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C000890

STATE OF NEW YORK

DEPARTMENT OF MOTOR VEHICLES

REQUEST FOR PROPOSALS

FOR

SYSTEMS MODERNIZATION

May 7, 2018

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Schedule of Key Events

EVENT DATE

RFP Release Date 05/07/2018 Deadline for receipt of Bidders’ questions 05/29/2018 Response to written questions mailed to Bidders 06/12/2018 Deadline for receipt of Bidders’ questions 06/26/2018

Response to written questions mailed to Bidders/ Optional Bid Conference 07/10/2018

Mandatory Intent to Bid 07/17/2018

Proposals due 07/31/2018, 2:30 PM EST Vendor Demos TBD Contractor Selection / Notice of Award (“estimated” date) 10/09/2018 Contract negotiations end; NYS Control Agency review begins (“estimated” date) 12/28/2019

Contract Approval by Office of State Comptroller (OSC) and Office of Attorney General (AG) (“estimated” date) 04/22/2019

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DESIGNATED CONTACTS Until a Contract is executed by OSC, all communications between DMV and a Bidder which relate to this procurement must be directed to the DMV’s “Designated Contact Person”, or alternate, as follows:

Maureen Younkin Jessica Townsel NYS Department of Motor Vehicles NYS Department of Motor Vehicles 6 Empire State Plaza, Room 528B Or her alternate: 6 Empire State Plaza, Room 528B Albany, NY 12228 Albany, NY 12228 Phone: (518) 402-2441 Phone: (518) 473-5122 E-mail: [email protected]

E-mail: [email protected]

mailto:[email protected]


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Glossary of Terms & List of Acronyms

Acronym Meaning or Description AAMVA American Association of Motor Vehicle Administrators AAMVA CDLIS American Association of Motor Vehicle Administrators Commercial

Driver’s License Information System AAMVA HAVV American Association of Motor Vehicle Administrators Help America

Vote Verification AAMVAnet American Association of Motor Vehicle Administrators Telecom

Network AAMVA NDR American Association of Motor Vehicle Administrators National Driver

Register CBN Canadian Bank Note CDLIS Commercial Driver License Information System CFD Customer Facing Device CID Customer Identifying Data CIDV Customer Identifying Data Verification CIE Client Identity Exchange CLP Commercial Learner Permit DMV New York State Department of Motor Vehicle EDL Enhanced Driver License ENDID Enhanced Non-Driver ID FOIL Freedom of Information Law (FOIL) HIN Hull Identification Number HVUT Heavy Vehicle Use Tax IaaS Infrastructure as a Service IMb Intelligent Mail Barcodes IRP International Registration Plan ITS New York State Office of Information Technology Services MFH Serial number for manufactured home NCIC National Crime Information Center Number NDID Non-Driver ID Card NLETS International Justice and Public Safety Network NMVITS National Motor Vehicle Title Information System NYSPIN New York Statewide Police Information Network OASAS Office of Alcoholism & Substance Abuse Services OSCAR One Stop Credentialing and Registration PACER Public Access to Court Electronic Records PDPS Problem Driver Point System PIRP Point and Insurance Reduction Program

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PTS Plate Tracking System SME Subject Matter Expert SOA Service Oriented Architecture SSN Social Security Number VIN Vehicle Identification Number VSAM Virtual Storage Access Method Glossary Terms Meaning or Description

360-degree View A display of a customer’s record showing customer information, transaction activity, and assets.

Abstract A summary document of motor vehicle records.

Alerts In-system displayed message, e.g. eligibility check statuses, office closures, and sanctions.

Applications Business-facing services and business processes that have a user interface, programmatic or service interfaces to websites, portals or other visual composites.

Associate The process of linking information within the Solution. (e.g., attaching a ticket to the correct customer).

Batch Transaction Transactions queued to be processed at a later time.

Bidder A vendor who submits a proposal to this RFP.

Bulk Transaction An abbreviated process of executing multiple transactions of the same type.

Carriers Persons engaged in transportation of goods or passengers.

Certified Examiner Person authorized by DMV to assess a commercial driver’s ability and compliance.

Clean Pass A program that allows eligible low-emission, energy-efficient vehicles to use the 40-mile Long Island Expressway High Occupancy Vehicle (LIE/HOV) lanes, regardless of the number of occupants in the vehicle.

Commercial Off The Shelf (COTS)

Configurable software that is ready-made and designed to be implemented easily with minimal customization.

Conditional Driver License/Permit

A document denoting conditional driving privileges (e.g. issued following a driving while intoxicated/impaired conviction).

Contractor The vendor awarded the contract from this RFP.

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Conviction A declaration that a customer is guilty of an offense, usually resulting from a hearing.

Correspondence Any information exported from the system for distribution e.g. documents rendered to print, emails, and text messages.

Customer Facing Device (CFD)

A tablet-style device, located in DMV offices, that allows a customer to process transactions directly.

Customer Facing Services

Public and business facing standalone web and portal based transactions that typically interface with larger internal systems through common services.

Customer Any person or business using the Department of Motor Vehicle services.

Customer Record All demographic information, privileges, and assets assigned to a customer.

Data Stores Both individual and collections of information used for managing transient data and systems of record.

Dismiss The action taken after a determination has been made that the parameters used to issue a ticket were incorrect (e.g., valid vehicle inspection was in fact on file).

Dispositions Final settlement or determination (e.g., of a traffic ticket or hearing).

Driver Responsibility Assessment

The billing and collection of fees (assessments) for drivers who: 1) are convicted of drug or alcohol-related offenses; 2) refused to submit to chemical tests; and/or 3) accumulate six or more points on their driving record in an 18-month period. Billing and payments for assessments can be established in installments and extend over a three (3) year period.

Eligibility The state of having met the criteria to qualify for a DMV transaction or service.

Endorsements A notation on a customer’s record allowing operation of certain vehicles (e.g., tank vehicles or those transporting hazardous materials).

Escort Certificate A document allowing the customer to operate a vehicle which accompanies an oversize vehicle.

Exception A transaction or piece of work in a workflow which cannot be processed through automated means and manual intervention is required.

Exchanges Data sharing services to various public, government or business entities.

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Fiscal Year NYS Fiscal Year runs from April 1 through March 31.

Fleet Multiple vehicles operating under the same ownership.

Image Capture Only A transaction which only ties a photo to a new or existing customer record.

Interfaces Interoperability between the System, and internal and external entities that is generally comprised of a collection of multiple services and data exchanges.

Kiosk A stand-alone device that enables customers to conduct self-service transactions without interaction with DMV staff.

Legacy Systems Existing DMV systems, including those that the System may replace.

License Event Notification System

Allows customers to track license events (e.g., reportable accidents, suspensions, revocations, etc.) of drivers they are authorized to monitor. The notifications are issued daily through a printed or electronic report.

Miscellaneous Sales Payments not associated with a typical DMV business transaction, (e.g., sales of EZ Pass transponders or NYS Driver’s Manuals).

NY.Gov ID User identification through New York State Central Directory Service for authentication and authorization.

Ownership Document Title or transferable registration that denotes vehicle ownership.

Plate Issuance/Participating Dealers

Motor vehicle dealers that are authorized to issue license plates.

Plate Transfer A transaction which moves a license plate from one vehicle to another, for the same customer(s).

Points Cumulative demerits issued by DMV because of convictions and offenses.

Private Service Bureau

A person, firm, association or corporation engaged in the business of assisting for hire in securing driver licenses, registrations, or titles of motor vehicles.

Prohibit/Stop A notation on a record which prevents certain or all activity.

Provisioning Granting user access to data repositories, systems, applications and databases based on a unique user identity and its associated roles and permissions.

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Random Audit A process that will stop a transaction using predetermined rules and require an authorized user to intervene to allow completion.

Real Time Real time in the context of DMV systems refers to a system which handles events as they occur as opposed to bulk or batch systems.

Registration Class Designation based on the vehicle body type, use, and registrant.

Registration Based Enforcement

Preventing the processing of a registration renewal if a vehicle does not have a current inspection on file.

Restrictions Limitations to driving privilege.

Restricted Driver License/ Permit

A Driver License or Permit which denotes restricted driving privileges for non-alcohol related offenses.

Sanctions An adverse or negative action applied to a driver license (e.g., suspension or revocation).

Secure Document Serialized and inventoried document that contain security features.

Single Sign-on Access to multiple systems without multiple entries of user names and passwords.

Solution The entirety of the Contractor’s deliverables including the System and any associated support and administrative functions.

Staged Transactions A transaction that has been started and saved for future completion.

Subscription The process by which a customer may choose to receive certain correspondence and notifications and determine the method of delivery (e.g., text or email).

Suspension The temporary removal of a customer’s driving privileges.

Temporary Documents

DMV documents which have a brief period of validity.

Transferable Registration

Proof of ownership for all vehicles for which NYS does not issue a certificate of title (e.g., vehicles older than 1973 model year).

User Anyone who uses the System, including DMV staff, customers and other external users (e.g., courts). User access will be role based as determined by NYS during system development.

Vehicle Means of conveyance which includes cars, boats, snowmobiles, motorcycles, trailers, trucks, and buses.

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TABLE OF CONTENTS

Designated Contacts ...................................................................................................................................... 3

1 INTRODUCTION AND GENERAL REQUIREMENTS ............................................................ 13

Objective ..................................................................................................................................... 13

BACKGROUND ........................................................................................................................ 13

1-2.1 DMV ................................................................................................................................... 13

1-2.2 ITS....................................................................................................................................... 14

SCOPE ........................................................................................................................................ 15

ELIGIBILITY OF BIDDERS ..................................................................................................... 16

TERM OF CONTRACT ............................................................................................................. 17

SUMMARY OF POLICY AND PROHIBITIONS ON PROCUREMENT LOBBYING ......... 17

CONTENTS OF THIS RFP ........................................................................................................ 18

QUESTIONS AND ANSWERS ................................................................................................. 19

OPTIONAL BIDDER’S CONFERENCE .................................................................................. 19

MANDATORY INTENT TO BID ............................................................................................. 19

SUBMISSION OF PROPOSALS/ BID OPENING ................................................................... 20

MULTIPLE PROPOSALS ......................................................................................................... 20

AMENDMENT OF PROPOSALS ............................................................................................. 20

WITHDRAWAL OF PROPOSAL PRIOR TO PROPOSAL OPENING .................................. 21

REJECTION OF PROPOSALS .................................................................................................. 21

PROPOSALS REMAIN OPEN .................................................................................................. 21

CONFIDENTIALITY ................................................................................................................. 21

CONFLICT OF TERMS ............................................................................................................. 23

NON-ENDORSEMENT ............................................................................................................. 23

REQUEST FOR DEBRIEFING ................................................................................................. 23

PROTEST OF CONTRACT AWARD ....................................................................................... 24

CONFLICT OF INTEREST ....................................................................................................... 26

CONTRACTOR CERTIFICATIONS PURSUANT TO TAX LAW §5-a ................................ 26

DMV’S RESERVED RIGHTS ................................................................................................... 27

PROPOSAL REQUIREMENTS ................................................................................................ 27

2 functional requirements ................................................................................................................... 29

Solution Volumes ........................................................................................................................ 29

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GENERAL BUSINESS REQUIREMENTS .............................................................................. 31

2-2.1 General ................................................................................................................................ 31

2-2.2 Address Processing ............................................................................................................. 33

2-2.3 User Interface and Display .................................................................................................. 34

2-2.4 Transaction Processing: General ......................................................................................... 35

2-2.5 Transaction Processing: Search and Retrieve Transactions ................................................ 36

2-2.6 Transaction Processing: Customer Record ......................................................................... 36

2-2.7 Transaction Processing: Eligibility Checks ........................................................................ 37

2-2.8 Alerts ................................................................................................................................... 37

2-2.9 Workflow Processing .......................................................................................................... 37

2-2.10 Hardware Integration .......................................................................................................... 38

2-2.11 Correspondence ................................................................................................................... 38

2-2.12 American Association of Motor Vehicle Administrators (AAMVA) Interfaces ................ 39

CLIENT ...................................................................................................................................... 40

2-3.1 Official Record Abstracts .................................................................................................... 40

2-3.2 360° view ............................................................................................................................ 40

2-3.3 Organ Donor Registration ................................................................................................... 41

2-3.4 Voter Registration ............................................................................................................... 41

2-3.5 Background Checks ............................................................................................................ 41

ADMIN ....................................................................................................................................... 41

2-4.1 Data Analytics and Reporting ............................................................................................. 41

2-4.2 Data and Record Management ............................................................................................ 42

2-4.3 Inventory Management ....................................................................................................... 43

2-4.4 User Identity Vetting and Roles Administration ................................................................. 43

2-4.5 Document Capture and Rendering ...................................................................................... 44

2-4.6 .................................................................................................................................................... 44

REGISTRATION AND TITLE .................................................................................................. 44

2-5.1 Registration Processing ....................................................................................................... 44

2-5.2 Custom Plate Processing ..................................................................................................... 45

2-5.3 Insurance Verification ......................................................................................................... 45

2-5.4 Vehicle Value Look Up ...................................................................................................... 45

2-5.5 VIN Verification ................................................................................................................. 46

2-5.6 Vehicle Emissions and Safety Inspections Enforcement .................................................... 46

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2-5.7 Authorized External Entities ............................................................................................... 46

2-5.8 Fleet Management ............................................................................................................... 47

2-5.9 Title/Ownership Document Processing............................................................................... 47

DRIVER LICENSE .................................................................................................................... 47

2-6.1 Conviction Processing......................................................................................................... 47

2-6.2 Commercial Driver Services ............................................................................................... 48

2-6.3 Driver Testing ..................................................................................................................... 48

2-6.4 Electronic Driver License Updates ..................................................................................... 49

2-6.5 Photo Document Transaction Processing............................................................................ 49

2-6.6 Identity Proofing ................................................................................................................. 50

TICKETING ............................................................................................................................... 50

2-7.1 Ticket Processing ................................................................................................................ 50

2-7.2 Hearing and Attorney Scheduling ....................................................................................... 51

FINANCIAL ............................................................................................................................... 51

2-8.1 Central Accounting System ................................................................................................ 51

2-8.2 Dishonored Check (Returned Payment Processing) and Chargebacks ............................... 52

2-8.3 Fee Calculations, Distributions and Reconciliations .......................................................... 53

2-8.4 Point of Sale Cashiering Processing ................................................................................... 53

2-8.5 Refund Processing............................................................................................................... 53

2-8.6 Web Payment Processing .................................................................................................... 54

CUSTOMER PORTAL .............................................................................................................. 54

2-9.1 Customer Portal................................................................................................................... 54

3 Technical Requirements ................................................................................................................... 55

INTEROPERABILITY ............................................................................................................... 55

SECURITY ................................................................................................................................. 58

4 Service REQUIREMENTS .............................................................................................................. 61

Staffing ........................................................................................................................................ 61

Program / Project Management ................................................................................................... 63

Implementation Approach........................................................................................................... 64

Software Development Life Cycle (SDLC) Methodology ......................................................... 65

Requirements Management......................................................................................................... 70

Quality Assurance / Testing ........................................................................................................ 71

Solution Training / Knowledge Transfer .................................................................................... 72

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Data Migration ............................................................................................................................ 73

Production Rollout ...................................................................................................................... 76

System Maintenance & Support ................................................................................................. 77

Disaster Recovery ....................................................................................................................... 82

Environment management .......................................................................................................... 83

5 Deliverables ....................................................................................................................................... 85

Solution Demonstration .............................................................................................................. 85

Deliverables Acceptance Process ................................................................................................ 86

6 Proposal Evaluation .......................................................................................................................... 88

6-1 COMPLETE BIDS ..................................................................................................................... 88

6-2 BID REQUIREMENT DETAIL ................................................................................................. 88

6-2.1 Introductory Cover Letter ................................................................................................... 88

6-2.2 Bidder’s Technical Proposal ............................................................................................... 88

6-2.3 Evaluation of Bidder’s Cost Proposal ................................................................................. 89

6-2.4 Financial Information .......................................................................................................... 89

6-3 EVALUATION OF PROPOSALS AND CONTRACT AWARD ............................................. 90

a. SECURITY REVIEW ................................................................................................................ 91

b. CONTRACT NEGOTIATION AND EXECUTION ................................................................. 92

7 Terms and Conditions ...................................................................................................................... 93

INTELLECTUAL PROPERTY LICENSE ................................................................................ 93

ESCROW FOR SOFTWARE SOURCE CODE ........................................................................ 93

DATA OWNERSHIP ................................................................................................................. 93

CONTRACTOR’S INSURANCE REQUIREMENTS .............................................................. 94

8 ACCESSIBILITY OF WEB-BASED INFORMATION AND APPLICATIONS BY PEOPLE WITH DISABILITIES ........................................................................................................................... 103

DISPUTE RESOLUTION ........................................................................................................ 103

SURETY ................................................................................................................................... 104

9 BACKGROUND CHECKS FOR Contractor PERSONNEL ..................................................... 104

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1 INTRODUCTION AND GENERAL REQUIREMENTS

TITLE VI NON-DISCRIMINATION: It is the policy of the New York State Department of Motor Vehicles to achieve compliance with Title VI of the Civil Rights Act of 1964 and related statutes and regulations in all Federal programs. The Contract awarded from this solicitation will be awarded in conformance with such law and related statutes and regulations. The bidder awarded a contract from this solicitation (Contractor) shall comply with the provisions of Appendix-J hereof (“Non-Discrimination, Title VI”).

OBJECTIVE The New York State Department of Motor Vehicles (hereinafter referred to as “DMV” or the “Department”) seeks the services of a highly-qualified vendor to transform and modernize DMV’s systems, by replacing existing legacy systems and improving business processes. This initiative focuses on providing better customer service, reducing transaction processing times and in-office wait time, responding to regulatory and legislative requirements more efficiently, enhancing security, reducing system outages, streamlining processes, and increasing self-service capabilities. DMV is seeking a modern DMV Commercial Off-The-Shelf (COTS) System (“the System”), which will ensure success (proven solution) and reduce time to implement. Therefore, the proposed solution must provide business capabilities needed for DMV’s core business, out-of-the-box with configuration and minimal customization. The purpose of this procurement is to obtain design, development, implementation, maintenance, support, and associated services for the proposed System.

BACKGROUND 1-2.1 DMV

The New York State Department of Motor Vehicles (“DMV” or “Department”), established in 1961, delivers essential motor vehicle and driver related services, and administers motor vehicle laws enacted to promote safety and protect customers.

The Department’s goals include:

• Providing Quality Customer Service • Improving Employee Satisfaction and Performance • Increasing Collaboration with Other Agencies • Enhancing the Integrity and Effectiveness of Systems, Processes, and Products • Promoting Traffic Safety • Expanding the Use of Alternative Service Delivery Methods • Providing Consumer Protection

DMV operates 27 State offices, and provides services through County-run offices at 90 locations, including 32 mobile offices. DMV also operates the Traffic Violation Bureau (TVB) at 8 locations.

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The Department issues licenses, non-driver identification cards and vehicle registrations, conducts road tests, monitors driver training, and performs enforcement activities. DMV conducts more than 20 million customer transactions annually, and has collected more than $2 billion in revenue for the State and localities in fiscal year 2017-18. New Yorkers rely on credentialing and identification documents issued by DMV and used to conduct financial transactions, obtain employment, and board airplanes, among other uses.

DMV transactions have increased steadily in volume and complexity since its inception. DMV has utilized alternative delivery channels, such as web portals, to increase efficiency and provide customers with a convenient alternative to visiting a DMV office. The DMV website processes more than seven (7) million transactions per year, with the number of web transactions increasing annually. Building on the success of previous customer service initiatives, DMV continues to enhance the customer experience in offices by offering kiosks, utilizing an improved queuing system, and employing greeters to answer questions and direct customers when entering an office.

To support the growing number of services and various delivery methods, DMV has incrementally constructed over 200 applications upon core systems and master files over the past 50 years. This has resulted in stove-piped solutions with widespread duplication of processes and data. Some of the data sources and systems established in the 1970's are still in use today. The ability to support these legacy systems requires unsupported technologies and outdated skills. Previous modernization efforts have introduced new capabilities; however, this approach simply extended the core legacy systems without restructuring or retiring these end of life applications. A high-Level assessment was performed on DMV systems, and the findings are provided in Exhibit 01 – DMV Systems Analysis. This analysis is not to be considered a full collection, but is intended to help inform bidders of the scope of the processes to be included in the overall Solution. Exhibit 01 provides an as-is itemized inventory of Applications, Customer Facing Transactions, Data Stores, and Exchanges. Each item has been categorized as supporting Client, Financial, Driver License, Registration, Ticketing, and Title capabilities. Further instructions and definitions can be found on the Instructions tab of the workbook.

1-2.2 ITS The New York State Office of Information Technology Services (ITS) was established in November 2012, to provide centralized IT services to NYS and its governmental entities, with the awareness that NYS residents are reliant on those services. ITS sets technology policies for all NYS government agencies and monitors all large technology expenditures, seeking efficiencies, lower costs, and innovative solutions. ITS, in partnership with DMV, provides oversight for information technology security policies technical architecture, system implementation, and contributes to a shared support model. DMV envisions that ITS will be responsible for the implementation effort on the State side for system integration with DMV systems outside the scope of this procurement, and will plan and execute all relevant work collaboratively with the Contractor.

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SCOPE

The scope of this procurement includes design, development, implementation, maintenance and support, and associated services for the proposed new System. DMV envisions the new System to be fully comprehensive, and to include interfacing with multiple DMV-internal and external systems.

The functional scope of the bidder’s proposed System includes the following eight (8) DMV areas:

1. Administrative – The administrative component of the solution supports the administrative processes that are overarching for all systems, including but not limited to identity proofing, reporting, inventory and access management.

