances along with accumulated salary and monthly/biweekly repayment amounts. Any DPB Section that changes a member's balance or repayment amount submits a miscellaneous Transaction File record. At the end of the quarter, the transactions are combined and processed through the Active Accounting System. Automated External Interfaces None. Active Accounting - 336 Mission & Objective: The system collects information and posts member's accounts on a quarterly cycle. Description: The Active Accounting System maintains accounting records for pension fund member accounts. The system collects information and posts member's accounts on a quarterly cycle. Contribution/deduction transactions are input to the accounting function along with other miscellaneous accounting transactions that establish new balances and repayment amounts. The transactions are combined, controlled and posted to the member's accounting record. Higher Education Match - The Department of Education provides DPB with two electronic files per year of individuals with outstanding student loans. These records are matched against the PMMR for active local (employer) members. DPB provides the DHE with the associated output files, reports, and garnishment letters for all records that are matched (people employed at monthly/local locations). Automated External Interfaces Electronic Files. Employer Overages/Shortages - 337 Mission & Objective: To identify and bill shortages and refund overages of employer remittances for their member contributions. Description: The Employer Overage/Shortage System tracks and credits total member contributions/deductions for each employer. Any employer who has not remitted the correct amount towards total pension (loan, arrears, back deduction and pension), SACT contributions or contributory insurance premiums as reflected by their ROC, is billed for the shortage amount. All overages are refunded. Automated External Interfaces: Refund checks for overages. Shortages bills

75

Actuarial Reporting - 338 Mission & Objective: To report current data to the various Actuaries on members according to their active or retired status. Description: The purpose of this system is to provide DPB's current insurance agent (Prudential) and current actuaries (Mellon Financial Corporation and Milliman-Robertson, USA) with information extracted annually for each fund. Information extracted includes data for active, recently withdrawn, retired, deceased or vested, and all retired members. The actuary evaluates the financial status of the funded plans and provides DPB with financial statements, evaluations and employer appropriation billing amounts. As a result of such valuations, pensions and interest rates, and ways and means of funding are subject to change. The actuary provides all applicable rate and interest tables to DPB. As such valuations are based on mortality rates, disability, employee turnover, ages at retirements, rate of investment income, and salary trends derived from the information provided by DPB. Automated External Interfaces: Actuarial electronic files and reports forwarded to the Actuary. Insurance electronic file and reports forwarded to the Insurance Agent. On-line PMMR Update - 339 Mission & Objective: To allow on-line access to the PMMR in order to correct, add or delete non-monetary information to a member’s master record and monetary information as related to earned interest. Description: This function allows online update access to the Pension Member Master Record (PMMR) file. Information includes: Non-monetary data such as demographic, statistical, beneficiary, employment information, legislation indicators, insurance waivers, and account annotations. Automated External Interfaces: None. Retired Pension Payroll System - 342 Mission & Objective: To provide monthly/weekly disbursements to all of the retired members and surviving beneficiaries for 9 pension funds. Description: This system makes all retirement-related disbursements of allowances and reimbursements. Audit and control information is provided via the generation of various reports. The Retired Payroll System produces 2.4 million checks and fund transfers annually to over 218,000 members with gross disbursements totaling more that $4.5 billion annually. Pay 4 is a suspense report, which lists each retired recipient currently in "suspended" status. Pay 5 calculates monthly and weekly disbursements and weekly reversals. Pay 6 generates checks and registers. Pay 8 is the payroll year/end processing. Pay 9 allows us to communicate messages to payroll recipients via messages on their checks or separate mailing. There are automated interfaces with: the general ledger system, the loans system and the SHIPS system. Central Pension Fund - The scope of the fund extends to: Heath Act pensions consisting of persons employed by the State as of January 1921; Veterans" Act Pensioners; Noncontributory Pensions for certain employees; Annuity for Widows of Governors and; special persons, in accordance with various laws of the state authorizing payments to designated individuals. The fund consists of the administration of a series of noncontributory Pension acts. No reserves are established for the payment of retirement Benefits. These benefits are administered by DPB in accordance with the governing statutes and rules of the State House Commission. Prison Officers' Pension Fund – POPF This system was established in 1941, permitting prison officer members of the State Employees Retirement System to transfer to the new fund. The fund was closed to new employees in 1960. This system provides for the processing of applications for age and service and disability retirements; and the processing and payment of death benefits. Consolidated Police & Firemen's Pension Fund – CPFPF As a closed fund, no new members were enrolled after the establishment of the Police and Firemen's Retirement System in 1944. The membership of the local funds acting under terms of the 1920 legislation was transferred to this fund as a result of the 1952 statute. Membership was fixed as a result of the transfer of the records from the 212 employing units to the state.

76

Judiciary Retirement System - To enroll service and provide for retired processing for members of the State Judiciary including the Supreme Court and judges of the Superior Court and Tax Court. This system provides for the enrollment of new members and transfers from other retirement systems; the early and disability retirements; the processing of Survivor Benefits for the widow or widower of a member who dies in active service; the enrollment into the non-contributory Group Life Insurance Program; and the processing and payment of death benefits. Automated External Interfaces: Pension checks to retirees. Back reconciliation electronic files. EFT electronic file files. Escheat files sent to Unclaimed Property. State Health Information Processing System - 343 Mission & Objective: To ensure complete and accurate Health Benefit information for active, retired, and COBRA members and their beneficiaries with timely reporting of this information to the insurance carriers and employers. Description: The SHIPS System maintains health benefits eligibility data for all active and retired state and local members of the State Health Benefits Program as well as COBRA eligible benefits. Eligibility information is maintained for all available health plans, including indemnity, NJ PLUS (PPO) and Health Maintenance Organizations. The system provides automated interfaces with Blue Cross/Blue Shield and Prudential, the current state health benefit carriers for indemnity and NJ PLUS and certain HMOs. The system provides health benefit billings to employers and control and management reports. Automated External Interfaces: Various electronic file and report outputs/inputs to and from Insurance carriers. Various electronic file and report outputs/inputs to and from employers. Various electronic file and report outputs/inputs to and from CMS. Automated Index file for Optical Disk Member Benefits Online System (MBOS) - 345 Mission & Objective: To provide a secure internet based inquiry and update to serve the needs of the pension fund and health benefit plan members. Description: The MBSO system will be offered through the MyNJportal and act as a front end to the mainframe systems and databases. Applications include estimate programs, account and status inquiries, and interactive applications. Design will be such that, as mainframe applications and databases are replaced, the MBOS front end will be connected to the replacement modules. Automated External Interfaces: None EBS - Employee Benefit Statements - 347 Mission & Objective: To provide a complete and accurate synopsis of a member's financial balances and demographic information. Description: The purpose of this system is to report confidentially to each individual active member, his/her accumulated contributions and current benefit information. In 1986, the original ASF Notice (Annuity Savings Fund account balance statement), was replaced by a more comprehensive Employee Benefit Statement. Basic background information regarding benefit formulas is provided. Specific information, such as the value of benefits (disability, survivor, individual retirement, death benefit data, and the outstanding loan balance) is provided. For state employees paid via centralized payroll, the type of health benefit coverage, vision, prescription drug, and vacation benefits are provided as applicable. Sealed statements are sent to the employer to be distributed. Approximately 370,000 statements are distributed annually to the membership.

77

Automated External Interfaces: Electronic files to Rutgers University and UMDNJ for incorporation into custom statements. Deferred Compensation - 348 Mission & Objective: To provide an automated mechanism to accept, process, and report all Payroll Center information in a timely and accurate manner. To accurately value member accounts, issue checks, and provide the Division of Investment with investment option breakdowns on a monthly basis. To issue quarterly member statements. Description: DPB is the plan administrator for Deferred Compensation, established under term of Chapter 39, PL1978. Eligible employees may shelter a portion of their income from current federal income taxes. Taxes will not be due until and employee receives a distribution of the assets. DPB does all processing relating to the creation and maintenance of member accounts. Quarterly statements, W2 statements, and annual reports to the federal government are generated by this system. Twenty-five payroll centers report via electronic file or paper and remit directly to DPB on a monthly basis. Automated External Interfaces: Various electronic file and report outputs/inputs to individual members, payroll centers, and IRS. Alternate Benefit Program - 349 Mission & Objective: To collect and maintain information on the alternate benefits master file and to provide member information to the carriers accurately and timely. Description: The Alternate Benefit Plan Program (ABP) is a defined benefit plan for the institutions of higher education. The role of DPB is to process the enrollment of the membership in the ABP, to transfer earned interest and contributions to the TIAA and other investment plans, to calculate and transfer retirement reserves and to control and audit the State Centralized Payroll (biweekly) plan participant contributions. DPB also gathers salary information for State non-Centralized payroll locations and reports all member account information to Prudential annually for the valuation of life insurance and disability benefits. DPB also administers death benefits, health benefits and long term disability benefits. The mainframe portion of the system has been replaced by an ORACLE based system administered by OTT except for certain file interface and printing functions. Automated External Interfaces: Various electronic file and report outputs/inputs to individual members, payroll centers, and IRS. Account History - 352 Mission & Objective: To provide DPB with on-line inquiry access to pension fund member information from master files, history files, and transaction files. Description: The Account History is an on-line mechanism that allows DPB to view account balances, transaction history, and member status information for members of the pension funds. This system allows immediate access to summary and detail information that is physically disbursed across several of DPB's master files. It is available throughout DPB. It has recently been converted to a browser based system. Automated External Interfaces: Interactive Voice Response system (IVR) Transmittal Tracking - 353 Mission & Objective: To track the payment of transmittals from the employers. To track the receipts of the Report of Contributions (ROC) from the local employers. Description: This system is updated when a daily file is transmitted from the bank containing information about payments received through an electronic payment system or when the operator keys a receipt of the transmittal in an on-line

