Appendix J.doc

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Appendix J.doc

  1. 1. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 OFFEROR RESPONSE FORM FOR REQUIREMENTS OFFEROR’S NAME: o OFFERORS MUST USE THIS FORM TO RESPOND TO THE REQUIREMENTS OF THIS RFP. OFFERORS ARE TO WRITE THEIR RESPONSES IN THE AREA MARKED “RESPONSE”. o DO NOT RESPOND BY REFERENCING PRODUCT LITERATURE, WHITE PAPERS OR OTHER DOCUMENTATION. RESPONSES THAT REFERENCE SOURCES EXTERNAL TO THIS DOCUMENT MAY BE CONSIDERED “NON-RESPONSIVE”. o OFFERORS MAY ATTACH, AS SEPARATE DOCUMENTS, COPIES OF REQUESTED INFORMATION, SUCH AS, PLANS, REPORTS, SCREEN PRINTS AND SAMPLE REPORTS. RFP SECTION 4.1 SUMMARY OF CONTRACTOR RESPONSIBILITIES • The Contractor shall be responsible for the design, development, installation, configuration, testing, and implementation of the MITS solution. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: • The Contractor shall ensure that the MITS solution is designed, installed, configured, customized, and operates to meet all of the COM's stated requirements as detailed in Section 4, Exhibits 1A through 1G, and Exhibit 2 of this RFP. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: Page 1
  2. 2. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 • The Contractor shall leverage COM's IT infrastructure and application development platform as described in Section 2 of this RFP, to the extent such leveraging has been agreed to by the COM. The Contractor shall also leverage the skill sets of State staff that have experience in this environment, to the extent feasible. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: • The Contractor shall ensure that the MITS’ architecture, as delivered and installed, mirrors that which was proposed to and agreed upon with COM. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: • The Contractor shall provide a full complement of resources and services to ensure the successful implementation and operation of the MITS solution. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: • The Contractor shall provide a MITS solution that is in compliance with IRS regulations and guidelines, which are set forth in IRS Publication 1075, to safeguard federal tax information. Indicate acknowledgement of and commitment to the above requirement. Include a report that clearly details how the proposed solution complies with the IRS regulations defined in IRS Publication 107. RESPONSE: Page 2
  3. 3. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RFP SECTION 4.2.1.1 EARLY BENEFITS The Contractor shall implement the following Early Benefits Projects: 1. W-2 Non Filer 2. Quality Teacher Incentive Credit 3. Withholding Verification 4. Child Care Expenses & Credit 5. Earned Income Credits 6. Tuition and Fees Addition Modification Describe the approach to implementing the Early Benefits projects. Identify COM resources required to implement the Early Benefits projects. Identify the tasks that COM personnel may do prior to the award of a contract for this RFP to expedite implementation of the Early Benefits projects. RESPONSE: RFP SECTION 4.2.1.2 THROUGH 4.2.2.7 MITS FUNCTIONAL REQUIREMENTS (The following are instructions for responding to the MITS functional requirements.) Offerors must use Appendix K to respond to the functional requirements and include Appendix K (an MS Excel spreadsheet) as a separate file in the electronic version of the Technical Proposal. Appendix K has individual “tabs” or worksheets that correspond to the requirements defined in Exhibits 1A through 1G and Exhibit 2. Offerors must respond to each requirement. Please note that the requirements marked “M” are mandatory for this RFP. The requirements marked with a “D” are desirable elements. Do not include any costs in Appendix K. Cost Responses must be submitted separately in the Financial Proposal. Offerors are to indicate their ability to provide each functional requirement by entering responses for each requirement in the corresponding columns. Page 3
  4. 4. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 INSTRUCTION FOR EXPLANATION OFFEROR INPUT Capability is included (grey) - Every mandatory requirement is expected to have a enter a Y or N next to the Y in this column. In addition, a check must be put in requirement in the spreadsheet. one of the pink columns marked 1-5 to show how the requirement will be met. Only one of these columns (1-5) should be checked. The pink columns are described below. Desirable requirements may have either a Y or N in the “Capability is included” column. If the Desirable requirement is a Y, an additional mark should be placed in one of the pink columns marked 1-5 as well. 1 Software supported with no If the requirement is included without customization modification or customization or configuration, check this column. 2 User configuration of COTS If the requirement can be met with software provides functionality configuration within the COTS, then check this column. 3 Vendor customization provides If the requirement can be met by creation or functionality application of a custom plug-in component (not 3rd party), then check this column. 4 3rd Party software without If the requirement is met through 3rd party software customization and does not require customization, then check this column. If this column is checked, type in the name of the software in the light blue column provided for this input. 5 3rd Party application with If the requirement is met through 3rd party software customization and does require customization, then check this column. If this column is checked, type in the name of the software in the light blue column provided for this input. Name of 3rd party software Insert the name of the Third Party Vendor if the requirement is provided from integrated, third party software (if column 4 or 5 has been checked). Otherwise, leave blank. Comments – Enter any relevant Enter any relevant notes to add additional comments. information on how the requirement will be met. Include release information, if applicable. Page 4
  5. 5. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RFP SECTION 4.3 TECHNICAL REQUIREMENTS 4.3.1 COTS PRODUCTS AND FEATURES The Contractor shall provide a MITS solution that is a COTS (commercial off the shelf) product and adheres to the following technical design standards: • Service-Oriented Architecture • Web based or enabled • Taxpayer-centric • N-tiered (thin client, application layer, database layer) • Java or Microsoft based • Open standards Identify which COTS product(s) is/are being offered and describe how it adheres to the technical design standards identified above. RESPONSE: 4.3.1.1 Customizable Product - The Contractor shall provide a MITS solution that is customizable, extensible and flexible, allowing for extension of the COTS software's capabilities as follows: • Configuration of base COTS software • Integration with other COTS products via modular design • Integration with custom components via plug-ins • Modification of COTS source code by the contractor Indicate how the COTS product(s) satisfy the above requirements. Describe the strategy and approach to isolate or protect any site specific configurations and/or custom programming and/or user exit based extensions so that they are not lost when the MITS core COTS software is upgraded to new releases. RESPONSE: 4.3.1.2 Currently in Production – The Contractor shall provide a COTS tax-processing software product that is in use in a production environment by at least one government entity for the administration of taxes. Provide the name, address and contact information for at least one government entity that is using the COTS tax-processing solution proposed in a production environment for the administration of taxes. Page 5
  6. 6. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 SEE DESIRABLE ELEMENT 4.18.8 4.3.1.3 Perpetual Licensing Agreement - Software provided by the Contractor to the Comptroller shall contain a provision for perpetual licensing. Perpetual licensing shall involve a one-time payment for a perpetual use license which does not require payment of on-going, annual licensing fees. Describe licensing and maintenance agreements pertaining to the COTS product(s) being offered. RESPONSE: 4.3.1.4 Industry Standard Integration Architecture - The Contractor shall implement the MITS solution based upon an integration architecture that uses industry standards such as XML for communications and integration with other environments and has the ability to integrate or interface with legacy applications (including applications based on IBM COBOL and Microsoft .NET, IBM DB/2, Microsoft SQL, MVS and MS Windows platforms). Describe the Integration Architecture standards required to support the proposed solution. Describe how the COTS product(s) being offered makes use of industry standards and can integrate with other environments and legacy applications within the COM. RESPONSE: 4.3.1.5 Open Standards Architecture - The Contractor shall implement the MITS solution that supports open standards, such as serving as a client and/or host for secure Web Services, that adhere to key standards such as Simple Object Access Protocol (SOAP), XML, Universal Discovery, Description and Integration (UDDI), Web Services Description Language (WSDL), Web Services (WS)-Security and Message Transformation Optimization Mechanism (MTOM). Describe the proposed solution’s ability to leverage existing and emerging Web-Services technologies and standards, including: • SOAP Page 6
