STATE OF NORTH CAROLINA Department of Transportation Purchasing Section
STATE OF NORTH CAROLINA REQUEST FOR PROPOSAL NO. 54-JC-11377890 Department of Transportation Bids will be publicly opened: January 5, 2015 Purchasing Section Contract Type: Open Market Refer ALL Inquiries to: Jeff Conken Date Issued: November 14, 2014 Telephone No. 919-707-2630 Commodity Number: 920 Commodity: Traffic Monitoring System E-Mail: [email protected] Using Agency Name: Department of Transportation (See page 2 for delivery instructions) Agency Requisition No. 11377890 OFFER AND ACCEPTANCE: This solicitation advertises the State’s needs for the Services and/or goods described herein. The State seeks proposals comprising competitive bids offering to sell the Services and/or goods described in this solicitation. All proposals and responses received shall be treated as offers to contract. The State’s acceptance of any proposal must be demonstrated by execution of the acceptance found below, and any subsequent Request for Best and Final Offer, if issued. Acceptance shall create a contract having an order of precedence among terms as follows: Special terms and conditions specific to this RFP, Specifications of the solicitation documents, except as amended, the North Carolina Information Technology Procurement Office General Terms and Conditions for Goods and Related Services, the North Carolina Office of Information Technology Supplemental Terms and Conditions for Software and Services, if any, Best and Final Offers, if any and the awarded Vendor’s proposal. However, depending on the solution(s) selected for evaluation, the State reserves the right to negotiate terms and conditions appropriate to the given solution. EXECUTION: In compliance with this Request for Proposal, and subject to all the conditions herein, the undersigned offers and agrees to furnish any or all Services or goods upon which prices are bid, at the price(s) offered herein, within the time specified herein. By executing this bid, I certify that this bid is submitted competitively and without collusion. Failure to execute/sign bid prior to submittal shall render bid invalid. Late bids are not acceptable. BIDDER: STREET ADDRESS: P.O. BOX: ZIP: CITY & STATE & ZIP: TELEPHONE NUMBER: TOLL FREE TEL. NO PRINT NAME & TITLE OF PERSON SIGNING: FAX NUMBER: AUTHORIZED SIGNATURE: DATE: E-MAIL: Offer valid for ninety (90) days from date of bid opening unless otherwise stated here: ______ days ACCEPTANCE OF BID: If any or all parts of this bid are accepted, an authorized representative of the NCDOT shall affix their signature hereto and this document and the provisions of the special terms and conditions specific to this Request for Proposal, the specifications, and the North Carolina Information Technology Procurement Office General Terms and Conditions for Goods and Related Services, the North Carolina Office of Information Technology Supplemental Terms and Conditions for Software and Services, and any negotiated Best and Final Offers shall then constitute the written agreement between the parties. A copy of this acceptance will be forwarded to the successful Vendor(s). FOR NCDOT USE ONLY Offer accepted and contract awarded this ___ day of _____________________, 20__, as indicated on attached certification, by _____________________________________________ (Authorized representative of NCDOT). DELIVERY INSTRUCTIONS: Vendor must deliver one (1) signed original and two (2) copies of the Proposal to Issuing Agency in a sealed package with Company Name and RFP Number clearly marked on the front. Vendor must return all the pages of this solicitation in their response. Vendor must also submit one (1) signed, executed electronic copy of its proposal on USB Flash Drive or read-only CD/DVD(s). The files should not be password-protected and should be capable of being copied to other media. Address envelope and insert bid number as shown below. Please note that the US Postal Service does not deliver any mail (US Postal Express, Certified, Priority, Overnight, etc.) on a set delivery schedule to this Office. It is the responsibility of the Vendor to have the bid in this Office by the specified time and date of opening. DELIVERY BY US POSTAL SERVICE: DELIVERY BY OTHER MEANS: RFP NUMBER: 54-JC-11377890 RFP NUMBER: 54-JC-11377890 Department of Transportation Department of Transportation Attn: Jeff Conken Attn: Jeff Conken 1510 Mail Service Center 1 S. Wilmington Street, Room 412 Raleigh, NC 27699-1510 Raleigh, NC 27601 Sealed bids, subject to the conditions made a part hereof, will be received at 1 S. Wilmington Street until 2:00pm Eastern Standard Time on the day of opening and then opened, for furnishing and delivering the commodity as described herein. Proposals for this RFP must be submitted in a sealed package with the Execution of Proposal signed and dated by an official authorized to bind the Vendor’s firm. Failure to return a signed execution of proposal shall result in disqualification. All proposals must comply with Section VI, Proposal Content, and Organization. Proposals will not be accepted by electronic means. This RFP is available electronically at https://www.ips.state.nc.us/ips/. All inquiries regarding the RFP requirements are to be addressed to the contact person listed on page one. DIGITAL IMAGING: The State will digitize the Vendor’s response if not received electronically, and any awarded contract together with associated contract documents. This electronic copy shall be a preservation record, and serve as the official record of this solicitation with the same force and effect as the original written documents comprising such record. Any printout or other output readable by sight shown to reflect such record accurately is an "original." Written questions concerning this RFP will be received until November 24, 2014 at 2:00 pm Eastern Standard Time. They must be sent via e-mail to: [email protected] or faxed to 919-733-8743. Please insert “Questions 54-JC-11377890” as the subject for the email. The State will prepare responses to all written questions submitted, and post an addendum to the Interactive Purchasing System (IPS) https://www.ips.state.nc.us/ips/. Oral answers are not binding on the State. Vendor contact regarding this RFP with anyone other than Jeff Conken may be grounds for rejection of said Vendor’s offer. Addendum to RFP: If a pre-bid conference is held or written questions are received prior to the submission date, an addendum comprising questions submitted and responses to such questions, or any additional terms deemed necessary by the State will be posted to the Interactive Purchasing System (IPS), https://www.ips.state.nc.us/ips /, and shall become an Addendum to this RFP. Vendors’ questions posed orally at any pre-bid conference must be reduced to writing by the Vendor and provided to the Purchasing Officer as directed by said Officer. Critical updated information may be included in these Addenda. It is important that all Vendors bidding on this proposal periodically check the State website for any and all Addenda that may be issued prior to the bid opening date. Basis for Rejection: Pursuant to 9 NCAC 06B.0401, the State reserves the right to reject any and all offers, in whole or in part; by deeming the offer unsatisfactory as to quality or quantity, delivery, price or service offered; non-compliance with the requirements or intent of this solicitation; lack of competitiveness; error(s) in specifications or indications that revision would be advantageous to the State; cancellation or other changes in the intended project, or other determination that the proposed requirement is no longer needed; limitation or lack of available funds; circumstances that prevent determination of the best offer; or any other determination that rejection would be in the best interest of the State. NOTICE TO VENDORS: The State objects to and will not be required to evaluate or consider any additional terms and conditions submitted with a Bidder’s response. This applies to any language appearing in or attached to the document as part of the Bidder’s response. By execution and delivery of this Invitation for Bids and response(s), the Bidder agrees that any additional terms and conditions, whether submitted purposely or inadvertently, shall have no force or effect. LATE PROPOSALS: Regardless of cause, late proposals will not be accepted and will automatically be disqualified from further consideration. It shall be the Vendor’s sole risk to ensure delivery at the designated office by the designated time. Late proposals will not be opened and may be returned to the Vendor at the expense of the Vendor or destroyed if requested. VENDOR REGISTRATION AND SOLICITATION NOTIFICATION SYSTEM: Vendor Link NC allows Vendors to electronically register with the State to receive electronic notification of current procurement opportunities for goods and Services available on the Interactive Purchasing System at the following web site: https://www.ips.state.nc.us/ips North Carolina Department of Transportation Request for Proposal Number 54-JC-11377890 Traffic Monitoring System RFP # 54-JB-11377890 Table of Contents Introduction .................................................................................................................................................. 1 Bidding Information ...................................................................................................................................... 1 Instructions to Vendors ............................................................................................................................ 1 General Conditions for Proposals ............................................................................................................. 2 Evaluation Process .................................................................................................................................... 