78

system. This system produces delinquent letters to notify the employer that payment on the ROC has not been received. The on-line inquiry system identifies who received a transmittal and when the transmittals and ROC are received as well as which employers are late. Reports of daily receipts are also generated. Automated External Interfaces: Daily electronic payment files from a third party banking institution. Automated report/letter sent to employer..."payment not received". Payroll Certifications - 354 Mission & Objective: To provide a mechanism to store, retrieve and print employer payroll certification information on a schedule dictated by each of the automated system interfaces. Description: The Payroll Certification System is the main repository for all employer certification interfaces including adjustments, loans, enrollments, transfers, beneficiary review, purchases, SACT, and delayed enrollments. The system also creates print image electronic files for automatic loading of print images to optical disk systems. The system also provides an on-line inquiry and a quarterly purge function. Automated External Interfaces: Paper Certification to employers and members. Image file for Optical Disk Enrollments, Transfers and Beneficiaries - 355 Mission & Objective: To provide an automated mechanism to enroll, transfer, and remove members and beneficiaries in a timely fashion. Description: This system enrolls a newly hired person as a member of a pension fund. This is the beginning of a ten-year tracking of employee history that is maintained on-line for each member. The transfer process allows members to move with state or local employment or across funds. The necessary beneficiary data is kept on file in the case of a death to the original member. The Enrollment System is responsible for the initial establishment of the PMMR Master Record for new hires. Automated External Interfaces: None. (Employer and Centralized Payroll interfaces are indirect through other automated system.) Delayed Enrollments - 356 Mission & Objective: To automate the production of invoices and related bookkeeping functions for delinquent employers. Description: The Delayed Enrollment System is a tracking and billing system. Generally, a delayed enrollment case happens as a result of an employer not enrolling the employee on time. All transactions are keyed on-line by the user and updated to the member's subsidiary account. There are weekly interface processes, which affect Enrollment and General Ledger Systems. This system allows for timely billing and collections. The major features of this system are to provide an accurate and timely account of the delayed enrollment process, to provide a member history of all transactions, to produce timely bills, to update subsidiary and general ledgers and to provide an on-line inquiry capability. Generally, a delayed enrollment case happens as a result of an employer not enrolling the employee on time. Automated External Interfaces: Report output sent to employer. Purchases - 357 Mission & Objective: To provide pension fund members with accurate and timely service purchase quote and estimate information including service credit, lump sum cost, and amortization schedules. Description:

79

The purpose of this system is to provide purchase quote and estimate information for members who have requested it in the course of purchasing service credit. Purchase of public service includes employment service credit prior to enrollment date such as temporary, out-of-state, former membership, leave of absence, substitute, and military purchase. Automated accounting interfaces are projections, Centralized Payroll, arrears, and miscellaneous transactions. Acknowledgment letters are automatically generated for partial and lump sum payments. The volume of purchase estimates is approximately 10,000/yr., subsequent authorizations and certifications are approximately 4,000/yr. Automated External Interfaces: Purchase Quote letters and Authorization letters sent to members. Interactive Voice Response system (IVR) (Employer and Centralized Payroll interfaces are indirect through other automated system.) Optical Disk - 358 Mission & Objective: To provide DPB users with accurate membership folder record images for pension funds and health benefit members and employers. Description: The Optical Disk Section images all hard copy pension and health benefit forms and letters for members and employers. Through utilization of computer output to laser disk (COLD) variable printed information is stored for visual presentation through templates that mirror the look of the original form. The basic function of the system is to strip information from Optical Disk and edit it against the PMMR. Automated External Interfaces: Cold files Management Information Reporting - 359 Mission & Objective: To have a library of batch report programs and procedures for requesting the reports available in order to provide statistical, demographic and detail information for internal and external agencies. Description: A request is received for a particular management information report that is needed. The request is reviewed for completeness and the requester is contacted if more specifics are needed. The information is then communicated to programming resources for comparison against a library of over one hundred programs from past requests. Coding and testing is done if necessary with verification of information conducted against current reports, detailed listings or grand totals. Requesters are usually executive management, but also have been from other agencies, localities, or employee organizations. Automated External Interfaces: Various custom electronic file and report outputs. Loans - 362 Mission & Objective: To provide an automated mechanism for pension fund members to borrow from their contributions. Description: The Loan System affords the pension fund members an opportunity to borrow their money and subsequently pay off the loan through payroll deductions. Calculations are automated, payment schedules can be automatically adjusted, certification information is generated for printing, and amortization schedules are developed. Information is available on-line, and there are automated interfaces with the General Ledger, automated loans sub ledger reconciliation with General Ledger, Retirements, Contributions Accounting, Death, Withdrawals, and Optical Disk systems. The system generates exception letters and loan status letters on a nightly basis. Retired Loan Subsidiary Ledger - The Retired loan Subsidiary Ledger System allows a member to carry an active loan into retirement and provides a monthly repayment schedule. The system zeroes out the active loan balance, transfers it to the LRRM, and interfaces with the general ledger. On a timely basis, the system also provides the user section with an automated interest calculation that is used to update the member's account balance.

80

Loan Reconciliation The purpose of this system is to reconcile and Loan system (i.e. the subsidiary ledger) to the General Ledger System control account. The Loan System creates a large amount of GL journal entries to records the individual financial transactions (new loans, cash payoffs, balance adjustments, fund-to-fund transfers, etc.). Some of the loan entries are created as the result of direct interfaces, while other are created indirectly (i.e. Filter and Control creates special manual loan entries in the GL loan account). Some entries are made for each transaction; some are created for a group of transactions. The Reconciliation System traces the components of a journal entry (from the Loan System) to the individual GL entries. Out-of-balances are identified, investigated, and corrective action is taken using the on-line options of the Reconciliation System. Automated External Interfaces: Loan checks - when mailed to employer locations. (Various indirect interfaces through other automated systems.) Interactive Voice Response system (IVR) Supplemental Annuity Collective Trust - 363 Mission & Objective: To provide an automated system that will support the user section with accurate and timely management and financial information. To maintain and manage active member information from enrollment in SACT through and including payment and termination of the member’s benefits. Description: The Supplemental Annuity Trust Fund (SACT) permits active members of the State retirement systems to purchase variable annuities to supplement the benefits provided by their basic retirement system. The automated SACT system maintains member records for all regular SACT, Tax Shelter, and QVEC participants. It interfaces with existing pensions files and provides edits that will prevent processing errors. The system performs verification of member information and mandated file lookups, payment quotations and calculations. Automated External Interfaces: Report output sent to SACT members. Interest - 364 Mission & Objective: To credit the active member account for annual interest earned on contributions. To calculate and update the accrued interest to the Pensions Member Master Records. Description: This system updates member's master record with annual interest for those members who are active in the TPAF and PERS. The annual rate is applied to the member's full ASF (member pensions contributions) and accumulated interest from prior years. The newly calculated interest dollars are added to the member's total interest. If an active member dies, the full amount of accumulated interest is payable to the beneficiary. Automated External Interfaces: None Death Information Benefits System (DIBS) - 365 Mission & Objective: To give the Claims Bureau the means to initiate, track and finalize the pension and insurance funds distribution and beneficiary processing related to a Pension fund member’s death. Description: This system Provides automated calculation worksheets and client documentation (letters, etc.), necessary to disburse the member's money for both Annuity Savings Funds and insurance to his/her beneficiaries upon death. The data interfaces with the cash disbursements system to produce disbursements for deceased active members and interfaces with the retired payroll system for deceased retired members. It also interfaces with the Prudential insurance company for insurance benefits. Information is retained on-line and the deaths system also interfaces with Health Benefits. Automated External Interfaces: Electronic file sent to Prudential.