  7. 7. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 • XML • UDDI • SOAP 1.2 • WSDL • Web Services-Security • MTOM RESPONSE: 4.3.1.6 Application Programming Interfaces – The Contractor shall implement a MITS solution that has application programming interfaces (APIs) that can be supported by COM’s ITD programming staff. Describe the proposed solutions approach to application programming interfaces. RESPONSE: 4.3.1.7 Application Development Software Tools - The Contractor shall provide, install and configure the application development software tools, properly licensed to the Agency for the concurrent or individual use of up to twenty-five (25) application developers, to support the development of customizations to the MITS solution or the development of customized code that integrates with the MITS solution. Describe the application development software tools to be provided, installed and configured in support of MITS solution customizations. Include the product(s) name(s) and product descriptions. RESPONSE: 4.3.1.8 Mechanism to Ensure Against Transaction Loss - The Contractor shall implement a MITS solution with the capability to determine the last successfully completed transaction, with mechanisms in place to minimize, if not eliminate, the loss of any transaction(s), as well as with mechanisms in place to ensure that no transaction is posted twice and that every transaction that should be posted is posted correctly in the event of any system failure. Page 7
  8. 8. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Describe the solution’s ability to determine the last successfully completed transaction, minimize or eliminate lost transactions, ensure that no transaction is posted twice and that every transaction is posted correctly in the event of system failure. RESPONSE: 4.3.1.9 Field Level Edit Checks - The MITS solution shall provide field level edit checks for data keyed by users and provide immediate user feedback, including error messages and possible corrective actions. Describe how the solution performs field level edit checks and responds, as appropriate, with error messages and suggested corrective action to be performed by the user. RESPONSE: 4.3.1.10 Error Handling - The MITS solution shall be designed and implemented to provide clear and consistent error handling, recovery processes and procedures for users presented with usage or technical problems. Describe how the COTS solution handles errors, recovery and procedures for users who experience problems using the system. RESPONSE: 4.3.1.11 Interfaces with External Systems – The MITS solution shall have the capacity to act upon data received from external systems and the ability to extract and send data to external systems (see Exhibit 6-Interfaces). Describe how the solution acts upon data received from an external system and how it extracts and sends data to external systems. RESPONSE: 4.3.1.12 Multiple Environments - The Contractor shall implement the MITS solution providing five (5) instances of the MITS to support five (5) separate environments located at the Annapolis Data Center: • Sandbox/playground (for prototyping configuration and setting changes) Page 8
  9. 9. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 • Development (for programming customizations) • Testing/Quality-Assurance (for testing changes and customizations) • Training (for training end-users) • Production Describe the approach to implementing the five (5) separate environments and the computer resources required. RESPONSE: 4.3.2 USER INTERFACE/VIEWS 4.3.2.1 Partitioned Views – The Contractor shall implement a solution that allows users' monitors/screens to be “partitioned” to enable the simultaneous viewing of MITS and other applications. Describe how the proposed solution satisfies this requirement. Offeror should include sample screen shots. RESPONSE: 4.3.2.2 Multiple Views – The Contractor shall implement a solution that allows multiple screens for one or several taxpayers to remain open concurrently within MITS. Describe how the proposed solution satisfies this requirement. Offeror should include sample screen shots. RESPONSE: 4.3.2.3 Summary Screens – The Contractor shall implement a solution that provides summary screens that display key information to reduce the screen navigation required to complete specific groups of job tasks. Describe how the proposed solution satisfies this requirement. Offeror should include sample screen shots. RESPONSE: Page 9
  10. 10. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 4.3.2.4 Configurable Views – The Contractor shall implement a solution with user- configurable customizable views and application navigation based upon user, group or organizational requirements. Describe how the proposed solution satisfies this requirement, identifying the types of items that are customizable and by whom. RESPONSE: 4.3.2.5 Application Navigation – The Contractor shall implement a solution that utilizes efficient, user-friendly, and logical screen navigation. Describe how the proposed solution satisfies this requirement. The Offeror should include sample screen shots. RESPONSE: 4.3.3 PERFORMANCE REQUIREMENTS 4.3.3.1 System Availability - The Contractor shall implement a LAN/WAN accessible MITS solution for COM’s use that shall be available on-line 18 hours per day/7 days each week/365 days each year (18x7x365) and shall perform with a system availability of 99.6%. The Contractor shall implement internet accessible ITS web components for on-line taxpayer access that are available 24 hours per day/7 days each week/365 days each year (24x7x365) and shall perform with a system availability of 99.6%. Describe how the proposed solution will be configured and implemented to ensure the availability listed above. RESPONSE: 4.3.3.2 Batch Processing – The Contractor shall implement a MITS solution that, for batch processes, utilizes automated batch processing and includes the ability to schedule batch processing at specified dates and times. Batch processing must be able to run concurrently and/or with predecessors. Batch processing must include a method to Page 10
  11. 11. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 automatically bypass invalid or incorrect records with audit or logging features so the invalid records may be researched at a later time. Describe the batch processing capabilities of the proposed solution and how they satisfy this requirement. RESPONSE: 4.3.3.3 Transaction/User Response Time -The Contractor shall implement a MITS system production environment that provides transaction/user response time of less than one second for all on-line transactions and functions. Describe how the proposed solution will be configured and implemented to ensure sub- second response time for on-line transactions and how the Contractor will measure response time. RESPONSE: 4.3.3.4 Server Response Time - The Contractor shall implement a MITS solution that performs in such a manner that transactions on the server (mainframe or distributed) occur, on average, in less than one second. Describe how the proposed solution will be configured and implemented to ensure sub- second server response time for on-line transactions and how the Contractor will measure server response time. RESPONSE: 4.3.3.5 Concurrent and Total Users - The Contractor shall implement the ITS components that, at a minimum, support 1,200 internal concurrent users accessing the system via LAN and WAN, and 10,000 external concurrent users accessing the public facing portion of ITS via the Internet. The Contractor shall implement the BI/DW components that, at a minimum, support 200 internal concurrent users accessing the system via LAN and WAN. The Contractor shall state the maximum number of concurrent and total users the MITS solution will support. Page 11
  12. 12. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Describe how the proposed system will be configured and implemented to support the number of concurrent users indicated above. Indicate the maximum number of internal and external concurrent users supported by the proposed solution. Discuss the scalability of the proposed solution in accommodating growth in the internal and external concurrent user base. RESPONSE: 4.3.3.6 Accommodating Peak Processing and Growth in Volumes – The Contractor shall configure the system to provide for peak processing. At a minimum, the ITS component of the MITS solution shall be able to process 75,000 tax returns and 60,000 non-return transactions daily, 5 days a week. Non-return transactions would include, but not be limited to, payments on accounts, declarations, and extensions. Additionally, the ITS solution shall be configured to accommodate a 2% annual growth in the number of transactions processed. Describe how the proposed solution will be configured and implemented to accommodate peak processing volumes, both now and in the future. RESPONSE: 4.3.3.7 Stress Test - The Contractor shall stress test the MITS solution using production volumes, and prepare and submit a stress test report demonstrating the results of the test. These tests shall be performed for each of the MITS implementation phases (see Section 4.11 Project Milestones and Deliverables). Describe how the Contractor will conduct the stress tests as part of each implementation phase and provide a sample of the Contractor’s stress test report. RESPONSE: 4.3.3.8 Analysis of Current System Volumes and Maintenance of Performance Levels – The Contractor shall analyze current system volumes (see Exhibit 3) and Page 12