6 Problem Overview ...................................................................................................................................... 10 Current TMS Context .................................................................................................................................. 10 Continuous Count Program .................................................................................................................... 11 Coverage Count Program ....................................................................................................................... 11 Project Count Program ........................................................................................................................... 11 Summary................................................................................................................................................. 12 Solution Overview ....................................................................................................................................... 12 Future TMS Context................................................................................................................................ 13 Core System........................................................................................................................................ 13 Polling System .................................................................................................................................... 14 Field System ....................................................................................................................................... 14 Web Publishing System ...................................................................................................................... 15 Summary ............................................................................................................................................ 15 TMS System User Roles .......................................................................................................................... 15 User Role Responsibilities .................................................................................................................. 16 Business Systems Availability ................................................................................................................. 18 Documentation ....................................................................................................................................... 18 Functional Requirements ............................................................................................................................ 19 Processing Requirements ....................................................................................................................... 19 NCDOT Traffic Monitoring System Statistics Generation Methodology ................................................ 19 Continuous Count Data ...................................................................................................................... 19 Short Term Count Data....................................................................................................................... 22 Data and Reporting Requirements ............................................................................................................. 30 Data Categories ...................................................................................................................................... 30 Remote Data ........................................................................................................................................... 30 Minimum Historical Data Needed .......................................................................................................... 30 Continuous Count Program ................................................................................................................ 30 Coverage Count Program ................................................................................................................... 30 Project Count Program ....................................................................................................................... 30 Annual Data Processing .......................................................................................................................... 31 Station Inventory ................................................................................................................................ 31 Count Spatial Data .............................................................................................................................. 31 Equipment Vendor Raw Data Format Processing .............................................................................. 31 Maximum Annual Raw Data ............................................................................................................... 32 Reporting Requirements ........................................................................................................................ 32 54-JC-11377890 Page ii RFP # 54-JB-11377890 Post Implementation .................................................................................................................................. 32 Warranty................................................................................................................................................. 32 Warranty Period Service Level Agreement (SLA) ................................................................................... 32 Maintenance........................................................................................................................................... 33 NCDOT Technical Architecture and Data Security Requirements .............................................................. 33 Platform Architecture: Standard End-User Software ............................................................................ 33 Platform Architecture: End User Hardware .......................................................................................... 35 Platform Architecture Standards: Mobile Devices ................................................................................. 36 Additional Mobile Requirements: ...................................................................................................... 36 Platform Architecture: General Server .................................................................................................. 36 Platform Architecture: Virtualization, File/Print, Web Servers: ............................................................ 38 Application Architecture: Application Development ............................................................................ 40 Platform Architecture: Enterprise Solution Platforms .......................................................................... 41 Platform Architecture: GIS..................................................................................................................... 42 GPS Standards ........................................................................................................................................ 43 Project Management Specification ............................................................................................................. 44 Proposal Content ........................................................................................................................................ 48 Proposal Organization ............................................................................................................................ 49 Proposal Format ..................................................................................................................................... 52 Gross Elaboration and Length ................................................................................................................ 52 Appendices ............................................................................................................................................. 52 Errata or Exceptions ............................................................................................................................... 52 North Carolina Information Technology Procurement Office General Terms and Conditions for Goods and Related Services ................................................................................................................................... 53 North Carolina Office of Information Technology Supplemental Terms and Conditions for Software and Services ....................................................................................................................................................... 69 Appendix A: Feature and Function List ...................................................................................................... 77 Continuous - Polling................................................................................................................................ 77 Continuous – Core System...................................................................................................................... 79 Coverage and Project – Field System ..................................................................................................... 86 Coverage – Core System ......................................................................................................................... 89 Project – Core System............................................................................................................................. 97 Web-based Publication ........................................................................................................................ 104 Appendix B: FHWA and NCDOT Class Scheme Comparison .................................................................... 