81

Ballots - 366 Mission & Objective: To provide an automated mechanism validating ballots for pension fund Board of Trustees elections. To supply an outside vendor with information needed to create ballots and track ballot returns. Description: The Ballots System provides the Board of Trustees Secretarial Services section an automated method for reviewing petitions for duplicate signers and proper system members for the various Board of Trustees elections. The system also provides outside vendors with member and location detail to assist the vendor in the production, tracking and recording of the ballots used in the elections. Another component of this system is "Petition Validation". This is an on-line and batch process which validates a potential candidate's ballot petition. This process verifies that signatures do not appear more than once on any single petition, do not appear on multiple candidate petitions, signatures are that of pension members, etc. Automated External Interfaces: Various electronic files and reports. Employer Appropriations Billing - 367 Mission & Objective: To provide employer billing invoices that represent moneys owed to the appropriate pension funds for all employer pension obligations. Description: Produce annually a written notice of payment of itemized expenses which are due DPB from the individual employer locations. An electronic file is received from the actuary showing the results of valuation calculations based on a complicated set of formulas. Billing information includes employer shortages, delayed enrollments, normal contribution, accrued liability, actuarial fees, etc. Interfaces include the member Over/Short System, and Cash Receipts. Automated External Interfaces: Employer Bills. Actuarial electronic files (source input data). Cash Disbursements - 372 Mission & Objective: To provide an automated mechanism for the disbursement of cash from interfacing systems and keyed manual transactions. Description: The Cash Disbursements System provides automated checks and associated documentation (registers and reports) on a weekly basis. Interfaces include the WITS and DIBS Systems. It also takes in other various transactions originating from DPB sections. The system provides information for year-end reporting processes such as DPB's 1099r System. The system also processes disbursements to single and multiple beneficiaries. The 1099R Lump Sum System encompasses the work performed by DPB to produce an accurate 1099R form at the end of the year and provide the IRS with an electronic file of the transactions. It also includes the production and subsequent IRS reporting of "corrected" 1099R's for the current and previous years and provides the member with duplicate/replacement 1099's at their permanent address or a temporary address. Currently the SACT, Claims, Financial and Retirements Sections provide the lump sum disbursements data needed to calculate and provide the member and the IRS with the required annual 1099R information. This information is Capital Gains, Taxable Distribution, Gross Distribution, Employee Contributions, Federal and State Withholding Tax, Percent of Distribution and a Distribution Code. The Death Cash Disbursements System provides on-line inquiry of Death Benefit Checks and suspense records, and additionally provides miscellaneous transactions for d-number (special record types) and Suspense cases, with reporting of Unclaimed Account information to bookkeeping for accountability. Automated External Interfaces: Bank reconciliation electronic file sent to the bank. Checks to ABP vendors, former members, beneficiaries, IRA's, other pension funds, etc. 1099R forms to members 1099R Electronic files to IRS.

82

Retired Payroll Transaction Processing - 374 Mission & Objective: To provide Pensions user sections with automated, payroll systems which assist them in providing retirees/beneficiaries with timely disbursements based on current allowance/deduction information. Description: The Retired Payroll System consists of the following three subsystems: Pay 1 is the control subsystem, providing a security control mechanism to restrict access to the system and to update programs by using user-IDs and passwords. There is also a batch control process for allowance/deduction transactions as well as a daily reconciliation of the key allowances and deductions. The Pay 2 subsystem allows updates/deletes of pending retirements and allows pending retirements to become permanent once the 30 day waiting period or board approval date has expired. Also, members are added to the payroll, retirement numbers are assigned, check issue codes are set and reports are generated. The Pay 3 subsystem adds retirees and other recipients to the master file. This function processes monetary changes, such as federal tax and health benefit deductions and all non-monetary transactions, such as name and address changes. Automated External Interfaces: None

83

Retired System - 375 Mission & Objective: To provide timely retirement estimates and quotes using automated calculation and form generation. Description: The Retirement System consists of the following three subsystems: RET 1 which provides retirement estimates for members based on projected salary and service data and retirement quotes based on actual salary and service certified by the employer. RET2 which is a batch process used to generate Board lists and Board approval letters. The Board list is used by the pension fund boards of trustees to review and approve retirements while the approval letters are generated for members who are approved for retirement by the board. RET 3 is a batch system which generates final retirements letters, performs reserve calculations and transfers the member’s record from active to retired status. There is a front end workflow program administered by OTT that generates letters and performs updates to the mainframe system. Automated External Interfaces: None Retirement - Member Status System 376 Mission & Objective: The Retired MSS system is a control and management system for tracking retirement case processing and reporting the status of retirement cases. Description: The Retired Member Status system consists of a file, which is a central repository for all retirement cases handled by DPB. MSS1 is a sub-system security system, which allows access to MSS via passwords, etc. The MSS2 sub-system provides an on-line facility for creating or modifying a case summary and the detail steps within the case. The MSS3 sub-system provides an on-line facility for displaying a case summary and the detail steps within the case. MSS4 provides a batch facility for reporting information stored on the MSS file. Automated External Interfaces: Purchase Authorizations received from members: updated to MSS file. W4p State and Federal forms Pension Adjustments (COLA) - 377 Mission & Objective: The objective of the PAJ System is to provide a comprehensive on-line/batch processing system that performs all functions of the application of cost-of-living increases to qualified recipients. Description: The PAJ System computes pension adjustment amounts for those employees who are entitled, and bills the corresponding employers for those amounts. The system provides the following functions: Cash receipts posting, adjustments, calculations, employer obligation projection, employer invoicing, dunning notices and monthly reconciliation. Automated External Interfaces: None Employer Database - 378 Mission & Objective: To provide a DPB with the ability to maintain all employer information on one database file and allow all pension sections to have access to this information via on-line display. Description: The Employer Database System grew from the need to maintain specific non-monetary information for state and local employer location, which participate in one of the nine pension funds. This system provides a centralized file, which is accessed by a number of different applications. In general, this system maintains a record for each employer. Each record contains several data elements including, the number of active and retired members, certifying officers, location name and address, biweekly/monthly and other special codes. Automated External Interfaces:

84

None Security Support System - 379 Mission & Objective: To ensure that proper personnel have the access necessary to the systems they need to use. Description: This system provided on-line security for all Pension users thereby tying all on-line functions together under one security shell. All new on-line applications are linked to the system. The variety of menu options offered under the different application systems are also controlled under this system. For instance, the Loan System has a cash receipts function which is accessible to Cash Receipts users only. Therefore, this System offers multiple levels of security. Automated External Interfaces: None General Ledger – 381 Mission & Objective: To provide for full-automated general ledger accounting and reporting functions with immediate file update. Description: The General Ledger System is an on-line and batch bookkeeping and financial reporting system providing full, automated general ledger accounting functions. Current and historical data is readily available. Its components are: on-line and batch journal transaction creation, authorization and posting with total account component maintenance; multiple period and year-end ledger access, maintenance, and full financial reporting capability. There are automated interfaces with the Loans, Retired Payroll, Retired Loans, Employer Appropriations, Delayed Enrollments, and the SACT Systems with journal transactions received directly from these systems. Automated External Interfaces: None Withdrawal Information Tracking System (WITS) - 384 Mission & Objective: To give the Claims Bureau the means to initiate, track and finalize the funds distribution related to a member’s withdrawal from the Pension fund. Description: The WITS system automates the processing of the termination of member's account which includes regular withdrawals, suspense expirations, interfund transfers and zero deductions. In addition, the system automates the maintenance of unclaimed accounts and cancelled check account subsidiary ledgers. The system tracks Withdrawal processing from notification through final settlement. Automated External Interfaces: Escheat files sent to Unclaimed Property Interactive Voice Response system (IVR) EAS - Employer Access System - 387 Mission & Objective: To provide the local employers with a more accurate Report of Contributions (ROC). To reduce the time required to answer employer inquiries. To create easier access to DPB information. To reduce the data entry required by DPB for salary changes and ROC modifications. Description: This is an on-line system, which provides many employers who report to DPB inquiry capability against DPB databases. Additionally, some of these employers will be updating our files by reporting changes of employee’s salary to be used in projecting anticipated contribution on the ROC. There is a current initiative to convert ROC reporting from paper to electronic files thorough a secure file transfer or through an internet system. Automated External Interfaces: MYNJPORTAL for electronic file transfer

85

PTS (Purchase Tracking System) The Purchases Section is responsible for the administration of “pension purchases”(Pension purchase refers to buying past service credit for eligible/pensionable time that has not previously been bought, accrued, or posted to the member account. Often this take the form of temporary time, military time, leave of absence, out-of-state service, former membership, U.S. civilian government service or can result from the passing of new legislation) requested by active members of the pension system. Such responsibility includes, but is not limited to:

• receipt of verbal and written correspondence with pension members, New Jersey state agencies, out-of-state agencies, and internal business areas

• determining the eligibility of each request by researching the member’s pension records (often printing the entire member folder)

• the calculation of amounts and payment schedules provided by interaction with an online system • the maintenance of a spread-sheet based “Tracking System” • authorizing the purchase in the form of a lump-sum or through payroll deductions • providing ongoing purchase inquiry and analysis services for members, for DPB management, and to

other state agencies as required RTS (Retirement Tracking System) The State of New Jersey DPB deals with the pensions and benefits of members in the various pension plans in New Jersey. One major aspect of the Pensions and Benefits system requires the ability for members to obtain retirement estimates, and process retirement applications and track its progress. The RTS application manages the aspects of the process from the entry of the application to the actual authorization. EPIC (Employer Pensions and Benefit Information Channel) The Employer Pension and Benefits Information Channel (EPIC) is a Web-based program, accessed through the MyNewJersey portal. EPIC is a multi-phased project that will provide Web-based access to information and systems frequently used by employers. EPIC will ultimately be the tool that employers and the DPB use to support all the State benefits programs. The EPIC security program will enable employers to create and control their own access to EPIC. When it is fully completed EPIC will support 1700 local employers and 250 state locations that administer to the needs of their employees.

EXHIB

DI

Receptionist greets

Customer walks in

Log in and assigncounselor

Counselor satisfiescustomer inquiry?

No

No

Customer satisfiedwith answer?

Counselor walks to /calls operating unit for

answer

Request supervisorassistance

Receptionist ableto provide quick

service?