  13. 13. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 develop the MITS solution to accommodate transaction levels based upon the results. The MITS solution, including its programs, database, and ancillary hardware and software systems, shall be able to retain its initial performance levels when adding additional users, functions and data. Describe how the system volume analysis will be conducted and provide a sample report showing how the results will be presented to the COM. Describe the process by which the Contractor, using the results of the analysis, will ensure maintenance of current performance levels as the system, and use of the system, expands. RESPONSE: 4.3.4 NETWORK REQUIREMENTS 4.3.4.1 Analysis of Network Requirements - The Contractor shall perform an initial analysis of network requirements for the MITS solution. The Contractor will not be required to provide any network components (i.e., switches, routers, firewalls, network appliances, cabling), nor shall the Contractor have any responsibility for network operations. Describe how the initial network analysis will be conducted and provide a sample report showing how the results of the analysis will be presented to the COM. RESPONSE: 4.3.4.2 Integration with Existing Secure Service Network Topology - The Contractor shall ensure that the public facing portion of the ITS component of the MITS solution integrates into and is compatible with COM’s existing Secure Service Network (Service- Net) Topology. Additionally, the Contractor shall ensure that the MITS solution inter- operates with Cisco Pix Firewalls and F5 BigIP web load balancers in order to maintain a consistent infrastructure. Describe how the proposed solution will integrate with and be compatible with the COM’s Secure Service Network Topology, Cisco Pix Firewalls and F5 Big IP web load balancers. RESPONSE: Page 13
  14. 14. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Page 14
  15. 15. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 4.3.5 IT INFRASTRUCTURE REQUIREMENTS 4.3.5.1 Compatibility with COM IT Infrastructure – The MITS solution shall be compatible with and operate within the COM’s existing IT infrastructure as described in Section 2.7. Discuss how the Contractor will implement the MITS solution so that it is compatible with and operates within the COM’s existing IT infrastructure. RESPONSE: 4.3.5.2 IT Infrastructure Plan – The Contractor shall prepare an IT Infrastructure Plan to include sufficient information regarding the upgrade and/or configuration of existing IT equipment and/or requirements for additional equipment. The Plan must also identify training and knowledge transfer requirements for COM technical staff responsible for supporting the MITS solution as it is implemented. Describe the information that will be included in the IT Infrastructure Plan that will be prepared for the MITS implementation. Provide a sample IT Infrastructure Plan for a project similar in size and scope as the MITS. RESPONSE: 4.3.5.3 Capacity Plans - - If the MITS solution shall operate on either the mainframe or distributed or combination mainframe/distributed platform(s) as described in Section 2.7 of this RFP, the Contractor shall provide an initial Capacity Plan and Performance Analysis documenting the impact of the MITS solution on the COM’s mainframe and/or distributed platform(s) and IT infrastructure. The Capacity Plan shall include workload impact at normal and peak (see Section 4.3.3.6) processing reflected in MIPS, CPU, processor memory, and DASD utilization. Normal workload is defined as 30,000 tax returns and 30,000 non-return transactions daily, 5 days a week. The Contractor shall provide quarterly Capacity Plans and Performance Analyses documenting the impact of the MITS solution on the COM’s mainframe and/or distributed platform(s) and IT infrastructure (including the network infrastructure). The Capacity Plan shall include workload impact at normal and peak processing reflected in MIPS, CPU, processor memory, DASD and network utilization. The quarterly reporting shall begin six (6) months after the initial Capacity Plan and Performance Analysis is performed and will continue on a quarterly basis through the initial term of the contract. Page 15
  16. 16. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Describe how the initial and quarterly Capacity Plan and Performance Analysis will be conducted. Provide a sample report showing how the Capacity Plan and results of the Performance Analysis will be presented to the COM. Provide a detailed configuration recommendation, including part number and quantities, for all needed equipment and upgrades as determined by the Capacity Plan and Performance Analysis of COM’s mainframe, and the analysis of the network requirements (section 4.3.4.1), and other IT infrastructure components as applicable. Include all required components, such as, racks, servers, storage devices, and other hardware required to support the solution; and operating system, database system, system management software and other software required to support the proposed solution. RESPONSE: 4.3.5.4 Configuration Requirements – The Contractor shall submit configuration requirements for the platform (mainframe, distributed, or combination mainframe/distributed) and IT infrastructure (network and other components described in Section 2.7) as determined by the Analysis of Network Requirements (Section 4.3.4.1), Capacity Plan and Performance Analysis (Section 4.3.5.3). The configuration requirement shall provide a detailed list to include part and/or order numbers of the equipment needed to support the MITS solution (e.g., DASD, servers, operating system software, database software, security software, storage, racks) in sufficient detail for the COM to order the equipment. Where appropriate, the Contractor shall identify and document equipment requirements for electrical, HVAC (heating, ventilation and air conditioning), network and communications cabling. The Contractor shall install and configure all needed distributed system equipment, including racks, servers, storage devices, and other hardware required to support the solution; and operating system, database system, system management software and other software required to support the proposed solution. The COM may or may not purchase the required equipment (hardware and/or system software) from the Contractor. The Contractor shall not install mainframe and network equipment, but may assist in the configuration of this type of equipment. Discuss how the required equipment will be installed and configured with minimal disruption to on-going operations. All equipment recommended shall be by the same manufacturer of like equipment existing in the COM IT infrastructure described in Section 2 of this RFP. For example, for Intel servers the Contractor’s detailed configuration recommendation shall be for IBM rack-mounted servers with APC racks – Refer to the required APC rack configuration description in Section 2. Page 16
  17. 17. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 All equipment recommended shall be configured to provide high availability utilizing features such as hot-swap and hot-add, dual power, predictive failure and other features as needed to support a mission critical system. The Contractor shall identify all single- points-of-failure for all equipment recommended. The Contractor must include the costs of all components of the detailed configuration recommendation in the Financial Proposal. Equipment costs shall be itemized separately in the Financial Proposal on the MITS Financial Proposal Form, Appendix D-3, which shall be submitted separately from the Technical Proposal. RESPONSE: 4.3.5.5 Business Continuity and Disaster Recovery Plan – The MITS solution shall be supported by a customized business continuity and disaster recovery plan, which shall be designed, tested, and documented by the Contractor. The Contractor shall work with the Agency’s business continuity coordinator and disaster recovery coordinator to ensure that the MITS solution’s BC/DR plans satisfy the Agency’s requirements. Describe how the Contractor will design and create the COM’s customized continuity and disaster recovery plan, and how it will be documented and tested. Provide a sample disaster recovery plan similar to what might be created for the COM. RESPONSE: 4.3.5.6 Disaster Recovery Equipment, Plan, and Testing - If the solution proposed operates on the distributed platform, the Contractor shall provide an additional Production instance of the MITS solution to be installed at the Agency’s alternate IT facility in Baltimore, Maryland for business continuity/disaster recovery (BC/DR) purposes. The Contractor shall install, configure and test the BC/DR Production instance so that it is configured identically to the Production instance installed at the ADC with automatic fail-over and data replication configured between the ADC and BC/DR Production systems. Acknowledge the requirement to provide, install, configure and test an additional Production instance in Baltimore, as described above, if appropriate. RESPONSE: Page 17
  18. 18. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 4.3.5.7 Tape Back-Up and Recovery - The Contractor shall configure the MITS solution with a tape backup and recovery solution that utilizes the COM’s IBM TS3500 Automated Tape Libraries. Describe how the COM’s IBM TS3500 Automated Tape Libraries will be used in the MITS backup and recovery solution. RESPONSE: 4.3.5.8 High Volume Printing - The Contractor shall configure the MITS solution to utilize the printer subsystem described in Section 2.7.1.8 for high volume, batch printing. Describe how the MITS solution will be configured to utilize the COM’s printer subsystem for high volume, batch printing. RESPONSE: 4.3.5.9 Client or End-User Workstations - The COM shall not provide nor shall the Contractor be required to install end-user or client workstations. Acknowledge COM’s expectation that the Contractor will not be responsible for providing and installing end-user or client workstations. RESPONSE: 4.3.6 TAXPAYER ACCESS The MITS solution shall allow taxpayers to access information about their Maryland tax accounts and utilize web-enabled services available on the COM websites. The MITS taxpayer access must be compatible with and operate as part of the COM’s multi-tiered, publicly accessible secure service network (service-net). Page 18