108 Appendix C: Glossary and Acronyms ........................................................................................................ 109 Glossary ................................................................................................................................................ 109 Acronyms .............................................................................................................................................. 110 Appendix D: Cost Form ............................................................................................................................ 113 54-JC-11377890 Page iii RFP # 54-JB-11377890 Table of Figures Figure 1: Future TMS .................................................................................................................................. 13 Table of Tables Table 1: RFP Schedule .................................................................................................................................. 9 Table 2: User Roles ..................................................................................................................................... 16 Table 3: SU Truck Factor Group ................................................................................................................. 24 Table 4: MU Truck Factor Group ................................................................................................................ 24 Table 5: Total AADT Rounding ................................................................................................................... 29 Table 6: Individual Rounding...................................................................................................................... 29 Table 7: End User Software ........................................................................................................................ 35 Table 8: End User Hardware ...................................................................................................................... 35 Table 9: Mobile Devices ............................................................................................................................. 36 Table 10: General Server ............................................................................................................................ 37 Table 11: Other Servers.............................................................................................................................. 39 Table 12: Application Development Platforms .......................................................................................... 40 Table 13: Enterprise Solution Platforms .................................................................................................... 41 Table 14: GIS .............................................................................................................................................. 43 Table 15: Feature and Function – Continuous (Polling) ............................................................................. 79 Table 16 Feature and Function – Continuous (Core) ................................................................................. 86 Table 17: Feature and Function – Coverage and Project (Field System) ................................................... 89 Table 18: Feature and Function – Coverage (Core) ................................................................................... 97 Table 19: Feature and Function – Project (Core) ..................................................................................... 103 Table 20: Feature and Function – Web Publication ................................................................................. 107 Table 21: FHWA and NCDOT Vehicle Class Scheme Comparison ............................................................ 108 54-JC-11377890 Page iv RFP # 54-JB-11377890 Introduction The purpose of this Request for Proposal (RFP) is to solicit proposals for a commercially available software solution to provide the North Carolina Department of Transportation (NCDOT) with a traffic monitoring management system in a highly automated and paperless fashion which will increase efficiency in data loading, validation, processing, analysis, viewing and reporting to meet mandated traffic data reporting requirements. The solution will either be hosted by NCDOT, hosted by Vendor or provided as Software as a Service. Depending on the solution(s) selected for evaluation and award, the State reserves the right to negotiate terms and conditions appropriate to the given solution and formalize them in a BAFO. The awarded Vendor will furnish all items necessary to supply NCDOT with a fully functional Traffic Monitoring System (TMS). This will include: All product or necessary modules or add-ins All training and learning materials All required documentation and support materials Installation and functional testing Services to satisfy a fully useable solution Contract Services required to fully implement the solution, to include project management and subject matter or technical experts. This request is for a closed-ended contract between the awarded Vendor and the State to furnish a predetermined quantity of a good or service during a specified period. Bidding Information Instructions to Vendors Additional acronyms, definitions, and abbreviations may be included in the text of the RFP. Please refer to Appendix C of this RFP for a comprehensive list. 1. Proposals submitted electronically or via facsimile (FAX) machine will not be accepted. 2. EXECUTION: Failure to sign under EXECUTION section will render proposal invalid. 3. TIME FOR CONSIDERATION: Unless otherwise indicated on the first page of this document, Vendor’s offer must be valid for 90 days from the date of proposal opening 4. FAILURE TO MEET PROPOSAL REQUIREMENTS: While it is not anticipated that the awarded Vendor will fail to meet the proposal requirements, if such should occur, the right is reserved to further evaluate the responses to this RFP and then to recommend an award to the next Vendor response that represents the best interest of the State. 5. PROMPT PAYMENT DISCOUNTS: Vendors are urged to compute all discounts into the price offered. If a prompt payment discount is offered, it will not be considered in the award of the contract except as a factor to aid in resolving cases of identical prices. 54-JC-11377890 Page 1 RFP # 54-JB-11377890 6. MISCELLANEOUS: Masculine pronouns shall be read to include feminine pronouns and the singular of any word or phrase shall be read to include the plural and vice versa. 7. VENDOR REGISTRATION AND SOLICITATION NOTIFICATION SYSTEM: Vendor Link NC allows Vendors to electronically register with the State to receive electronic notification of current procurement opportunities for goods and Services available on the Interactive Purchasing System at the following web site: https://www.ips.state.nc.us/IPS/Vendor/Vndrmess.asp 8. ORGANIZATION: Vendors are directed to carefully review Section VI herein and fully comply with the content and organizational requirements therein. 9. E-PROCUREMENT: This is an e-procurement solicitation. See paragraph #47 of the attached Information Technology Terms and Conditions for Goods and Related Services. The Terms and Conditions made part of this solicitation contain language necessary for the implementation of North Carolina’s statewide e-procurement initiative. It is the Vendor’s responsibility to read these terms and conditions carefully and to consider them in preparing the offer. By signature, the Vendor acknowledges acceptance of all terms and conditions including those related to e-procurement. a) General information on the e-procurement service can be found at http://eprocurement.nc.gov/ b) Within two days after notification of award of a contract, Vendor must register in NC EProcurement @ Your Service at the following web site: http://eprocurement.nc.gov/Vendor.html c) As of the RFP submittal date, the Vendor must be current on all e-Procurement fees. If the Vendor is not current on all e-Procurement fees, the State may disqualify the Vendor from participation in this RFP. 10. E-VERIFY: Pursuant to N.C.G.S. 147-33.95(g), the State shall not enter into a contract unless the awarded Vendor and each of its subcontractors comply with the E-Verify requirements of N.C.G.S. Chapter 64, Article 2. Vendors are directed to review the foregoing laws. Any awarded Vendor must submit a certification of compliance with E-Verify to the awarding agency, and on a periodic basis thereafter, as may be required by the State. General Conditions for Proposals 1. Definitions, Acronyms and Abbreviations. Generally, see 9 NCAC 06A.0102 for definitions, and refer to Appendix C. The following are additional defined terms: a) The State: Is the State of North Carolina, and its Agencies. State, Agency, and NCDOT are synonymous within the context of this RFP. b) ITS: Office of Information Technology Services. 54-JC-11377890 Page 2 RFP # 54-JB-11377890 c) Goods: Includes intangibles such as computer software; provided, however that this definition does not modify the definition of “goods” in the context of N.C.G.S. §25-2-105 (UCC definition of goods). d) Vendor: Company, firm, corporation, partnership, individual, respondent, etc., submitting a response to a solicitation. e) Open Market Contract: A contract for the purchase of goods or Services not covered by a term, technical, or convenience contract. f) 24x7: A statement of availability of systems, communications, and/or supporting resources every hour (24) of each day (7 days weekly) throughout every year for periods specified herein. Where reasonable downtime is accepted, it will be stated herein. Otherwise, 24x7 implies NO loss of availability of systems, communications, and/or supporting resources. g) Reasonable, Necessary, or Proper: as used herein shall be interpreted solely by the State of North Carolina. h) RFP: Request for Proposal 2. Read and Review. It shall be the Vendor’s responsibility to read this entire document, review all enclosures and attachments, and comply with all requirements and the State’s intent as specified herein. If a Vendor discovers an inconsistency, error, or omission in this solicitation, the Vendor should request a clarification from the State’s contact person listed on the front page of the solicitation. Questions and clarifications must be submitted in writing and may be submitted by personal delivery, letter, fax, or e-mail within the time period identified hereinabove. 