No

Receive answer

End of process

Missing informationdrives them to

Operations Unit

IT 5 – CLIENT SERVICES PROCESS MAPS

VISION OF PENSIONS AND BENEFITS

86

Customer ServiceWalk Ins

Yes

Follow uprequired?

Counselor preparescorrespondence and

mailsYes

End of process

No

End of process

End of processYes

Yes

Mail or formsreceived atfront desk

Put in basket?

Loansindicated?

Other forms?

Deliver toappropriate section

Deliver toloan sectionunopened

In envelope sendto mailroom

Person sent toidentified?

Send to mailroom

Express/courieredmail?

Enter control numberon tracking

sheet

Call section forpick up

Section picks up &signs for mail

Copy &timestamp for

member

Write on logcall cash receipts

Cash receiptspicks up & signs

for check

Form withcheck

attached?

Client ServicesIncoming Mailat Front Desk

87

88

ReceiveCorrespondence

Sort by type ofcorrespondence

inquiry

Counselor Mail

Assign to counselorput on tracking (tries to

answer)

Update trackingcopy & mail

Refer to other unitin DPB for response (can't

answer)

Support Staff Mail Assign tosupport staff personnel Copy & mail

Telephone Response Counselor callscustomer

Send letterto file

Request forRetirementEstimate

Go toretest

Inhouse Mail Deliver toemployee

Referred Out To mailroomfor redistribution

Benefits InformationLibrary (BIL)

(separate source)

Downloadrequest

from phonemail

Forms request Address envelopes,stuff & mail

More complexinquiry, requires

letter & form

E-mailInquiry

Select response Complete responsecopy & mail

Updatetracking

Refer to otherDPB unit for response

(update tracking)

Response?

Log & assignperson responsible

for reply

DBP Unit e-mail responseback to CS to complete

response,copy & mail

Counselor followup to DBP unit

Updatetracking

Refer to SS forresponse & mailing

Written response

Client ServicesCorrespondence

Written response

Call Received

Outpost/AssistPerson answers

question

Call Operating Area

QuestionAnswered by Ops

Outpost Sorts andreviews

Call Outpost

Agent Able toAnswer Caller's

QuestionEnd of ProcessYes

Call Assist Write an Inquiry

No

Yes

Write Inquiry

Yes Outpost Responds toCaller

No

Outpost logs ontracking

Inquiry referred toOperations

Ops answeredreturns to Outpost Tracking updated

Need writtenresponse or callback(goes to Supervisor)

EOP

Relay information tocaller

No

Request writtenresponse

Outpost/Agentcallback

Entered ontracking

Lettercompleted

Trackingupdated

EOP

Agent Respondsto Caller

Write Inquiry

EOP

Client ServicesCall Center

No

Yes

Held for 3 monthsfor problem(s);scanned to file

89

EXHIBIT 6 - CLIENT SERVICES CSI TRACKING (CLIENT SERVICES INQUIRY)


CSI (Client Services Inquiry) is a bare-bones CRM-type system that was created to provide access to inquiries taken within the Call Center and forwarded to operating sections. It allows the unit to view inquiries of other agents when members call back for status of their requests. In a typical phone transaction, if the call requires a written inquiry, the counselor should first see that a previous CSI has not been requested. If it has, the counselor can then do a second request or relay what info is available on the system. If one has not been written, a new CSI is created and it is then in the system for further reference.

CSI Functions

MAIN MENU

90

• Lookup Inquiry by Section/Outpost • Lookup Inquiry by SSN • Create new inquiry (for CS Counselors) • CSI Reports • Client Services Functions (for CS Counselors) • Supervisor Reports (Administrator) • EXIT CSI

Lookup Inquiry by Section/Outpost-

Utilized by sections or CS outposts to check for Active or Pending Inquires. After you select a section or outpost from the list click “Continue” to view the Inquiry Response From. Inquiry Response Form –

91

The Inquiry Response Form is used to review and answer inquiries written up by phone counselors. An indicator at the bottom of the form will indicate the number of inquiries still remaining in the box. You can scroll to see the next or previous one. If you can answer the question, put a comment in the “Response” box and change the status of the inquiry to “Completed”, enter your “typ” in the “Completed By” field and hit Save and Exit. If you cannot answer the inquiry, make a comment in the response field, change the status of the inquiry to “Pending”, and select the area to send the inquiry off to. For Outposts, this would mean sending the inquiry to the operating section. Operations may need more info on a case or need to send it to someone else on the list. Put a comment in the response field, mark the case pending and select the area you wish to send it to. Of course, always hit Save and Exit. Lookup Inquiry by SSN –

92

Utilized by Phone Counselors when a member calls and indicates they spoke to someone previously. Find member by ssn/active and pending cases. You will see multiple inquiries of the ssn, what status the case is in and what the counselor’s full inquiry. If additional info is given to you in this phone call, it can be added to the inquiry in the response box. Keep the case in pending, save and exit. Your new comment will be added to the case. To look up cases that have been completed, select the “All Inquiries” button. Create an Inquiry- Similar to the paper form, complete all required fields and those additional fields as needed. Select the area you wish to send the inquiry. Type in the questions or problem to be rectified, hit the save and exit buttons. CSI Reports- Look up by typ-Client Services Functions PASSWORD required- teleco, select your typ or mailbox to see all pending/outstanding inquiries Return to main menu Supervisor Functions –password to be provided to individuals as per requested by section chief or asst. chief. Will provide list of outstanding inquiries and totals for DPB reporting. View Outstanding inquiries- enter your typ to see your own outstanding inquiries. Lookup by ssn

93

EXHIBIT 7 – AVAYA COMPUTER TELEPHONY CONFIGURATION


94

EXHIBIT 8 - FILENET ENVIRONMENT

95

EXHIBIT 9 – LOCAL AREA NETWORK (LAN)


96

EXHIBIT 10 – SYSTEM SCREEN SHOTS AND PAPER FORMS


97

106 106

ESTIMATE OF RETIREMENT BENEFITS TEACHERS' PENSION AND ANNUITY FUND

January 14, 2005 RE: TPAF

This is not an Application for Retirement Allowance.

This Estimate of Retirement Benefits was prepared based on the following information:

Retirement Date: 07/01/2005 Type of Retirement: SERVICE Service Termination Date:

06/30/2005 Service Credit as of 34 years

Date of Birth: 11/01/1944 Termination Date: 06 months Age at Retirement: 61 Salary used in

calculation: $86,833.33

Your Beneficiary: Beneficiary’s Date of

Birth: 03/23/1941

ESTIMATED PENSION PAYMENT OPTIONS AT RETIREMENT (See Explanation of Payment Methods on page 2)

Payment Method Annual Monthly Beneficiary’s Benefit Benefit Benefit

Maximum Option $54,468.00 $4,539.00 No benefit payable to a beneficiary.

Option A $47,114.88 $3,926.24 $3,926.24 per month upon your death. Option B $49,293.60 $4,107.80 $3,080.85 per month upon your death. Option C $51,744.60 $4,312.05 $2,156.02 per month upon your death. Option D $53,596.56 $4,466.38 $1,116.59 per month upon your death.

Option 1 $52,452.72 $4,371.06 $511,999.2

0 reduced each month by

$4,371.06

Option 2 $47,659.56 $3,971.63 $3,971.63 per month upon your death. Option 3 $52,017.00 $4,334.75 $2,167.37 per month upon your death. Option 4 Not

Requested per month upon your death.

125

126

LIFE INSURANCE

After retirement: $39,046.87Available for Conversion: $273,328.13

(Continued on page 2)

01/14/2005 TPAF You must file an Application for Retirement Allowance with the Division of Pensions and Benefits before your retirement date. We strongly recommend you file your application six months in advance of your retirement date. You can download a retirement application at DPB's website, www.state.nj.us/treasury/pensions/ret_app_page.htm, or you can have an application mailed to you by calling the Division at 609-633-7177. Retirement benefits are effective on the first of a month. Your first pension check is due and payable 30 days after your retirement date or the retirement system’s Board of Trustee approval, whichever is later. Explanation of Payment Methods No matter which of the payment methods you select at the time of retirement, you will receive a monthly retirement benefit for your lifetime. You (or your beneficiary) are guaranteed to receive, in retirement benefits, at least the return of the contributions you made up to the time of your retirement plus the interest they earned. The payment methods described below are in addition to any life insurance benefit that may be payable after retirement. Maximum Option provides the highest retirement benefit payable. Upon your death all retirement benefits cease. If you are married at the time of retirement and select this option, State law requires us to notify your spouse/domestic partner that you chose this payment option that has no survivor benefit. Option A provides that upon your death, your beneficiary will receive, for life, the same monthly benefit that you were receiving at the time of your death. You may name only one beneficiary if you choose this payment method. If, after retirement, your beneficiary dies before you, your benefit will increase to the maximum option outlined above. Option B provides that upon your death, your beneficiary will receive, for life, 75% of the monthly benefit that you were receiving at the time of your death. You may name only one beneficiary if you choose this payment method. If, after retirement, your beneficiary dies before you, your benefit will increase to the maximum option outlined above. Option C provides that upon your death, your beneficiary will receive, for life, 50% of the monthly benefit that you were receiving at the time of your death. You may name only one beneficiary if you choose this payment option. If, after retirement, your beneficiary dies before you, your benefit will increase to the maximum option outlined above. Option D provides that upon your death, your beneficiary will receive, for life, 25% of the monthly benefit that you were receiving at the time of your death. You may name only one beneficiary if you choose this payment method. If, after retirement, your beneficiary dies before you, your benefit will increase to the maximum option outlined above.