2. Client – The Client component of the solution will provide master data management and a 360-degree view of all customer information. Common or global services may include credentials, identification, account, and contact information along with the confidence/assurance level of the client. This component also performs internal and external sanctions management such as statuses and resulting sanctions for delinquent child support, unpaid taxes, and bad debt.

3. Driver License – The Driver License component supports the management and lifecycle of multiple photo document types such as driver licenses, permits, and non-driver identification cards. This component involves many detailed requirements associated with photo document types, including multiple driver license classes, endorsements, restrictions, privileges, driver license related sanctions, and integration with AAMVA’s verification systems.

4. Registration – The Registration component includes services ranging from license plate management to the issuance of registration credentials for nearly 80 different vehicle classes and plate types, including the management of fees and expirations.

5. Title – The Title component of the solution supports the lifecycle management of ownership of assets such as vehicles, boats, and snowmobiles. This component will integrate with the International Registration Plan (IRP) program and AAMVA’s National Motor Vehicle Title Information System (NMVTIS).

6. Ticketing - The Ticketing component includes the management of tickets, hearings, and conviction sanction processes. The solution integrates with State and local law enforcement ticketing and court systems.

7. Financial – The Financial component includes a DMV central accounting system that is expected to be the source for managing all fee collection and distribution, accounts, reporting, and will interface with the Statewide Financial System (SFS).

8. Customer Portal – The Customer Portal is how the DMV customers will access the solution. Customers are able to access the portal through their NY.GOV ID, or by providing personal identifying information each time. There are limited transactions that customers can perform without being fully authenticated.

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The Contractor’s solution must:

• Align with the NYS customer-centric strategy, while simultaneously providing the agility needed to support any future State business strategies;

• Reengineer DMV’s core mission systems to result in an agency-wide, modernized, service-oriented transaction processing solution;

• Streamline and standardize the development and support of DMV systems; • Eliminate legacy data dependencies, and establish next-generation systems of record. • Improve the customer experience through configurable systems resulting in agile employees • Increase self-service and partnering opportunities • Reduce time-to-market for products and services.

ELIGIBILITY OF BIDDERS Bidders must provide their relevant experience and references, as described herein. As part of the proposal evaluation process, DMV will contact the references provided by Bidders listed in Appendix-F, “Business Experience and Reference Forms”, and will evaluate the qualifications of each Bidder to determine whether they meet the Mandatory requirements for this RFP. Bidders may submit more than one reference to fulfill the Experience requirements.

DMV reserves the right to disqualify any Bidder who provides an Experience Reference that is unsatisfactory to DMV. References deemed “Unsatisfactory” by DMV include, but are not limited to, the following: a reference indicating service was inadequate or that substandard performance was provided; DMV’s inability to confirm satisfactory references within five (5) business days of trying to contact references; the supplied references are unable to attest to the Bidder’s competency or fully conforming performance; or any information that negatively impacts DMV’s assessment of a Bidder’s responsibility.

Note: DMV will contact the Bidder in the event we are unable to reach the provided references.

Req. ID#

Type

Requirement Descriptions

EOB001 M

Within the past five (5) years, the bidder must have successfully implemented a COTS motor vehicle driver license and a COTS motor vehicle registration system modernization for a government entity. As of the date of Bid Opening, such solution must have successfully been in production for at least one (1) year.

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Req. ID#

Type

Requirement Descriptions

EOB002 M

Within the past five (5) years, the bidder must have successfully implemented, for a government entity, a system modernization in a similar size, scope and complexity to this procurement. As of the date of bid opening, such solution must have been in production for at least one (1) year.

EOB003 S

Bidder should list and describe their successful motor vehicle modernization implementations. DMV prefers that a bidder has implemented multiple core systems (e.g., license, registration, financial, etc.) that demonstrate varied experience in the different areas of this RFP.

EOB004 S

Bidder must provide references for the experience requirements in Section EOB001. Bidders must provide references that will furnish information on performance details which permit DMV to evaluate customer satisfaction with such systems. Bidder’s references should demonstrate successful implementation of motor vehicle systems.

EOB005 S

Bidder should list and describe in detail their experience with implementations for a government entity of modernization solutions, similar size and scope of this procurement. DMV prefers the bidder to have successfully implemented modernizations in multiple jurisdictions.

EOB006 S Bidder must provide references for the experience requirements in Section EOB002. Bidders must provide references that will provide information on performance details, which permit DMV to evaluate customer satisfaction with such systems.

TERM OF CONTRACT The term of the Contract awarded from this RFP shall commence upon final approval and execution of the Contract by the Office of the New York State Comptroller (OSC), and extend for a period of ten (10) years following DMV’s “Final System Acceptance” of the final phase of the implementation of the System.

SUMMARY OF POLICY AND PROHIBITIONS ON PROCUREMENT LOBBYING

In order to facilitate transparency in the procurement process, and pursuant to NYS Procurement Lobbying Law (State Finance Law §§139-j and 139-k), this solicitation imposes certain restrictions on communications between DMV and an Offerer/Bidder made during the procurement process. An Offerer/Bidder is restricted to communicating with designated DMV staff (“designated contacts”), during the portion of the procurement process known as the “restricted period”. The restricted period runs from DMV’s earliest written notice of its intent to solicit offers, through final

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approval of the Contract by the NYS Office of State Comptroller. Certain statutory exceptions are provided for in State Finance Law §139-j(3)(a). The Designated Contacts for this solicitation are identified as: Maureen Younkin Jessica Townsel NYS Department of Motor Vehicles NYS Department of Motor Vehicles 6 Empire State Plaza, Room 528B Or her alternate: 6 Empire State Plaza, Room 528B Albany, NY 12228 Albany, NY 12228 Phone: (518) 402-2441 Phone: (518) 473-5122 E-mail: [email protected]

E-mail: [email protected]

When contacted during the restricted period, DMV staff members are required to document information, about the communication. DMV must also make a determination of the “responsibility” of the Bidder. Certain findings of non-responsibility can result in rejection of the Bidder for contract award. In the event of two findings of non-responsibility made within a 4-year period, the Bidder may be debarred from obtaining governmental Procurement Contracts. Further information about the NYS Procurement Lobbying Law can be obtained from the Office of General Services Website, at: http://www.ogs.ny.gov/ACPL/ DMV’s Policy and Procedures concerning compliance with NYS Procurement Lobbying Law is attached hereto as Appendix C-1. Bidders must complete and submit Appendix C-2 with their bid.

CONTENTS OF THIS RFP The information and instructions contained in this RFP are intended to provide Bidders with the information needed to prepare and submit proposals and required accompanying materials.

This RFP contains:

a) The requirements for proposals that are submitted in response to this RFP; b) The format in which proposals must be submitted, and specifications for the materials to

be included in the proposals; c) The requirements bidders must meet to be eligible for consideration for contract award; d) The methods to be employed by DMV’s Evaluation Team to evaluate the proposals and

select a Contractor; e) General terms of the Contract to be awarded from this solicitation.



http://www.ogs.ny.gov/ACPL/

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Amendment of the terms of this RFP may only be made by DMV, in writing. Only written communications from DMV’s Designated Contact Person(s) will be binding upon the DMV. Oral representations are not binding upon the DMV.

QUESTIONS AND ANSWERS Bidders are encouraged to submit questions if they require clarification of any portion of this RFP. Whenever possible, bidders must reference the RFP section(s) to which each question refers. All questions regarding this RFP must be received in writing, by mail or email, by the dates and times provided in Schedule of Key Events

All questions must be submitted in writing either by mail or email to Maureen Younkin at the address provided above in Section 1-6.

It is the Bidder’s responsibility, if desired, to verify DMV’s timely receipt of the Bidder’s question(s); DMV will not provide automatic acknowledgement of receipt of questions.

Bidders seeking to prevent the disclosure of alleged proprietary information contained in their questions must mark such questions as "CONFIDENTIAL", and must provide a detailed justification for treating such information as confidential. DMV will review all questions submitted, and reserves the right and sole discretion to make the final determination as to which questions will be treated as Confidential. DMV reserves the right to rephrase questions to protect information that is deemed Confidential, prior to disclosing to all other bidders a Bidder’s confidentially raised question and DMV’s answer.

OPTIONAL BIDDER’S CONFERENCE DMV reserves the right to require Bidders to attend a mandatory bidders conference in Albany, NY on 07/10/2018. DMV will provide verbal responses to the questions submitted on 06/26/2018, and will answer additional bidder questions. Within three (3) days of the conference, DMV will provide written responses to all questions received. Only statements made by DMV in writing are binding.

MANDATORY INTENT TO BID Bidders wishing to submit a proposal for evaluation and consideration of contract award must provide a written Letter of Intent to Bid, which must be received no later than close of business on 07/17/2018, and addressed to the individual identified in Section 1.6. Letters of Intent may be sent by email.

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The Letter of Intent must:

1) Identify the firm name and corporate address of the bidder, as well as the contact information (phone and email) of a designated individual to whom any correspondence/addendums should be sent.

2) State the intent of the bidder to submit a proposal for evaluation. Failure to provide a timely Letter of Intent as described herein will disqualify the firm from submitting a proposal in response to this RFP.

SUBMISSION OF PROPOSALS/ BID OPENING Bidders must provide both electronic and written proposals. ELECTRONIC PROPOSALS MUST BE RECEIVED BY DMY BY SUBMISSION TO [email protected] ON OR BEFORE 2:30 PM (E.S.T.), ON 07/31/2018. DMV will confirm receipt of proposals. Bidder must contact DMV if confirmation is not received.

WRITTEN PROPOSALS MUST BE SUBMITTED TO DMV PROCUREMENT SERVICES THE ADDRESS PROVIDED IN SECTION 1-6, WITHIN 2 BUSINESS DAYS OF 07/31/2018.

The outside packaging of your proposal must clearly indicate “Proposal Enclosed for RFP #C000890”.

Bidders are responsible for ensuring the timely submission of their proposals. Bidders acknowledge that the State is not liable for Bidders’ costs incurred incident to the preparation or submission of proposals. Proposals received after the above scheduled date and time may be rejected as “late” (See, Section 1-15 hereof, entitled “Rejection of Proposals”).

MULTIPLE PROPOSALS Bidders who wish to submit alternate solutions in response to this RFP must do so in separate proposals, in order to facilitate the evaluation of each proposed solution. Multiple proposals from a Bidder will be permitted, however each proposal must fully conform to the requirements for proposal submission. Each such proposal must be separately submitted and labeled on each page as “Proposal Number One”, “Proposal Number Two”, etc.

AMENDMENT OF PROPOSALS Bidders may only amend submitted proposals prior to the proposal due date. Amended proposals must be submitted in packaging which clearly indicates on the outside “Amended Proposal for


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RFP #C000890”. Amended proposals must be signed by an individual who is duly authorized to amend the Bidder’s proposal (preferably the individual who signed the original proposal). Amended proposals must sent in the same manner described in Section 1-11 above. Amended proposals received by DMV after the proposal due date and time may be rejected as “late” (See, Section 1-15 hereof, entitled “Rejection of Proposals”).

WITHDRAWAL OF PROPOSAL PRIOR TO PROPOSAL OPENING A proposal may be withdrawn at any time prior to the proposal due date and time. If multiple proposals are submitted by the same Bidder, the Bidder must clearly indicate the proposal to which the withdrawal applies (e.g., “Proposal Number One”, “Proposal Number Two”, etc.).

REJECTION OF PROPOSALS The Department reserves the right to reject any or all bids, in whole or in part, and to waive technicalities, irregularities, and omissions if, in its sole judgment, such action will be in the best interest of the State. In the event that there are no satisfactory bids which fully comply with the bid specifications, the Department reserves the right to consider late or non-conforming bids. The Department will only award a Contract to a “responsible” and “responsive” Bidder (as permitted by State Finance Law, Section 163(9)(f)), that DMV determines to be qualified to satisfy the terms and conditions of this solicitation. The Department reserves the right and sole discretion to qualify a Bidder as responsible and responsive. Neither the Department nor the State of New York shall be liable for any costs incurred by Bidders in preparation for, or prior to approval of, an executed contract.

PROPOSALS REMAIN OPEN DMV reserves the right to award a contract to a successful Bidder within ninety (90) days after the date of proposal opening, during which period proposals must remain open and cannot be withdrawn. If, however, an award is not made within the ninety (90) day period, proposals shall continue to remain open until the Bidder delivers written notice of the withdrawal of its proposal to DMV’s Contract Administrator. Any proposal that expressly states therein that acceptance must be made within a shorter specified time, may be accepted or rejected at the sole discretion of the Department.

CONFIDENTIALITY DMV will notify all Bidders if and when a Contract has been tentatively awarded by DMV to the winning Bidder. Contracts let by DMV are considered to be tentatively awarded, and non-binding upon the State, until approved and executed by the NYS Office of State Comptroller (OSC). Prior to issuing notification of contract award, DMV will not disclose the content of any proposals, correspondence, working papers, or any other medium submitted to DMV in response to this

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solicitation (excepting the dissemination of Bidders’ questions to all Bidders as described in this solicitation).

After DMV issues notification of contract award, all proposals and contracts in DMV’s possession are considered agency records pursuant to New York State’s “Freedom of Information Law” (FOIL) (See, Public Officers Law, Article 6).

Agency records are generally available to the public upon request. However, pursuant to Public Officers Law, Section 87(2) (d), DMV may “deny access to records or portions thereof that: are trade secrets or are submitted to [DMV] by a commercial enterprise or derived from information obtained from a commercial enterprise and which if disclosed would cause substantial injury to the competitive position of the subject enterprise.”

In order for bidders to claim the exemption from disclosure provided by this provision of law, bidders must mark as “CONFIDENTIAL” any proprietary information contained in their proposals that they wish to protect from further disclosure or dissemination.

BY THE ACT OF SUBMITTING A PROPOSAL IN RESPONSE TO THIS SOLICITATION, BIDDERS ACKNOWLEDGE THAT (1) THE SUBMISSION OF THE BIDDER’S PROPOSAL SHALL BE THE BIDDER’S SOLE OPPORTUNITY TO CLAIM SUCH EXEMPTION FROM DISCLOSURE OR DISSEMINATION OF INFORMATION CONTAINED IN THEIR PROPOSAL, AND (2) FAILURE TO MARK SUCH INFORMATION AS “CONFIDENTIAL” WILL CONSTITUTE A WAIVER OF CONFIDENTIALITY, AND WILL RELEASE DMV AND THE STATE FROM ANY LIABILITY FOR DISCLOSURE OR DISSEMINATION THEREOF.

DMV is charged with making the final determination concerning any exemption from disclosure claimed by bidders. In addition to so marking the information, Bidders must provide DMV with a detailed written justification for classifying the information as “CONFIDENTIAL”. Undocumented and unexplained claims for exemption from disclosure or dissemination shall not be binding upon DMV or the State. A conclusory declaration that disclosure would be injurious will not suffice. Bidders must assert that disclosure of claimed proprietary information, their written justification for exemption, or any portion thereof would be injurious, and must provide sufficient detail to support their claim for exemption from disclosure or dissemination under FOIL.

Bidders acknowledge that DMV may be required to release any such information if so ordered by a court of competent jurisdiction. In such event, the Bidder will be notified of the commencement of legal action to compel disclosure, and the Bidder must either participate in the defense of such action or waive its claim of confidentiality. Failure to participate in the defense of such action shall be deemed a waiver of any claim of confidentiality.

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CONFLICT OF TERMS The Contract awarded from this RFP will incorporate the terms of the following documents. Any conflicts between the terms contained in the main body of the Contract and the terms of such other documents shall be resolved in the following order of precedence, with Appendix-A being highest in order of priority:

1. Appendix-A, “Standard Clauses for New York State Contracts”; 2. The Contract, including all Appendices; 3. Any Addenda to Request for Proposals #C000890; 4. Request for Proposals #C000890 and Appendices-B, C-1, C-2, C-3, C-4, C-5, C-6, D, E,

F, G, H, I, J, K, L, M, and N; 5. Contractor’s proposal in response to Request for Proposals #C000890

NON-ENDORSEMENT By selecting a Bidder to provide goods or services to DMV, DMV is neither endorsing nor representing that the selected Bidder's goods or services are the best or only solution for meeting DMV’s requirements. Bidders and the Contractor shall refrain from making any reference to DMV, this procurement, or the resulting contract in any literature, promotional material, brochure, sales presentation, press release, or the like without the express prior written consent of DMV.

REQUEST FOR DEBRIEFING In accordance with State Finance Law, Section 163(9) (c), as amended, DMV will upon request provide a debriefing to any bidder that submitted a bid/proposal in response to this solicitation and was not selected for an award of contract.

A contract is deemed to be “tentatively” awarded by DMV, and not binding upon the State, until final approval and execution by the New York State Office of State Comptroller (OSC). Notice of DMV’s tentative award of a contract will be provided to all bidders who submit a bid/proposal in response to this solicitation. Such notice will be provided to bidders by email to the primary contact person indicated on the “Bidder Contact Information” form for notification of tentative award or non-award of the Contract. Bidders must submit a written request for debriefing to DMV’s Procurement Services unit within fifteen (15) calendar days from DMV’s notice of tentative award of a contract.

Debriefings are not provided as a forum for unsuccessful bidders to elicit evidence of wrongdoing by DMV. Debriefings are provided for the purpose of assisting the unsuccessful bidder in becoming a more viable competitor for the provision of goods and services to the State of New York.

To fulfill that objective, the scope of debriefings shall include, but not be limited to, the following:

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1. the reasons that the proposal, bid or offer submitted by the unsuccessful bidder/offerer was not selected for award;

2. the qualitative and quantitative analysis employed by the agency in assessing the relative merits of the proposals, bids or offers;

3. the application of the selection criteria to the unsuccessful bidder’s/offerer’s bid/proposal; 4. when the debriefing is held after the final award, the reasons for the selection of the winning

proposal, bid or offer; and 5. to the extent practicable, general advice and guidance to the unsuccessful bidder/offerer

concerning potential ways that their future proposals, bids or offers could be more responsive.

Debriefings will also address the method employed by the Bid Evaluation team for numerically scoring the bidder’s bid/proposal.

• DMV will not release the identity of bid evaluators or their personal notes/scoring justifications.

• DMV will not discuss information concerning competitors’ bids/proposals. Such information may be accessible pursuant to New York “Freedom of Information Law” (FOIL) (Public Officers Law § 89), by filing a request with DMV’s FOIL office.

• In the event that any entity provides an unsatisfactory reference for the bidder, DMV will disclose the nature of the unsatisfactory reference but will not identify the entity.

PROTEST OF CONTRACT AWARD

BIDDERS TAKE NOTICE:

By the act of submitting a bid/proposal in response to DMV’s solicitation, bidders acknowledge that they understand and agree as follows:

1. failure to timely raise questions of law or fact or objections concerning issues known to the Bidder, prior to the termination of any Question & Answer period provided by DMV for this solicitation, shall serve as a complete waiver and bar to that Bidder raising any such question or objection in a subsequent protest or legal action concerning the award of a contract let hereunder;

2. in the event that a protesting bidder is the incumbent contractor providing goods or services that are substantially similar in purpose or function to those sought by this solicitation, and such contract has not expired by its terms upon publication of this solicitation for bids/proposals, then the term of such contract may, at DMV’s option, be extended upon the same terms and conditions for the duration of the protest or any legal action in which such contractor challenges the award of the Contract, irrespective of the outcome of any such protest or action.

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After DMV has tentatively awarded the Contract to a successful bidder, an interested party* may file an initial protest of contract award with the New York State OSC’s Bureau of Contracts (BOC). An initial protest may be filed if the facts that would give rise to a protest are not known to, and could not reasonably have been known to, an interested party prior to the date by which a protest was required to be filed. An initial protest must be made, pursuant to OSC’s Regulations (Part 24 to Title 2 NYCRR), and in conformance with OSC’s “Contract Award Protest Procedure for Contract Awards Subject to The Comptroller’s Approval”, which is available at:

https://www.osc.state.ny.us/agencies/guide/MyWebHelp/Content/XI/17.htm

Pursuant thereto, an initial protest must be filed with BOC, in writing, and must contain specifically enumerated factual and/or legal allegations, setting forth the basis on which the protesting party challenges the contract award by DMV. An interested party may file an initial protest with BOC within ten (10) business days or receiving notice of the contract award which it seeks to challenge, or within (5) business days of the debriefing, whichever is later.

If the interested party is not provided with notice of the contract award, the interested party may file a protest with BOC at any time after contract award and prior to Comptroller’s final action on the Contract.

The protest to the BOC must contain specific factual and/or legal allegations setting forth the basis upon which the protesting party challenges the contract award by DMV. The protest must be filed with BOC at the following address:

Charlotte Davis, Director at [email protected] or Bureau of Contracts

New York State Office of the State Comptroller 110 State Street, 11th Floor Albany, NY 12236

The protesting party must simultaneously deliver a copy of the protest to DMV and the successful bidder, if the protesting party does know the identity of the successful bidder, and must attach to its protest an affirmation in writing as to such delivery. If the protesting party does not know the identity of the successful bidder, the protesting party shall state so in its affirmation and the BOC shall provide the successful bidder with a copy of the protest. Any filing deadlines may be waived by the BOC in its sole discretion.