  19. 19. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 The MITS taxpayer access shall utilize the appropriate security controls to protect data and provide taxpayer access controls and authentication procedures that comply with the authentication logon and password requirements of the State of Maryland’s Department of Budget & Management, Office of Information Technology, Information Technology Security Policy and Standards, version 1.5 (“Statewide IT Security Standards”). Describe how the solution will allow Internet access by taxpayers to account information and web-enabled services available on the COM websites. Indicate how the proposed solution is compatible with and will operate as part of the COM’s secure service network. Describe the security controls utilized by the proposed solution that comply with the State’s IT Security Policy and Standards. RESPONSE: 4.3.7 SECURITY REQUIREMENTS 4.3.7.1 Adherence to Security Standards – The Contractor shall provide a MITS solution that adheres to all applicable COM and Statewide IT Security Standards and that will be compliant with the laws and requirements of all federal agencies, including those set forth in Internal Revenue Service (IRS) Publication 1075. State-mandated IT Security Standards (“Statewide IT Security Standards”) may be accessed at www.dbm.maryland.gov, keyword Security Policy. Describe the security features of the system being proposed and identify how they satisfy these security requirements. RESPONSE: 4.3.7.2 Access Control Security - The Contractor shall ensure that the MITS solution adheres to all COM and Statewide IT Security Standards for Access Control, including those listed below. • The MITS solution shall utilize an authentication process to verify the identity of users prior to initiating a session or transaction. • The MITS solution shall utilize an authorization process which specifically grants access to information ensuring that access is strictly controlled and audited, and that it supports the concept of “least possible privileges.” • The MITS solution shall include an audit trail process to ensure accountability of system and security-related events. Page 19
  20. 20. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 • The MITS solution shall include the ability to log, alert, and generate a report of specific security incidents and all attempted violations of system security. • The MITS solution shall include the ability to log, and generate reports on, all or selected MITS user’s access and activity to identify who did what (read, write, delete, change) to what (which file, table, data source, program module), and when it was done. • The MITS solution shall allow for the segregation of the functions of system administration and security administration to provide separation of duties. • The MITS shall require logging of financial and demographic changes to the production environment and supervisory review based on COM-business rules. • The MITS application security must be compatible with the COM’s existing system security, such as ACF2. Describe how the security characteristics and features of the solution being proposed satisfy the security standards identified above. Address each bulleted item RESPONSE: 4.3.7.3 Audit Trail Requirements - The Contractor shall implement a MITS solution that provides for audit trails of all MITS transactions. Specifically, the system audit function shall: • Prohibit modification of audit log data. • Monitor MITS transactions by user (employee, taxpayer, program) and any type of account access (create, read, update, delete). • Track by account, by user, transaction type, files affected, type of account access, date, and time. • Provide an extensible audit log structure that can capture additional related information to meet current and future needs. • Allow specified users access to generate ad-hoc queries and reports to access audit log information. • Track COM employees accessing MITS remotely. • Provide an audit trail for any manually overridden activity within MITS. • Secure access by user id, user group, and user organization to all audit log data. • Ensure that the audit trails include at least the following information: • Date and time of event, • User id of person performing the action, • Account accessed, • Type of event, • Asset or resource name and type of access, • Success or failure of event, and • Source (e.g., terminal, port, location) where technically feasible. Page 20
  21. 21. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Describe how the proposed solution meets the above requirements for the creation and maintenance of an audit trail for all transactions. Address each bulleted item. RESPONSE: 4.3.7.4 Authentication Security - The Contractor shall implement a MITS solution that adheres to all Statewide IT Security Standards for authentication, including: • ID Standards: The MITS solution shall allow for the unique identification of all users. • Group or Shared IDs: The MITS solution shall prohibit the use of group or shared ids unless they are documented as “Functional ids.” Functional ids are user accounts associated with a role that may be used by multiple individuals (e.g., Emergency Problem/Fix Ids) or that are associated with a particular production job process (e.g., ACF2 id used to execute jobs). Passwords associated with functional ids are exempt from the password restriction on sharing and the change requirements specified below. • Change in Job Functions: Allow the user’s profile to be modified when the user changes job functions. Describe how the authentication characteristics and features of the solution being proposed directly satisfy the authentication standards identified above. Address each bulleted item. RESPONSE: 4.3.7.5 Password Construction Rules and Change Security - The Contractor shall implement a MITS solution that adheres to all Statewide IT Security Standards for Password Construction Rules and Change Requirements, including those listed below: •Passwords shall not be the same as the user id. •Passwords shall never be displayed on the screen. •The user shall select passwords unless there are provisions for randomly generated passwords. •Initial passwords and password sets distributed to the user must be issued “pre-expired” forcing the user to change them upon log-on. •Passwords shall be a minimum of eight (8) characters and consist of mixed alphabetic and numeric characters. Passwords must not consist of all numbers, all special characters, or all alphabetic characters. •Passwords shall not contain leading or trailing blanks. •Passwords shall not contain more than two (2) consecutive identical characters. •Password reuse shall be prohibited by not allowing the last 10 passwords to be reused with a minimum password age of at least seven (7) days. Page 21
  22. 22. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 •Automated controls shall ensure that passwords are changed at least as frequently as every forty-five (45) days for all users. •A password older than its expiration date shall be changed before access to the system is granted. •User ids associated with a password shall be disabled after not more than three (3) consecutive failed log-in attempts. If an automatic reset of the account is provided, a minimum of one hundred twenty (120) minutes should elapse before the reset. •Where possible, users shall be prohibited from only changing/or adding one (1) character to their previous password (i.e., users should be prohibited from using passwords that are similar to their previous password). •Display to the user, upon log-in to MITS, the date and time of the last successful log-in. Describe how the characteristics and features of the solution being proposed comply directly with each of the password rules identified in the bullets above. Address each bulleted item. RESPONSE: 4.3.7.6 Application Security - The Contractor shall implement a MITS solution that adheres to the following application security requirements: • Differentiate levels of application and data access by user id, user role, user group, and/or by user organization. • Control access, assignments, and specific updates based upon user id, user role, user group, and delegation of specific supervisory authority according to COM- business rules. • Automatically identify members of multiple groups and organizations that have conflicting application security settings. • Require temporary delegation of supervisory authority to expire according to COM-business rules. • Allow for segregation of duties and supervisory review based on COM-business rules; e.g., for certain transactions a user may either initiate a transaction or approve a transaction. • Report access rights by user id, user role, user group, and user organization. • Report access rights violations by user id, user role, user group, and user organization. • Allow on-line supervisory review of all security reports. Describe how the proposed solution meets the above MITS application security requirements. Address each bulleted item. Page 22
  23. 23. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RESPONSE: 4.3.7.7 Security-Warning Banners - The MITS solution shall allow security-warning banners that adhere to Statewide, COM and IRS standards to be prominently displayed on system entry points and initial user logon screens and be readily customizable by COM technical support staff. Describe how the characteristics and features of the solution being proposed comply directly with the requirement to provide security banners, as described above. RESPONSE: 4.3.7.8 Database Security Management - The MITS solution shall provide database security management that allows two or more persons to act as security and recovery managers, enabling them to control access and authorization privileges for all other users. Describe how the characteristics and features of the solution being proposed comply directly with the database security management requirement as described above. RESPONSE: 4.3.7.9 Unauthorized Database and/or Functional Access - The database, the database management system (DBMS) and application utilized by the MITS solution shall be implemented in such a manner that no one can circumvent the application software to gain unauthorized access to the underlying database or to access unauthorized application functionality. Where applicable, there shall be reporting against: • Data-set access exceptions. Reports shall provide at least the following data: date-time stamp of exception; exception code; target data-set, type of access attempted, success flag (yes/no), user id attempting access, program attempting access. • Function access violations. Reports shall provide at least the following data: date- time stamp; conversation violation code; conversation name; type of access attempted; user id initiating conversation; success flag (yes/no); file and/or data created, read, updated, deleted. Page 23