127

Option 1 sets aside a retirement reserve based on the amount expected to be paid to you in retirement benefits over your lifetime. This reserve is reduced each month by the amount of your original monthly retirement benefit. Upon your death, the balance of the reserve, if any, is paid to your beneficiary(ies). If you deplete your retirement reserve, you will continue to receive your monthly retirement benefit during your lifetime. However, upon your death, no retirement benefits are payable to your beneficiary(ies). You may name one beneficiary or multiple beneficiaries for this option and you can change your beneficiary at any time. Option 2 provides that upon your death, your beneficiary will receive, for life, the same monthly benefit that you were receiving at the time of your death. You may name only one beneficiary if you choose this payment method. If, after retirement, your beneficiary dies before you, you will continue to receive the reduced retirement allowance you had been receiving under this option.

Option 3 provides that upon your death, your beneficiary will receive, for life, 50% of the monthly benefit that you were receiving at the time of your death. You may name only one beneficiary if you choose this payment method. If, after retirement, your beneficiary dies before you, you will continue to receive the reduced retirement allowance you had been receiving under this option. Option 4 provides that upon your death, your beneficiary(ies) will receive whatever monthly benefit you designated on your retirement application. The beneficiary’s monthly benefit cannot be greater than your monthly benefit. If, after retirement, your beneficiary dies before you, you will continue to receive the reduced retirement allowance you had been receiving under this option. If an option 4 amount is not provided on page one, it means you did not provide a specified amount for a beneficiary to receive on your Application for Retirement Allowance. If you choose payment method options A, B, C, D, 2, 3, or 4, we require proof of your beneficiary’s age. Once you retire, you cannot change your payment method option. If you choose payment method options A, B, C, D, 2, 3, or 4, under no circumstances can you change your beneficiary selection once you retire, even if your beneficiary dies before you. You have the right to withdraw, cancel, or change your application for retirement at any time before the later of 30 days after your retirement date or 30 days after the Board of Trustees approves your retirement. The Salary used in calculation on page 1 refers to your average base salary for the three years immediately preceding your retirement date (either 36 months for employees with 12 month contracts or 30 months for employees with 10 month contracts). If your three last years were not your highest three years of salary and you indicated that on your retirement application, your allowance was calculated using your three highest fiscal (July 1 to June 30) years of salary. If Type of Retirement is veteran and you had less than 35 years of service credit, your base salary in the 12 months immediately preceding retirement or the highest consecutive 12 months period was used. If Type of Retirement is veteran, you had more than 35 years of service credit and you are 55 or over, your base salary in the 12 months immediately preceding retirement was used.

Conversion of Life Insurance You pay nothing for the life insurance benefit after retirement shown above. However, you have the option of purchasing additional life insurance (see “Life insurance available for conversion” above), without medical examination, through the Prudential Insurance Company within 31 days of your termination of employment. Additional information is available at the Division of Pensions and Benefits’ website, www.state.nj.us/treasury/pensions. You can also contact the Division of Pensions and Benefits at (609) 292-7524 and request Fact Sheet #13, Conversion of Group Life Insurance. To initiate the purchase of a conversion policy, contact Prudential Insurance toll free at 1-800-262-1112.

128

129

ADDENDA

Advertised Bid Proposal 06-X-37929 ADDENDUM 1

CASE MANAGEMENT SYSTEM USING CUSTOMER RELATIONSHIP MANAGEMENT May 19, 2005

Bid Opening Date: June 23, 2005 Bid Opening Time: 2:00 PM Eastern Time Set Aside Category: Subcontracting Small Business

A typographical error was found in the original RFP document posted on the internet for this procurement. The RFP number of 05-X-37929 should actually be 06-X-37929. To correct this problem, the original RFP posted to the internet has been removed and replaced by a corrected RFP. If you downloaded the RFP document with 05-X-37929, please revisit the website and download the corrected version. Also, you may notice that the Bidding Opportunities webpage indicates that the bid opening date is June 7, 2005. The correct bid opening date of June 23, 2005 is properly indicated in the RFP. All other information and requirements remain the same.

130


CASE MANAGEMENT SYSTEM USING CUSTOMER RELATIONSHIP MANAGEMENT June 15, 2005

Original Bid Opening Date: June 23, 2005 (Changed) New Bid Opening Date: July 7, 2005 Bid Opening Time: 2:00 PM Eastern Time Set Aside Category: Subcontracting Small Business

Question

#1 RFP Cover page, Section 5.3 and Appendix A Section 3.3.b PERFORMANCE BOND. Our bonding company requires the use of its own standard annual bond form (copy attached). We have used this form with the State in the past. Would this form be acceptable to the State for this project?

Answer: Yes.

#2 Appendix 1 Section 2.3 Our insurance company will not name a third party as an additional insured on Worker’s Compensation policies. They will agree to name the State as a Certificate Holder on the Worker’s Compensation policy. The State has agreed to this change with us in the past. Is this acceptable to the State for this project?

Answer: Yes.

#3 Would that State be willing to include a force majeure provision similar to the following in the contract?: “Neither party shall be responsible for any delay or failure in performance, caused by flood, riot, insurrection, fire, earthquake, strike, communication line failure and power failure, explosion or act of God, death of, or incapacitating illness or injury to, key personnel of Contractor or any other force or cause beyond the control of the party claiming the protection of this paragraph.”

Answer: The following section and language is added to this RFP

5.31 Force Majeure

Neither party shall be responsible for any delay or failure in performance, caused by flood, riot, insurrection, fire, earthquake, explosion or act of God,

131

or any other force or cause beyond the control of the party claiming the protection of this paragraph.”

#4 RFP Section 1.2.3 Page 10 - Does the IVR unit act as a front for the call center? Does the over 1,326,000 calls to the IVR unit therefore include the 326,000 calls that are routing to the call center?

Answer: No. The IVR is a separate entity.

#5 RFP Section 1.2.3 Page 10 - Is the IVR and/or the BIL published as a separate phone number for DPB?

Answer: Yes

#6 RFP Section 1.2.3 Page 10 - What is the current average call time?

Answer: The average call-time for a CSR with a member is 3.5 minutes.

#7 RFP Section 3.2 Page 18 - Does the definition of the CRM system indicate a preference for one enterprise package that suits all requirements or is a best-of-breed approach also acceptable?

Answer: One enterprise package.

#8 RFP Section 3.2 Page 18 - Is it expected that the data drawn from the mainframe for the purposes of the IVR will be moved during the course of this project? If so, is it the contractor’s responsibility to maintain the existing interface if moved to another platform?

Answer: No.

#9 RFP Section 3.6 Page 20 - What type of integration do you see occurring with the Avaya switch?

Answer: Since the Avaya Definity switch provides ACD and CMS functionality, seamless integration is required between Avaya and the proposed CRM system.

#10 RFP Section 3.6 Page 20 - Can you outline at a high level what information the Avaya CT employs for intelligent call routing purposes?

The Avaya CT server reports real-time CTI events to other applications in a contact center and thereby it acts as the CTI server that is integrated with the NICECLS driver. The NICECLS server communicates with the Avaya CT server via TSAPI using CSTA protocol. Through communication with the Avaya CT server, the NICE CLS server learns the call status, monitors call events, and stores them in its databases. A user can then query its database, find a call and play it back.

#11 RFP Section 3.6 Page 20 - Is the IVR a shared unit with other divisions or exclusive to DPB?

132

Answer: Exclusive to DPB.

#12 RFP Section 3.6 Page 20 - What type of integration do you see occurring with the Nice Systems that is currently in place?

Answer: All recorded calls shall become part of the case record.

#13 RFP Section 3.6 Page 20 - Is DPB employing the Screen Capture components of the NICE CEM or is it voice and QA? If not using Screen Capture, is it seen as an option in the near future?

Answer: Voice (Total Call Recording) and QA with random screen capture.

#14 RFP Section 4.4.3.1 Page 28 - Can it be assumed that the onsite team will be situated at the DPB location in Trenton and the State will provide the office facilities?

Answer: Yes.

#15 RFP Section 4.4.3.1 Page 28 - Is DPB ok with part of the project being done offsite, as long as it is within the United States?

Answer: All work/training that requires State staff and/or resources shall be done on-site in a DPB provided facility. Any work that is done off-site must be done in the United States and cannot be outsourced off-shore.

#16 RFP Section 3.2 E - Could you provide more details on what is meant by ‘…zero-footprint, zero-administration, browser-based web client system…’

Answer: No software to separately install and administer on the desktop.

#17 RFP Section 3.2 E - What system or technology is being utilized for the Client Services Counselor’s Notebook? Please provide details on this tool as appropriate.

Answer: The Counselor’s Notebook is available via DPB intranet and was developed using HTML.

#18 RFP Section 3.3 - Are there any security or identification technologies currently in place (i.e. LDAP)

Answer: Active Directory Windows Authentication and NTFS File System Permissions, LDAP, ACF2 and Natural Security.

#19 RFP Section 1.3.5 - Will New Jersey issue a two week extension such that the responses will be due on July 7, 2005 at 2:00 p.m.?