3. Vendor Responsibility. The Vendor(s) will be responsible for investigating and recommending the most effective and efficient technical configuration. Consideration shall be given to the stability of the proposed configuration and the future direction of technology, confirming to the best of their ability that the recommended approach is not short lived. Several approaches may exist for hardware configurations, other products, and any software. The Vendor(s) must provide a justification for their proposed hardware, product and software solution(s) along with costs thereof. Vendors are encouraged to present explanations of benefits and merits of their proposed solutions together with any accompanying Services, maintenance, warranties, value added Services or other criteria identified herein. 4. Oral Explanations. The State will not be bound by oral explanations or instructions given at any time during the bidding process or after award. Vendor contact regarding this RFP with anyone other than the Agency contact or procurement officer named in the cover material may be grounds for rejection of said Vendor’s offer. Agency contact regarding this RFP with any Vendor may be grounds for cancellation of this RFP. 5. Insufficiency of References to Other Data. Only information that is received in response to this RFP will be evaluated. Reference to information previously submitted or Internet Website Addresses (URLs) will not suffice as a response to this solicitation. 54-JC-11377890 Page 3 RFP # 54-JB-11377890 6. Conflict of Interest. Applicable standards may include: N.C.G.S. §§ 147-33.100, 14-234, 133-32. The Vendor shall not knowingly employ, during the period of this contract, nor in the preparation of any response to this solicitation, any personnel who are, or have been, employed by a Vendor also in the employ of the State and who are providing Services involving, or similar to, the scope and nature of this solicitation or the resulting contract. 7. Contract Term. A contract awarded pursuant to this RFP shall have an effective date as provided in the Notice of Award. The term shall be one (1) year from the commencement date of the solutions production use, and will expire upon the anniversary date of that date, or unless terminated earlier. The State retains the option to extend this contract for two (2) additional one (1) year periods at its sole discretion. 8. Effective Date. This solicitation, including any Exhibits, or any resulting contract or amendment shall not become effective nor bind the State until the appropriate State purchasing authority/official or Agency official has signed the document(s), contract or amendment; the effective award date has been completed on the document(s), by the State purchasing official, and that date has arrived or passed. The State shall not be responsible for reimbursing Vendor for goods provided nor Services rendered prior to the appropriate signatures and the arrival of the effective date of the Contract. No contract shall be binding on the State until an encumbrance of funds has been made for payment of the sums due under the contract. 9. Recycling and Source Reduction. It is the policy of this State to encourage and promote the purchase of products with recycled content to the extent economically practicable, and to purchase items which are reusable, refillable, repairable, more durable, and less toxic to the extent that the purchase or use is practicable and cost-effective. We also encourage and promote using minimal packaging and the use of recycled/recyclable products in the packaging of goods purchased. However, no sacrifice in quality of packaging will be acceptable. The Vendor remains responsible for providing packaging that will protect the commodity and contain it for its intended use. Vendors are strongly urged to bring to the attention of the purchasers at the Statewide IT Procurement Office those products or packaging they offer which have recycled content and that are recyclable. 10. Historically Underutilized Businesses. Pursuant to General Statute 143-48, 143-128.4 and Executive Order #13, the State invites and encourages participation in this procurement process by businesses owned by minorities, women, disabled, disabled business enterprises, and non-profit work centers for the blind and severely disabled. Additional information may be found at: http://www.doa.nc.gov/hub/ 11. Clarifications/Interpretations. Any and all amendments or revisions to this document shall be made by written addendum from the IT Procurement Office. Vendors may call the purchasing agent listed on the first page of this document to obtain a verbal status of contract award. If either a unit price or extended price is obviously in error and the other is obviously correct, the incorrect price will be disregarded. 12. Rights Reserved. While the State has every intention to award a contract as a result of this RFP, issuance of the RFP in no way constitutes a commitment by the State of North Carolina, or the 54-JC-11377890 Page 4 RFP # 54-JB-11377890 procuring Agency, to award a contract. Upon determining that any of the following would be in its best interests, the State may: a) Waive any formality; b) Amend the solicitation; c) Cancel or terminate this RFP; d) Reject any or all proposals received in response to this document; e) Waive any undesirable, inconsequential, or inconsistent provisions of this document, which would not have significant impact on any proposal; f) If the response to this solicitation demonstrate a lack of competition, negotiate directly with one or more Vendors; g) Not award, or if awarded, terminate any contract if the State determines adequate State funds are not available; or h) If all responses are deficient, determine whether Wavier of Competition criteria may be satisfied, and if so, negotiate with one or more Vendors. 13. Alternate Bids. Vendor may submit alternate bids for various levels of service(s) or products meeting specifications. Alternate bids must specifically identify the RFP requirements and advantage(s) addressed by the alternate bid. Any alternate proposals must be clearly marked with the legend as shown herein. Each proposal must be for a specific set of Services or products and bid at specific pricing. If a Vendor chooses to respond with various service or product offerings, each must be bid with a different price and a separate proposal response. Vendors may also provide multiple proposals for software or systems coupled with support and maintenance options, provided, however, all proposals must satisfy the specifications. _____________________________________________________________________________________ Alternate bids must be clearly marked “Alternate Bid for ‘Name of Vendor’” and numbered sequentially with the first bid if separate proposals are submitted. This legend must be in bold type of not less than 14-point type on the face of the bid, and on the text of the alternative proposal. _____________________________________________________________________________________ 14. Co-Vendors. Vendors may submit offers as partnerships or other business entities. Such partners or other “co-Vendors,” if any, shall disclose their relationship fully to the State. The State shall not be 54-JC-11377890 Page 5 RFP # 54-JB-11377890 obligated to contract with more than one Vendor. Any requirements for references, financial statements, or similar reference materials shall mean all such partners or co-Vendors. 15. Submitting a Proposal. Each Vendor submitting a proposal warrants and represents that: a) The proposal is based upon an understanding of the specifications and requirements described in this RFP. b) Costs for developing and delivering responses to this RFP and any subsequent presentations of the proposal as requested by the State are entirely the responsibility of the Vendor. The State is not liable for any expense incurred by the Vendors in the preparation and presentation of their proposals. 16. All materials submitted in response to this RFP become the property of the State and are to be appended to any formal documentation, which would further define or expand any contractual relationship between the State and Vendor resulting from this RFP process. 17. A proposal may not be unilaterally modified by the Vendor for a ninety (90) day period following the delivery of the proposal, or of any best and final offer. 