*An “interested party” means a participant in the procurement process, and those who can establish that their participation in the procurement process was foreclosed by the actions of DMV and have suffered harm as a result of the manner in which the procurement was conducted.

https://www.osc.state.ny.us/agencies/guide/MyWebHelp/Content/XI/17.htm


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CONFLICT OF INTEREST A. Bidders must submit information about pending or prior lawsuits, investigations or other conflicts of interest that in any way relate to or may impact this solicitation, or give rise to any reasonably perceived or actual conflict of interest. B. Bidders must disclose any existing or contemplated relationship with any other person or entity, including relationships with any member, shareholders of 5% or more, parent, subsidiary, or affiliated firm, which would constitute an actual or potential conflict of interest or appearance of impropriety, relating to other clients/customers of the Bidder or former officers and employees of the State, in connection with your rendering services enumerated in this RFP. If a conflict does or might exist, please describe how your Staffing Firm would eliminate or prevent it. Indicate what procedures will be followed to detect, notify DMV of, and resolve any such conflicts. C. Bidders must disclose whether it, or any of its members, shareholders of 5% or more, parents, affiliates, or subsidiaries, have been the subject of any investigation or disciplinary action by the New York State Commission on Public Integrity or its predecessor State entities (collectively, “Commission”), and if so, a brief description must be included indicating how any matter before the Commission was resolved or whether it remains unresolved.

CONTRACTOR CERTIFICATIONS PURSUANT TO TAX LAW §5-a Tax Law Section 5-a applies to all Agreements valued in excess of $100,000 for the sale of goods or services as defined in Article XI of the State Finance Law, and/or tangible personal property or taxable services as defined by the Tax Law. FORM ST-220-CA, “CONTRACTOR CERTIFICATION TO COVERED AGENCY”, MUST BE COMPLETED AND SIGNED, AND SUBMITTED WITH THE PROPOSAL. BIDDERS ARE RESPONSIBLE FOR FILING FORM ST-220-TD “CONTRACTOR CERTIFICATION” WITH THE NYS DEPARTMENT OF TAXATION & FINANCE.

• Note: Form ST-220-CA provides a certification that the Bidder has submitted Form ST-220-TD to the New York State Department of Taxation and Finance.

Form ST-220-CA is available at: https://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf Form ST-220-TD is available at: https://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf The Department of Motor Vehicles is not authorized to address questions regarding the Tax Law or its interpretation. Any questions regarding the Law must be directed to the New York State Department of Taxation and Finance.

https://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf

https://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf

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DMV’S RESERVED RIGHTS DMV reserves the right to:

1. Reject any or all proposals received in response to the RFP; 2. Withdraw the RFP at any time, at DMV’s sole discretion; 3. Make an award under the RFP in whole or in part; 4. Disqualify any Bidder whose conduct and/or proposal fails to conform to the requirements

of the RFP; 5. Seek clarifications and revisions of proposals; 6. Use proposal information obtained through site visits, management interviews and the

State’s investigation of a Bidder’s qualifications, experience, ability or financial standing, and any material or information submitted by the Bidder in response to DMV’s request for clarifying information in the course of evaluation and/or selection under the RFP;

7. Prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available;

8. Prior to the bid opening, direct Bidders to submit proposal modifications addressing subsequent RFP amendments;

9. Change any of the scheduled dates; 10. Eliminate any mandatory, non-material specifications that cannot be complied with by all

of the prospective Bidders; 11. Waive any requirements that are not material; 12. Negotiate with the successful Bidder within the scope of the RFP in the best interests of

the state; 13. Conduct contract negotiations with the next responsible Bidder, should the agency be

unsuccessful in negotiating with the selected Bidder; 14. Accept a newer version of any product specified in the RFP, or a comparable product to

that specified, if DMV determines that so doing would be in the best interests of the State; 15. Require clarification at any time during the procurement process and/or require correction

of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of a proposal and/or to determine a Bidder’s compliance with the requirements of the solicitation.

PROPOSAL REQUIREMENTS

“Mandatory” requirements of this RFP are designated with an “M” in the column marked “Type” and contain the words “will”, “shall”, or “must.”

The Bidder’s response to Mandatory requirements must indicate that they will comply with each mandatory requirement with a declaratory statement such as “I agree”. The Bidder’s failure to indicate they will comply with a “mandatory requirement, or stating that they will not comply with a mandatory requirement, may result in the Bidder’s proposal being deemed to be non-responsive.

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The Bidder may offer alternatives to the “Mandatory” requirements. However, such alternatives may only be provided in addition to responses that address the Mandatory requirements.

Exhibit 01 of this RFP includes a non-exhaustive list of system in which the System must interface. If the Bidder can provide comparable functionality or interface, Bidders should note this in their response. A vendor’s offer to provide an existing functionality instead of integrating will not be a consideration of evaluation. The determination to use a vendor’s existing functionality instead of an integration will be made between the Contractor and NYS and based on what is in the best interest of NYS. Bidders may not propose provide-only alternatives to any mandatory interface requirement.

Requirements that will be evaluated and scored by the Evaluation Team will be designated with an “S” in the column marked “Type.” “Scored” requirements require the Bidder to explain in detail how its proposed solution satisfies the objectives of the scored requirement. Vague or incomplete responses to Scored requirements will result in a reduced Technical score of the proposal.

Bidders should consider the following goals in their responses to all scored requirements, as applicable

• Ease-of-use – an intuitive and simple workflow. • Security and transparency – customers should feel their information is completely secure

and easily see their status. • Customer 360° View –how the System uses a composite “360 view” of the account for all

users, including external self-service accounts. • Responsive design – how the solution works on any mobile device (tablet/phone/handheld

device). • NYS must be able to configure the Solution with minimal vendor support.

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2 FUNCTIONAL REQUIREMENTS

The following Sections represent the Functional Requirements of the DMV Modernization System. Any proposed Solution must meet all Mandatory requirements, and should provide as much functionality as possible for those requirements indicated as “DMV preferences.”

SOLUTION VOLUMES Bidder’s must consider the follow annual DMV service volumes: Active Customers: Registrations 11,000,000 Driver Licenses 11,200,000 Permits 930,000 Non-Driver IDs 1,900,000 Commercial Driver Licenses 370,000

Transactions: Original Registrations Issued 1,850,000 Registration Renewals 5,650,000 Titles Issued 3,600,000 Original Photo Documents Issued 820,000 Driver License Renewals* See Figure 1 below NDID Renewals 186,000 Permit Renewals 52,500 Tickets Processed 3,600,000 Pieces of Incoming Mail 2,000,000 Pieces of Outgoing Mail 24,000,000 Abstracts Generated 1,400,000 Record Search Displays 158,000,000 Law Enforcement LENS Notifications Sent 1,960,000

Internal and External Services: Issuing Office Locations (State Run) 27 County Clerk Issuing Offices 90 Mobile Sites 32 Private Partners (e.g. dealerships) 51 (w/ 200 private partner offices) Plate Issuance Dealers 2,000 Traffic Violation Bureaus 8 Law Enforcement Lookups 60,733,544

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Court Users 3,000 External Search Accounts 12,500 LENS Accounts 9,700 Licensed Inspection Stations 12,000 External Exchange Processes 1,600

Customer Portal: MyDMV Accounts 3,000,000 Daily MyDMV Accounts Created 1,200 Online Services Offered 65 Annual Online Transactions 5,500,000 Annual Website Visits 35,000,000

Financials (fiscal year 2016-17): Revenue Collected $1,934,000,000 County Clerk Retention (State retention of count Clerk transactions)

$46,100,000

County Clerk Retention (online transactions) $1,610,000 Refunds Issued (automatic) 574,130 Refunds Issued (manual) 8,610 Revenue Refunded $35,100,000 Bad Checks Processed 6,798 Credit Card Chargebacks Processed 1,856

*Figure 1 – Projected volume of Photo Document Renewals

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Req. ID# Type Requirement Descriptions

TV001 M

Contractor’s solution must accommodate the current NYS transaction volumes, including the fluctuations in license renewal cycles, allowing for potential growth and fluctuating volumes. NYS maintains multiple renewal periods, which can cause renewal volumes to “cycle” from year to year. See, Figure 1-Volume of License Renewals for a representation of future license renewal volumes.

TV002 S Bidder should describe in detail how the proposed solution will provide the capability to meet the current transaction volumes of NYS and allow for potential growth.

GENERAL BUSINESS REQUIREMENTS The following requirements describe functionality that will apply to the entire DMV Modernization System.


2-2.1 General

FNC001 M The System must have the ability to process transactions and update records in batch, bulk, and real time.

FNC002 M The Contractor’s Solution must comply with all applicable New York State and Federal laws, policies, procedures, standards and regulations.

FNC003 M

Accessibility of Web-Based Information and Applications by People with Disabilities:

Section 508 of the Rehabilitation Act of 1973 (as amended) (29 USC § 794d) requires that electronic and information technology be accessible to people with disabilities.

The Contractor must ensure that the Solution, any web-based information and applications development, or programming delivered pursuant to the Contract or procurement, complies with Web Content Accessibility Guidelines 2.0 Level AA (WCAG 2.00 AA), published by the World Wide Web Consortium’s (W3C’s) Web Accessibility Initiative (WAI), as such policy may be amended, modified or superseded, which requires that state agency web-based information and applications are accessible to persons with disabilities. Web-based information and applications must conform to WCAG 2.00 AA as determined by quality assurance testing, separate and apart from the acceptance testing described in 2.3.18. Such quality assurance testing will be conducted by the Contractor and the results of such testing must be satisfactory to DMV before web-based information and applications will be considered a qualified deliverable under the contract or procurement.

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The Solution must comply with the Americans with Disabilities Act (ADA), Section 508 of the Rehabilitation Act, Section 255 of the Communications Act, and all applicable laws, rules, regulations, and guidance issued therewith, including all New York State laws, rules, regulations, policies, and guidance regarding the accessibility of information communication technology as defined in 36 CFR Part 1194, and must also comply with any changes in the current applicable laws, rules, regulations and polices related to accessibility by the date required thereunder.

FNC004 M The Contractor’s Solution must comply with all security and privacy mandates as

outlined in Exhibit 03 - Security and Privacy Mandates. FNC005 M The System must be configurable by NYS to use consistent NYS DMV terminology.

FNC006 M The System must interface with all systems as defined in Exhibit 01 – DMV Systems Analysis.

FNC007 M The System must provide all outgoing and accept all incoming data exchanges in Exhibit 01 – DMV Systems Analysis.

FNC008 M The System must automatically convert industry data to NYS DMV standards (e.g., NCIC make to NYS specific make, ACD code to NYS specific violation code).

FNC009 M The System must be configurable by nontechnical NYS staff.

FNC010 M The System must capture appropriate audit information for all transactions including but not limited to user, terminal (if applicable), inventoried item, date, and time.

FNC011 M The System must generate document and customer numbers based upon algorithms developed jointly between NYS and the Contractor during project development, subject to NYS approval.

FNC012 M The System must utilize methods that minimize user data entry.

FNC013 S Bidder should describe in detail how their solution minimizes user data entry (e.g., auto-complete of address, Optical Character Recognition (OCR), voice recognition, pre-population of fields via interfaced barcode scanner).

FNC014 M The System must track and log all user activity.

FNC015 M The System must track and log all activity within the System.

FNC017 S Bidder should describe in detail and include visuals of how their proposed System will track and log all user and system activity and allow for easy retrieval.

FNC018 M The System must allow users to enter, view, edit and delete notes attached to any customer record, transaction, or activity.

FNC019 M The System must allow for supervisory override of transactions.

FNC020 M The System must be capable of redacting information based on role (i.e., masking).

FNC021 M The System must allow users to limit the display of sensitive information.

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FNC022 S

Bidder should describe in detail any masking capabilities offered by the proposed System.

DMV prefers that the masking capabilities include:

• the ability to block and/or mask certain data from search results • a redaction tool to mask sensitive information on images

FNC023 M The System must monitor and report user access anomalies (e.g., excessive transactions completed after hours).

FNC024 M The System must automatically detect and mark records, transactions, and activities for possible fraud, and allow users to do so manually.

FNC025 S

Bidder should identify possible fraudulent activities and describe in detail how their proposed System can detect, mark, and notify users of possible fraudulent activity. DMV prefers that a solution provide configurable options for detecting fraudulent activity.

FNC026 M The System must store DMV office information, including but not limited to the office location and hours. This information must be searchable by users.

FNC027 M The System must track relationships (e.g., power of attorney (POA), designated accountants, lawyers, banks, trustees, officers of corporations.

FNC028 M The System must track the effective dates of relationships.

FNC028A M The System must allow users to submit online requests for records in compliance with Section 89 of the Public Officers Law, the “Freedom of Information Law” (FOIL).

2-2.2 Address Processing

FNC029 M The System must support multiple types of addresses, and store multiple addresses per customer.

FNC030 M The System must allow for military and international address formats.

FNC031 M The System must retain address history records.

FNC032 M The System must perform automatic address validation (e.g., USPS validation).

FNC033 M The System must automatically notify outside entities, as directed by DMV, of address changes (e.g., Board of Elections).

FNC034 M The System must provide customers with the ability to opt-out of automatic reporting of an address change.

FNC035 M The System must provide a mechanism to capture undeliverable mail indicators either directly from the USPS or similar.

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FNC036 S

Bidder should describe in detail their address processing functionality, including how it can improve the tracking of undeliverable mail, and the accuracy of customer address data.

DMV prefers that the System’s address processing functionality:

1. Can suppress mailing to a customer and/or address (e.g., when mail is returned to DMV as undeliverable);

2. Provides for multiple address types such as temporary addresses or seasonal addresses;

3. Creates Intelligent Mail Barcodes (IMb) for outgoing correspondence and notifications;

4. Has automated capture of undeliverable mail. 2-2.3 User Interface and Display

FNC037 M All user interfaces of the System must have a consistent look and feel.

FNC038 M The System must be accessible and function on all current and the two prior versions of commonly used internet browsers including, but not limited to, Chrome, Internet Explorer, Firefox, and Safari.

FNC039 M The System must maintain compatibility with future browser version updates.

FNC040 M The System must have a responsive design.

FNC041 S Bidder should describe and demonstrate with visuals how the proposed System supports responsive design for various mobile devices including how usability will be supported.

FNC042 M

The System must display all required languages for customer facing applications and transactions, including:

1. Spanish 2. Russian 3. Haitian Creole 4. Chinese 5. Korean 6. Italian 7. Bengali

DMV will provide the translations to the Contractor for each customer facing service. The Contractor will be responsible for providing DMV with the text and/or screens to be translated.

FNC043 M The System must capture and store a customer’s language preference.

FNC044 S Bidder should describe in detail and provide visuals detailing how the System will accommodate multiple languages and the customer’s language preference.

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FNC045 M The System must provide and manage help tools for all users.

FNC046 S

Bidders should describe the help tools of their proposed System. DMV prefers a System that:

1. Utilizes features such as: Online User-Guide, Glossary, Context sensitive mouse-over pop-up information

2. Provides an online knowledge base for DMV procedural documents 3. Allows users to manage and update DMV procedural content 4. Offers chat capability, and 5. Provides a customer support tool which allows users to see a step-by-step

historical view of transaction details for customer-facing transactions, available in near real-time.

FNC047 M The System must generate documents in a printable and electronic format.

FNC048 M The System must generate documents formatted per DMV’s specifications.

2-2.4 Transaction Processing: General

FNC049 M The System must allow users to save and resume incomplete transactions from the same or different channel (e.g., Web to web, web to office, etc.)

FNC050 S Bidder should describe how users will save and resume transactions. The System should alert users when they are creating a duplicate staged transaction, and allow for the automatic cancellation of an incomplete transaction.

FNC051 M The System must allow users to cancel completed transactions.

FNC052 M The System must allow users to retrieve, edit, and process canceled transactions within DMV defined timeframes.

FNC053 S

Bidder should describe in detail how users can retrieve, edit, and process canceled transactions.

DMV prefers that the System give users the ability to cancel transactions in bulk by specific criteria such as:

1. Customer 2. User who processed the transaction 3. Date 4. Transaction Type 5. Configurable timeframes for user and transaction type

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FNC054 M The System must allow for transactions to be assigned future, current and past effective dates.

FNC055 S Bidder should describe how users can process transactions. DMV prefers configurable transaction processing functionality on DMV selected transactions to allow the option of presenting submitted data back to the user for verification and correction.

FNC056 M The System must perform the appropriate actions upon completion of a transaction (e.g., issue a detailed receipt, generate documents, etc.)

FNC057 M

The System must allow for both automatic and manual addition, modification and removal of:

1. Sanctions 2. Restrictions 3. Endorsements 4. Prohibits 5. Stops

2-2.5 Transaction Processing: Search and Retrieve Transactions

FNC058 M The System must provide users with functionality to search and retrieve information using one or more identifiers as specified by DMV.

FNC059 M The System must have search capabilities including, but not limited to, wildcard searches and fuzzy logic.

FNC060 S Bidder should describe the proposed System’s search and retrieve functionality, and how the proposed search capabilities will achieve the most accurate results.

2-2.6 Transaction Processing: Customer Record

FNC061 M The System must allow users to manually create or modify a new customer record.

FNC062 M The System must automatically create or modify a new customer record using information received from electronic sources.

FNC063 M The System must prevent the creation of duplicate customer records for the same person or entity (i.e., one customer = one record).

FNC064 S Bidder should describe how the proposed System will automatically and manually create customer records, and prevent the creation of duplicate customer records. DMV prefers a configurable duplication prevention capability.

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FNC065 M The System must allow users to merge and unmerge customer records (e.g., upon determination that one entity has more than one record).

FNC066 M The System must allow users to move information from one customer record to another customer record.

FNC067 S Bidder should describe in detail how users can easily modify customer records.

2-2.7 Transaction Processing: Eligibility Checks

FNC068 M The System must provide automatic and manual eligibility checks during transaction processing.

FNC069 M The System must access eligibility information from internal and external sources (e.g., NMVITS, SSOLV).

FNC070 M The System must allow approved outside entities to access DMV data for verification purposes (e.g., Government entity accessing DMV data to verify the identity of person).

FNC071 S Bidder should describe in detail how the proposed System accurately and timely verifies eligibility, including how the System will verify eligibility for and from external entities.

2-2.8 Alerts

FNC072 M

The System must issue in-system alerts to users, including but not limited to: 1. Eligibility status 2. Data entry errors 3. System outages 4. Office closures

FNC073 M The System must allow for DMV configurable alerts.

FNC074 M The System must generate alerts based on user access to records.

FNC075 S Bidder should provide visuals of the System’s alert functionality, provide examples of the System’s alerts, and describe how users can configure alerts.

2-2.9 Workflow Processing

FNC076 M The System must contain workflow processing functionality.

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FNC077 M The System must allow users to establish and modify workflows for processing, including random and scheduled transaction reviews.

FNC078 M The System must allow for both automatic and manual initiation of a workflow.

FNC079 M The System must have features to allow DMV to conduct scheduled and random supervisory review of transaction workflows.

FNC080 S

Bidder should describe the proposed System’s workflow functionality, including the workflow creation and modification, case and exception processing, approvals, and escalations. DMV prefers a solution that provides out of the box workflow capabilities, with configurable options for assigning work, establishing or modifying queues, and alerts for workflow bottlenecks.

2-2.10 Hardware Integration

FNC081 M The System must be compatible with existing peripherals, including but not limited to

those outlined in Exhibit 02 - Workplace Hardware and Peripherals. FNC082 M Contractor must work collaboratively with DMV to ensure that the System will be

compatible with all future end-user technology infrastructure and peripheral devices. FNC083 M The System must validate data received from peripherals (e.g., insurance cards, NY

State driver license, and solution generated barcodes). FNC084 M The System must link electronic images of scanned documents to records and

transactions.

FNC085 S

Bidder should describe in detail the hardware integration plan for the proposed System, including visual displays. Bidder should describe how the System can accommodate any future peripherals.

DMV prefers that the System prepopulate fields from scanned barcode information

2-2.11 Correspondence

FNC086 M The System must generate correspondence automatically and manually.

FNC087 M The System must allow users to configure correspondence format and content.

FNC088 M The System must support on-demand and bulk document generation. FNC089 M The System must associate correspondence generated to a customer or transaction.

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FNC090 M

The System must support correspondence delivery methods, including but not limited to:

1. Local and bulk printing for mail 2. Email 3. Text messages

FNC091 M The System must retain a history of all customer correspondence.

FNC092 M The System must allow users to select a preferred correspondence delivery method.

FNC093 M The System must generate correspondence in a customers preferred language. (See, Section FNC042.)

FNC094 S

Bidder should describe in detail its proposed correspondence functionality. DMV prefers the functionality to include forms design capabilities, and to allow users to select which events will receive correspondence through electronic means such as email or text.

FNC095 M The System must support the option for capturing, sending requests for, and accepting fees for the express shipping of documents.

FNC096 This requirement is intentionally left blank.

FNC097 M The System must produce documents by merging a document design (template) with appropriate System data, and must store the metadata needed to recreate the document at a later time.

2-2.12 American Association of Motor Vehicle Administrators

(AAMVA) Interfaces

FNC098 M

The System must interface with American Association of Motor Vehicle Administrators’ (AAMVA’s) Network to participate in all services offered by AAMVA, including but not limited to:

1. Help America Vote Verification (HAVV) 2. National Motor Vehicle Title Information System (NMVITS) 3. US Passport Verification Service (USPVS) 4. Systematic Alien Verification for Entitlements (SAVE) 5. Commercial Driver License Information System (CDLIS) 6. State to State Driver Verification (S2S) 7. Problem Driver Pointer System (PDPS) 8. National Driver Register (NDR) 9. Driver License Data Verification (DLDV) 10. Social Security Online Verification (SSOLV) 11. Verification of Lawful Status (VLS)

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CLIENT


2-3.1 Official Record Abstracts

FNC102 M

The System must produce different versions (e.g., internal and external) of an abstract for any customer record type, including but not limited to:

• Driver • Commercial Driver License • Lifetime • Registration • Title • Insurance • Ticket • Financial

FNC103 S Bidder should describe in detail how users can easily generate certified abstracts.