  24. 24. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Describe how the characteristics and features of the solution being proposed prevent unauthorized access to the database and application functionality, and address each bulleted item. RESPONSE: 4.3.7.10 Data Encryption – Since all data contained in MITS shall be considered confidential information, the Contractor shall ensure that all data in transit between internal and external systems is encrypted or isolated from networks containing general users. The encryption methodology shall be compatible with the COM’s existing IT infrastructure. Describe how the characteristics and features of the solution being proposed will allow or provide encryption of all MITS data in transit and be compatible with the COM’s IT infrastructure as required above. RESPONSE: 4.3.7.11 Compliance with Statewide IT Security Certification and Accreditation Guidelines - The Contractor shall certify the MITS solution for compliance with the DBM Office of Information Technology (OIT) “IT Security Certification and Accreditation Guidelines” and document the certification and accreditation as required by the referenced Guidelines. The certification report shall describe the approach used in certifying and documenting said certification of the MITS solution. The guidelines may be downloaded at: http://dbm.maryland.gov/dbm_publishing/public_content/dbm_taxonomy/security/preven tion/itseccertguide.pdf. Describe the approach that will be used to certify and document that MITS complies with the State’s IT Security Certification and Accreditation Guidelines. Provide a sample of the certification report similar to what might be used for the MITS solution. RESPONSE: 4.3.7.12 Testing of Security Components - The Contractor shall test the solution’s security components, features, and functions and provide documented results as evidence that the security principle exists and has been tested. The test report shall describe the test plan and test procedures, and show how the security mechanisms were tested. The Page 24
  25. 25. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 report shall also include system-generated violation reports and audit reports that document the security mechanisms’ functional testing. Describe the approach that will be used to test MITS’ security components. Provide a sample of a security test plan and procedures similar to what might be used to document functional testing of MITS security. Include sample violation reports and audit reports that would be generated by the proposed solution. RESPONSE: RFP SECTION 4.4: OTHER SOFTWARE REQUIREMENTS 4.4.1 BUSINESS RULES The Contractor shall implement business rules in such a manner that the functionality and requirements defined in Exhibit 1E-Business Rules and Workflow are integrated across all components of the MITS solution. Identify the Business Rules solution being proposed. Describe how the business rules are tested before implementing into production. Explain how business rules will be implemented and integrated across all components of the MITS solution. RESPONSE: 4.4.2 CHANGE MANAGEMENT/VERSION CONTROL SOFTWARE The Contractor shall implement change management/version control software for the MITS solution that fully integrates with industry-standard version control software, such as Librarian for IBM COBOL and Microsoft Source Safe for web development, as applicable to the proposed solution. The software implemented shall be what was agreed to as part of the contractual agreement between the Contractor and the COM. Identify the Change Management/Version Control software being proposed, and describe how the Contractor will integrate this product with similar products currently being used within the COM’s existing environment. Identify the specific features and functionality of the Change Management/Version Control software product(s) being proposed. Page 25
  26. 26. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Page 26
  27. 27. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RESPONSE: 4.4.3 TOOLKITS The MITS solution shall include well-documented system administration, configuration, forms definition, and data modeling toolkits or modules. The configuration toolkit for user interfaces shall be used by trained non-information technology Agency staff to specify the functions and other components for job-function menus. The data modeling toolkit or module shall provide different levels of functionality based on user authorities; e.g., IT and non-IT staff, database administrators, application designers, and developers. Describe, in detail, the tools, toolkits and modules and how they satisfy the above requirements. RESPONSE: RFP SECTION 4.5 INTERFACE REQUIREMENTS MITS shall support existing processes that currently interface with the SMART system and other application systems targeted for replacement. To reduce the development and maintenance effort associated with these interfaces, the COM requires that MITS utilize, where feasible, a standard interface facility/utility. It is the COM's desire to reduce the overall number of interface programs, to streamline interface processes, and to utilize newer technological standards (EDI, XML) where feasible, to exchange data. The MITS solution shall provide an efficient interface for each functional process that needs to access, receive, send or otherwise utilize external data. Exhibit 6 describes the functional areas that require MITS interfaces. Describe how MITS will support the current interfaces to the SMART system and other applications targeted for replacement. Describe the solution’s approach to utilization of a standard interface facility or utility. Page 27
  28. 28. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RESPONSE: 4.5.1 INTERFACE PLAN The Contractor shall provide an interface plan that identifies, analyzes, and schedules the interfaces to be developed and implemented. The plan shall cover the identification of the standard interface facility to be used and resolution of data translation issues and must recommend appropriate strategies and approaches. The plan must also address the sequence in which the interfaces must be developed and moved to production. Temporary interfaces must also be included in the plan. The total number of external and internal interfaces has been estimated to be between 80 and 100, of which no more than 20 are internal interfaces. Actual design of the interfaces will be mutually agreed upon between the COM and the Contractor. Describe the approach to development of the Interface Plan that includes the information identified above. Provide a sample Interface Plan that would be similar to the one that would be developed for the COM. RESPONSE: 4.5.2 AUTOMATED INTERFACES The Contractor shall provide a MITS solution with the capability of automated data exchange with external systems and automated interfaces to/from other COM systems in order to maintain and synchronize dependent data. Describe the ability of the proposed solution to automate the exchange of data with external systems and automate the internal interfaces. Describe how the proposed solution synchronizes dependent data. RESPONSE: 4.5.3 REAL-TIME INTERFACES WITH COM SYSTEMS The MITS solution shall provide a real-time interface with other COM systems to allow a seamless presentation of data to the user or to ensure data currency. Page 28
  29. 29. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Describe how the proposed solution will perform real-time interfaces with other COM systems, and how these interfaces will be created and maintained. RESPONSE: RFP SECTION 4.6 CONVERSION REQUIREMENTS 4.6.1 DATA CONVERSION AND MIGRATION PLANS The Contractor shall prepare data conversion and migration plans to convert data from the existing applications and systems into the new MITS solution. Exhibits 3 and 4 detail volumes and record layouts for the existing applications and systems. The COM has developed a list of some, but not all, of the conceptual data entities that will be required within MITS. The COM anticipates converting up to ten (10) years of existing data for the MITS solution. The data conversion plan shall, at a minimum, cover the “who, what and when” aspects for data conversion and migration and include: o All aspects of creating the databases necessary to support the MITS solution; o Data transfers during the implementation phases when the MITS solution is operating in parallel with the old systems; o Conversion of detailed history as identified by the COM; o Descriptions of all files required by MITS and data sources for those files; o Validation of the conversion process, and o Roles and responsibilities of Contractor personnel and COM personnel. Describe the approach to development of the Conversion Plan and the time frames for development. Identify how the proposed approach satisfies the above requirements and address each bulleted item. Provide a sample Conversion Plan similar to the one that would be developed for the COM. Complete and attach Appendix L Conceptual Data Entity Chart. In the column titled “Core Component Module”, enter a “Y” for yes or “N” for no to indicate whether or not the solution supports the data entities listed. In the column titled “Modification Required”, enter a “Y” or “N” or “NS”(“not supported”) to indicate if modification is required to support the data entity listed or if the data entity is not supported by the proposed solution. Valid combinations of responses are: Core Component Module = Y and Modification Required = N Page 29