18. Non-Responsive Bids: Vendor bid responses will be deemed non-responsive by the State and will be rejected without further consideration or evaluation if statements such as the following are included: “This bid does not constitute a binding offer”, “This bid will be valid only if this offer is selected as a finalist or in the competitive range”, “The Vendor does not commit or bind itself to any terms and conditions by this submission”, “This document and all associated documents are non-binding and shall be used for discussion purposes only”, “This bid will not be binding on either party until incorporated in a definitive agreement signed by authorized representatives of both parties”, or A statement of similar intent. Evaluation Process 1. "Best Value" procurement methods are authorized by N.C.G.S. §143-135.9. The award decision is made based on multiple factors, including: total cost of ownership, meaning the cost of acquiring, operating, maintaining, and supporting a product or service over its projected lifetime; the evaluated technical merit of the Vendor's proposal; the Vendor's past performance; and the evaluated probability of performing the requirements stated in the solicitation on time, with high quality, and in a manner that accomplishes the stated business objectives and maintains industry standards compliance. The intent of "Best Value" Information Technology procurement is to enable Vendors to offer and the Agency to select the most appropriate solution to meet the business objectives defined in the solicitation and to keep all parties focused on the desired outcome of the procurement. 54-JC-11377890 Page 6 RFP # 54-JB-11377890 2. Source selection. A one-step procurement process shall be used; respondents shall submit their response with both solution and pricing information. A trade-off/ranking method of source selection will be utilized in this procurement to allow the State to award the contract to the Vendor providing the Best Value, and recognizing that Best Value may result in award other than the lowest price or highest technically qualified offer. By using this method, the overall ranking may be adjusted up or down when considered with, or traded-off against other non-price factors. a) The evaluation committee may request clarifications, an interview with or presentation from any or all Vendors as allowed by 9 NCAC 06B.0307. However, the State may refuse to accept, in full or partially, the response to a clarification request given by any Vendor. Vendors are cautioned that the evaluators are not required to request clarifications; therefore, all offers should be complete and reflect the most favorable terms. Vendors should be prepared to send qualified personnel to Raleigh, North Carolina, to discuss technical and contractual aspects of the proposal. b) Evaluation Process Explanation. State Agency employees will review all proposals. All proposals will be initially classified as being responsive or non-responsive. If a proposal is found nonresponsive, it will not be considered further. All responsive proposals will be evaluated based on stated evaluation criteria. Any references in an answer to another location in the RFP materials or Proposal shall have specific page numbers and sections stated in the reference. c) To be eligible for consideration, a Vendor must meet the intent of all requirements. Compliance with the intent of all requirements will be determined by the State. Responses that do not meet the full intent of all requirements listed in this RFP may be deemed deficient. Further, a serious deficiency in the response to any one factor may be grounds for rejection regardless of overall score. d) Vendors are advised that the State is not obligated to ask for, or accept after the closing date for receipt of proposal, data that is essential for a complete and thorough evaluation of the proposal. 3. Best and Final Offers (BAFO). If negotiations or subsequent offers are solicited, the Vendors shall provide BAFOs in response. Failure to deliver a BAFO when requested shall disqualify the nonresponsive Vendor from further consideration. The State may establish a competitive range based upon evaluations of proposals, and request BAFOs from the Vendors within this range; i.e. “Finalist Vendors.” The State will evaluate BAFOs and add any additional weight to the Vendors’ respective proposal. Additional weight awarded from oral presentations and product demonstrations during negotiations, if any, will be added to the previously assigned weights to attain their final ranking. Vendor may be disqualified from any evaluation or award if Vendor or any key personnel proposed, has previously failed to perform satisfactorily during the performance of any contract with the State, or violated rules or statutes applicable to public bidding in the State. 4. Each of the criteria below shall be evaluated in accordance with the solicitation documents: 54-JC-11377890 Page 7 RFP # 54-JB-11377890 a) Determination of Responsiveness. Demonstration of responsiveness to the requirements and specifications of the solicitation by showing compliance with the Proposal Specifications as follows: i. Demonstration of satisfaction of Functional Requirements ii. Strength of references relevant or material to technology area(s) or specifications iii. Illustration(s) and/or explanations of the Statewide Technical Architecture objectives, principles, and best practices to the proposed solution. iv. Submission of all material specified in the RFP v. Compliance with the Proposal Content section b) Evaluation of Responsive Bids. This subsection identifies the proposal evaluation criteria that will be used for selecting the final Vendor. Responsive Vendor submissions will be evaluated based on a variety of quantitative and qualitative criteria and the award will be made on a best-value basis according to the following criteria areas and their relative importance listed below from highest to lowest. The State reserves the right to adjust evaluation results based upon structured demonstrations, negotiations, or Best and Final Offers if any, provided by Vendors. Vendor proposals will be evaluated based on Evaluation Criteria consistent with Best Value procurement and establish a competitive range among the Vendors for the inspection solution. They are listed below in the order of relative importance: Criteria Description Completeness of proposed solution Effectiveness of proposed recommendations; approaches; designs; products; Services; deliverables; that address the functional requirements, methodology, technical architecture and data security of this RFP. Proposed Approach and Schedule Project plan, including the proposed approach and schedule of work to be performed for implementing the new solution. This encompasses the areas of producing acceptable deliverables; organization, timing, and structure of work activities; system/application development processes; resource application and representation; key personnel; and project management organization, approach, and oversight. Cost The State anticipates examining cost proposals for evaluation criteria that may include, but are not limited to, the following: 54-JC-11377890 Project costs and long-term operational/maintenance costs, Total Cost of Ownership. For Services performed pursuant to a Statement of Work or Change Order and charged on an hourly rate basis, one fully loaded hourly rate that is applicable to all work and all levels and types of personnel, assuming the Page 8 RFP # 54-JB-11377890 Criteria Description work is in the Raleigh/Wake County area. The proposed rate should be fully loaded for travel and per diem in accordance with N.C.G.S. §138-6. Corporate Background and Experience Vendor’s corporate background and experience: including three references strength of financial information; and experience specifically relevant to responding to the State’s business and technical situations, requirements and needs, challenges, and opportunities presented in this RFP. The State may elect to seek references other than the ones provided. Please see Proposal Content Section on page 50 for details. 5. The Procurement Manager will make every effort to adhere to the following schedule: ACTION RESPONSIBILITY DATE Issue of RFP NCDOT 11/3/14 Deadline to submit questions from Vendors Vendor 11/17/14 Submission of proposal Vendor(s) 1/5/15 Proposal evaluation Evaluation Committee 1/20/15 Selection of finalists Evaluation Committee 1/27/15 Oral Presentation and/or Product Demonstrations by Finalists Vendors 2/3/15 Best and Final Offers from finalists Vendors 2/17/15 Submission of Evaluation Team Recommendation Evaluation Committee 2/24/15 Contract Award Statewide IT Procurement Office/DOT Procurement 3/10/15 Protest Deadline Vendors 15 days after award Table 1: RFP Schedule 6. Award of Contract. Qualified proposals will be evaluated and acceptance may be made in accordance with Best Value procurement practices as defined by GS §143-135.9 and applicable administrative rules. The responsible Vendor whose proposal is most advantageous to the State, taking into consideration the evaluation factors herein, will be recommended for contract award. Unless otherwise specified by the State or the Vendor, the State reserves the right to accept any item or group of items on a multi-item proposal. 54-JC-11377890 Page 9 RFP # 54-JB-11377890 7. The State has implemented links to the Interactive Purchasing System (IPS) that allow the public to retrieve proposal award information electronically from our Internet web site: https://www.ips.state.nc.us/ips/. Click on the IPS BIDS icon, click on Search for BID, enter the Agency prefix-proposal number (54-JB-11377890), and then search. This information may not be available for several weeks dependent upon the complexity of the acquisition and the length of time to complete the evaluation process. 