2-3.2 360° view

FNC104 M

The System must provide the customer record in a configurable 360° view that allow users to view a complete profile of the account or customer record that will display all DMV-issued credentials, privileges, assets (e.g., registration or license) and all DMV correspondence and interactions, past, present and future, on a standard launch page. This composite view of the customer will allow internal users, third parties and customers (who opt in for self-managed accounts) to see all their completed and pending transactions and statuses.

FNC105 S

Bidder should describe in detail and provide a visual display of the proposed 360°- view. The proposal should demonstrate how DMV employees and customers can easily and efficiently access all of a customer’s motor vehicle related information. The Bidder should also describe how this concept will used throughout the core system and with the customer portal. DMV prefers that the System:

1. allow users to update customer information within the 360° view 2. allow users to initiate a transaction within the 360° view

FNC099 M The System must provide interfaces, as directed by DMV, with any future driver or vehicle services offered by AAMVA.

FNC100 M The System must allow DMV to disable the use of AAMVA services as necessary.

FNC101 S Bidder should describe in detail their solution for interfacing with AAMVA including how they will accommodate future services. Bidder should describe previous successful implementations of AAMVA interfaces in other jurisdictions.

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3. provide alerts related to current and future status and events associated with the client record

4. provide the user with links to external applications from the 360° view

2-3.3 Organ Donor Registration

FNC106 M The System must capture customer organ donor information.

FNC107 M The System must automatically send organ donor information to external entities as directed by DMV.

2-3.4 Voter Registration

FNC108 M The System must receive and capture customer responses to specific questions regarding voter registration from an external device.

FNC109 M The System must associate signatures captured by an external system with voter registration information.

2-3.5 Background Checks

FNC110 S

Bidder should describe any background check functionality that will be offered as part of the proposed System. DMV prefers that the System:

1. support electronic driver criminal and civil background checks and monitoring, and

2. allows for the manual entry of fingerprint results

ADMIN


2-4.1 Data Analytics and Reporting

FNC111 M

The System must provide user reporting functionality including but not limited to: • Create (Ad-Hoc) • Schedule • Configure • Format • Save • Share • Export

FNC112 M Running reports and queries must not negatively affect the System’s performance.

FNC113 M Contractor must provide configurable transactional and financial report templates (e.g., inventory reports, statistical reports, and auditing reports).

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FNC114 M The System must generate reports and queries in near real time.

FNC115 M

The System must provide analytic tools with data analysis capabilities, including but not limited to:

• Configurable dashboards • Ad-Hoc Querying • Displaying data in visual format (e.g., charts, maps, graphs)

FNC116 S

The Bidder should describe in detail and provide example visual displays of their reporting, querying, and analytic tools. DMV prefers the functionality:

• allow users to export reports in multiple electronic formats including, but not limited to, PDF, CSV, XML and Excel

• provide predictive analysis • provide a query and report library or catalog

FNC117 S The Bidder should describe how their reporting solution minimizes restrictions on reporting (e.g., data quantity return restriction).

2-4.2 Data and Record Management

FNC118 M The System must be the system of record for DMV customer and transaction information within the scope of the solution.

FNC119 M The System must allow users to access, transform, and monitor data in all environments (e.g., production, staging, and development).

FNC120 M The System must provide scheduled and ad-hoc bulk record export and import functionalities.

FNC121 M The System must support the current and future data capacities required for DMV data and records management.

FNC122 M The System must store all data to ensure that transaction data is not lost in the event of an outage.

FNC123 S Bidder should describe their proposed data quality approach including all methodologies, processes, tools, and a RACI matrix outlining the roles and responsibilities included in the scope of the contract.

FNC124 M The System must support data subscriptions and publication services to and from external entities.

FNC125 M The System must maintain historical data using DMV’s retention rules.

FNC126 M The System must perform periodic manual, scheduled, and automatic identification of data inconsistencies and allow for correction of records.

FNC127 M The System must allow DMV users to amend record retention rules as necessary.

FNC128 M Contractor must provide detailed documentation prior to implementation, which includes but is not limited to: data catalogue, data models, metadata inventory, and how the solution adheres to DMV record retention periods.

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FNC129 S Bidder should describe in detail their data and record management strategy, including how System will ensure adherence to established retention periods, and identify the documentation that will be available to NYS prior to implementation.

2-4.3 Inventory Management

FNC130 M

The System must provide an inventory management module that includes manual and automatic inventory functionalities including but not limited to:

• Adding or removing an inventory item or type • Placing an order • Inter-office inventory transfer • Generating alerts of inventory levels • Assigning inventory (workstations, offices, users)

FNC131 M The System must ensure that all inventory items and their status are accounted for at all times.

FNC132 M

The System must maintain an inventory of assets such as: • Plates • Stickers • Secure Documents/Certificates • Forms • Office supplies

FNC133 M The System must update inventory based on transaction performed (e.g., Decreasing inventory and marking the document number as issued when a user issues a secure document as part of a DMV transaction).

FNC134 M The System must allow for fee collection for inventory transactions, as applicable.

FNC135 S

Bidder should describe in detail their inventory management module including how it will ensure the accounting and status of inventory items. DMV prefers that the System can inventory office hardware and software.

2-4.4 User Identity Vetting and Roles Administration

FNC136 M The System must provide a single-sign-on functionality for DMV staff. FNC137 M The System must interface with the NY.GOV ID for authentication of external users.

The System must interface with Enterprise Active Directory for authentication of internal users.

FNC138 S Bidder should describe their solution for single-sign-on for internal and external systems. This description should address sign-on to external systems that require frequent password changes.

FNC139 M The System must support various levels of identity vetting (identity assurance levels). FNC140 M The System must capture electronic signatures/attestations.

FNC141 M

The System must provide role-based access control functionalities, including but not limited to:

• Easy onboarding/provisioning • Creating new roles

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• Roles based on functions performed • Delegated administration of roles and responsibilities by internal and external

users

FNC142 S Bidder should describe in detail how their role based access control solution will reliably assign roles, integrate with NYS solutions, and allow users to easily manage roles and their associated responsibilities.

2-4.5 Document Capture and Rendering

FNC143 M

The System must provide document capture and rendering management functions, including but not limited to:

• retention periods, • litigation and discovery, • import/export, • archiving, and • purging.

FNC144 S

Bidder should describe in detail its document capture and rendering functionality. DMV prefers functionality that can store and identify multiple document iterations (e.g., resubmission of proof when original deemed unacceptable).

2-4.6

REGISTRATION AND TITLE


2-5.1 Registration Processing

FNC145 M The System must process transactions for current registration types and classes, see https://dmv.ny.gov/registration/registration-class-codes

FNC146 M The System must allow for the addition of new registration classes.

FNC147 M

The System must calculate fees based upon varying factors, including but not limited to:

• vehicle weight • seating capacity • class • County

FNC148 M The System must allow users to process all types of registration transactions while capturing the transaction specific information. Registration transactions, include but not limited to:

• Original/new

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• Renewal • Duplicate/replacement registration • Duplicate/replacement plates • Duplicate/replacement stickers • Plate Surrender • Plate transfer transaction • Update registration information • Registered to an individual who is not the title holder

FNC149 M The System must generate registration documents.

FNC150 S Bidder should describe in detail their registration processing functionality including how the proposed System will support various registration types and the addition of new registration classes.

2-5.2 Custom Plate Processing

FNC151 M The System must process transactions for current custom plate types.

FNC152 M The System must allow for the addition of new custom plate types.

FNC153 M The System must require eligibility proof for certain plate types (e.g., proof of service for military plates).

FNC154 M The System must check for availability of personalized letter and number combinations requested by the user.

FNC155 M The System must allow for configurable prohibition of certain combinations of letters and numbers. The System must allow for user maintenance of a prohibited list.

FNC156 M The System must require a configurable DMV user review workflow of requested personalized letter and number combinations.

FNC157 S Bidder should describe in detail their proposed custom plate processing solution.

DMV prefers the solution support a visual custom plate gallery which provides images of all available custom plates.

2-5.3 Insurance Verification

FNC158 M The System must allow users to manually enter and edit insurance information.

FNC159 M The System must verify the validity of a customer’s insurance information.

2-5.4 Vehicle Value Look Up

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FNC160 S

Bidder should describe any vehicle value look-up functionality offered by its proposed System.

DMV prefers that the functionality: • Interfaces with third-party look-up systems (e.g., Kelley Blue/Red Book,

NADA) • allows users to select, populate into the System and modify the value returned

from the look up. 2-5.5 VIN Verification

FNC161 M The System must verify Vehicle Identification Numbers (VIN).

FNC162 M The System must decode vehicle information, and validate that the vehicle information is appropriate for the VIN.

FNC163 M The System must allow users to manually correct VINs, Hull Identification Numbers (HINs) and serial numbers.

FNC164 S Bidder should describe their VIN verification functionality and provide the types of VIN/Hull Identification Number (HIN)/serial number information that can be verified and validated.

2-5.6 Vehicle Emissions and Safety Inspections Enforcement

FNC165 M The System must accept and store vehicle inspection information for use in Registration Based Enforcement (RBE) and querying/reporting.

2-5.7 Authorized External Entities

FNC166 M

The System must allow transaction processing by authorized external entities, including but not limited to:

• Government Entities • Private Sector Partners • Private Service Bureaus • Plate Issuance/Participating Dealers • Taxi Commissions

FNC167 The Contractor must provide comprehensive interface specifications for the System to authorized external entities upon request.

FNC168 The Contractor must provide technical support to authorized external entities.

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FNC169 S Bidder should describe how the System will interface with authorized external entities in detail, including the methods of access (e.g., API, remote UI), and the System’s ability to interface with dealer partner software systems (e.g., DealerTrak).

2-5.8 Fleet Management

FNC170 M The System must identify and process fleet registrations in bulk and batch.

FNC171 S Bidder should describe in detail their fleet management functionality, including how external users can easily and accurately process fleet transactions with minimal DMV involvement.

2-5.9 Title/Ownership Document Processing

FNC172 M

The System must process title transactions, including but not limited to: • Issuance of a new title • Issuance of a transferable registration for non-titled vehicles • Issuance of duplicate/replacement titles • Surrender of a title

FNC173 M The System must capture multiple owner information for a vehicle.

FNC174 M The System must capture branding information for display on title records and documents (e.g., salvage vehicle).

FNC175 M The System must allow users to record and release liens manually.

FNC176 M The System must allow for electronic lien processing.

FNC177 M The System must allow lien holders to release liens.

FNC178 M The System must allow for the recording of multiple liens.

FNC179 M The System must allow for the restriction of transaction processing based upon lien status.

DRIVER LICENSE

Req. ID # Type Requirement Descriptions

2-6.1 Conviction Processing

FNC180 M The System must interface with government entities and their third-party vendors to receive and respond to electronic conviction information.

FNC181 M The System must allow users to manually enter, correct, and update convictions.

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FNC182 M

The System must evaluate customer status and take appropriate action for all conviction activities, including but not limited to:

• Calculating points • Suspending/revoking driving privileges • Posting convictions to records

FNC183 S Bidder should describe in detail the proposed Systems’ conviction processing functionality, and include visuals.

FNC184 S

The System should include a Restoration Wizard functionality that will provide users with an analysis of a driving record, and document the steps and conditions necessary to have a driving privilege restored. Bidder should describe their Restoration Wizard functionality in detail and include visual displays. DMV prefers a wizard that answers the following questions for the user:

• What payments are necessary? • What remedial actions are necessary? • What other actions are necessary? • What is the deadline for action?

2-6.2 Commercial Driver Services

FNC185 M The System must maintain separate driver status indicators for customers with multiple driver license classes (e.g., CDL privilege revoked but non-CDL driving privilege remains valid).

FNC186 M The System must allow CDL drivers and certified medical examiners to submit medical certificate documentation.

FNC187 M The System must identify and transmit all dispositions and convictions which require reporting to CDLIS.

FNC188 M The System must maintain the customer’s CDL driver history from other states, as reported to the System from CDLIS.

FNC189 S

Bidder should describe in detail their medical certification and CDLIS reporting functionalities, including visuals. DMV prefers that the functionality:

• Receive and post information from CDLIS in real-time • Allows medical certification status look-up

FNC190 M The System must issue both temporary and long-term Escort certificates to qualifying drivers licensed in and outside of NYS.

2-6.3 Driver Testing

FNC191 M The System must save the history of test results on a customer’s record.

FNC192 M The System must determine driver license and driving permit issuance eligibility, based upon test result data.

FNC193 M The system must allow for the manual entry and editing of test results, including tests taken in other states.

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2-6.4 Electronic Driver License Updates

FNC194 M The System must electronically receive data from government entities (e.g., NYS Office of Temporary and Disability Assistance, NYS Department of Taxation and Finance), and update customer records.

2-6.5 Photo Document Transaction Processing

FNC195 M The System must process current Driver License classes, including but not limited to those outlined in https://dmv.ny.gov/driver-license/nys-driver-license-classes

FNC196 M The System must allow for the addition of new Driver License classes.

FNC197 M

The System must allow for the processing of multiple photo document types, including but not limited to:

• Driver License o State o REAL ID o Enhanced

• Non-Drivers ID (NDID) o State o REAL ID o Enhanced

• Permit o State o REAL ID o Enhanced

FNC198 M

The System must allow users to process photo document transactions, including but not limited to:

• Original/new • Renewal • Duplicate/replacement • Image Capture Only • Surrender • Conditional driver license/permit • Restricted driver license/permit • Amendments

FNC199 M The System must allow for the addition of new photo document types.

FNC200 M The System must support the pre-payment for, and automatic ordering of, driver license documents (e.g., collect driver license and permit fees upon permit issuance to cover the production and mailing of future documents based on age).

FNC201 M The System must retain the history of data contained in each photo document order.

FNC202 M The System must retrieve captured image, signature, and any associated data from third party photo document vendor.

https://dmv.ny.gov/driver-license/nys-driver-license-classes

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FNC203 M The System must automatically place a document order with DMV’s third-party photo document vendor.

FNC204 M They System must generate document transaction records and reports to support DMV’s reconciliation and payment to a third-party vendor.

FNC205 M The System must conduct a final check of customer eligibility before a photo document is mailed.

FNC206 M The System must identify express mailing requests before mailing a photo document.

FNC207 S Bidder should describe in detail their photo document transaction processing including how the proposed System will support various document types and the addition of new document types.

2-6.6 Identity Proofing

FNC208 M The System must support current proofing requirements for various transaction types (e.g., registration, DL/ID, EDL, Real ID), and allow for changes to those requirements.

FNC209 M The System must record the proof documents presented by the customer.

FNC210 M Solution must retrieve a current photo image from the DMV third party document production vendor as a form of proof.

FNC211 S

Bidder should describe how the System will accommodate NYS-specific and other proofing requirements as may be required by DMV. The proposal should address how the System will securely retrieve images from a third party. DMV prefers the functionality

• attach all scanned and indexed proof documents to a transaction • provide a document repository of provided documentation.

TICKETING


2-7.1 Ticket Processing

FNC212 M

The System must be capable of receiving and posting ticket information to a customer’s record, manually and automatically, including but not limited to:

• Traffic Ticket Data • Suspensions/ revocations • Dispositions

FNC213 M The System must prioritize, categorize, and queue electronic ticket information that requires manual correction and processing.

FNC214 M The System must allow users to manually dismiss and clear tickets.

FNC215 M The System must have an online customer facing service that allows customers to:

• plead guilty where permissible; • make payments;

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• plead not guilty; • schedule a hearing; and • request notification of a ticket added to their record.

FNC216 S

Bidder should describe in detail their traffic ticket and disposition processing functionality. DMV prefers that the functionality:

• Auto-dismiss tickets after validating the customer record and applicable business rules as defined by DMV.

• Trigger appropriate actions based upon the violation and customer record (e.g., suspensions, restrictions, Driver Responsibility Assessments).

• Allow users to query the system to return the amount a customer would owe to close out a ticket.

• Allow users to modify ticket workflows.

2-7.2 Hearing and Attorney Scheduling

FNC217 M The System must provide online hearing scheduling functionality, which must interface with the Hearing Scheduling System. The scheduling functionality must allow the user to select from available time slots.

FNC218 M

Solution must provide an online attorney scheduling system that will interface with the Hearing Scheduling System, which will provide the following functionality:

• Allowing users to create and maintain attorney accounts • Allowing users to associate tickets and schedule or reschedule a hearing

within their attorney accounts, and • Allowing users to view a calendar of each attorney’s associated tickets.

FINANCIAL


2-8.1 Central Accounting System

FNC219 M The System must provide financial accounting of all payments made to DMV.

FNC220 M The System must keep all financial data in accordance with NYS record retention policies.

FNC221 M The System must manage individual customer financial accounts. FNC222 M The System must maintain a detailed financial history for each customer.

FNC223 M

The System must accept and record all payment methods, including but not limited to:

• Cash • Checks

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• Credit cards • Alternative online payment methods (e.g., PayPal, Apple Pay) • ACH/eCheck

FNC224 M The System must allow for multiple payment types to pay for the same transaction.

FNC225 M The System must allow for the provision of a paper and an electronic receipt after completion of each payment.

FNC226 M The System must allow for the import of financial data from external sources. FNC227 M The System must maintain customer financial balances. FNC228 M The System must allow for partial payments. FNC229 M The System must allow for payment plans. FNC230 M The System must allow for scheduled and recurring payments. FNC231 M The System must allow for pre-payments.

FNC232 M The System must be Payment Card Industry Data Security Standard (PCI DSS) compliant as referenced in Exhibit 03 - Security and Privacy Mandates.

FNC233 M Contractor must provide an annual Attestation of Compliance with PCI DSS. FNC234 The System must comply with Generally Accepted Accounting Principles (GAAP)

FNC235 M The System must provide for management of escrow accounts, including user self-service features for managing balances.

FNC236 M The System must provide a shopping cart feature.

FNC237 M The System must uniquely identify payments and provide a detailed breakdown of charges for any associated transaction.

FNC238 M The System must associate the payment information with the appropriate transaction(s).

FNC239 S

Bidder should describe how their system will accurately and securely process payments, including how the solution will provide the following functionality:

• escrow accounts • shopping cart • various payment options • debt collection

2-8.2 Dishonored Check (Returned Payment Processing) and Chargebacks

FNC240 M The System must associate a dishonored check or chargeback with a corresponding transaction.

FNC241 M The System must alert users if they are accessing a customer record or transaction associated with a dishonored check or chargeback.

FNC242 M The System must apply sanctions or prohibits for a dishonored check or chargeback.

FNC243 The System must allow repayment of a dishonored check or chargeback.

FNC244 M The System must clear sanctions or prohibits for a dishonored check or chargeback, upon repayment.

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FNC245 S

Bidder should describe in detail its dishonored check and chargeback functionality. DMV prefers the ability to store an image of the check associated with a transaction, including automated capture of the dishonored check and chargeback information from financial institutions.

2-8.3 Fee Calculations, Distributions and Reconciliations

FNC246 M The System must provide for the accounting of fees collected and their distribution to appropriate NYS funds.

FNC247 M

The System must automatically adjust accounting of fees for transactions including, but not limited to:

• cancellations • refunds • dishonored checks • chargebacks

FNC248 M The System must allow for a non-technical DMV user to configure fees and their distribution to appropriate NYS funds.

FNC249 S

Bidder should describe in detail its fee calculation, distribution and reconciliation management solution. DMV prefers the solution that interfaces with the NYS Statewide Financial System (SFS) (See, Exhibit 01 - DMV Systems Analysis).

2-8.4 Point of Sale Cashiering Processing

FNC250 M The System must record cashier financial activity and transaction data.

FNC251 M The System must provide a user’s cash drawer reconciliation functionality with audit capabilities.

FNC252 M

The System must provide a daily reconciliation process including, but not limited to:

• multi-user electronic certification • discrepancy accounting • alerts

FNC253 S

Bidder should describe in detail their point of sale cashier processing solution, including visuals. DMV prefers the System integrate with an electronic cash drawer.

2-8.5 Refund Processing

FNC254 M The System must allow users to review a refund request and upon approval, transmit the request to SFS.

FNC255 M The System must allow users to electronically request a refund. FNC256 M The System must automatically generate refund requests to OSC. FNC257 M The System must allow manual entry of refund requests.

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FNC258 M The System must allow user to resubmit a refund request (e.g., when DMV receives a notice of unclaimed fund).

FNC259 M The System must allow for configurable refund processing functionality.

FNC260 S

Bidder should describe in detail their refund processing solution. DMV prefers the solution track returned correspondence (originating from other government entities) regarding unclaimed funds.

2-8.6 Web Payment Processing

FNC261 M The System must support multiple authorization (e.g., DMV’s hosted payment page and payment gateway) and reconciliation methods.

FNC262 M The System must reconcile payments made to the transaction generating the amount due.

FNC263 M The System must record online payments.

CUSTOMER PORTAL


2-9.1 Customer Portal

FNC264 M The System must allow user to access services and their personal DMV information using different authentication trust levels.

FNC265 M The System must allow users to perform self-service transactions, including but not limited to those found in Exhibit 01 - DMV Systems Analysis (Customer Facing Transactions tab).

FNC266 M The System must allow for the addition of new self-service transactions.

FNC267 M The System must allow authenticated users to access services and their personal DMV information with or without a Customer Portal account.

FNC268 M The System must allow users to access and update their personal DMV information and user preferences.

FNC269 M The System must provide users with the ability to configure transaction lockout features (e.g., transaction locked after 5 failed attempts).

FNC270 M The System must provide users with the ability to configure account lockout features (e.g., account locked after 5 failed log-in attempts).

FNC271 S The bidder should describe in detail their customer portal solution, including usability and visuals.