  30. 30. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Core Component Module = N and Modification Required = Y Core Component Module = N and Modification Required = NS RESPONSE: • The Contractor shall be responsible for partnering with COM staff to complete conversion and migration of data required for the proposed system. The Contractor shall define the vehicle for system loading and the required data format. The COM shall be responsible for directing the extract and mapping function of the conversion process. • The Contractor shall be responsible for partnering with COM staff for the cleansing of all data. Describe the proposed solution for conversion and migration of data. Identify the COM resources required to partner with the Offeror to achieve these requirements. RESPONSE: • The Contractor shall be responsible for writing both extract and load programs that allow for migration of data from existing COM systems to the ITS and Business Intelligence/Data Warehouse components of MITS. Describe the approach to migrating the data and the timing of the migration(s). Discuss best practices related to data cleansing and describe how data purification will be carried out. RESPONSE: • The Contractor shall develop a conversion and migration tool or method that COM may use to convert data from tax returns that were not converted into MITS at the time of MITS implementation. The conversion/migration tool shall have the ability to convert data from a tax return or groups of tax returns. The post-implementation data that is converted/migrated shall be: o identified as converted data, o posted to an account, and Page 30
  31. 31. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 o processed by MITS with the capability to apply financial transactions and manipulate the data. Identify and discuss the tools and automated programming that will be used to carry out the data conversion effort, and identify the roles, responsibilities, and schedule for the conversion effort. RESPONSE: 4.6.2 DATA STORAGE, ARCHIVAL AND RETRIEVAL The Contractor shall configure and implement the MITS solution so it is capable of accessing and processing at least ten (10) years of taxpayer data in the production environment. The Contractor shall configure and implement the MITS solution to provide archival and retrieval functionality for detail and summary data that is over ten (10) years old. The archival and retrieval functionality shall be scalable and expandable to accommodate an unlimited number of year’s worth of data. The MITS solution shall be capable of performing data archiving services as detailed and agreed upon between the Contractor and COM. Describe the proposed systems ability to access and process ten (10) years of taxpayer data in the production environment. Describe how the proposed systems archival and retrieval functionality will be implemented to satisfy the above requirements. Describe the scalability and expandability of the data storage, archival and retrieval functionality. RESPONSE: RFP SECTION 4.7 TRAINING, KNOWLEDGE TRANSFER AND DOCUMENTATION REQUIREMENTS The Contractor shall provide a Training Plan that includes on-site classroom training, follow-up training support, on-line/web-based/Computer Based Training (CBT) and knowledge transfer for COM personnel as described below. The Training Plan will Page 31
  32. 32. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 include the identification and description of the essential technical and application skills required to support the MITS solution. The Contractor shall provide training customized to the MITS solution. Describe the approach to training and knowledge transfer for the system proposed. Describe how training will be customized to the MITS solution. RESPONSE: 4.7.1 TECHNICAL TRAINING The Contractor shall provide on-site training at the ADC for the COM technical staff in each of the following areas: ITS Application/COTS/ITS 3rd Party Software— no more than 25 programmer/analysts BI/DW Applications/3rd Party Software – no more than 25 programmer/analysts Database/BI/DW – no more than 12 database specialists/DBAs ITS and BI/DW IT Infrastructure Technical Support – no more than 24 computer and network specialists Operations Support – no more than 12 computer operators The goal of the technical training is to train the COM technical staff so they can operate, support, configure, tune, backup and recover, and maintain the MITS solution post- implementation. The technical training will cover such topics as COTS application and customization support; database installation, configuration, tuning, and recovery; business intelligence and data warehouse installation, configuration, tuning and recovery; operating system and security configuration, tuning and recovery; and job scheduling, data backup and recovery, print operations. Describe the approach to training the COM’s technical staff, training content and scope, and time frames. Provide a sample Technical Training Plan similar to one that might be executed during MITS implementation. Provide sample technical training material and sample course outlines and durations. RESPONSE: Page 32
  33. 33. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 4.7.2 USER TRAINING The Contractor shall provide on-site, end-user overview training of all components of the MITS solution in Baltimore and Annapolis, for all MITS users. The COM shall provide “auditorium” or assembly type facilities in Annapolis and Baltimore for the overview training. For the following detailed, hands-on training, the COM shall provide training facilities with computer equipment in Annapolis and Baltimore. The training facilities will be set up as classrooms with a maximum seating capacity of 25 students. • The Contractor shall provide detailed, hands-on training appropriate for each user group at the end of each implementation phase. • The Contractor shall provide detailed, hands-on end-user training for no more than 50 MITS users on Business Intelligence to enable the COM personnel to support and run the six (6) applications developed for the Early Benefits projects and to enable the COM personnel to create and support additional compliance type applications using the Business Intelligence/Data Warehouse component. • The Contractor shall provide detailed, hands-on end-user training for no more than 5 MITS users on Business Intelligence to enable the COM personnel to perform revenue reporting, revenue forecasting and projections using the Business Intelligence/Data Warehouse component. • The Contractor shall provide advanced report generation training for no more than 100 MITS users. The Contractor shall coordinate the advanced report generation training sessions with the development of the specified number of required reports for the phases implemented utilizing classroom training and knowledge transfer. (See Section 4.11, Project Milestones and Deliverables and Exhibit 9 – Critical Reports.) The Contractor shall maintain attendance logs of all on-site training administered. The Contractor shall develop an end-user training manual for each implementation phase and module within the phase. The Contractor shall provide one printed copy of the manual to each trainee and one electronic version of all training manuals in MS Office 2003 format or Adobe Acrobat PDF. For user training, the Contractor shall utilize the training instance of the MITS solution described in Section 4.3.1.12 with COM data. The Contractor shall provide supplemental on-line, web-based and/or computer-based training that includes the use of context-specific help, search mechanisms, and support of COM-specific business processes or MITS-specific configurations. Page 33
  34. 34. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 In addition to the on-site training sessions, the Contractor shall provide on-site follow-up training support. Training support shall be defined as the assignment of one trainer full- time at the COM Annapolis location with travel to the Baltimore office as needed from the date of MITS phase one implementation until six months after the implementation date of the final MITS phase. Describe how the proposed training plan will satisfy all of the above training requirements. Describe the approach to Advanced Report Generation training. Address each training requirement. Provide a sample User Training Plan similar to one that might be executed during MITS implementation. Provide copies of sample user training material and sample course outlines and time frames. Describe the system configuration (e.g., RAM, storage, CPU, network connectivity) required for the workstations that will be used for the hands-on training. Provide the names and duration of on-line/web-based/CBT courses being proposed, and describe their content and length of availability to COM staff. RESPONSE: 4.7.3 KNOWLEDGE TRANSFER Contractor shall provide knowledge transfer throughout all MITS phases. The Contractor shall include in the Training Plan a knowledge transfer plan that describes how the needed skills and knowledge for the MITS solution will be transferred from the Contractor’s personnel to COM personnel. COM personnel to participate in the knowledge transfer include COM administration, MITS project team, middle management, technical staff, and section supervisors. Describe the approach to fulfilling the COM’s knowledge transfer requirements as defined above. Provide a sample Knowledge Transfer Plan and samples of any materials that would be used to assist in the transfer of knowledge to the various levels of COM staff. RESPONSE: Page 34