Answer: Yes. New bid opening date as contained in Addendum 1 is July 7, 2005 at 2:00 PM Eastern time.

133

#20 Appendix 1, Section 2 - Will this contract include a limit of liability? If so at what level will the liability be capped? For example, will it be capped at perhaps one or two time contract value?

Answer: See the amended language for Appendix 1 Section 2.2 contained in this document.

#21 RFP Section 3.8 - How many project team members will participate on the Project (implementation) Team?

Answer: 15

#22 RFP Section 3.8 - How many people will participate as Database Administrators?

Answer: 2

#23 RFP Section 3.8 - How many people will participate as Help Desk Support?

Answer: See answers to questions #44 and #45.

#24 RFP Section 3.8 - How many people will participate as System Administration?

Answer: 2

#25 RFP Section 3.8 - How many people will participate in the [functional] configuration?

Answer: 5

#26 RFP Section 3.8 - Will these people be fulltime participants on the project (implementation) team?

Answer: People will be full-time based on their required skill set needed to implement the job.

#27 RFP Section 3.8 - Will NJ consider pre-paying for project (implementation) team training to obtain discounted training or training credits? If so, we would like to discuss our training Preferred Card?

Answer: The State will consider pre-payment of implementation training. The bidder may propose this idea in its proposal as an alternative if it so chooses. However, all requirements and pricing contained in the RFP must be met in the proposal.

#28 RFP Section 3.8 - How many end users will be affected?

Answer: 325

134

#29 RFP Section 3.8 - Do you use an intranet to distribute information?

Answer: Yes. The Counselor’s Notebook is used for Call Center Agents. There is also a Treasury-wide Intranet for general information, forms, etc.

#30 RFP Section 3.8 - What educational background does the average end user have within each role? Are they PC literate?

Answer: Users are high school and college level and are computer literate.

#31 RFP Section 3.8 - Is NJ considering a train-the-trainer approach? If so, from what community of users will the trainers come?

Answer: Yes. The trainers will come from the project development team.

#32 RFP Section 3.8 - Will the trainers participate on the project (implementation) team?

Answer: Yes.

#33 RFP Section 3.8 - Will the trainers have previous training experience?

Answer: Yes.

#34 RFP Section 3.8 - Will the instructors need Instructor Guides?

Answer: Yes.

#35 RFP Section 3.8 - What training administration tools or software do you currently use?

Answer: WebEx, PowerPoint.

#36 RFP Section 3.8 - What training facilities do you currently have? Location, configuration, technology, and capacity?

Answer: There are several conference rooms on-site which at anytime can be used as a training room. DPB has whiteboards, overhead projection capability, flip-charts, and pc's that are configured with standard DPB end-user configurations. Capacity is 12-15 people.

#37 RFP Section 3.8 - Where are the users located? (Singe location or multiple locations)

Answer: The users are all located at 50 West State St., Trenton, NJ.

#38 RFP Section 3.8 - Have the end users been exposed to self-paced eLearning?

Answer: Yes.

135

#39 RFP Section 3.8 - Does NJ have resources that will be dedicated to the training development effort for activities such as development, review, and maintenance of materials?

Answer: Yes.

#40 RFP Section 5 and Appendix 1 - Will taking exception to some of the terms and conditions specified in the RFP disqualify a vendor from further consideration and potential contract award?

Answer: The time to discuss exceptions to the RFP terms and conditions is during the Question and Answer period when the bidder has the opportunity to state the exception and provide a recommendation the State may be willing to adopt. Should a bidder take exception in its proposal to any of the RFP terms and conditions, the bidder’s proposal may be deemed non-responsive which would eliminate the bidder from a potential contract award.

#41 RFP Sec. 3.10 - Please clarify whether the State expects all new maintenance releases, software updates and/or version upgrades are to be performed at no cost, or whether only those deemed necessary to make the application work properly are required at no additional cost.

Answer: Only those maintenance releases or software updates that are deemed necessary to make the application work properly are required.

#42 RFP Sec. 3.10 - If deemed desirable by the State, maintenance and version upgrades could be performed separately under Section 5.24, Additional Work and/or Special Projects?

Answer: The State may elect to use this section at its discretion for releases, updates and/or upgrades that are not deemed necessary

#43 Sec. 3.10 - Industry standard telephone support for COTS software provides level 2 support only, with minor technical/user issues (level 1 support) handled by trained customer personnel. Would the State consider allowing the contractor to train State IT personnel for level 1 support?

Answer: See answer to question #44 below.

#44 Sec. 3.10.1 - The helpdesk requirement described in this section would be costly for the State. Minor technical issues using the application are best handled by customer personnel trained in the specific application implementation. Industry standard telephone support for COTS software packages is limited to level 2 support, which grants several designated customer technical personnel interfacing with Software Support telephone personnel. Will the state consider allowing the contractor to train State IT personnel to assist State employees with minor technical issues in using the application (level 1 support)?

Answer: Yes. The following paragraph is added to Section 3.8.

136

The five (5) administrators shall be trained an industry standard level 1 support capability to insure that they are capable of assisting end-users with minor technical issues in using the application.

#45 Sec. 3.10.1 - If the State will require contractor to provide level 1 helpdesk as described, please clarify hours for Help Desk availability (8 AM to 5 PM Monday to Friday, or 24x7/365.)

Answer: The RFP is modified in the following manner:

Section 3.10.1 Help Desk is deleted in its entirety.

#46 Sec 5.12 - Will the State agree to allow the inclusion of additional license terms with regard to Software Manufacturer's material and/or pre-existing intellectual property?

Answer: Please see response to #73 below.

#47 Appendix 1 Section 2.2 - Will the state agree to limit liability to the value of the awarded contract?

Answer: Yes. The RFP is amended to read:

5.29 Substitution of Section 2.2 Language of the State's Standard Terms and Conditions

The contractor's liability to the State for actual, direct damages resulting from the contractor's performance or non-performance, or in any manner related to the contract, for any and all claims, shall be limited in the aggregate to 200% of the value of the contract, except that such limitation of liability shall not apply to the following: 1. The contractor's obligation to indemnify the State of New Jersey and its employees from and against any claim, demand, loss, damage or expense relating to bodily injury or the death of any person or damage to real property or tangible personal property, incurred from the work or materials supplied by the contractor under the contract caused by negligence or willful misconduct of the contractor; 2. The contractor's breach of its obligations of confidentiality; and, 3. Contractor's liability with respect to copyright indemnification. The contractor's indemnification obligation is not limited by but is in addition to the insurance obligations contained in Section 2.3 of the Standard Terms and Conditions. The contractor shall not be liable for special, consequential, or incidental damages.

137

#48 RFP Section 3.2 - Will existing systems be completely retired or will they remain in operation for other purposes?

Answer: Existing systems will remain operational.

#49 RFP Section 3.2 - Is the State expecting to re-engineer its processes to fit a COTS solution, or will the new application(s) need to conform to current state processes?

The new application shall conform to current State processes.

#50 RFP Section 3.1 and 3.2 R - The RFP refers to self-service channels - are these to be implemented under this project? If not, what channels exist and will require integration to the new system?

Answer: IVR is currently a self-service channel, but the State expects new self-service processes to be part of CRM.

#51 RFP Section 3.2 - Is there data that will need to be converted from legacy systems?

Answer: Yes. The master files of the State’s legacy systems contain approximately 750,000 records for both active and retired members. Approximately 50-70 fields in each record shall be transferred/converted on a nightly basis and loaded into the CRM database. The legacy interface module shall handle whatever data transfer/conversion will be required to satisfy the nightly load.

#52 RFP Section 3.2 G - What is expected to be in the "knowledge base" in addition to the Client Service Counselor's Notebook?

Answer: Nothing at this time. The Counselor’s Notebook will serve as the Knowledge Base.

#53 RFP Section 3.2 H - What ad hoc reporting capabilities are expected?

Answer: The ad-hoc reporting tool shall allow the State access to all data fields so non-standard queries can be built and reports generated.

#54 RFP Section 3.6 - The RFP mentions integration to NICE. Are all expected contact center QA and scheduling capabilities already in place? If not, what is expected to be the integrater's responsibility?

Answer: Yes.

#55 RPF Section 3.6 - The RFP mentions integration to Avaya. Are all expected telephony capabilities already in place? If not, what is expected to be the integrater's responsibility?

Answer: The integrator must address CTI integration.

138

#56 RFP Section 3.6 - The RFP mentions integration to FileNET. Are all expected content management capabilities already in place? If not, what is expected to be the integrater's responsibility?

Answer: All expected content management capabilities are currently in place. FileNET will provide integration capability.

#57 RFP Section 3.10 - Is the State expecting a Help Desk specifically oriented to its application, or a Help Desk for the general COTS application?

Answer: See answer to question #45.

#58 RFP Section 3.6 - What modules of Avaya have been purchased and implemented?

Answer: Exhibit7 – Avaya Computer Telephony Configuration shows the overall current installation.

Avaya specific includes the following:

Avaya Definity G3Si V11

Avaya CMS V11

Avaya CT 1.2

Avaya Conversant UCS1000 V8 – 72 Port UNIXWARE 7

CLEO Communications/Avaya TN3270

ExtraAgent 2000 Base Platform – 24 Port

ExtraAgent 2000 Call Back Messaging – 24 Port

#59 RFP Section 3.6 - Has Avaya's call routing been implemented?