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3 TECHNICAL REQUIREMENTS

INTEROPERABILITY The proposed System will support broad interoperability goals for DMV, including System interfaces with other DMV systems, hardware and peripherals, as well as interfaces and data exchanges with external entities. The System will become the DMV system of record for the DMV master data. The System must replace all interfaces and data exchanges for systems the Contractor will replace. Exhibit 01 - DMV System Analysis, is a non-inclusive list of current interfaces and data exchanges with internal and external entities. DMV provides extensive services and data exchanges for external entities that currently are supporting a variety of data pipelines and methods for exchange of data in batch, asynchronously, and in real-time. Figure-2 External Dependency Illustration shows a large sampling of those entities. NYS shared API and Managed File Transfer services are the standard methods for exchanging information between entities (See, Exhibit 04 – ITS Technical Services and Standards Overview).

Figure 2 -External Dependency Illustration

DMV prefers that the Solution:

• accept data from barcodes scanned from a mobile device • upload, scan for viruses, and access electronic images and documents • allow customers the opportunity to provide feedback on their experience

using the system

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INO001 M The System must replace all internal and external interfaces and data exchanges for systems being replaced.

INO002 M The Contractor must provide a modern interoperability solution supported by a scalable architecture that will meet DMV’s current interface and data exchange needs (See, Exhibit 01 - DMV Systems Analysis).

INO003 M The System must add new interfaces and modify existing interfaces as needed, utilizing the agreed upon change management process.

INO004 M The System must add new exchanges and modifying existing exchanges as needed, utilizing the agreed upon change management process

INO005 S Bidder should describe in detail its overall scalable approach to interoperability, and how it will simply and seamlessly meet DMV’s current and future capacity needs.

INO006 S Bidder should describe in detail how the proposed the System allows for new interfaces to be added and existing ones to be changed and/or configured with minimal specialized Contractor support.

INO007 S Bidder should describe in detail how the proposed the System allows for new exchanges to be added and existing ones to be changed and/or configuration with minimal specialized Contractor support.

INO008 M

The System must provide for data exchanges with various DMV and third-party external systems that are:

• bi-directional real-time, • asynchronous, • scheduled batch and bulk data exchanges

INO009 S

Bidder should describe in detail how their solution provides for bi-directional real-time, asynchronous, scheduled batch, and bulk data exchanges with various DMV and 3rd party external systems using standard protocols and common industry software as approved by DMV. DMV prefers that the solution is technologically aligned with Exhibit 04 - Technical Services Overview.

INO010 M The System must allow users to utilize and manage third-party subscription services, such as vehicle value look up.

INO011 S

Bidder should describe in detail how the System will allow users to manage third-party subscription services and detail those subscription services that come out of the box with the System. DMV prefers that more of these functionalities is available out of the box.

INO012 S

Bidder should describe in detail how the System will interface with internal and external systems. DMV prefers a solution that will require minimal effort by NYS. Bidder’s response should address how the System will interface during implementation with the legacy systems that it will replace.

INO013 The System must interface with the State-wide portal (NY.GOV ID) authentication of external users.

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SECURITY The proposed solution will house highly confidential and private information about individuals and businesses. With this in mind, DMV and the Contractor must ensure the security of the System and data at all times.

The Contractor’s solution must pass an internal NYS security review conducted by NYS, prior to implementation, and after any significant system modifications. This review will determine whether adequate controls are in place to protect the availability of the System and the integrity and confidentiality of the information. For the purpose of this solicitation, a “significant” system modification is considered any change to the underlying architecture of the System.

The proposed design methodology, toolset, and project plan is subject to NYS ITS review and approval at the beginning of the project, at the completion of each major phase, and at the end of the project (lessons learned).

Req. ID#

Type Requirement Descriptions

SEC001 M The Contractor is responsible for ensuring the solution complies with the most recent version of Web Content Accessibility Guidelines 2.0 Level AA (WCAG

INO014 M The System must interface with the consolidated NYS Active Directory for authentication of internal users.

INO015 M The System must provide a single sign on (SSO) experience for internal staff using the consolidated NYS Active Directory.

INO016 M The System must provide Role Based Access Controls (RBAC). INO017 M The System must allow users to manage the role based access.

INO018 M The System must securely redirect transactions to or from other systems for additional processing. using AES encryption with SAML or other standard (e.g., NYS Organ Donor).

INO019 M The System must interface in real-time, and embed images sourced from document repositories such as IBM Content Manager, IBM Content OnDemand, IBM FileNet, and OpenText Documentum.

INO020 M The System must ingest images and electronic data from third-party scanning software (e.g., Kofax Capture, IBM DataCap, IBM FileNet Capture, EMC Captiva).

INO021 S Bidder should describe in detail how its solution can accommodate document images that are stored in internal and external repositories.

INO022 M The System must interface with legacy systems during the phased implementation and orchestrate business processes which utilize legacy systems.

INO023 M Solution must co-exist and operate with other applications and software installed on the same peripheral and endpoint device.

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2.00 AA), published by the World Wide Web Consortium’s (W3C’s) Web Accessibility Initiative (WAI).

SEC002 M

The Contractor’s solution must comply with the most recent versions of the following applicable NYS ITS policies:

NYS-S14-003 Information Security Controls Standard NYS-S14-013 Account Management / Access Control Standard NYS-S13-002 Secure Coding Standard NYS-S15-001 Patch Management Standard NYS-S15-002 Vulnerability Scanning Standard NYS-S14-005 Security Logging Standard NYS-S14-008 Secure Configuration Standard NYS-S15-003 802.11 Wireless Network Security NYS-S14-006 Authentication Tokens NYS-S13-003 Sanitization/Secure Disposal Standard NYS-S14-007 Encryption Standard NYS-P10-006 Identity Assurance Policy

SEC003 M Contractor must comply with all standards as defined on Exhibit 03 - Security and Privacy Mandates.

SEC004 M

The Contractor must develop Deliverable D-07 - Information Security Plan. The Information Security Plan must minimally include:

• Risk assessment and remediation • A detailed description of how the Contractor’s solution will comply

with all of the applicable Information Security/Privacy/Confidentiality policies

• A detailed description of how the Contractor’s compliance will be planned, executed, and maintained.

• Application access control matrix, which identifies what users or entities have access to what components or items within the System. (i.e., which actors have access to which objects)

SEC005 S The bidder’s proposal should indicate which policies, standards and mandates are met by the proposed solution, and which are not applicable.

SEC006 M The Contractor must work with NYS to perform a security risk assessment of the proposed security architecture that is acceptable to NYS.

SEC007 M

Contractor’s solution must pass an internal NYS security review conducted by NYS prior to implementation, and after any significant system modification, that is comprised of, but not limited to the following:

• NYS review of Contractor documentation

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• As needed, the State will perform vulnerability, web application, and penetration scans.

• Contractor must remediate all issues to ensure that its solution is compliant with all NYS Policies and Standards as determined by the State.

• Completion of a Security Assessment Questionnaire (See, a sample questionnaire included as Exhibit 05 – Security Assessment Questionnaire).

SEC008 M

The Contractor must remediate all risks identified by the security assessment or obtain DMV’s approval for compensating controls. The final outcome and DMV approval of the security risk assessment must be documented and provided to DMV as Deliverable D-08 - Security Risk Assessment Remediation.

SEC009 S

Bidder should describe in detail the security features of the proposed solution, including how the solution will:

• protect against unauthorized information disclosure • protect against unauthorized, unintentional, or incorrect modification of

software or data • ensure availability of systems and information • establish confidence in the identity of users or information systems • establish access rights to resources • build a historical record of user actions and of critical system processes • ensure use of the System maintains the confidentiality and integrity of

any information exchanged • ensure unintended and unreliable system behavior is securely handled to

protect against confidentiality, integrity and availability threats • ensure configurable parameters needed for software or a system to run

are adequately protected • assign only the minimum allowable rights to a user, that requests access

to a resource, for the shortest duration necessary • ensure multiple conditions are met before granting permissions to an

object • layer security defenses in an application to reduce the chance of a

successful attack • ensure confidentiality and integrity of system remains intact even though

system availability has been lost due to a system failure • require access checks to an object each time a user requests access,

especially for security-critical objects • use real protection mechanisms to secure sensitive information; do not

rely on an obscure design or implementation to protect information (otherwise known as “security through obscurity”)

• avoid having multiple users share mechanisms to grant access • ensure that security functionality is easy to use and transparent to the user

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• Reuse proven and validated code and standard libraries rather than creating custom code

• identify and protect a system’s weakest components • eliminate any single source of complete compromise

4 SERVICE REQUIREMENTS

STAFFING The Contractor must, at a minimum, provide the following key personnel to ensure successful design, development, implementation, and maintenance of the System. The Contractor will be responsible for its staff’s travel and parking expenses. DMV will provide space and standard office equipment for Contractor staff.

• Engagement Manager – responsible for managing the contractual relationship with the State, and oversight of the delivery of services. The Engagement Manager is accountable for the successful completion of all aspects of the resulting Contract.

• Project Manager - serves as the primary point of contact for the NYS program/project management personnel.

• Technical Lead - serves as the primary technical point of contact responsible for ensuring that the solution is implemented to meet all requirements; leading the development of the new system, coordination and oversight of all developers, and developing technical design documents.

• Functional Lead – a product specialist who is responsible for leading gap analysis and requirements documentation activities. Leads a team of analysts who will refine the functional requirements, capture business rules, and develop the functional design documents.

• Training Lead – responsible for defining training needs, development of training curricula, training manuals, delivery of end-user training, and support for DMV’s training efforts.

• Release and Deployment Manager - responsible for the full application lifecycle of release management.

• Quality Assurance Testing Lead - responsible for defining the overall testing strategy and is involved in the planning, monitoring, and control of the testing activities and tasks.

• Data Architect - responsible for all data design artifacts, database architecture, data migration, and data governance model.

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• Solution Architect - responsible for all solution architecture and technical design artifacts, translating the functional requirements into the technical architecture of the solution.

Req. ID#


STF001 M

Contractor must submit a plan to have a team of Key Personnel full-time for the duration of the Contract. DMV reserves the right to require certain key personnel be onsite at DMV Central office in Albany, NY, for specific portions of the project. Contractor will not be reimbursed for travel expenses.

STF002 M Bidder must submit an organization chart for the full team, not limited to the roles identified above, and must describe all roles and responsibilities.

STF003 S

Bidder’s proposal should describe the full team responsible for implementation and maintenance of the solution over the life of the contract, including roles, responsibilities, specifying resources housed onsite and offsite with justification. Bidder should describe how each candidate is sufficiently qualified for each role identified.

STF004 M Bidder must submit experience profiles/resumes, including three (3) client references, for all proposed key personnel.

STF005 M

Contractor must provide thirty (30) day’s prior notice in the event the Contractor is requesting replacement of any of the key personnel. Any replacement identified must possess equal or greater qualifications, and is subject to approval by DMV. DMV reserves the right to disqualify, and to require Contractor to remove, any project personnel at any time during the term of the Contract, should DMV determine in its sole discretion that such staff member is unacceptable to DMV. DMV will not unreasonably exercise such right of disqualification.

STF006 M

DMV reserves the right to require the Contractor’s Key Personnel to participate in Contract review sessions prior to the project kickoff. The purpose of these sessions will be to review the RFP and DMV’s expectations, and to review the Contractor’s proposal and its approach and expectations. The review sessions are not expected to take more than one (1) full day. DMV will determine which portions of each document will need to be reviewed.

STF007 M

DMV reserves the following rights for all key personnel: 1. Accept or deny proposed replacement of key personnel 2. Review the resume of any proposed replacement to verify the

person’s qualification for the role; 3. Require a knowledge transfer session; 4. Review and approve knowledge transfer session content and

subject matter;

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5. Require a temporary substitution, if a replacement acceptable to DMV is not readily available;

6. Require a clearly defined plan to share responsibilities among existing team members, while the replacement is being identified/found;

7. Mandate a maximum timeframe that a key position is permitted to be vacant by DMV;

8. Identify non-key personnel that would require a knowledge transfer (e.g., a Business Analyst who has been working on the project for 2 years).

PROGRAM / PROJECT MANAGEMENT

DMV prefers a program/project management approach that supports incremental configuration, with minimal risks, and offers a collaborative team approach. NYS has established many guidelines, tools, and repositories for Project Management that will be made available to the Contractor, but is not required to be used.

It is DMV’s vision that program/project management staff from DMV, ITS and the Contractor will be working together as an integrated team to successfully complete this modernization project.

Req. ID#


PPM001 M Contractor must provide Project Management services for the duration of the Contract, including management of all deliverables, to ensure successful and timely completion of the scope of all services.

PPM002 M DMV reserves the right to set and change project management standards, consistent with PMBok, as necessary to address project issues over the course of the Contract.

PPM003 M Bidder must submit with its proposal a program/project management approach, including the bidder’s proposed methodology and tools that will be utilized over the course of the Contract.

PPM004 M

The Contractor must develop a Deliverable D-01 - Project Management Plan that includes industry accepted project management artifacts and plans, such as:

• A Project Scope Statement • Quality Management Plan • Risk/Issue Management Plan • Communication Plan

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PPM005 S

Bidder should describe the proposed project management approach in detail, including all activities required to meet the project objectives. The Plan should include a detailed communication plan. Bidders should provide examples of project management solutions that the Bidder has used successfully in other engagements

PPM006 M The Contractor must develop and maintain a Deliverable D-02 – Project Schedule that reflects the necessary steps, dependencies, etc. needed to implement the DMV Modernization System.

PPM007 M The Bidder must provide a draft Project Schedule with its proposal.

PPM008 S Bidder’s draft Project Schedule should address how the Contractor will ensure timely and successful implementation. DMV prefers that the System be implemented in the shortest amount of time feasible.

PPM009 M Contractor must ensure that the State will have access to the project repository at all times throughout the duration of the Contract. Contractor must turn over all documentation to DMV at the end of the Contract term.

PPM010 M Contractor must collaborate with the NYS Project Manager so the NYS Project Manager can ensure that the Enterprise Process Approach milestones are managed accurately within the DMV/ITS Project Management Portfolio.

IMPLEMENTATION APPROACH DMV envisions that the solution will be implemented in three phases as demonstrated in Figure 3 –Proposed DMV Modernization Timeline. During implementation, the solution must work with existing legacy systems and provide for the decommissioning of legacy systems that the solution will replace. Details of the applications, customer facing transaction, interfaces, exchanges, and data stores for each proposed phase are described in Exhibit 01 - DMV Systems Analysis. Figure 3 – DMV Modernization Timeline

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Req. ID#

Type Requirements Descriptions

IMP001 M Contractor must deliver the DMV Modernization System in a phased approach. An example can be found in Figure 3.

IMP002 M

As the Contractor implements each phase, the System must interface with systems that DMV will continue using, or will be decommissioned in a later phase. Throughout the phases, the Contractor must implement multiple interfaces with both DMV-internal and external systems.

IMP003 M Contractor must deliver appropriate customer facing transactions with each phase.

IMP004 S

Bidder should describe in detail its implementation strategy for the DMV Modernization System, including how it addresses the phased approach, support DMV’s decommissioning of legacy systems, and the numerous system integrations. Bidders should include how this proposed strategy has been successful in previous implementations.

IMP005 M

Contractor must develop a detailed Deliverable D-03 – Implementation Plan. The Implementation Plan must show the approach, phases, releases, deployments, transition, and the coordination for legacy system decommissions that will be associated with implementing the System.

SOFTWARE DEVELOPMENT LIFE CYCLE (SDLC) METHODOLOGY The Contractor must utilize a robust and proven Systems Development Life Cycle (SDLC) model that aligns with Exhibit 06 - Enterprise Process approach. This model will ensure that the modernization solution is developed and reviewed at the appropriate intervals from the initial feasibility assessment through maintenance of the completed solution.

The Contractor must utilize a SDLC that stresses management, control, and traceability of requirements. The SDLC should include uniform processes for software development, which provides common industry standard terminology, defines the documentation to be prepared, and articulate clear expectations for both the Contractor and NYS staff. Standards must be utilized for future maintenance of the System, which ensures that the System maintains flexibility to respond timely to system changes.

As part of the NYS SDLC process, ITS Engineering and Operations resources will support projects within the ITS Project Management Portfolio. Therefore, the Contractor Program/Project manager will work closely with the NYS Project Manager to ensure that the milestones listed in Exhibit 06 and associated mandatory deliverables are properly managed within the ITS Project Management Portfolio.

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Requirements that must be considered and addressed within every NYS SDLC are included in the Secure System Development Life Cycle Standard, which is available at: https://its.ny.gov/secure-system-development-life-cycle-standard

The ITS Secure SDLC tasks are provided for in the mandatory security key milestones listed in Exhibit 06 - Enterprise Process Approach. The Contractor must provide services to support ITS execution of the tasks in Exhibit 06.

Configuration Build Management “Configuration and Build Management” encompasses the processes that govern the management of the codebase as it is developed and deployed through the various environments. The build process shall update all environments with the latest version of the solution on a regular basis, or as deemed necessary by the Contractor or NYS. The management of the versions for both source and deployment code must be provided by the Contractor. Req. ID# Typ

e Requirements Descriptions

SLC001 M Contractor must utilize a SDLC methodology that stresses management, control, and traceability of requirements and DMV Business Rules.

SLC002 M

Contractor must provide and utilize the proposed methodology for SDLC Practices that includes but is not limited to:

• Quality management, metrics and performance improvement • Requirements management and traceability • Workflow analysis and business process reengineering • Functional analysis, technical design, and environment configuration • Software configuration/development, and change management • Data migration and operations conversion • External interface management • Testing strategy and quality control • Release plan and implementation strategy • Post-implementation support and maintenance strategy.

SLC003 S

Bidder should describe in detail their SDLC methodology, including how the SDLC practices will be executed and monitored for the duration of the services. DMV prefers a SDLC methodology that:

• utilizes uniform processes for software development • provides common industry standard terminology • defines the documentation to be prepared • articulates clear roles and responsibilities for both the Contractor and NYS • utilizes the same standards for future maintenance of the System

https://its.ny.gov/secure-system-development-life-cycle-standard

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SLC004 M

Contractor must provide and maintain throughout the term of the Contract Deliverable D-06 - Technical Solution Architecture and Design Documentation. This document must define and memorialize the specific Technical Solution Architecture for the System to articulate how it will accomplish business activities and business requirements.

The document must include:

1) Technical Architecture (Infrastructure)

• System Diagrams (Logical, Conceptual, Physical) • Detailed Infrastructure Diagrams that include: Servers, Databases, and

Network

2) Application Architecture

• Process Flow Charts (per each application or function flow) • Application Component/Module Directory • Interface Design (per each interface)

3) Data Architecture

• Logical and Physical Data Models • Data Architecture Diagram

SLC005 S

Bidder should provide the proposed conceptual level designs for technical, application and data architecture. The Plan should provide samples of System diagrams, interface design, data architecture diagrams from previous implementations. DMV prefers solutions that require minimal effort by NYS and is technologically aligned with Exhibit 04.

SLC006 M

Contractor must assist NYS in development of a final “Bill of Materials” specifications which will document the final specifications for:

• Server Virtual Machine • Network ports/protocols • Storage requirements (including partition recommendations) • Software installations • Load balancing • Physical databases

SLC007 M Contractor must map the high-level requirements to the solution design.

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SLC008 M Bidder’s Solution must provide a business rule engine or an alternative that is accepted by NYS. The business rules engine must be easy to use to allow a business user to update and maintain business rules.

SLC009 S

Bidder should describe in detail the proposed business rule engine or alternative, and preferred features such as:

• dynamic conditions/decisions using data external to the rules component • rule templates • reusable rule definitions • intuitive user interface to support future changes • ability for DMV staff to author and implement rules • data validation

SLC010 M The Contractor shall develop a Deliverable D-14 – Configuration Management Plan to manage the configuration/build processes for the SDLC.

SLC011 M Contractor must manage its configuration items and software versions.

SLC012 S Bidder should identify and describe their process and tools for managing their configuration items and software versions. DMV prefers solutions that are technologically aligned with Exhibit 04.

SLC013 M All System changes must follow the proposed and approved change management process.

SLC014 M All System changes are subject to prior approval by DMV.

SLC015 M

The Contractor must provide up to 80,000 hours of change management services annually. DMV will pay the Contractor on an hourly basis, at its quoted hourly rate for the actual change management hours used, (See Appendix-N, Cost Proposal Spreadsheet).

SLC016 M

Implementation timeframes for each individual change request are subject to DMV’s prior approval, and must be adhered to by the Contractor. No revisions to the agreed upon implementation schedule for a change request will be permitted without prior approval by DMV.

SLC017 M

The ITS Change Management Process is described in Exhibit 07. The Contractor must participate in aspects of that process as deemed necessary by ITS/DMV, including but not limited to:

a. Participation in meetings b. Communication of Change Requests c. Coordination of changes among all stakeholders d. Documentation of necessary changes, including:

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i. Planning ii. Work requested

iii. Work performed iv. Rollback due to problems (when applicable) v. Implementation or execution of change

SLC018 S

The Bidder should describe in detail its Change Management plan, including

1. System modifications that would not necessitate a formal change request 2. How DMV can make a change request and approval process 3. Description of how DMV will be kept informed on status of request and

Contractor actions taken 4. How changes will be logged, and are made easily accessible to DMV staff.

SLC019 M Contractor must plan and implement all upgrades. Upgrades must be scheduled in coordination with DMV to ensure no disruption of DMV business.

SLC020 S Bidder should describe in detail its methodology and tools it will employ for managing product upgrades. Bidder should provide samples from previously implemented solutions.

SLC021 M

Contractor must work in collaboration with State staff to develop Deliverable D-15 – Release and Deployment Plan. The plan must detail how releases and deployments will be managed, and should also describe in detail the division of roles and responsibilities as software, platform, O/S, and hardware are coordinated.