8. Protest Procedures: Protests of awards exceeding $25,000 in value must be submitted to the issuing Agency at the address given on the first page of this document. Protests must be received in this office within fifteen (15) calendar days from the date of the contract award and provide specific reasons and any supporting documentation for the protest. All protests will be governed by Title 9, Office of Information Technology Services, Subchapter 06B Sections .1101 - .1121. Problem Overview The Traffic Survey Group (TSG) processes, analyzes, and publishes traffic data for a statewide TMS. The process involves regular collection of traffic count data at approximately 30,000 short-term count stations and 70 permanent continuous-count stations using a variety of commercially available equipment. Current processing and analysis of data is managed using applications developed in house that have limited capabilities, do not support recent developments, and demonstrate virtually no integration capabilities. This results in inefficient processes and monitoring capabilities. Business issues to be addressed include: Inefficient applications that do not perform all tasks, are not integrated, and in some cases, not automated, Dated proprietary applications not functioning with current operating systems that require regular intervention for standard processing, with a limited knowledge base, and do not allow an agile approach to adjust with business need, Limited staff to support the volume of maintenance required and develop new solutions, Modernized pavement design processes require new solutions to support their implementation, and Limited ability to handle the expanded FHWA mandated traffic monitoring requirements. Current TMS Context The TSG is the primary traffic data provider to NCDOT, with responsibilities for collecting traffic data to meet mandated federal reporting requirements, support planning and design processes, and research activities of the agency. Traffic data is published to support processes managed by other units within the agency, other agencies, and the public. The TSG manages the processes required to generate the data needed using the TMS model recommended in the Traffic Monitoring Guide published by FHWA. The NCDOT TMS is comprised of three programs: 54-JC-11377890 Page 10 RFP # 54-JB-11377890 Continuous Count Program – Collect data continuously at a sampling of locations to identify seasonal and other travel patterns (few locations with extensive data) Coverage Count Program – Collect data for short periods at many places to identify travel on the highway system statewide (many locations with little data) Project Count Program – Collect data to provide a higher level of detail specific to a study being supported (more detailed data for a limited area) Each program is designed to generate specific data resources and supports the other programs and the data users in specific ways. The current resources in use to support these programs are inefficient, require manual coordination, have missing or inadequate links, are paper based for some processes, limit the use of the data, and limit user access to the data Continuous Count Program TSG operates approximately 70 continuous count stations to collect comprehensive data to identify the types of travel patterns that occur on NC highways, to generate seasonal factors for adjusting shortterm counts to annual average estimates, and generate design statistics. TSG operates counters installed in cabinets at roadside locations that use sensors installed in the pavement or on the roadside. Data is collected for vehicle volume, vehicle classification, and truck weight measurements depending on the technology installed at the station. Coverage Count Program The Coverage Count Program manages identification of traffic flow on the system. Volume and class data are collected using short-term counts, typically 48 hours. Volume data is collected on all monitored highways, and class data is collected only on National Highway System (NHS) and designated NC truck routes. A total of 52,000 traffic monitoring stations are in this program and are counted either annually, biennially, or triennially. Data is collected, processed, analyzed, and publish from approximately 28,000 counts annually. TSG manages linear referencing in the NCDOT LRS for reporting and publication of this data in both paper and GIS-based media. The processes used depend upon the type of equipment collecting the raw data and methodology used to generate the statistic. Project Count Program The Project Count Program manages the process of identifying project flows for a particular study. Each study is limited to specific customer requests, types of counts, and information being generated. The same types of volume and class counts used in the coverage count program are collected for project counts, along with turning movement counts at intersections. Currently, a customer submits a request form and a map identifying the data to be collected. The request is reviewed and qualified. Once complete, data collection is managed by field staff in the same manner as the coverage count work. Project work is often collected in the same week as collection of coverage count data. Data is managed using similar resources but project count data is typically not processed to generate annual estimates. Some modeling projects are processed afterwards to generate annual estimates, but this is handled 54-JC-11377890 Page 11 RFP # 54-JB-11377890 outside of the coverage count resources. In most cases, Project Count Program data is delivered in paper report format with the customer generating necessary statistics. Current Project Count Program data is not published; data is delivered to the customer and then archived. When general or new projects requests for traffic data in our records is received, a search is performed of the archive with data provided, if suitable. This is time consuming and inefficient method to providing customer data. Summary Most of the improvements needed for the Project and Coverage Count Programs are similar. Managing data collection, processing and analyzing counts, generating and reporting statistics, and publishing data all require the same resources, with modified application based on individual project vs. statewide monitoring system. The existing processes used to manage TMS data are not suitable to meet the growing demand for traffic data. Process modernization, workflow automation, and standardization of statistics generated are needed to improve the efficiency of the system as a whole, and publish data for users. Solution Overview NCDOT is seeking a solution that must afford limited resources more effective use of their time to meet mandated traffic data reporting requirements. In some proposed solutions (e.g., SaaS or Vendor Hosting), technical requirements and terms and conditions may differ from State Hosting solutions and are subject to negotiation by the parties before award. The TMS solution goals are: The automation of data handling and inefficient processes, The creation of a paperless system for viewing, interacting, updating, and managing traffic data, The provisioning of all information needed to the user desktops through a single interface, Browser-based publishing of reports and information, and NCDOT requires an application that: Provides electronic field mapping, Assigns, schedules, and tracks work, Provides GPS-based location data, Captures electronic data automatically from Vendor files, Performs basic quality checks when data is captured for field review, Screens count data using automated rules, Factors raw data and performs calculations using NCDOT methodologies, Performs trend and spatial evaluations in electronic mapping, Provides for review of data sets, Generates summary data, 54-JC-11377890 Page 12 RFP # 54-JB-11377890 Provides web publishing of all materials, including all data types and formats, provides standardized reports for each data type, Allows users to work interactively with maps to view data, select stations, search for locations, for output or export, and Accommodates the conversion of TSG based publications to electronic processes. Future TMS Context The TMS software must support the processes required to manage the collection, processing, analysis, and publication of data for the Continuous, Coverage, and Project Count Programs. Browser Web Publishing TMS Internal Users TMS External Core System Fixed Fixed Fixed Counters Counters Counters Polling Polling Attributes Continuous Validated Data Field Supervisors Coverage Field Field Field Client Client Clients Field System Data Feedback Reports Data Feedback Reports FHWA TMAS FHWA HPMS Scheduling Validated Data Project Field Technicians Projects Projects Projects Inventory Data Portable Portable Portable Counters Counters Counters GPS Station Data Segment Dta ESRI Roads & Highways External External External Applications Applications Applications External External External Agencies Agencies Agencies Figure 1: Future TMS Core System The procured TMS solution shall provide the resources to qualify, process, and analyze data for all three programs. Each program requires systems functionality that has the features and functions to evaluate data and generate statistics for the various collection types. Common features required: Automated processing of data from collected format to final format Rule based data screening and validation Graphing and report based data review 54-JC-11377890 Page 13 RFP # 54-JB-11377890 On screen mapping for spatial review of data Generates statistics using NCDOT methodology Tracks assignment and status of production tasks Prepares data and statistics for publication Automates generation of FHWA reporting Publishing of useful information Polling System A polling system shall support data capture from all continuous count sites operated by TSG. Data shall be automatically compiled daily and weekly, with regular and timely validation processes applied. TMS requires a polling component to the system that: Supports different types of counters Supports volume, class, speed, and weight data types Communicates using POTS and cellular technology Performs the polling function unattended Captures Vendor raw data files Stages data for capture in the Core System Performs basic screening to verify equipment operation Generates daily reports documenting communication or equipment problems Field System The proposed TMS solution shall support mobile operations for approximately 30 field supervisors and technicians. All field personnel must be able to work offline when not connected to the primary system. Features of the field component shall include: A