Answer: Yes.

#60 RFP Section 3.6 - If changes are required to the IVR, who is responsible for making changes?

Answer: An outside vendor, not the contractor for this procurement.

#61 RFP Exhibit 6 - Does this RFP include replacing the CSI system?

Answer: Yes.

#62 RFP Exhibit 10 – Does this RFP include maintaining or accessing contact information by the CRM system to address all information in screens and forms in Exhibit 10?

Answer: Yes.

139

#63 RFP Section 3.3 - Will the State agree to modify the 8th bullet to read as follows: “A means to keep system software substantially free of viruses, worms and other malicious software.”

Answer: Yes.

#64 RFP Section 4.4.3 - There are a number of requests that the bidder include a contract organization chart, with names showing management, supervisory and other key personnel (including subcontractor management, supervisory or other key personnel) to be assigned to the contract. Due to the length of time between proposal submittal and award, it is difficult to precisely predict the availability, and ultimate assignment of, specific personnel. As such, bidder respectfully requests that the State consider modifying this requirement such that bidders are required to provide the specific names and resumes of management, supervisory, and key personnel, from which bidder plans to select and support this project, based upon availability at the time of contract award.

Answer: The bidder may submit multiple names and resumes for each assignment. Any person assigned to the contract must have been included in the submission.

#65 RFP Section 4.4.3.9 - Over the years many of our public sector customers have asked us to provide a profile of relevant litigation and investigations (here, that would be current matters, as we don't have it as a practice to formally keep track of past matters), and in response to that request we have provided a reference to material litigation and/or investigations as described in our company’s annual report, and this has been well received. Will this be acceptable to the State as a complete response to Section 4.4.3.9?

Answer: The bidder must provide all of the information requested in RFP Section 4.4.3.9 and in the manner/form requested.

#66 RFP Section 4.4.4 - It is not prudent for bidders to issue a proposal/offer with an indefinite validity period. As such, to assist bidders in determining an appropriate quote validity period, what does the State estimate to be the maximum period of time between receipt of proposals and contract award?

Answer: While the State does not set a maximum period between bid opening and contract award, the State believes the award could be made within 180 days.

#67 RFP Section 4.4.4 - On which line should bidder include costs for a Help Desk as described in Section 3.10.1?

Answer: See answer to question #45 above.

#68 RFP Section 4.4.4.2, Line 2 Installation - What specific criteria will constitute acceptance by the State Contract Manager?

140

Answer: Installation acceptance criteria shall be developed jointly by the State Contract Manager and the contractor after contract award.

#69 RFP Section 4.4.4.3, Line 3 Integration Services - What specific criteria will constitute acceptance by the State Contract Manager?

Answer: Integration acceptance criteria shall be developed jointly by the State Contract Manager and the contractor after contract award.

#70 RFP 5.9 - Will the State agree to modify the second paragraph of this section as follows, to better align it with common business practices?

“The contractor is responsible for the professional quality, technical accuracy and timely completion and submission of all deliverables, services or commodities required, in writing, to be provided by contractor under the contract. The Contractor shall, without additional compensation, make reasonable diligent efforts to correct or revise errors, omissions, or other deficiencies in its services and deliverables furnished under the Contract. The State acknowledges that Contractor does not warrant uninterrupted or error-free operation of any deliverable or service or that Contractor will correct all defects. The approval of deliverables furnished under this contract shall not in any way relieve the contractor of responsibility for the technical adequacy of its work. The review, approval, acceptance or payment for any of the services shall not be construed as a waiver of any rights that the State may have arising out of the contractor’s performance of this contract.”

Answer: The State does not accept the above language and will not modify RFP Section 5.9.

#71 RFP Section 5.10 - With the intent to avoid any possible project delay or negative impact, will the State agree to add the following to the end of this Section 5.10, Substitution of Staff? “The State Contract Manager’s written approval of substitute personnel shall be prompt and not unreasonably withheld.”

Answer: Yes.

#72 RFP Section 5.11 - With the intent to avoid any possible project delay or negative impact, will the State agree to add the following to the end of this Section 5.11, Substitution or Additions of Subcontractor(s)? “The Director’s written approval of substituted or additional subcontractors shall be prompt and not unreasonably withheld.”

Answer: Yes.

#73 RFP Section 5.12 - With respect to Section 5.12, Ownership of Material, will the State agree to: (i) allow Contractor to include in its response the additional license terms applicable to Contractor’s, or its subcontractor’s pre-existing work?; and (ii) include a statement in Section 5.12 that the rights granted pertain only to copyrights in any

141

new materials delivered by Contractor to the State under the agreement, that no patents are conveyed thereby, and that in the event the parties need to address patents, the parties will mutually agree upon the necessary additional clauses at such time?

Answer: In response to (i), the State modifies the language in RFP Section 5.12 by removing the word “perpetual” from the second paragraph under Section 5.12. With this modification, the State reaffirms the language in Section 5.12. In response to (ii), the State does not agree to make the suggested modification.

#74 RFP Section 5.13 - To better align section 5.13, Data Confidentiality, with common business practices relative to protection of information identified as confidential, would the State agree to clarify this provision by including a statement that: (a) nothing in the RFP or related documentation will disable Contractor’s ability to use the ideas, concepts, or know-how learned or developed during the Contract term; (b) confidential information will be marked with a restrictive legend of the State prior to being disclosed (or if not marked with such legend or is disclosed orally, will be identified as confidential at the time of disclosure); (c) the obligations with respect to confidential information created by the Contract will survive until five years following the initial date of disclosure; and (d) confidential information shall not include information that (i) is or becomes available to the public other than by disclosure by Contractor in violation of the Data Confidentiality provision; (ii) was demonstrably known to Contractor previously with no obligation to hold it in confidence; (iii) is independently developed by Contractor without recourse to the confidential information; or (iv) was rightfully obtained by Contractor from a third party without an obligation of confidentiality?

Answer: The following language is added to RFP Section 5.13:

a. Nothing in the RFP or related documentation will disable Contractor’s ability to use the ideas, concepts, or know-how learned or developed during the Contract term;

b. Confidential information shall not include information that (i) is or becomes available to the public other than by disclosure by Contractor in violation of the Data Confidentiality provision; (ii) was demonstrably known to Contractor previously with no obligation to hold it in confidence; (iii) is independently developed by Contractor without recourse to the confidential information; or (iv) was rightfully obtained by Contractor from a third party without an obligation of confidentiality.

#75 RFP Section 5.17.2 - Will the State agree to add the following to the end of this section?

“For purposes of section 5.17.2, an Addendum shall be deemed as

a writing executed by the Director.”

142

Answer: For the purposes of Section 5.17.2 of any contract issued as a result of this RFP, a writing executed by the Director shall be deemed an Amendment.

#76 RFP Appendix 1 Section 2.1 - Will the State agree to delete and replace with the following substitute language?

Liability – Copyrights

(a) The contractor shall fully indemnify, defend and hold harmless the State of New Jersey, its officers, agents, servants and employees, from any and all damages, liability, losses and costs of any nature or kind (including reasonable attorney fees) paid to or for the benefit of any third party asserting a claim in any suit or action pursuant to any judgment a court finally awards or that are included in a settlement approved by contractor, arising from, relating to, or on account of, a third party’s claim that the use of any copyrighted composition, trademark, trade secret, patented invention, article or appliance furnished by contractor in the performance of the Contract infringes that party’s patent or copyright.

(b) The State of New Jersey agrees: (1) to promptly notify the contractor in writing of such claim or suit; (2) that the contractor shall have sole control of the defense or settlement of such claim or suit; and (3) to cooperate with the contractor in the defense of such claim or suit, to the extent that the interests of the contractor and the State are consistent.

(c) In the event of such claim or suit, the contractor, at its option, may: (1) procure for the State of New Jersey the legal right to continue the use of the product; (2) replace or modify the product to provide a non-infringing product that is the functional equivalent; or (3) If contractor determines that none of these alternatives is reasonably available, the State agrees to return the product to contractor on its written request. Upon written request, the contractor shall provide the State with the basis of such determination. Contractor will then give the State a credit equal to: (i) for equipment, the State’s net book value provided the State has followed generally-accepted accounting principles; (ii) for a program, the amount paid by the State for the affected program; and (iii) for materials, the amount the State paid contractor for the creation of the materials.

(d) The above is contractor’s entire obligation to the State regarding any claim of infringement. Contractor shall have no obligation regarding any claim based on any of the following: (i) anything incorporated by the State (and not suggested nor recommended by the contractor) into a product or materials and without the express written consent and acknowledgement of the

143

contractor, which consent if given would expressly state that contractor would continue to provide the intellectual property rights infringement indemnity hereunder, or contractor’s compliance with any designs, specifications, or instructions provided by the State or by a third party on the State’s behalf; (ii) the State’s modification of a product or materials not suggested nor recommended by contractor, and without the express written consent and acknowledgement of the contractor, which consent if given would expressly state that contractor would continue to provide the intellectual property rights infringement indemnity hereunder; (iii) the combination, operation, or use of a product or materials with any product, data, apparatus, or business method that contractor did not provide, suggest, nor recommend, and without the express written consent and acknowledgement of the contractor, which consent if given would expressly state that contractor would continue to provide the intellectual property rights infringement indemnity hereunder, or the distribution, operation or use of a product or materials for the benefit of a third party outside the State; or (iv) any non-contractor program or non-contractor product alone.”