SLC022 S

Bidder should describe in detail its methodology and approach for Versions & New Releases Management. Bidder should describe how its release and deployment plan aligns with Exhibit 07. Bidder should include a RACI matrix that describes the roles, responsibilities, and the anticipated FTE’s required by the Contractor and State provided resources.

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REQUIREMENTS MANAGEMENT The Contractor will be responsible for working with the State staff to elicit and manage DMV business rules and requirement for each project deliverable. A well-defined and robust requirements management methodology is critical to the success of a modernization of the size and complexity. Req. ID# Type Requirements Descriptions

RQM001 M Contractor must elicit, document, and manage all requirements and DMV Business Rules to support the project deliverables.

RQM002 M The System must function in conformance with DMV Business Rules.

RQM003 M Bidder must include in its proposal the methodology and tools it will employ to manage the requirements throughout the term of the Contract.

RQM004 M

Contractor must conduct requirements analysis and experience design discovery as necessary to determine and document the detailed functional requirements for the system. Contractor must provide Deliverable D-04 - Detailed Functional Requirements Document. This document must also include how the System will meet the functional requirements and include Business Process Models that depict the end-to-end process including all the individual steps, users, decision points, and system outputs and ensures that the objectives and goals of the department are met. This can be supplemented by other supporting artifacts such as data flow diagrams, and workflow diagrams.

RQM005 M

Contractor must develop and maintain a Deliverable D-05 - Requirements Traceability Matrix, which provides backward and forward traceability for each requirement. The Requirements Traceability Matrix will become the document of record for requirements, and will be used as the basis for developing test plans. It must be maintained by the Contractor on an ongoing basis to reflect any decisions and changes made to the requirements.

RQM006 S

Bidder should describe in detail how their proposed requirements management methodology accomplishes requirements gathering and traceability. This should include all artifacts and tools, in addition to those required above, that will be utilized to ensure that the solution meets all requirements and DMV Business Rules. It is preferred that the bidder provide documentation from another engagement that depicts the end-to-end process including all the individual steps, users, decision points, and system outputs and ensures that the objectives and goals of the Department are met. This proposal should also include detailed requirements documentation for each phase such as to-be business process models, wire frames, business rules, work flow, interface functional requirements, report specs, etc.

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QUALITY ASSURANCE / TESTING

Req. ID# Type Requirements Descriptions

QAT001 M The Contractor will be responsible for the testing of its solution to determine that it conforms to the specified requirements prior to deployment or implementation. All functions of the System must be tested prior to rollout.

QAT002 M The Contractor must provide a quality assurance strategy that addresses all components of the solution.

QAT003 M The Contractor must collaborate with NYS staff to plan and test all system integrations.

QAT004 M

Contractor must coordinate with NYS to develop, plan, execute, and document user acceptance testing (UAT) activities, and provide a Deliverable D-09 - Quality Assurance/Testing Plan. The Quality Assurance Plan must:

• Describe the role of the Contractor’s Quality Assurance function; • Establish quality assurance procedures and processes, including different types

of testing, test plans, test environments, test data planning/creation, defect management, risk identification, assessment, impact analysis and mitigation strategies;

• Document Test results; • Support UAT Documentation; • Provide quality assurance procedures and processes including different types

of testing, plans, environments, data planning and creation, defect management, risk identification, assessment, impact analysis and mitigation strategies;

• Provide quality review activities and related reporting; • Provide project monitoring and related reporting.

QAT005 M The Contractor must train the UAT testers.

QAT006 S

Bidder should describe in detail its quality assurance strategy, processes and tools, defect management, roles and responsibilities, and related reporting. Preference will be given to bidders who provide a well-developed, fully integrated test plan that includes:

• Testing integrations with existing external systems; • Ensuring the integrity, quality, and completeness of data at all times; • Factors such as synchronization between legacy systems, as well as the

orchestration of business processes that will cut across legacy systems and the new solution;

• Test plan development and traceability strategy; • Description of the types of testing and the goals/outcomes of those testing

types; • Tasks to be completed prior to deployment such as data ingestion for DMV

legacy data extracts and execution, logging, and tracking of test cases;

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• Populating with test data as needed to support UAT scripts and plan, including refreshing as necessary;

• Create testing user IDs; • Assisting testers during UAT; • Tracking and repairing defects so test cycles can continue.

QAT007 M Contractor must plan for, execute, and report results for usability testing on the solution.

QAT008 S Bidder should describe its plan for usability testing, and how it will ensure the accuracy of test results.

QAT009 M Contractor must plan for, execute, and reports results on customer experience testing of the solution.

QAT010 S Bidder should describe its plan for customer experience testing, and how it will ensure the accuracy of test results.

QAT011 M Contractor must plan for, execute, and report results for accessibility testing on the solution.

QAT012 S Bidder should describe its plan for accessibility testing, and how it will ensure the accuracy of results.

QAT013 M Contractor must address all defects, usability and customer experience issues prior to implementation, unless an exception is granted by DMV.

SOLUTION TRAINING / KNOWLEDGE TRANSFER


STK001 M

Contractor must develop Deliverable D-10 – Training Plan. The Contractor must develop a training plan to schedule and complete training activities, which will include:

• Training Materials • How the training will be delivered • How success will be measured and reported • Webinar Training

STK002 M

Prior to each phased roll out, and in advance of each production implementation, the Contractor must, as part of Deliverable D-16 – Training Delivery, train end users, administrative staff, and trainers and perform knowledge transfer training for system configurations utilizing hands-on, in person training methods.

STK003 M Contractor must create and maintain a separate Training environment that mimics production, to support all training requirements. Solution training must not occur in the Production environment.

STK004 S

Bidder should provide a draft training plan that will allow DMV to determine how training will be effectively administered. The Plan must ensure that users can utilize the System with ease and confidence, and that DMV can train staff without Contractor assistance. DMV prefers varied delivery methods.

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STK005 M Contractor must update training materials on an as-needed basis, as enhancements or changes are made to the System.

STK006 S Bidder should include with its proposal sample training materials from a previously successful implementation to demonstrate ease-of-use and readability.

STK007 M

The Contractor must provide knowledge transfer services to ensure that NYS Staff have the knowledge and capability to:

• Create and modify configurations • Administer user roles • Administer the business rules engine • Manage portals and interfaces • Develop and modify notifications • Perform Data and Knowledge Management • Operate the solution fully upon successful rollout of all functionality

STK008 M The Contractor must develop Deliverable D-17 – Knowledge Transfer Plan.

STK009 M

The Contractor must work side by side with NYS to provide hands-on knowledge transfer, including but not limited to:

• defining and assigning security roles • developing reports, performance measures, and workflows • adding fields • creating forms and • adding business rules

STK010 S Bidder should provide a detailed draft Knowledge Transition plan that describes the approach for managing the smooth continuity of business operations and customer support.

DATA MIGRATION DMV is continually trying to improve the quality of data it maintains. “One driver, one license, one record” strategies have been very successful with the introduction of a Social Security Number (SSN) index, and facial recognition technologies that prevent the creation of duplicate customer records. DMV has established a single client database which bridges the driver license and registration systems, using the driver license client ID number, which has successfully matched 98% of the individual registrations with a driver license.

The majority of the ‘systems of record’ for DMV master data are currently hosted on the IBM mainframe in VSAM files. The VSAM data is stored using proprietary formatting, containing multiple types of variable data that are collected in variable length master files that typically require custom developed code to retrieve. The modernization strategy to date has been to replicate the as-is data to staging data stores housed in relational databases. A portion of the customer data

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has also been migrated to a single-client database hub, which uses various techniques and technologies to synchronize the master data in real-time with the VSAM files. The bidder’s proposed solution must integrate seamlessly with DMV legacy systems and data residing on various platforms. This integration may include importing data into a solutions repository, or if necessary duplicating data to maintain the integrity of legacy applications. DMV seeks to minimize duplication of data, improve accessibility to data. The Contractor’s proposed solution will be the DMV “system of record”. DMV will have primary responsibility for data cleansing and staging; DMV and the Contractor will have shared responsibility for data integration with legacy applications; and the Contractor will have primary responsibility for data migration and successful production deployment. Data migration and data integration of this scope require well defined, robust plans. The Bidder’s response must address all aspects of the data migration and integration plans, including methodologies, tools and artifacts, testing strategies and validation methods to ensure a successful implementation and data integrity throughout all phases of the project.

Req. ID# Type Requirements Descriptions DMG001 M Contractor must migrate data provided by DMV into the solution.

DMG002 M Contractor will be responsible for design, data migration and successful production deployment of data.

DMG003 M Bidder must provide a proposed data migration plan.

DMG004 S

Bidder’s should provide a draft migration plan with their proposals. The plan should include all tools, transformation methodologies, and processes that will be included in the scope of this modernization engagement. The plan should also include:

• Data Architecture diagram • RACI matrix that outlines the roles, responsibilities for the

Contractor and the State, and the anticipated level of effort • A detailed description of how they will collaborate, evaluate, and

plan with the State for successful data migration • Validation of the migrated data • Reconciliation of data discrepancies. • Data conversion acceptance testing plan • Rollback plan

DMV prefers a solution where the Contractor is responsible for ETL (extract, transform, and load) from the DMV staging area to the Contractor’s solution.

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DMG005 M Contractor must provide Deliverable D-12 - Data Migration Plan.

DMG006 M The Contractor must maintain the integrity of the data and ensure that appropriate data can be shared and synched between the Solution and DMV legacy systems outside of the solution during and after implementation.

DMG007 M The Contractor must ensure that the authoritative source of data is clearly documented and maintained throughout all phases of this engagement.

DMG008 S

Bidders should provide the following information with their proposals: • How the data migration process will be tested for performance and

accuracy prior to production implementation. • A methodology that ensures continuity of DMV system operations

during any transitionary phase, and documents any associated risks. • The proposed methodology for effective and timely management of

data migration issues, using procedures that track issues from identification through correction.

DMV prefers solutions that are technologically aligned with Exhibit 04.

DMG009 M Solution data attributes must conform to applicable Federal standards (e.g., DHS, CDL, and AAMVA).

DMG010 M

All data must remain in the Continental United States (CONUS). Any data stored, or acted upon, must be located solely in Data Centers in the CONUS. Services which directly or indirectly access data may only be performed from locations within the CONUS. All data in transit must be handled in accordance with FIPS-140-2 or TLS1, TLS2 (or any successor standard).

DMG011 M The Solution must allow users to query and access all data in all supported environments.

DMG012 M The Solution must purge records, as required by DMV.

DMG013 M The Solution must provide the ability for all data stored in a proprietary format to be replicated to an operational data store.

DMG014 S

Bidder should describe in detail its proposed data design and how it will enable a 360-degree view of all customers, regardless of the type of customer (e.g., individual, organization, etc.). The description should include documentation necessary to illustrate the Bidder's proposed data design.

DMG015 M The Solution must provide a data transfer mechanism that supports transfer of bulk, batched, and single records.

DMG016 M The Solution must meet NYS DMV storage capacity needs at all times during the term of the Contract.

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PRODUCTION ROLLOUT NYS currently maintains a centralized data center, and a disaster recovery data center that host the majority of the NYS systems. NYS ITS will provide, and be responsible for, maintaining the data center, hardware, servers, storage, network, and operating system (IaaS) for the Contractor’s System in the NYS data center. The Contractor will be responsible for maintenance and support of the layers of software provided by their solution above the operating system. All DMV master data must reside in the NYS Data Center. The Contractor will be working collaboratively with ITS to develop the final specifications and sizing of hardware and O/S to support all environments. Bidders may propose a solution that includes components that are hosted outside of the NYS Data Center and on the cloud.


PRO001 M Contractor must provide, implement, and maintain an acceptable production rollout approach to the NYS data center, any Contractor-hosted sites, and multiple office locations.

PRO002 M Contractor must verify the integrity of the production environment after every deployment.

PRO003 M Contractor must provide the ability to revert to a previous production version following any production rollout.

PRO004 M

Contractor must provide assurance to the State that each phase of the Solution is ready for use by providing a Deployment Readiness Certification that requires sign off by both the State and Contractor. The Certification must include:

• Known impact on workflow • Operability and stability of software • Application security • Any errors that arose during ingestion of legacy data and images • Impact of missing and erroneous data, if any • Completeness and accuracy of system documentation • Response/transaction time and overall system performance • Solution hardware, software, and telecommunications performance • Accuracy/performance of system interfaces and data exchanges

PRO005 S Bidder should describe in detail its approach to production rollout to the NYS data center, any Contractor-hosted sites, and multiple office locations, and providing assurance to the State that the Solution is ready for use.

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SYSTEM MAINTENANCE & SUPPORT NYS currently maintains a centralized data center and a disaster recovery data center, that host the majority of the NYS systems. For all on premise implementations NYS ITS will be providing the data center, hardware, servers, storage, network, and operating system (IaaS) for the DMV solution. Any agreed upon deviation from the supported IaaS services that are provided by NYS ITS will be the responsibility of the Contractor for maintenance and support. The Contractor will be responsible for all layers of the technology stack above the operating system. The State will be responsible for the servers and operating system. The Contractor will be working collaboratively with ITS to develop specifications and sizing of hardware and O/S to support all environments. The Contractor must perform all Services in the Contracts in a manner that maximizes performance levels for all Services, even those without an associated Service Level as defined below. Contractor will have access to ITSM, the State’s Help Desk tool, for incident reporting and tracking for support tickets outside of the vendors COTS system. All service calls will be directed to NYS as the first level of support. NYS will escalate call to the Contractor as appropriate for resolution. Req. ID# Type Description SMV001 M All DMV core data will reside in the NYS data center. SMV002 M The Solution must utilize the NYS network.

SMV003 M

Contractor must provide a full vendor managed services level of support for all solution software for the duration of the contract, including but not limited to:

• Project support. • Test planning, defect, and enhancement management. • Support for ITIL processes and functions including but not

limited to full responsibility for all levels of incident management, problem management, request management, change management, release management, knowledge management, asset management, and configuration management.

• Full range of service design support functions including but not limited to service level, availability, capacity, and IT service continuity management

• Service Desk functions beyond level one support. • Patching and system upgrades

SMV004 M System Availability is defined as the ability of the System, hardware and software, to perform its specified function when required. Incidents of

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unavailability of the System that are attributable to internet outages, power outages, or failure of DMV’s systems shall not constitute a failure of system availability. Contractor must maintain a standard of 99.5% system availability during the Principal Period of Operation, which is defined as 8:00 a.m. through 7:00 p.m. Monday through Friday and 8:00 a.m.-12:00p.m. on Saturday for the employee facing transactions, and 24/7 for the Customer portal.

SMV005 M

The Contractor must provide, as part of Deliverable D-11 - Support and Maintenance Plan, a Service Level Agreement (SLA), which must, at a minimum:

• Identify all agreed to service levels • Provide for the assessment of credits to the monthly maintenance

and support fees (Service Credits) if service levels are not met

SMV006 M

During system implementation, and in coordination with the Contractor, DMV will establish the Criticality Level of the application systems within the Contractor solution, as follows: Critical – a health, safety, revenue generating or otherwise critical system that, if disrupted, would significantly jeopardize the mission capability, result in financial loss, or result in a severe impact on public safety, health, or trust. High - minor disruptions are acceptable without consequences to mandates, financial position, public safety, health, or trust. Medium – disruptions result in minimal impact on employee productivity, financials, and the agency reputation. Low - nonessential or discretionary application with minimal operational contribution; sustained disruptions go unnoticed. Not Critical – shadow and single user technology solutions developed within the agencies that are non-essential to sustaining the mission capability.

SMV007 M

The SLA must define response times for incident based on severity levels and minimum response and resolution times as follows: Sev1 – Critical systems are inaccessible by multiple agencies or cause disruption to public facing interfaces or large group(s) of internal users. Examples include system outages that effect issuing offices, law enforcement, or customer facing interfaces. The issue is worked on around the clock until service is restored. Response -30 minutes Resolution – 4 hours Sev2 – Non-critical services are inaccessible to DMV staff. Examples include non-critical applications that effect internal business units or network connectivity for a large location. Response -4 hours Resolution – 8 hours

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Sev3 – Service is available, but not completely working as expected. There is no substantial adverse impact on business operations. Examples include application or network performance issues. Response -1 business day Resolution – 2 business days Sev4 – Service is available; the issue affects few people and does not require immediate attention. Examples include application is presenting users with a visual defect that does not prevent processing of work. Response -1 business day Resolution – 3 business days DMV reserves the right to designate the severity level assigned to any given incident.

SMV008 M

Contractor’s failure to meet an SLA, including 99.5% System availability, will result in a service credit to the monthly maintenance and support fees payable by DMV during the month of the failed measurement. DMV, at its option, may deduct such from any money payable to the contractor or may bill the contractor as a separate item. In the event of a catastrophic failure affecting the entire system, all affected SLAs shall be credited to DMV.

SMV009 M

Service Credits shall be applied by DMV based on system monitoring, feedback from users, information available from monitoring tools and Contractor supplied Service Level Reports. Each invoice submitted by the Contractor shall reflect and deduct from the Monthly Invoice, the Service Credits (if any) accrued during the invoice period.

SMV010 M Bidder must provide a draft SLA with their bid, which must identify service level credits for each service level.

SMV011 S

The draft SLA should: • Identify all agreed to service levels • Provide for the assessment of Service Credits if service levels

are not met • Identify how the Service Credits represent a reasonable measure

of the damages incurred by the State.

SMV012 M Solution must log and track system diagnostics, errors, and incidents, and make them available in real time.

SMV013 M

Solution must meet DMV-approved transaction time including: • Transaction functionality provided by the vendor (including any

functionality the bidder contracts out for) should not take longer than 3 seconds

• Standard transactions that interface with other systems should not take more than 3 seconds to process within the System

SMV014 M Solution must be designed and engineered to ensure no production data loss occurs.

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SMV015 M Contractor must coordinate with ITS for the maintenance and operations of the IaaS components.

SMV016 M Contractor must procure, implement, and support all technologies that fall outside of the base infrastructure such as platforms, databases, and middleware.

SMV017 M Contractor must perform all maintenance in a manner that minimizes the impact to normal business operations at all DMV locations.

SMV018 M Contractor must perform all maintenance activities at a time that is acceptable to DMV.

SMV019 M

Contractor must provide and adhere to Deliverable D-11- Support and Maintenance Plan that includes but is not limited to:

• A description of all preventative maintenance tasks • A schedule of all tasks (including frequency of performance) • The method of contact for the DMV to submit remedial

maintenance requests • The number of proposed NYS dedicated service

representatives that will be available • A detailed explanation of anticipated response times for

unscheduled service needs • The method the Contractor will use to coordinate remedial

maintenance visits with the DMV • The method of contact for the DMV to submit service calls • An escalation path, including contact names, emails and

phone numbers for DMV to escalate unresolved issues

SMV020 S

Bidder should provide a detailed maintenance and support plan that includes but is not limited to:

• A description of all preventative maintenance tasks • A schedule of all tasks (including frequency of performance) • The method used to coordinate site visits with DMV staff • The method of contact for the DMV to submit remedial

maintenance requests • The number of proposed service representatives that will be

available and their office locations • A detailed explanation of anticipated response times for

unscheduled service needs • The method the Contractor will use to coordinate remedial

maintenance visits with the DMV • The method of contact for the DMV to submit service calls • An escalation path, including contact names, emails and

phone numbers for DMV to escalate unresolved issues DMV prefers a display feature showing the “health” of the system, for example if there is a network outage.”

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SMV021 M Contractor must provide DMV with a telephone number and online web portal for contacting the Contractor’s Service Desk.

SMV022 M Contractor’s Service Desk must be available 24/7/365, with exceptions as agreed upon by DMV.

SMV023 M Contractor must provide regular communications to DMV following the initial notification of critical solution issues until the outage is corrected at an agreed upon interval.

SMV024 M Contractor must provide updates for critical solution issues minimally at 1 hour, 4 hours, and then continuing daily until the issue is resolved.

SMV025 M

Contractor must deliver an incident/problem report to DMV upon resolution of a service request, detailing the cause of the Solution malfunction, the actions taken to resolve the malfunction and the duration of time the Contractor took to resolve the malfunction.

SMV026 M Contractor must provide DMV with a root cause analysis within two (2) business days of the outage resolution or request from DMV for such analysis.

SMV027 M Contractor must make staff available to attend a root cause analysis meeting to discuss the findings of root cause analysis. Such meetings to be scheduled at times and locations acceptable to DMV.

SMV028 M Contractor must provide monthly service level reports that include:

• trend-lines indicating changes in service levels over time • identifying any actions needed to address service level issues

SMV029 M Contractor must provide changes to accommodate future federal requirements (e.g., CDL and S25)

SMV030 M Contractor must restore any data that is incorrectly populated by Solution processes due to a problem with the Contractor supported Solution.

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DISASTER RECOVERY For core components hosted at the NYS data center, NYS’ disaster recovery (DR) site in Utica, New York will be utilized to provide disaster recovery capability. The Contractor will be responsible for disaster recovery capability for components hosted outside the NYS data center. Possible interruptions to transaction processing will have a highly detrimental effect on the DMV and must be addressed by the DR solution. Req. ID# Type Requirements Descriptions

DSR001 M The Contractor must provide support for NYS disaster recovery efforts for state hosted systems.

DSR002 M Solution must have a recovery point objective of the last transaction completed.

DSR003 M Contractor must provide disaster recovery services that restore all components that are not hosted by NYS, in the event of a major disruption or shut down of the operation of the Solution.

DSR004 M Contractor must ensure the continuity of system operation and must meet a maximum Recovery Time Objective (RTO) of 48 hours from disruption of services.

DSR005 M

Contractor must develop Deliverable D-18 - Disaster Recovery Plan. The plan must minimally include the following:

• Detailed restoration plan for all functions of the System. • A procedure for testing the restored System. • Detailed recovery plan for restoration of services after a disaster,

utilizing the NYS Utica disaster recovery center and any sites proposed by the Bidder.