method to maintain an inventory of count stations providing information on the type of data needed, Accessibility to field staff throughout North Carolina, Supporting the categorization of data, including Coverage and Project Count Program data, Provisioning spatial data for mapping stations, Accommodations for managers and supervisors to assign, schedule, and manage work, Management of personal work by field technicians to setup weekly station lists and schedules, Interactive reporting on work assignment, schedule, data collections, and status in real-time as updates are applied, Capture GPS-based location data for actual count installations, Capture counter raw data files by field technicians, Basic raw data checks for quality, Reports to track work and review flagged stations, A data-synchronization utility for reconnecting with the main systems, and Controlling the utilization of system features and functions based on user role. 54-JC-11377890 Page 14 RFP # 54-JB-11377890 Web Publishing System All data and statistics generated by the TMS must be publishable to the Web with browser access based on user role. This includes: All system data available for publishing Reports Data visualization, including graphs, charts, maps, etc. Export or download of authorized datasets or publishable metadata Summary The proposed TMS solution shall provide the functionality needed to support the traffic monitoring process. The TMS solution must interact effectively and the overall process from collecting data to publishing the statistics generated from that data must be relatively seamless. TMS System User Roles The proposed TMS solution must address multiple types of user-roles and enable the user roles to be configurable based on access rights and privileges. An appropriate training strategy shall be provided to demonstrate how the system will be used by TSG staff. Refer to Training and Education Plan and Training Material, in the Project Management Specification, Page 44 of the RFP, for additional details. Technician: Performs tasks related to planning, staging, collecting, capturing, processing, analyzing, reporting, and publishing data for all three count types Supervisor: Can perform all technician tasks and can assign, schedule, and review work of assigned technicians Manager: Can perform all technician and supervisor tasks and can assign work to all staff, set up program schedules, maintain application settings, audit program data sets, activate work, submit HPMS data, and activate published data sets Other: Inclusive of public, a request submitter, and IT systems administration. ROLE DESCRIPTION OF FUNCTIONAL ROLE Manager Specifies methods and processes, sets schedules, monitors applications and databases, audits data sets, coordinates publications, submits HPMS data, and coordinates the activities of assigned staff. Field Supervisor Assigns work to Field Technicians, sets collection schedules, performs training, performs safety audits, reviews the data collected, and submits data to analysis staff. Field Technician Sets weekly collection schedules, selects counter installation sites, installs traffic counters, processes raw data, and submits data to Field Supervisor. 54-JC-11377890 Page 15 RFP # 54-JB-11377890 ROLE DESCRIPTION OF FUNCTIONAL ROLE Data Supervisor Assigns work to Data Technicians, sets analysis schedules, reviews flagged data, troubleshoots analysis issues, review published products, trains, and maintains procedure documents. This is not a field-based role. Data Technician Processes count data, screens data, factors data, performs trend and spatial analysis, generates published products, maintains maps, maintains references, maintains inventory, and responds to data requests. This is not a field-based role. Public Has access to all formally published data using a browser interface, is able to search for locations, view maps, graphs, and reports, print and export data, and generate their own maps based on selection. Requestor Has the same browser access as a Public user plus access to their project counts prior to publication; review data prior to publication, and export of their data for use in other applications. IT Roles to support administering the servers, databases, applications, and users are required and will be defined by NCDOT IT. Table 2: User Roles User Role Responsibilities The relationships between the levels of users must be flexible to support work managed by TSG. When workloads are high, or when staff is limited, technicians and supervisors will be assigned duties normally performed by others. Field Technicians will have work assigned to them by many Field Supervisors to meet collection schedules, but Data Technicians are normally assigned to a particular program and report to a specific Data Supervisor. When vacancies occur, technicians are assigned to other programs temporarily to meet production schedules. Different tasks are performed by each level of position relative to the interactions between components of the TMS software. External users will only access data through a browser with limited rights. Interactions between the TMS solution components and external processes include: 1. ESRI Roads & Highways Integration: The TSG maintains spatial data that shall relate the traffic data generated from counts to the highway from where they were collected. This data shall be generated using the NCDOT enterprise system for spatial data. The NCDOT is implementing the ESRI Roads & Highways (R&H) solution for management of spatial data. The R&H geodatabase will be used to manage spatial features used to represent data in maps as well as the Linear Referencing System (LRS) references used to relate tabular based data. This solution includes the use of the Road Characteristics Editor (RCE) for editing the R&H data and the Workflow Manager Extension (WMX). The TSG will manage two types of spatial event data within the R&H geodatabase: 54-JC-11377890 Page 16 RFP # 54-JB-11377890 a) Traffic Stations: A point feature type of traffic monitoring station locations used to identify where to collect data and support publication of point based traffic statistics b) Traffic Segments: A line feature type containing the highway segments associated with the traffic stations used for reporting the data generated at the station on an extent of highway R&H geodatabase will contain LRS information. Station identifiers associated with the traffic stations are used to link those features to traffic segments that are maintained in the R&H geodatabase. Other attributes for supporting different types of publications are maintained in R&H also. All data publishing will be performed from the TMS. The process of publishing data with a spatial reference involves joining the traffic data generated in the TMS with a snapshot of the spatial references maintained in R&H using the station identifier as the join field. The TMS solution must provide an integrated work environment to support spatial reference maintenance in R&H and traffic data publishing from TMS. The Vendor must provide the resources needed to manage production of both spatial and traffic data and publish that data in the formats required. Refer to Appendix A of this RFP, Feature and Function List, for the specific requirements related to integration. 2. External Applications Interface a) There is a need to provide a method to export data directly from the TMS solution database. This allows development of new processes and products, supports traffic related research activities, and the development of information for ad hoc requests from other units, to include the use of ESRI ArcGIS desktop software. b) There is a need to provide a method to import data from external sources directly into the TMS solution. This allows development of new processes and products external to the system, and will support publication and reporting of data. This will require the stations be setup in the TMS system prior to importing the data. It is expected that AADT, Truck AADT, and Truck Percentages are the data types to be imported. The data can be setup as text files or a similar format to facilitate this. 3. External Agencies Interface a) TSG receives data from other agencies, researchers, and consultants, and must import it for use or publication. External Agencies must deliver raw data files and shapefiles for this purpose. Data may be provided for any of the count types. 4. Projects Interface a) TSG collects project counts for other units. Requests either are submitted in shapefile format or have a shapefile created by TSG. Shapefile imports shall be supported so stations may be created in the Project count type, and add individual projects to the Project station inventory. Projects are submitted by customers to a Manager and a Data Technician will import the shapefiles into the Core System. Project data will be delivered via web browser. 5. FHWA TMAS: Continuous count data is submitted monthly to FHWA using the TMAS interface. 