Answer: The RFP is modified to include the following:

5.30 Substitution of Section 2.1 Language of the State's Standard Terms and Conditions

Section 2.1 of the State's Standard Terms and Conditions is deleted and replaced with the following patent and copyright indemnity language. a. The Contractor shall hold and save the State of New Jersey, its officers, agents, servants and employees, harmless from liability of any nature or kind for or on account of the use of any copyrighted or uncopyrighted composition, secret process, patented or unpatented invention, article or appliance furnished or used in the performance of the contract. b. The State of New Jersey agrees: (1) to promptly notify the Contractor in writing of such claim or suit; (2) that the Contractor shall have control of the defense of settlement of such claim or suit; and (3) to cooperate with the Contractor in the defense of such claim or suit, to the extent that the interests of the Contractor and the State are consistent. c. In the event of such claim or suit, the Contractor, at its option, may: (1) procure for the State of New Jersey the legal right to continue the use of the product; (2) replace or modify the product to provide a non-infringing product that is the functional equivalent; or (3) refund the purchase price less a reasonable allowance for use that is agreed to by both parties.

#77 RFP Appendix 1 Section 2.2 - Will the State agree to delete and replace with the following substitute language?

Indemnification - Liability

144

The contractor's liability to the State for actual, direct damages resulting from the contractor's performance or non-performance, or in any manner related to the contract, for any and all claims, shall be limited in the aggregate to 100% of the value of the contract, except that such limitation of liability shall not apply to the following:

1. The contractor's obligation to indemnify the State of New Jersey and its employees from and against any claim, demand, loss, damage or expense relating to bodily injury or the death of any person or damage to real property or tangible personal property, incurred from the work or materials supplied by the contractor under the contract caused by negligence or willful misconduct of the contractor;

2. The contractor's breach of its obligations of confidentiality; and,

3. Contractor's liability with respect to copyright indemnification.

The contractor's indemnification obligation is not limited by but is in addition to the insurance obligations contained in Section 2.3 of the Standard Terms and Conditions.

The contractor shall not be liable for special, consequential, or incidental damages.

Answer: See response to question 47 above.

#78 RFP Appendix 1 Section 2.3 – The bidder respectfully requests the State’s consideration of inclusion of a statement that contractor is not required to name the State as an additional insured with respect to Worker’s Compensation Insurance.

Answer: Accepted.

#79 RFP Appendix 1 Section 3.13 - Will the State agree to allow Sections 3.13 of the State of New Jersey Standard Terms and Conditions to be replaced or supplemented with Contractor’s standard commercial warranties?

Answer: No.

#80 RFP Appendix 1, Section 3.19 - would the State agree to include the following clarification in the RFP to enable the successful Contractor to protect its confidential and proprietary information?

“For purposes of this Section 3.19 of Appendix 1, ‘records’ shall

not be defined to include confidential information such as pricing methodology, trade secrets, personnel data, cost or profit data,

145

and research and development data and the like. Contractor shall have no obligation to provide access to contractor or third party confidential or proprietary information.”

Answer: The State accepts the modified language as modified below:

“For purposes of this Section 3.19 of Appendix 1, ‘records’ shall not be defined to include contractor’s confidential information such as pricing methodology, trade secrets, personnel data, cost or profit data, and research and development data and the like. Contractor shall have no obligation to provide access to contractor or third party confidential or proprietary information.”

#81 Would the State consider an alternative approach to helpdesk support, utilizing the standard support provided by the software vendor proposed/chosen? If the proposed solution is primarily (or completely) a tailoring of a COTS software package, as opposed to a custom build solution, a custom-staffed helpdesk for DPB 24x7 for two years is possibly overkill and a tremendously costly item this type of solution. The State could consider requiring the vendor to train I/T staff to provide this function at a fraction of the cost of staffing and providing such a “NJ” helpdesk.

Answer: See answers to questions #44 and #45 above.

#82 Would the State consider revising or eliminating its two-year warranty upgrade requirement? This is a major cost item, since many COTS providers update their software 2-4 times per year; there could be as many as eight upgrades required by this specification, a very expensive proposition. To exacerbate this issue, this requirement forces proposers to cost out upgrades to a COTS package for unknown versions which are not yet out on the market! As an alternative to mandating all these upgrades, the State could decide for itself which upgrades to COTS packages it wanted at their time of availability, and utilize the “additional work” labor rates section to accomplish this task. This would permit the State flexibility to decide which “maintenance” level or intermediate releases (or even Versions) it wanted to install or not.

Answer: All language under Section 3.10 is deleted and replaced with the following:

The contractor shall supply a two (2) year warranty from time of software acceptance by the State Contract Manager that the software is free from defects, bugs or imperfections. Should an application problem arise during the warranty period, the contractor shall respond to the problem within four (4) hours and shall resolve the problem within twenty-four (24) hours. All work during the warranty period shall be conducted at no additional cost to the State. All fixes and/or patches completed during the warranty period shall be completed at no additional charge to the State.

146

If purchased by the State, the contractor shall supply maintenance support for the complete CRM application package for three years from the expiration of the warranty.

The contractor shall supply a maintenance support plan that will:

• Provide upgrades at no additional cost for new fixes and/or patches for all software required to make the application work properly and supplied by the contractor in the complete CRM application software package

• Provide four (4) hour response to application problems

• Provide problem resolution within twenty-four (24) hours of notification.

All routine maintenance work that requires a system outage shall be scheduled to occur at a time convenient to, and approved by, the State.

#83 Would the State provide an extension to the due date of proposals to three weeks later than the existing due date of June 23rd, which would also provide responders enough time following the State’s answers to these questions to assimilate them into our proposals.

Answer: The bid opening date is extended until July 7, 2005 at 2:00 PM.

#84 Are screen pops of CRM system screens based on IVR data needed ? (could not find in RFP)

Answer: No.

PLEASE NOTE THE BID OPENING DATE HAS CHANGE TO JULY 7, 2005, AS LISTED AT THE TOP OF THIS DOCUMENT AND IN THE ANSWER TO QUESTIONS #19 AND 83.

147


CASE MANAGEMENT SYSTEM USING CUSTOMER RELATIONSHIP MANAGEMENT June 24, 2005

Bid Opening Date: July 7, 2005 (Changed) New Bid Opening Date: July 15, 2005 Bid Opening Time: 2:00 PM Eastern Time Set Aside Category: Subcontracting Small Business

The bid opening date for this procurement currently set for July 7, 2005, is being changed to July 15, 2005. The bid opening time and location will remain the same.

The following information is supplied to clarify information contained in the RFP and in the answers to questions in Addendum 2.

1. Section 4.4.4.5 Line 5 Maintenance is amended to read:

On line 5, the bidder shall provide a firm, fixed price for one (1) year of maintenance in accordance with RFP Section 3.10 for the one year immediately following warranty expiration. The maintenance service is optional and the State may choose not to purchase the service. However, the cost shall be included in the total bid price for ranking purposes.

2. Addendum 2, Question #49: The State’s answer is amended to read:

The State will adjust its manual processes to adapt to the COTS application and expects to leverage best/leading practices that are imbedded in available COTS solutions, but will not re-engineer any of its existing software or systems to adapt to the COTS application. Where possible, the vendor should plan to minimize extensive configuration or customization of its solution such that the solution is much easily maintained and the cost of implementation, maintenance and future upgrades is minimized.

3. Addendum 2, Question #82: The State’s answer is amended to read:

The contractor shall supply a two (2) year warranty from time of software acceptance by the State Contract Manager that the software is free from defects, bugs or imperfections. Should an application problem arise during the warranty period, the contractor shall respond to the problem within four (4) hours and shall resolve the problem within twenty-four (24) hours. All work during the warranty period shall be conducted at no additional cost to the State. All fixes and/or patches completed during the warranty period shall be completed at no additional charge to the State.

148

If purchased by the State, the contractor shall supply maintenance support for the complete CRM application package for one (1) year from the expiration of the warranty.






Bidders are reminded of the new bid opening date of July 15, 2005.

All other terms and conditions of the RFP and prior addenda not addressed by this addenda will remain the same.

149


CASE MANAGEMENT SYSTEM USING CUSTOMER RELATIONSHIP MANAGEMENT July 7, 2005

Bid Opening Date: July 15, 2005 Bid Opening Time: 2:00 PM Eastern Time Set Aside Category: Subcontracting Small Business

The clarification provided in Addendum 3, for Question #82 is further clarified to read:

The contractor shall supply a ninety (90) day warranty from time of software acceptance by the State Contract Manager that the software is free from defects, bugs or imperfections. Should an application problem arise during the warranty period, the contractor shall respond to the problem within four (4) hours and shall resolve the problem within twenty-four (24) hours. All work during the warranty period shall be conducted at no additional cost to the State. All fixes and/or patches completed during the warranty period shall be completed at no additional charge to the State.

If purchased by the State, the contractor shall supply maintenance support for the complete CRM application package for one (1) year from the expiration of the warranty.






150

LICENSE AGREEMENT AND ORDER FORMS

(SCROLL DOWN ONE PAGE)

notice of award for case management · pdf filecase management system using customer...

Documents