• Description of all integration points and coordinated recovery. The Contractor must refresh and test the Disaster Recovery Plan, at least annually.

DSR006 M Bidder must include a Disaster Recovery Plan in their proposal.

DSR007 S

Bidder should describe in detail its Disaster Recovery proposal, including: • How the DR strategy will quickly and fully restore full capacity • Communication plan • Assurances to DMV that the solution will have minimal disruption

to operations while the processing capability is transferred to the disaster recovery system

• A description of any diminished capacity under Disaster Recovery conditions, and instructions detailing paths to full operation

• How the plan will ensure the integrity of the data • Describing the roles and responsibilities required of both DMV and

the Contractor

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DSR008 M The Contractor must return the System to full operation in the event of a disaster.

DSR009 S The Bidder should describe how quickly it can return the System to full operation following a disaster.

ENVIRONMENT MANAGEMENT The Contractor will be responsible for managing the System on all production and non-production environments throughout the Contract term.

Req. ID#

Type Requirements Descriptions

EVM001 M

The Solution must operate on the ITS supported base IaaS technologies, as described in Exhibit 04 - Technology Services Overview, and those listed on the ITS Rates site at: https://its.ny.gov/service-rates. The Bidder may propose other products based on potential integration advantages and/or alignment with ITS enterprise strategic direction, however ant such proposed products shall be subject to prior approval by the New York State Chief Technology Officer.

EVM002 M Bidder must provide a complete bill of materials (BoM) for all new hardware, software, and services proposed for the DMV Solution, which includes vendor, model, and version details (See, Appendix-N, Cost Proposal Spreadsheet)

EVM003 M Contractor must provide separate environments, including, but not limited to, Development, Quality Assurance, Training, Staging, and Production. to be used during the SDLC

EVM004 The Contractor must design, build, and manage the System so that all environments are updated with the latest version of the System, on a regular basis, or as necessary.

EVM005 M Contractor must provide System architecture diagrams as required by SLC004 for all environments.

EVM006 M

Contractor must develop and maintain Deliverable D-19 - Environment Management Plan that includes parameters specific to all hardware, infrastructure, connectivity, communications, operating systems, RACI for tasks, and related services for each environment of the System.

EVM007 M

Contractor must develop a Deliverable D-13 - System Capacity Plan that addresses the sizing needs for each environment. The plan must include:

• performance and scalability requirements, • recommended hardware configurations, and • specifications for each environment, to include but not be limited to:

o Parameters and assumptions, such as transaction mix o Database size

https://its.ny.gov/service-rates

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o Session persistence o Page rates o Impacts of load balancing and clustering

EVM008 S

The Bidder should describe in detail its approach for environment management, including hardware, infrastructure, connectivity, communications and operating systems, including a RACI chart. DMV prefers a solution that is technologically aligned with Exhibit 04.

EVM009 M Contractor must make environments accessible to DMV throughout the Contract term.

EVM010 M

Contractor must provide capabilities for each environment, including but not limited to:

• Manipulation of System Date • Automated mechanism for creation and reuse of test data • Movement of defined sets of records between environments • Production simulation • Performance and volume testing

EVM011 S Bidder should describe in detail how its Solution will meet mandatory requirement EVM0010. DMV prefers a solution that requires minimal effort by ITS/DMV, and is technologically aligned with Exhibit 04.

EVM012 M The Contractor must submit revisions for DMV’s approval whenever upgrades are made to the Contractor provided System.

EVM013 M Contractor must provide a DR environment in a separate geographic location that replicates the capabilities and capacities of components not stored in the NYS Data Center.

EVM014 M Contractor must maintain a real-time replicated copy of the production environments, and components for which NYS does not maintain hosting responsibilities.

EVM016 S Bidder should describe in detail how its Solution will manage multiple concurrent developers in a single environment.

EVM017 S Bidder should describe in detail how its Solution will keep environments, including the Disaster Recovery environment, in sync.

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5 DELIVERABLES

SOLUTION DEMONSTRATION Bidders must conduct a Solution Demonstration as part of their proposals. The Solution Demonstration must mimic a small release where the Bidder and DMV team will work with the solution to produce a business outcome. The Solution Demonstration will be evaluated based on the Bidder’s ability to demonstrate their development and configuration process, to work with the DMV team, how quickly the proposed solution can be configured to reflect DMV specific requirements, user interface and usability, and if the proposed solutions improve process efficiencies. The Solution Demonstrations will be held at DMV’s Central Office in Albany, New York. The DMV will provide the office space, projector, screen, tables, and chairs.

The following is the estimated schedule for the Solution Demonstration:

Approximately 2 Weeks Prior to the Solution Demonstration/Oral Presentation -

Bidders will be notified of the same 1-3 business transactions they must each demonstrate. The transactions will be determined by DMV, prior to receipt of bidders’ proposals. The Bidder must provide the automation it needs to run its system in a demonstration mode that mimics the bidder’s proposed solution. DMV expects the system would be configured (not customized) for the transaction.

DMV will identify the DMV staff with whom the Bidder will be working. Depending on the selected transactions, there may be more than one DMV team. The Bidder’s team conducting the Solution Demonstration must be comprised of the same individuals proposed as key personnel identified in the Bidder’s proposal.

Day 1 of Solution Demonstration/Oral Presentation -

Bidders will have no more than 2, 3-hour sessions to work with DMV’s staff to determine requirements that will inform bidders of additional configurations that may be needed to be made to their solutions. This must be done using the same methodology and practices that were included in the bidder’s proposal. Only such identified key personnel will be allowed to attend the First day of the Solution Demonstration.


The Bidder will have this day (offsite) to configure its proposed system, based on the transactions and information previously gained by working with DMV staff.


Day 3 will consist of a combination of an oral presentation by the Bidder, Solution Demonstration. Bidders will have from 9:00 am to 5:00 pm to deliver their

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presentation/demonstration, including two 15-minute breaks and a 45-minute break for lunch. Bidder’s will set the agenda and schedule for the day, which must include the bidder’s overall solution, the Solution Demonstration and a Question and Answer period. Note: The spacing of the days will depend upon the number of participating bidders, and days may not be consecutively scheduled. All bidders will receive the same amount of time.

DELIVERABLES ACCEPTANCE PROCESS A. The list of Contract Implementation deliverables for each Phase of the Contracts is

included as Exhibit 08 – Contract Deliverables. 1. The Contractor must work with DMV to develop the acceptance criteria that are

satisfactory to DMV, for each deliverable, before the Contractor begins work on developing or deploying any deliverable. The Criteria are subject to DMV’s prior approval in writing. Acceptance criteria will be drawn from this RFP, the Contractor’s proposal, project standards, and other sources (See, Exhibit 09 - Deliverable Acceptance Form).

2. The Contractor must provide DMV with sufficient lead time to review and approve acceptance criteria, prior to Contractor commencing work to develop/deploy the deliverable. Work performed by Contractor, prior to approval of the relevant deliverable requirements, shall be at the Contractor’s sole risk.

3. In addition to the specific acceptance criteria for each deliverable, the Contractor must ensure that all deliverables are:

a. Developed in compliance with DMV’s requirements, b. Completed within the timelines specified in the approved project schedule, c. Consistent with industry best-practices in terms of deliverable

completeness, clarity, and quality. B. The Contractor is fully responsible for the delivery of the scope of work defined in this

RFP, regardless of the allocation across proposed work products and deliverables. If the Contractor is required to re-plan the delivery of in-scope requirements across work products and deliverables, the Contractor shall perform this re-planning at no additional charge to the Agency when such re-planning is not a result of Agency-initiated changes or significant Agency delays.

C. Contractor must submit a draft version of each deliverable to DMV for approval. DMV will review the draft and provide comments and revisions where necessary. Contractor must incorporate DMV’s changes, and must resubmit the revised draft for DMV’s review. Such revised drafts are subject to DMV’s acceptance and approval. The schedule for these tasks will be generated by DMV and the Contractor, and are subject to DMV’s approval in writing. The approved schedule shall be incorporated into the Project Schedule. DMV will have 5 business days to review each 25 pages of a draft deliverable.

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D. Changes to any deliverables that have been formally approved by DMV, as stated above, or those that impact key project components such as price, schedule, scope, architecture, or usability shall be presented as part of the approved change process and shall require written approval by DMV and any other control agency. Upon approval of the change, updates to corresponding project deliverables must be incorporated into the Project Schedule within five (5) business days, unless DMV agrees to grant an extension of time.

E. In the event that DMV determines that circumstances beyond the Contractor’s control prevent the Contractor from providing a mandatory project deliverable(s) as specified, DMV reserves the right and sole discretion to accept the deliverable with the non-conformity.

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6 PROPOSAL EVALUATION

6-1 COMPLETE BIDS Bidders must submit a complete bid, which addresses every element of the RFP. Appendix-D, the Bid Submission Checklist, is a complete list of all items that Bidders must submit with their proposals.

6-2 BID REQUIREMENT DETAIL 6-2.1 Introductory Cover Letter All bids must include a cover letter, signed on behalf of the Bidder by a duly authorized officer or agent of the Bidder, which contains the following:

• Identification of the Bidder, including the company’s name, address, phone

number, federal employer identification number (EIN); and the name, title and phone number of the person authorized to accept notices and other communications from DMV, and to respond to inquiries from DMV, concerning this RFP;

• Confirmation that the bid is submitted in response to RFP #C000890; • Identification of the various parts of the bid (by Section); • Other concise introductory information (such introductory information will not

be subject to evaluation). • Identification of any and all subcontractors, including a description of how their

participation improves meeting project objectives.

6-2.2 Bidder’s Technical Proposal Bidders must submit a comprehensive Technical proposal that provides sufficient detail to permit the Evaluation Team to assess the Bidder’s degree of understanding of the requirements and deliverables. Proposals that do not address all of the mandatory requirements and deliverables of this RFP will be disqualified as “non-responsive”. Bidders may offer additional alternatives to the mandatory requirements. However, such alternatives may only be provided in addition to responses that address the required mandatory requirements. Proposals that only offer an alternative to a mandatory requirement may be deemed non-responsive.

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6-2.3 Evaluation of Bidder’s Cost Proposal When determining the scores for Cost, the Bidder proposing the lowest cost for each item will be given the full amount of points for the Cost portion of that item, then points will be awarded proportionally to the next lowest Bidders using the following formula:

(Lowest Proposal Cost/Bidder’s Proposal Cost) x Points Allocated Cost scores are then added to the bidders’ technical scores. The cost proposal must be submitted on the Cost Proposal Form (Appendix-N) in a separate sealed envelope. This envelope must be separate from the other components of the proposal. Bidders may NOT propose alternative pricing structures.

6-2.4 Financial Information By the act of submitting a proposal in response to this RFP, the Bidder acknowledges and agrees that DMV is authorized to do the following: • Make inquiry into and research the Bidder’s financial history and condition by

any means DMV deems reasonably necessary; and • Evaluate the financial history and condition of the Bidder to whom a contract

is tentatively awarded. Any findings which DMV, in its sole discretion, deems to be adverse may result in disqualification of the proposal.

Bidders must submit a copy of the following information with their proposal, in the event their business is organized as a corporation, a limited liability company (LLC), partnership, or a sole proprietorship, as applicable: • Corporate/LLC information required, including (where applicable):

• Ticker Symbol of the Bidder, under which the company is traded; • Exchange on which company stock is traded; • DUNS Number.

• A copy of the Bidder’s Certificate of Incorporation, LLC Articles of

Organization, or the Partnership Certificate on file in the State in which the Bidder is principally located, and a letter from the Secretary of State’s office stating the corporation/LLC/partnership is in good standing with the State in which it is principally located. o If the Bidder is a partnership comprised of two or more corporations, then

a copy of each partner’s Certificate of Incorporation, and a copy of the partnership papers, must be provided.

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o If the Bidder is not a New York corporation, or LLC, the Bidder must provide a copy of documents demonstrating that it is authorized to do business in NYS.

o If the Bidder is a partnership comprised of non-corporate partners, the Bidder must provide a copy of its Certificate of Partnership, and, if applicable, LLC articles of organization.

• A list identifying all corporate officers/LLC managing members, and the firm’s

legal counsel. • Financial Statements

Bidders must provide with their proposals evidence of their financial capacity to perform their contractual obligations arising under the terms of the awarded contract, as specified in this RFP. Bidders must provide audited financial statements for the last three (3) years of operations. In the event that a bidder is not required by law to have independent audits performed, the Bidder must provide a statement to that effect, and other verifiable evidence of the Bidder’s financial capacity, with its Cost Proposal. DMV will consider other verifiable evidence such as annual financial statements for the last three (3) years; a report by a third-party service (e.g., Dun and Bradstreet); statements from a bank confirming the average daily account balances for the last year; or similar documentation. If audited financial statements are available, they must be submitted even if proprietary information is contained therein (bidders must notify DMV if proprietary information is contained).

All proof of financial capacity is subject to review by DMV, and acceptance or rejection thereof will be subject to the sole discretion of DMV.

6-3 EVALUATION OF PROPOSALS AND CONTRACT AWARD The Proposal Evaluation Team will consist of several NYS-employees with varied relevant backgrounds who will independently evaluate each proposal using the same evaluation criteria. The Evaluation Team will select a winning Bidder based upon the highest score achieved. A formal notice of tentative contract award will be subsequently sent to all Bidders informing them of the identity of the successful bidder. Immediately upon notification of the tentative contract award, the successful bidder must identify the staff member(s) authorized to negotiate the remaining terms of the Contract with DMV. Contracts awarded by DMV are considered tentatively awarded, and are not binding upon the state, until approved and executed by the NYS Office of State Comptroller (OSC). NYS will review the proposals to determine whether the Bidder has met all “mandatory requirements”. Mandatory requirements are indicated by the presence of terms such as “must”, “shall”, or “is (are) required” in a statement. All Contractor requirements included in Section 7 “Terms and Conditions” are “mandatory”.

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NYS will evaluate proposals utilizing the following criteria: Functional (24%)

The Functional evaluation will review how well the Bidder’s proposal satisfies the requirements of RFP Sections 2-1 through 2-9.

System Technical and Security (9%) The System Technical and Security evaluation will review how well the Bidder’s proposal satisfies the requirements of RFP Sections 3-1, 3-2, 4-3, 4-4, 4-6, 4-8, 4-9, 4-11 and 4-12.

Delivery (9%) The Administration evaluation will review how well the Bidder’s proposal satisfies the requirements of RFP 4-1, 4-2, 4-5, 4-7, 4-10

Experience (14%) The Experience evaluation will review how well the Bidder’s proposal and responses satisfies the requirements of Section 1-4

Solution Demonstrations (19%) The Lab and Demonstrations evaluation will review how well the bidder performs in the Mandatory Lab Demo, see Section 5-1.

Cost (20%) A cost proposal form is included with this RFP (See, Appendix-N). Bidders must submit with their bid a completed cost proposal form in a separate sealed envelope, labeled “Cost Proposal” in accordance with Appendix N of this RFP.

Diversity Practices (5%) This component of the evaluation will review Bidder’s responses to Appendix-M.

6-3.1 SECURITY REVIEW DMV reserves the right to perform a security review of the awarded Contractor’s systems and/or facility. DMV will notify Contractor 30 days prior to an audit of the Contractor’s systems and/or facility. The Contractor shall pay all costs for travel and lodging incurred by the Department of Motor Vehicles auditors/investigators in connection with all security reviews, including re-inspections performed due to a previously failed inspection. The purpose and scope of the security review is to determine whether adequate controls are in place to protect the availability of the System and the integrity and confidentiality of the information. The security review includes, but is not limited to:

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• Description of the System including a listing of hardware and software; • A diagram of the System, including System components, and connections. • Physical and logical vulnerabilities and associated security controls; • External vulnerability/penetration scan. Scans may be performed by DMV, or an

independent entity subject to DMV’s approval; • Determination that DMV resources and data in a shared environment (such as the

Contractor’s server farm) are be properly segregated and protected from the other components of the environment.

6-3.2 VENDOR RESPONISBILITY DETERMINATION Prior to awarding a contract, DMV must evaluate information provided in the Vendor Responsibility Questionnaire which must be completed by each offerer. Offerers are invited to file the required Vendor Responsibility Questionnaire online, via the New York State VendRep System. Offerers may elect to submit a completed hard-copy questionnaire, in lieu of using this electronic format. To enroll in and use the New York State VendRep System, offerers should refer to the VendRep System Instructions available at www.osc.state.ny.us/vendrep, or they may access the VendRep System online, at https://portal.osc.state.ny.us. For assistance using the VendRep System, offerers may contact the OSC Help Desk at 866-370-4672 or 518-408-4672, or by email at [email protected]. Offerers electing to file a hard-copy questionnaire can obtain the questionnaire form at the VendRep website (www.osc.state.ny.us/vendrep), or they may contact DMV or the Office of the State Comptroller to obtain a copy. DMV reserves the right to verify all information provided by the offerer to whom an award of contract is made. DMV reserves the right to disqualify an Offerer/Contractor as “non-responsible”, in the event that the Bidder/Contractor has intentionally provided false or incomplete information, or has intentionally failed to disclose pertinent information. DMV reserves the right to make continuing responsibility determinations at any time during the term of the Contract.

6-3.3 CONTRACT NEGOTIATION AND EXECUTION The Bidder selected for this project must promptly enter into contract negotiations with DMV to finalize outstanding terms and conditions of the Contract to DMV’s satisfaction. DMV reserves the right to disqualify the Bidder and to negotiate a contract with the second highest scoring Bidder, if contract negotiations are not concluded to DMV’s satisfaction within 120 calendar days from the date of the tentative award of the Contract to the successful bidder (i.e., bidder’s receipt of notification of the award of the Contract).

http://www.osc.state.ny.us/vendrep

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7 TERMS AND CONDITIONS

INTELLECTUAL PROPERTY LICENSE Contractor will grant DMV a perpetual, worldwide, non-exclusive, nontransferable license to use the System, including all software provided to DMV under the terms hereof (the Licensed Product). The grant of such license shall be solely for the business purposes described herein, and in connection with any services obtained from Contractor, and not for any other purposes. Without limiting the foregoing, DMV shall not create derivative works, or sell, license, or otherwise transfer or distribute to unauthorized third parties, or commercialize in any respect whatsoever, any Contractor technology.

ESCROW FOR SOFTWARE SOURCE CODE Upon award of the Contract, the Contractor must promptly enter an Escrow Agreement with a designated third-party Escrow Agent, identified to and approved by DMV, at Contractor’s sole expense, under which the Escrow Agent will hold the Escrowed Materials (including Software Source Code for the System). Contractor shall be responsible for updating Escrowed Materials during the term of the Contract, as often as necessary to ensure that such materials remain current at all times.

Under the terms of the Escrow Agreement, which terms are subject to the approval of DMV, (a) the Escrow Agent shall be instructed by DMV to release the Escrowed Materials to DMV in the event of a material breach of Contract committed by Contractor which prevents the intended use of the software products provided hereunder, and (b) upon release of the Escrowed Materials to DMV, DMV shall have the right to use the Escrowed Materials for the sole purpose of using and maintaining such software for the remainder of the Contract term.

DATA OWNERSHIP All Data created by the State shall remain the sole property of the State, regardless of where such Data is stored or transmitted.

Contractor agrees that all data provided by NYS or accessed by Contractor under the terms of the engagement shall be used expressly and solely for the authorized purposes set forth in the Contract. Data shall not be distributed, used, repurposed or shared across other applications, environments, or business units of the Contractor. Contractor agrees that no NYS data of any kind shall be transmitted, exchanged or otherwise passed to other contractors, agents, subcontractors or any other interested parties, except as expressly and specifically agreed to in writing by DMV. Contractor agrees that no NYS data will be processed on or transferred to any portable computing device or any portable storage medium, unless that device or storage medium is a necessary and NYS-approved component of the authorized business processes covered in the Contract.

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CONTRACTOR’S INSURANCE REQUIREMENTS During the term of this Contract, the Contractor shall maintain in force, at its sole cost and expense policies of insurance as required by this section. All insurance required by this section shall be written by companies that have an A.M. Best Company rating of “A-,” Class “VII” or better. In addition, companies writing insurance intended to comply with the requirements of this section should be licensed or authorized by the New York State Department of Financial Services to issue insurance in the State of New York. DMV may, in its sole discretion, accept policies of insurance written by a non-authorized carrier or carriers when certificates and/or other policy documents are accompanied by a completed Excess Lines Association of New York (ELANY) affidavit or other documents demonstrating the company’s strong financial rating. If, during the term of a policy, the carrier’s A.M. Best rating falls below “A-,” Class “VII,” the insurance must be replaced, on or before the renewal date of the policy, with insurance that meets the requirements above. The Contractor shall provide proof of compliance with the requirements set forth in this Section for Contract renewal and upon request. The Contractor shall deliver to DMV evidence of the insurance required by this Contract in a form satisfactory to DMV. Policies must be written in accordance with the requirements of the paragraphs below, as applicable. While acceptance of insurance documentation shall not be unreasonably withheld, conditioned or delayed, acceptance and/or approval by DMV does not, and shall not be construed to, relieve the Contractor of any obligations, responsibilities or liabilities under this Contract. The Contractor shall not take any action, or omit to take any action that would suspend or invalidate any of the required coverages during the term of the Contract. A. General Conditions Applicable to Insurance. All policies of insurance required by this section shall comply with the following requirements: 1. Coverage Types and Policy Limits. The types of coverage and policy limits required from the Contractor are specified in Section B-Insurance Requirements. 2. Policy Forms. Except as otherwise specifically provided herein, or agreed to in the Contract, all policies of insurance required by this section shall be written on an occurrence basis. 3. Certificate of Insurance/Notices. The Contractor shall provide DMV with a Certificate or Certificates of Insurance, in a form satisfactory to DMV (e.g., an ACORD certificate), after renewal or upon request. Certificates shall reference the Contract number and shall name the New York State Department of Motor Vehicles, Procurement Services, 6 Empire State Plaza, Room 224, Albany New York, 12228 as the certificate holder. Certificates of Insurance shall:

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• Be in the form acceptable to DMV and in accordance with the New York State Insurance Law (e.g., an ACORD Certificate);

• Disclose any deductible, self-insured retention, aggregate limit or exclusion to the policy that materially changes the coverage required by this Contract;

• Refer to this Contract by number; • Be signed by an authorized representative of the referenced insurance carriers; and • Contain the following language in the Description of Operations / Locations /

Vehicles section: The People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees are included as an additional insured on endorsement CG 20 10 11 85 (or endorsements that provide equivalent coverage, such as the combination of CG 20 10 04 13 (covering ongoing operations) and CG 20 37 04 13 (covering completed operations)), and General liability coverage is provided on the current edition of Commercial General Liability Coverage Form CG 00 01 (or a form that provides equivalent coverage). Additional insured protection afforded is on a primary and non-contributory basis. A waiver of subrogation is granted in favor of the additional insureds.