  35. 35. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 4.7.4 DOCUMENTATION The Contractor shall provide all documentation (in electronic form with one printed copy) needed to support the MITS solution implemented, including the following: • Training materials for each on-site training course. • Customizable on-line help documentation for each component of MITS. • Technical documentation (e.g., installation, configuration, operations, backup/recovery, diagnostic, security) for all COTS and/or third party products implemented. • User documentation (e.g., user’s guide, security) for all COTS and/or third party software products implemented including screen shots of key functions. • Technical and User documentation on all customizations and/or custom modules implemented. • COTS and/or third party software product release documentation. Describe the approach to maintaining and updating the required MITS documentation. Describe the approach to providing customizable on-line MITS documentation. If third party software is proposed, identify it by title and version, and describe the features of that software that will be used to satisfy the above requirements. RESPONSE: RFP SECTION 4.8 WARRANTY ON SOFTWARE, HARDWARE AND DELIVERABLES 4.8.1 SOFTWARE/DELIVERABLES The Contractor shall warrant all phases of the system, from initial implementation through six (6) months after the acceptance of final phase deliverables, against defects in design and programming, errors, inaccuracies, incompleteness in documentation, training course materials, customizations to the software necessary to enable it to meet specifications on an on-going basis, and any other deliverables. After expiration of the warranty period, the Contractor shall provide maintenance through the initial term (five years) of the contract for all COTS software delivered and implemented as a result of this RFP. Software maintenance shall include upgrades, patches, and support. Describe what is included in warranty and the length of the warranty for the software proposed and the deliverables. Describe what is included in maintenance of the software being proposed. Page 35
  36. 36. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 Acknowledge that the maintenance periods being proposed will cover the time frames listed above. Describe how the proposed solution will satisfy the above warranty and maintenance requirement. Describe how maintenance and patches will be applied or backed out if problems arise. Describe how the information on applying maintenance and patches will be communicated and who the State is to contact about support of the changes. Describe the Contractor’s approach to addressing the six months, after acceptance of the final phase, warranty period on all MITS deliverables. RESPONSE: 4.8.2 HARDWARE The Contractor shall provide a combined total of five (5) years of on-site warranty and maintenance support for all hardware procured by the COM from the Contractor. The on-site warranty and maintenance support shall be provided 24 hours per day/365 days a year with a 4 hour response/fix timeframe response time and 24 hour fix timeframe. Describe what is included in warranty and the length of the warranty for the hardware being proposed. Describe what is included in maintenance of the hardware being proposed. Acknowledge that the maintenance periods being proposed will cover the time frames listed above. Describe how the proposed solution will satisfy the above warranty and maintenance requirement. RESPONSE: RFP SECTION 4.9 HELP DESK AND SUPPORT REQUIREMENTS Page 36
  37. 37. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 As each phase of MITS goes live, the Contractor shall implement Help Desk functionality related to that phase. Additionally, 4.9.1 through 4.9.7 4.9.1 The Contractor shall provide support for the MITS solution implemented for the term of the contract. 4.9.2 The Contractor shall provide telephone support 24 hours a day, 365 days a year. 4.9.3 The Contractor shall provide on-site support and secure remote access support for the MITS solution. 4.9.4 The Contractor shall, as necessary, work closely with COM and any other vendor used by the COM to implement, support, trouble-shoot, and resolve problems related to the MITS solution. 4.9.5 The Contractor shall provide a central point of contact for calls from the COM on troubleshooting and problem resolution for the MITS solution implemented. 4.9.6 The Contractor, in agreement with the COM, shall assign a priority rating for each call. The following priority ratings and accompanying response times shall be utilized: • Critical The application/system is down, no work can be performed; e.g., SYSTEM ALERT. Corrective-Action Time Frame: 2 to 4 hours 2 to 4 hour response time and 24 hour resolution timeframe • Serious There is a major problem, but there is a work-around for the problem. Corrective-Action Time Frame: Two work days • Minor There is a minor problem, which does not significantly impact work. Corrective-Action Time Frame: Five workdays to propose solution. • Routine The work order is a “non-problem”, for example, a request for service, or “how to” questions, or requests for installation of application(s) on new equipment, etc. Action Time Frame: Five work days or more with concurrence of the COM. Page 37
  38. 38. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 4.9.7 The Contractor shall provide the following troubleshooting and problem resolution services: • Live-Voice Response The live-voice response to the first phone call by technical staff, who in agreement with the COM will assign a priority rating for the call and may attempt to solve the problem over the phone, via voice or secure remote access. • Resolution Within Timeframes The problem call shall be resolved within the corrective action timeframes defined in Section 4.9.6 (above) of this RFP in accordance with the corrective-action timeframes designated for the priority ratings. When the Contractor initiates a call back by the appropriate technical staff, the call back must be made within one (1) hour of COM’s first phone call to the Contractor’s central point of contact. • Escalation Procedures The Contractor shall provide and utilize escalation procedures to resolve problems. If the Contractor’s technical staff cannot resolve the problem during the first phone call, they must escalate the problem, and in agreement with the COM either have the appropriate technical staff contact the COM by phone within one (1) hour or be on-site at the COM office within two (2) hours of the first phone call. • Tracking and Reporting on Calls The Contractor shall track all calls made to the central point of contact. The Contractor shall keep a record of each problem call received similar to the Help Desk report exhibited in Exhibit 12, Help Desk Call Record Sample. The Contractor shall submit weekly reports in Microsoft Office format or HTML format, by either fax or e-mail, to the COM, that detail the current status of all problem calls. • Access to Support Personnel The Contractor shall have immediate access via pager and/or cell phone to their technical support personnel so that the required technical support personnel may be contacted regardless of location. Describe how MITS Help Desk and Support requirements, listed in 4.9.1 through 4.9.7 above, will be satisfied. Address each requirement. Provide a sample help desk report. RESPONSE: Page 38
  39. 39. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RFP SECTION 4.10 PROJECT REQUIREMENTS 4.10.1 PROPOSED IMPLEMENTATION SCHEDULE The Comptroller plans to implement the MITS solution in a phased approach. The COM requires “Early Benefits” that generate revenue quickly. The scope of the phases is described below. Page 39
  40. 40. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 PHASE 1 Business Intelligence/Data Warehouse: The COM has identified the six (6) Early Benefits Projects for implementation in BI/DW Phase 1. • Early Benefits Projects 1 through 6 Integrated Tax System: The COM has identified the following tax types for implementation in ITS Phase 1. The ITS-Phase 1 will include all functions (i.e., registration, filing, processing, compliance, and collections) for the following tax types: • Corporate Income Tax • Tire Fee • Sales and Use Tax • Employer Withholding • Admission and Amusement Tax PHASE 2: Business Intelligence/Data Warehouse: Implementation of the Revenue Reporting functionality (see Exhibit 2, Revenue Reporting section). Early Benefits projects initiated during Phase 1 will continue to run, and may be enhanced as needed to continue revenue generation. Initiate an Audit Selection function for corporate income tax and sales and use tax. Integrated Tax System: Phase 2 includes implementation of full functionality for personal income taxes. PHASE 3: Business Intelligence/Data Warehouse: Continued implementation of the Revenue Reporting functionality (see Exhibit 2, Revenue Reporting section). Personal income tax compliance programs will be created/converted from interfacing with the legacy systems to interfacing with MITS. Early Benefits projects initiated during Phase 1 will be converted as needed to interface or work with the MITS. The Early Benefits projects may be enhanced as needed to continue revenue generation. Integrated Tax System: This phase will be allocated to full functional implementation of the following tax/fee types: • Alcohol • Tobacco • Estate Tax Page 40