Only original documents (Certificates and any endorsements and other attachments) or electronic versions of the same that can be directly traced back to the insurer, agent or broker via e-mail distribution or similar means will be accepted. Except for (i) Data Breach and Privacy/Cyber Liability coverage, (ii) Technology Errors and Omissions, and (iii) Crime insurance coverages, DMV generally requires Contractors to submit only certificates of insurance and additional insured endorsements, although DMV reserves the right to request other proof of insurance. Contractors are requested to refrain from submitting entire insurance policies, unless specifically requested by DMV. If an entire insurance policy is submitted but not requested, DMV shall not be obligated to review and shall not be chargeable with knowledge of its contents. In addition, submission of an entire insurance policy not requested by DMV does not constitute proof of compliance with the insurance requirements and does not discharge Contractors from submitting the requested insurance documentation. 4. Forms and Endorsements. For Data Breach and Privacy/Cyber Liability, Technology Errors and Omissions, and certain Crime Insurance coverages (those containing Cyber theft coverage), Contractor shall provide DMV, after renewal or upon request, with a Schedule of Forms and Endorsements and, upon request, all Forms and Endorsements, unless otherwise agreed to in the Contract. The Forms and Endorsements shall provide evidence of compliance with the requirements of this Contract. Only original documents or electronic versions of the same that can be directly traced back to the insurer, agent or broker via e-mail distribution or similar means will be accepted.

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5. Primary Coverage. All insurance policies shall provide that the required coverage shall be primary and non-contributory to other insurance available to the People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees. Any other insurance maintained by the People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees shall be excess of and shall not contribute with the Contractor’s insurance. 6. Breach for Lack of Proof of Coverage. The failure to comply with the requirements of this section at any time during the term of the Contract shall be considered a breach of the terms of the Contract and shall allow the People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees to avail themselves of all remedies available under the Contract or at law or in equity. 7. Self-Insured Retention/Deductibles. Certificates of Insurance must indicate the applicable deductibles/self-insured retentions for each listed policy. Deductibles or self-insured retentions above $100,000.00 are subject to approval from DMV. Such approval shall not be unreasonably withheld, conditioned or delayed. The Contractor shall be solely responsible for all claim expenses and loss payments with the deductibles or self-insured retentions. If the Contractor is providing the required insurance through self-insurance, evidence of the financial capacity to support the self-insurance program along with a description of that program, including, but not limited to, information regarding the use of a third-party administrator shall be provided upon request. 8. Subcontractors. Prior to the commencement of any work by a subcontractor, the Contractor shall require such subcontractor to procure policies of insurance as required by this section and maintain the same in force during the term of any work performed by that subcontractor. 9. Waiver of Subrogation. For the Commercial General Liability Insurance and Comprehensive Business Automobile Liability Insurance required below, the Contractor shall cause to be included in each of its policies a waiver of the insurer’s right to recovery or subrogation against the People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees. A Waiver of Subrogation Endorsement evidencing such coverage shall be provided to DMV upon request. A blanket Waiver of Subrogation Endorsement evidencing such coverage is also acceptable. 10. Additional Insured. For the Commercial General Liability Insurance and Comprehensive Business Automobile Liability Insurance required below, the Contractor shall cause to be included in each of its policies ISO form CG 20 10 11 85 (or a form or forms that provide equivalent coverage, such as the combination of CG 20 10 04 13 and CG 20 37 04 13) and form CA 20 48 10 13 (or a form or forms that provide equivalent coverage) naming as additional insureds: The People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees. An Additional Insured Endorsement evidencing such coverage shall be provided to DMV after renewal and/or

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upon request. A blanket Additional Insured Endorsement evidencing such coverage is also acceptable. For Contractors who are self-insured, Contractor shall be obligated to defend and indemnify the above-named additional insureds with respect to Commercial General Liability and Comprehensive Business Automobile Liability, in the same manner that Contractor would have been required to pursuant to this section had Contractor obtained such insurance policies. As clarification, “The People of the State of New York” means the State of New York and its subsidiary governmental entities. This is the name in which the State, as a governmental entity, enters into contracts, takes title to property, and initiates legal actions. Using the term “People” does not mean that the insurer is insuring all residents of New York State; rather, it means that the State government is being insured. 11. Excess/Umbrella Liability Policies. Required insurance coverage limits may be provided through a combination of primary and excess/umbrella liability policies. If coverage limits are provided through excess/umbrella liability policies, then a Schedule of underlying insurance listing policy information for all underlying insurance policies (insurer, policy number, policy term, coverage and limits of insurance), including proof that the excess/umbrella insurance follows form must be provided after renewal and/or upon request. 12. Notice of Cancellation or Non-Renewal. Policies shall be written so as to include the requirements for notice of cancellation or non-renewal in accordance with the New York State Insurance Law. Within five (5) business days of receipt of any notice of cancellation or non-renewal of insurance, the Contractor shall provide DMV with a copy of any such notice received from an insurer together with proof of replacement coverage that complies with the insurance requirements of this Contract. 13. Policy Renewal/Expiration. Upon policy renewal/expiration, evidence of renewal or replacement of coverage that complies with the insurance requirements set forth in this Contract shall be delivered to DMV. If, at any time during the term of this Contract, the coverage provisions and limits of the policies required herein do not meet the provisions and limits set forth in this Contract, or proof thereof is not provided to DMV, the Contractor shall immediately cease work. The Contractor shall not resume work until authorized to do so by DMV. 14. Deadlines for Providing Insurance Documents after Renewal or Upon Request. As set forth herein, certain insurance documents must be provided to the DMV Procurement Services contact identified in the Contract Award Notice after renewal or upon request. This requirement means that the Contractor shall provide the applicable insurance document to DMV as soon as possible but in no event later than the following time periods:

• For certificates of insurance: 5 business days • For information on self-insurance or self-retention programs: 15 calendar days • For additional insured and waiver of subrogation endorsements: 30 calendar days • For schedules of forms and endorsements and all forms and endorsements: 60

calendar days

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Notwithstanding the foregoing, if the Contractor shall have promptly requested the insurance documents from its broker or insurer and shall have thereafter diligently taken all steps necessary to obtain such documents from its insurer and submit them to DMV, DMV shall extend the time period for a reasonable period under the circumstances, but in no event shall the extension exceed 30 calendar days. B. Insurance Requirements: Throughout the term of this Contract, the Contractor shall obtain and maintain in full force and effect, the following insurance with limits not less than those described below and as required by the terms of this Contract, or as required by law, whichever is greater. 1. Commercial General Liability Insurance: Commercial General Liability Insurance with a limit of not less than $2,000,000 each occurrence. Such liability shall be written on the current edition of ISO occurrence form CG 00 01, or a substitute form providing equivalent coverage and shall cover liability arising from bodily injury, premises operations, independent contractors, products-completed operations, broad form property damage, personal & advertising injury, cross liability coverage, liability assumed in a Contract (including the tort liability of another assumed in a contract) and explosion, collapse & underground coverage.

• General Aggregate $2,000,000 • Products – Completed Operations Aggregate $2,000,000 • Personal and Advertising Injury $1,000,000 • Each Occurrence $2,000,000 • Damage to Rented Premises $50,000 • Medical Expenses $5,000

Aggregate limits shall apply on a per location basis, or as otherwise agreed to in the Contract. This aggregate limit applies separately to each location at which the insured works. Coverage shall include, but not be limited to, the following:

• Premises liability; • Independent contractors; • Blanket contractual liability, including tort liability of another assumed in any

Contract resulting from this Solicitation; • Defense and/or indemnification obligations, including obligations assumed under

this Contract; • Cross liability for additional insureds; and • Explosion, collapse and underground hazards.

2. Comprehensive Business Automobile Liability Insurance covering liability arising out of any automobile used in connection with performance under the Contract, including owned, leased, hired and non-owned automobiles bearing or, under the circumstances under which they are being

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used, required by the Motor Vehicles Laws of the State of New York to bear, license plates. Such policy shall have a combined single limit for Bodily Injury and Property Damage of at least $2,000,000.00 each accident. The limits may be provided through a combination of primary and umbrella liability policies. In the event that the Contractor does not own, lease or hire any automobiles used in connection with performance under the Contract, the Contractor does not need to obtain Comprehensive Business Automobile Liability Insurance, but must attest to the fact that the Contractor does not own, lease or hire any automobiles used in connection with performance under the Contract on a form provided by DMV. If, however, during the term of the Contract, the Contractor acquires, leases or hires any automobiles that will be used in connection with performance under the Contract, the Contractor must obtain Comprehensive Business Automobile Liability Insurance that meets all of the requirements of this section and provide proof of such coverage to DMV in accordance with the insurance requirements of the Contract. In the event that the Contractor does not own or lease any automobiles used in connection with performance under the Contract, but the Contractor does hire and/or utilize non-owned automobiles in connection with performance under the Contract, the Contractor must: (i) obtain Comprehensive Business Automobile Liability Insurance as required by this Contract, except that such insurance may be limited to liability arising out of hired and/or non-owned automobiles, as applicable; and (ii) attest to the fact that the Contractor does not own or lease any automobiles used in connection with performance under the Contract, on a form provided by DMV. If, however, during the term of the Contract, the Contractor acquires or leases any automobiles that will be used in connection with performance under the Contract, the Contractor must obtain Comprehensive Business Automobile Liability Insurance that meets all of the requirements of this section and provide proof of such coverage to DMV in accordance with the insurance requirements of the Contract. 3. Data Breach and Privacy/Cyber Liability: Contractors are required to maintain during the term of this Contract and as otherwise required herein, Data Breach and Privacy/Cyber Liability Insurance, including coverage for failure to protect confidential information and failure of the security of the Contractor’s computer systems or the Authorized Users’ systems due to the actions of the Contractor which results in unauthorized access to the Authorized User(s) or their data. Said insurance shall be maintained in the following limits: Data Breach and Privacy/Cyber Liability Lot Minimum Insurance Coverage Lot 1 – Software $1,000,000 Lot 2 – Hardware $1,000,000 Data Breach and Privacy/Cyber Liability Lot Minimum Insurance

Coverage Lot 3 – Cloud * Low Risk $2,000,000

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Moderate Risk $5,000,000 High Risk $10,000,000 Lot 4 - Implementation $1,000,000 * See NYS-S14-002 Information Classification Standard or successor available at http://www.its.ny.gov/tables/technologypolicyindex.htm for additional information relating to risk categories. Contractor must maintain minimum insurance coverage for the level of risk for which Contractor provides Products and submit documentation in accordance with the terms of this Contract. Technology Errors and Omissions: Contractors are required to maintain during the term of the Contract and as otherwise required herein, Technology Errors and Omissions Insurance. Said insurance shall be maintained in the following limits: Technology Errors and Omissions Lot Minimum Insurance Coverage Lot 1 – Software $1,000,000 Lot 2 – Hardware $1,000,000 Lot 3 – Cloud * Low Risk $2,000,000 Moderate Risk $5,000,000 High Risk $10,000,000 Lot 4 – Implementation $1,000,000 *See NYS-S14-002 Information Classification Standard or successor available at http://www.its.ny.gov/tables/technologypolicyindex.htm for additional information relating to risk categories. Contractor must maintain minimum insurance coverage for the level of risk for which Contractor provides Products and submit documentation in accordance with the terms of this Contract. 1. Consulting; 2. Data processing; 3. Programming; 4. System integration; 5. Hardware or software development; 6. Installation; 7. Distribution or maintenance; 8. Systems analysis or design; 9. Training; 10. Staffing or other support services; and 11. Manufactured, distributed, licensed, marketed or sold cloud computing services. The policy shall include coverage for third party fidelity including cyber theft.

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If the policy is written on a claims made basis, Contractor must submit to DMV an Endorsement providing proof that the policy provides the option to purchase an Extended Reporting Period (“tail coverage”) providing coverage for no less than one (1) year after work is completed in the event that coverage is cancelled or not renewed. This requirement applies to both primary and excess liability policies, as applicable. 5. Crime Insurance: Contractors are required to maintain during the term of the Contract and as otherwise required herein, Crime Insurance. Said insurance shall be maintained in the following limits: Crime Insurance Lot Minimum Insurance Coverage Lot 1 – Software $2,000,000 Lot 2 – Hardware $2,000,000 Lot 3 – Cloud * Low Risk $2,000,000 Moderate Risk $5,000,000 High Risk $10,000,000 Lot 4 - Implementation $2,000,000 *See NYS-S14-002 Information Classification Standard or successor available at http://www.its.ny.gov/tables/technologypolicyindex.htm for additional information relating to risk categories. Contractor must maintain minimum insurance coverage for the level of risk for which Contractor provides Products and submit documentation in accordance with the terms of this Contract. Crime Insurance on a “loss sustained form” or “loss discovered form” providing coverage for Third Party Fidelity. In addition to the coverage above:

• The policy must allow for reporting of circumstances or incidents that might give rise to future claims.

• The policy must include an extended reporting period of no less than one (1) year with respect to events which occurred but were not reported during the term of the policy.

• Any warranties required by the Vendor’s and Contractor’s insurer as a result of this Contract must be disclosed and complied with. Said insurance shall extend coverage to include the principals (all directors, officers, agents and employees) of the Vendor and Contractor as a result of this Contract.

• The policy shall include coverage for third party fidelity, including cyber theft if not provided as part of Cyber Liability, and name the People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use this Contract as an Authorized User and their officers, agents, and employees as “Loss Payees” for all Third-Party coverage secured. An Endorsement naming as Loss Payees “The People of the State of New York, the New York State Department of Motor Vehicles, any entity authorized by law or regulation to use this

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Contract as an Authorized User and their officers, agents and employees” shall be provided upon request. A blanket Loss Payee Endorsement evidencing such coverage is also acceptable. This requirement applies to both primary and excess liability policies, as applicable.

• The policy shall not contain a condition requiring an arrest and conviction. 6. Workers’ Compensation Insurance & Disability Benefits Coverage: Sections 57 and 220 of the New York State Workers’ Compensation Law require the heads of all municipal and state entities to ensure that businesses applying for contracts have appropriate workers’ compensation and disability benefits insurance coverage. These requirements apply to both original contracts and renewals. Failure to provide proper proof of such coverage or a legal exemption will result in a rejection of any contract renewal. Proof of workers’ compensation and disability benefits coverage, or proof of exemption must be submitted to DMV at the time of policy renewal, contract renewal and upon request. Proof of compliance must be submitted on one of the following forms designated by the New York State Workers’ Compensation Board. An ACORD form is not acceptable proof of New York State workers’ compensation or disability benefits insurance coverage. Proof of Compliance with the Workers’ Compensation Coverage Requirements: • Form CE-200, Certificate of Attestation for New York Entities With No Employees and Certain Out of State Entities, That New York State Workers’ Compensation and/or Disability Benefits Insurance Coverage is Not Required, which is available on the New York State Workers’ Compensation Board’s website (www.wcb.ny.gov); • Form C-105.2 (9/07), Certificate of Workers’ Compensation Insurance, sent to DMV by the Contractor’s insurance carrier upon request, or if coverage is provided by the New York State Insurance Fund, they will provide Form U-26.3 to DMV upon request from the Contractor; or • Form SI-12, Certificate of Workers’ Compensation Self-Insurance, available from the New York State Workers’ Compensation Board’s Self-Insurance Office, or Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group Self-Insurance, available from the Contractor’s Group Self-Insurance Administrator. Proof of Compliance with the Disability Benefits Coverage Requirements: • Form CE-200, Certificate of Attestation for New York Entities With No Employees and Certain Out of State Entities, That New York State Workers’ Compensation and/or Disability Benefits Insurance Coverage is Not Required, which is available on the New York State Workers’ Compensation Board’s website (www.wcb.ny.gov); • Form DB-120.1, Certificate of Disability Benefits Insurance, sent to DMV by the Contractor’s insurance carrier upon request; or • Form DB-155, Certificate of Disability Benefits Self-Insurance, available from the New York State Workers’ Compensation Board’s Self-Insurance Office.

http://www.wcb.ny.gov/

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An instruction manual clarifying the New York State Workers’ Compensation Law requirements is available for download at the New York State Workers’ Compensation Board’s website, http://www.wcb.ny.gov. Once on the site, click on the Employers/Businesses tab and then click on Employers’ Handbook

8 ACCESSIBILITY OF WEB-BASED INFORMATION AND APPLICATIONS BY PEOPLE WITH DISABILITIES

Section 508 of the Rehabilitation Act of 1973 (as amended) (29 USC § 794d) requires that electronic and information technology be accessible to people with disabilities. Any web-based information and applications development, or programming delivered pursuant to the contract or procurement, must comply with Web Content Accessibility Guidelines 2.0 Level AA (WCAG 2.00 AA), published by the World Wide Web Consortium’s (W3C’s) Web Accessibility Initiative (WAI), as such policy may be amended, modified or superseded, which requires that state agency web-based information and applications are accessible to persons with disabilities. Web-based information and applications must conform to WCAG 2.00 AA as determined by quality assurance testing. Such quality assurance testing will be conducted by the Contractor and the results of such testing must be satisfactory to DMV before web-based information and applications will be considered a qualified deliverable under the contract or procurement. System software, hardware and mounting must comply with the Americans with Disabilities Act (ADA), Section 508 of the Rehabilitation Act, Section 255 of the Communications Act, and all applicable laws, rules, regulations, and guidance issued therewith, including all New York State laws, rules, regulations, policies, and guidance regarding the accessibility of information communication technology as defined in 36 CFR Part 1194, and must also comply with any changes in the current applicable laws, rules, regulations and polices related to accessibility by the date required thereunder.

DISPUTE RESOLUTION Within thirty (30) days of Contract execution, the Contractor must provide DMV with the name, email address, and direct phone number of an individual, designated by Contractor, who is empowered to respond to and resolve any concerns that DMV determines to require immediate resolution due to severity or mishandling through usual communication channels. The Contractor must designate and identify a backup individual to provide the same service in the event that the primary contact is unavailable.

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DMV reserves the right and sole discretion to require Contractor to replace any such individual within five (5) business days, if, DMV determines that such individual is not satisfactorily performing the required function.

SURETY The Parties acknowledge that the provision of the Solution produced hereunder is critical to the core functions of the New York State Department of Motor Vehicles. Contractor’s timely delivery and maintenance of a properly operating and conforming Solution is material to the Contract.

Upon execution of the Contract by OSC, Contractor must provide surety for the faithful performance of the Contract in the form of an irrevocable documentary letter of credit, in the amount of 10 % of the implementation costs. Such letter of credit must be issued by a sound and reputable bank which is authorized to do business in the State of New York. Contractor shall, bearing all costs and expenses, obtain and maintain such letter of credit in effect for the term of the Contract and any extensions thereof, and for a further sixty (60) days after the Contract’s expiration, by termination or otherwise.

The letter of credit shall state as beneficiary the State of New York, Department of Motor Vehicles, to be invoked for the benefit of the State of New York, Department of Motor Vehicles, upon delivery of a sworn statement by DMV to the issuing bank that the Contractor has failed to perform pursuant to the terms and conditions of the Contract with the State of New York, Department of Motor Vehicles. The terms of the letter of credit shall not condition payment upon Contractor’s approval of payment by the issuing bank; and presentment of the letter of credit for payment shall not be required outside the geographic boundaries of New York State.

9 BACKGROUND CHECKS FOR CONTRACTOR PERSONNEL

All Contractor agents, employees and subcontractors providing services at the premises of NYS must present appropriate photo identification to a designated representative of NYS upon entering the premises, and must notify such representative upon leaving the premises.

Such personnel must comply with NYS security requirements for the premises in which services are performed, including signing required log in/out forms. Contractor agrees that such personnel performing services at NYS premises, who are not escorted by a DMV/ITS employee, or those with logical access to DMV/ITS data (i.e., having log-in access credentials) who are un-escorted (including Virtual escorting), shall be required to undergo the same security clearances as are required of the NYS employees, including fingerprinting. DMV will arrange for the scheduling of fingerprinting, and the cost thereof shall be borne by Contractor (not to exceed $150.00 per person). Such fingerprints shall be submitted to the New York State Division of Criminal Justice Services for a state criminal history record check and, where authorized, to the Federal Bureau of

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Investigation for a national criminal history record check. Should any such personnel be rejected by NYS for any reason, the Contractor must immediately provide an acceptable replacement, in order to meet assigned installation dates.

Contractor must provide installation personnel who agree to all NYS required security procedures, including background checks and fingerprinting. For the purpose of this RFP, Virtual escorting requires the ability of the DMV/ITS representative to terminate the connection of the Contractor at all times.