  41. 41. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 • Fiduciary Taxes • Pass-through Entity Taxes • Bay Restoration Fee PHASE 4: Business Intelligence/Data Warehouse: Continued implementation of the Revenue Reporting functionality (see Exhibit 2, Revenue Reporting section). Additional Business Intelligence/Data Warehouse campaigns will be defined and implemented, focused on both increasing revenue and enhancing COM’s ability to make sophisticated revenue projections. Integrated Tax System: This phase will be allocated to full functional implementation of the following tax/fee types: • Motor Fuel • Business Licenses Implementation of the MITS solution completed during this phase. Provide a detailed project implementation schedule that would comply with the COM’s proposed time frames as defined above. Discuss the advantages and disadvantages, based on the Offeror’s experience implementing BI/DW and ITS systems, of adhering to the proposed schedule. RESPONSE: 4.10.2 CONTRACTOR’S PERSONNEL 4.10.2.1 Contractor’s Key Project Staff -- The Contractor must provide a Project Manager, a Tax & Revenue Subject Matter Expert, an Integrated Tax System Subject Matter Expert, and a Business Intelligence/Data Warehouse Subject Matter Expert. (1) One Project Management Institute (PMI) certified Project Manager who has managed at least one project similar in scope to the MITS project, and who shall be assigned to the project full-time. (2) One Tax and Revenue Subject Matter Expert who shall be assigned to the implementation of the MITS project full-time. (3) One Business Intelligence/Data Warehouse Subject Matter Expert who shall be assigned to the implementation of the Business Intelligence/Data Warehouse Page 41
  42. 42. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 component of the MITS project full-time, and who is an expert in the use of the Business Intelligence/Data Warehouse product(s) being proposed. (4) One Integrated Tax System Subject Matter Expert who shall be assigned to the implementation of the ITS component of the MITS project full-time, and who is an expert in the installation, support and use of the ITS COTS product being proposed. These employees shall be designated as key project staff and shall be required to work on-site in Annapolis and travel to Baltimore as required. Acknowledge the commitment to retain key staff throughout the life of the MITS implementation project. RESPONSE: 4.10.2.2 Experience Requirements for Key Staff • Project Manager • Tax and Revenue Subject Matter Expert • Business Intelligence/Data Warehouse Subject Matter Expert • Integrated Tax System Subject Matter Expert Briefly describe the experience level of the key staff being proposed. Provide a detailed resume, as a separate attachment, for each of the key project staff identified above. Each resume must be organized so that the COM can easily determine if key staff meets all general and specialized experience requirements. Experience described must include the name, size (by dollar amount and duration) and location of each project satisfying the experience requirements. The two most recent projects listed must identify a reference who will agree to be interviewed by phone by COM staff. Page 42
  43. 43. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RESPONSE: 4.10.2.3 Contractor Personnel — All Contractor personnel assigned to work on-site shall be available during COM’s normal work days (Monday through Friday, excluding State holidays) and normal hours of operation. The Contractor’s Project Manager shall notify the MITS Project Director of key staff’s extended leave and telework requests, which shall be coordinated with and approved by the MITS Project Director. All Contractor personnel working on-site at the COM offices shall utilize COM provided workstation computer equipment to manage and implement the MITS solution. COM shall configure the workstations with the operating system, email and MS Office 2003 desktop software. The Contractor shall provide, install and configure software specific to the implementation and maintenance of the MITS solution. Acknowledge the above requirements and indicate acceptance of these requirements. Identify, by project phase or by a schedule,, the number of Contractor personnel who will be working on-site. Describe the hardware configurations (CPU, memory, storage, operating system) required for the workstation computer equipment to be used by on-site personnel. Acknowledge the understanding that the Contractor shall provide and install the MITS project specific software on the provided computer equipment. Describe the MITS project specific software, by title and version, that will be installed on the workstations. RESPONSE: 4.10.2.4 Citizenship Requirements — All Contractor personnel assigned to the MITS project shall be a U. S. Citizen or document lawful permanent residency. Acknowledge the above requirement and indicate acceptance of this requirement. For key staff, indicate in the detailed resume if the person being proposed is either a U. S. Citizen or possess document of lawful permanent residency. Page 43
  44. 44. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RESPONSE: 4.10.2.5 Work Performed On-shore Only – Any work performed by Contractor personnel assigned to the MITS project, which involves development of customized code or use of COM data, shall be done within the United States. Indicate acknowledgement of and commitment to the above requirement. Indicate the number of personnel assigned to the MITS project working off-site and identify the off-site location(s). RESPONSE: 4.10.2.6 Use of COM Data – COM confidential data shall not be taken off-site or copied to non-State owned equipment without the Agency Procurement Officer’s written approval. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: 4.10.2.7 Substitution of Key Project Staff — The Contractor shall provide written notification to COM at least 15 business days in advance of the proposed substitution of key project personnel. All requests for substitutions must provide a detailed explanation of the circumstances necessitating the proposed substitution, a resume of the proposed substitute, and any other information that may assist COM to make a determination as to the appropriateness of the proposed substitute. All proposed substitutes must have educational qualifications and work experience equal to or better than the resume initially proposed for personnel; the burden of illustrating this comparison shall be the Contractor’s. All substitutions must have the MITS Project Director’s approval. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: 4.10.2.8 Non Performance of Contractor’s Personnel – In the event that COM is dissatisfied with the Contractor’s personnel, the Contractor personnel may be removed at Page 44
  45. 45. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 the MITS Project Director’s discretion. For key staff personnel, replacement personnel must have qualifications equal to or greater than that of the Contractor staff to be replaced. The MITS Project Director will determine the replacement time frame. Indicate acknowledgement of and commitment to the above requirement. RESPONSE: 4.10.3 PROJECT FACILITIES, LOCATION AND TRAVEL EXPENSES The Contractor’s key project staff shall be required to work on site, in Annapolis and travel to Baltimore as needed. The Comptroller shall provide: •Office space •Necessary telephone and fax equipment •Local and domestic long distance telephone service for business use only •Basic office supplies •Necessary computers •Connectivity to COM’s network and internet •COM email accounts •Access to COM printers and copiers •Meeting and training facilities with appropriate equipment. Note: availability of these facilities may be subject to adequate scheduling and coordination with other groups utilizing the same facilities. The Comptroller shall not provide cell phones, Personal Digital Assistants, Portable Media Devices or any associated services. The COM shall not pay any travel costs nor shall it provide reimbursement to the Contractor for travel costs. Travel costs shall be defined as expenses incurred for lodging, meals, parking, mileage and incidental expenses related to traveling to and from the project worksites. Indicate acknowledgement of and commitment to the above requirements. Page 45
  46. 46. THE COMPTROLLER OF MARYLAND REQUEST FOR PROPOSALS No. 0804 APPENDIX J AMENDED 3/26/08 RESPONSE: 4.10.4 OTHER PROJECT REQUIREMENTS 4.10.4.1 Signing Security Forms - All Contractor and sub-contractor personnel assigned to the MITS project shall be required to sign security and system access forms stating that Criminal Law Article Title 7, Section 302, Title 8 Section 606 of the Annotated Code of Maryland, Statewide IT Security Standards and other laws as applicable shall be observed. Five (5) working days prior to the project initiation’s kick-off meeting, the Contractor must provide the MITS Project Director a list of all individuals who will be assigned to work on this RFP. All assigned individuals must sign the Non-Disclosure Confidentiality Agreement (Appendix I). Those individuals who will be working on site must also obtain “Applicant/Employee Security Clearance” from the Maryland Department of General Services Police. The DGS security clearance involves a review and full disclosure of all criminal records. The Contractor, its employees and subcontractors who will be working on site at the COM Annapolis and Baltimore offices must contact the DGS Police, 29 Saint John’s Street, Annapolis, Maryland 21401, telephone (410) 260-2911; fax (410) 974-2224 to obtain the security authorization forms. All Contractor staff who are assigned to the MITS project shall be required to sign security and system access forms stating that Statewide IT Security Standards shall be observed. Indicate acknowledgement of and commitment to the above requirements. RESPONSE: 4.10.4.2 Obtaining an Identification Badge – All Contractor personnel assigned to the MITS project, and who will work on-site at the COM offices, shall be required to obtain a State identification badge at a cost of $15 per person (only cash or money orders are accepted by DGS). Indicate acknowledgement of and commitment to the above requirement. Page 46

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