54-JC-11377890 Page 17 RFP # 54-JB-11377890 6. FHWA HPMS: Coverage count data and summary statistics are submitted annually to FHWA using the HPMS application. Project customers will review staged data via web browser. This will require some low-level of security where the reviewer views the staged data without it being available to the public; this restricted access to staged data will avoid confusion with general public users. Occasionally, errors may be published. The solution shall allow for the removal and correction of published data sets. Business Systems Availability TSG processes data daily, and reports information on a weekly basis. The TMS solution must be operational to the following business availability objectives: Recovery Time Objective (RTO): 4 business days. A four-day RTO grants TSG sufficient time to perform recovery work and data processing after the system is recovered for full use, before the next cycle commences. Recover Point Objective (RPO): 1 business day for both the field systems and the core system. A single day for data loss can be handled through the re-polling of data collection sites and the rerunning of analysis and statistical processes. Losses greater than a single day will impede the cumulative effect of recovering in an RTO scenario. Given the RTO and RPO times offered, respondents are highly encouraged to propose various scenarios of redundancy or availability to afford the state the best insight into investment options for service delivery. Documentation The awarded Vendor shall provide master copies of all documentation, which may include hard copies contained within a shrink-wrapped box, spiral bound materials for system understanding or training, and soft copies on electronically readable media. All documentation should be readable with Adobe Acrobat, Microsoft Office applications, or through a normal help-authoring tool, which would include browser-based viewing. The documentation should include the following types of items: Operations manuals Procedures manuals System User guides Disaster Recovery guides Security guides Training materials On-line help utilities The awarded Vendor will work with NCDOT on format and content of any non-standard documentation not contained within a Vendor’s current set of released documentation. Final acceptance will not be granted without proper system documentation. 54-JC-11377890 Page 18 RFP # 54-JB-11377890 Functional Requirements This section communicates the binding requirements upon all respondents to be considered a candidate for a proposed TMS solution. It is comprised of NCDOT-specific calculations and methods that must be accommodated for within the TMS solution. The system must allow DOT to modify the methodologies specified in NCDOT Traffic Monitoring System Statistics Generation Methodology section below. NCDOT must be able to modify each method, add or remove calculation steps, statistical accumulators, and modify output report formats for the resulting presentations. Proposals are to provide explanations on how the proposed solution meets these requirements and examples for the methods used to identify, locate, modify and verify these computation methods in the system. Respondents shall also complete the Feature and Function List in Appendix A of this RFP specific to their offering, and clearly identify those items that support these requirements in the current release, and note if that item is planned for future release if not available. The list must be answered fully for the response to be evaluated. Respondents that do not satisfy the Functional Requirements, or do not have completed responses in the Feature and Function List, will not be considered. NCDOT understands that not all items in the Feature and Function List may be available; however, all Functional Requirements must be satisfied, with identified features and functions, to be properly evaluated. Processing Requirements The TMS solution shall electronically capture volume, class, speed, and weight data including but not limited to that data collected through existing NCDOT count devices as well as established industry providers. Process automation and paperless workflows are essential. NCDOT Traffic Monitoring System Statistics Generation Methodology TSG uses the methods recommended in the Traffic Monitoring Guide (TMG) (FHWA 2013), the Guide for Traffic Data Programs (AASHTO 2009), the Field Procedures Manual for HPMS (FHWA 2013), and the Mechanistic-Empirical Pavement Design Guide (AASHTO 2008) for most statistics generated using traffic monitoring data. There are a number of methods unique to the NCDOT and are specified within this section. Any statistic that does not have a method specified within this section must be generated using the methods specified in the references cited above. Continuous Count Data Annual Seasonal Factors Primary purposes in collecting continuous count data are the generation of seasonal factors to adjust a count collected on a particular date to an estimate of an annual average value, typically Annual Average Daily Traffic (AADT). NCDOT uses a two-step process for using continuous count data for generating seasonal factors: Step-One: Distinguish between typical and atypical travel patterns by day in the count data, and Step-Two: Calculate factors that adjust counts collected on typical days to an annual average of all days (both typical and atypical). 54-JC-11377890 Page 19 RFP # 54-JB-11377890 Data Screening This method requires the data be screened to attribute it to the following categories: Invalid: Not a valid count and is not used in any statistics Typical: Valid count that matches the recurring pattern at a station Atypical: Valid count that deviates from the typical pattern at a station Traffic patterns are evaluated by day of week (DOW) by month, with both hourly and daily traffic patterns evaluated to make this determination. This process is performed on continuous volume and vehicle classification data, but not performed on continuous speed or truck weight data. Seasonal Factor Calculation Seasonal factors are generated for three groups of vehicles: Volume: Total daily volume for all vehicles Single Unit Trucks (SU): Total daily volume for FHWA Class 4 to 7 Multi-Unit Trucks (MU): Total daily volume for FHWA Class 8 to 13 The method used to calculate the AADT for volume, SU, and MU in the generation of seasonal factors is specified in the TMG. The DOW averages are calculated for each month, annual DOW averages are then calculated, and the average of the annual DOW averages is calculated to generate AADT. When generating the daily value that represents the day being factored, the average DOW for each month is recalculated using typical data only. The method of calculating the typical average DOW by month values is the same as used in the AADT calculation, with only typical data used. The AADT calculation uses both typical and atypical data. The method for calculation of the seasonal factors is specified in the TMG. TSG uses typical data in our calculation as we collect short-term counts on typical days only. Average Weekday Factors Average weekday seasonal factors are used as the basis for generating AADT estimates for manual counts collected in shifts on more than one day. Continuous count data is used to generate the factors similar to the factors specified above. Monthly average weekday values are calculated using the Monday to Thursday average typical DOW values. The seasonal factors are generated using these values and the standard AADT values. An annual average weekday factor is generated based on the average of the monthly average weekday factors. Factors are required for volume, SU, and MU vehicles. Average Weekday Hourly Distributions Hourly distributions are generated from typical continuous count data also. Hourly counts are averaged by hour for typical weekdays, for Monday through Thursday for each month. These are divided by the corresponding monthly average weekday values to generate an average weekday hourly distribution for each month. These distributions are used to calculate a custom expansion factor for each manual count, explained in Expansion of Partial Day Counts. Distributions are required for volume, SU, and MU vehicles. 54-JC-11377890 Page 20 RFP # 54-JB-11377890 Annual Average Disaggregation Factors NCDOT uses a 4-class scheme for manual classification counts. These are annualized to AADT using the volume, SU, and MU seasonal factors described above. Once annualized, the scheme is disaggregated into the FHWA 13-class scheme, refer to Appendix B of this RFP. Continuous vehicle classification data is used as the basis for these factors. Factors are required for: Passenger Vehicles disaggregated to FHWA Class 1, 2, and 3 Duals disaggregated to FHWA Class 4, 5, 6, and 7 TTST disaggregated to FHWA Class 8, 9, and 10 Twins disaggregated to FHWA Class 11, 12, and 13 The AADT values are used for generating the disaggregation factors. The AADT by class divided by the corresponding aggregate AADT (e.g. Class 1 AADT divided by the sum of Class 1 to 3 AADT) is the method used to generate disaggregation factors. The factors developed using the methods described above are used to generate statistics from shortterm count data. All other statistics must be generated using the methodology specified in the TMG, AASHTO, and MEPDG references. The methods to apply the factors are described below. Statistics required by the NCDOT using the referenced methodologies include: Monthly Average Daily Traffic (MADT) K30 Factor D30 Factor Monthly Average Daily Truck Traffic Single Unit Truck MADT Multi-Unit Truck MADT Peak Hour SU Factor Peak Hour MU Factor Daily Axle Factor K30 Peak Hour Axle Factor MEPDG traffic inputs include: Hourly Distribution Factors Monthly Adjustment Factors Vehicle Class Distribution Factors Axle Load Distribution Factors Average Axle Combinations by Vehicle Type Average Axle Spacing by Axle Combination Average Number of Axles by Vehicle Class 54-JC-11377890 Page 21 RFP # 54-JB-11377890 Grouped Factors Statistics and factors are generated for each individual continuous monitoring station. A combination of statistical clustering and descriptive analysis is performed to identify stations with common travel patterns. The statistical clustering output is used as the starting point for identifying groups of stations in the descriptive analysis. The descriptive analysis is an interpretive process and the final grouping of stations will be developed manually, external to the TMS software. The TMS system shall allow the user to manually attribute the individual stations within the software a factor group ID for each type of group. The system shall generate group factors by averaging the individual station factors based on the group IDs. This is required for volume, SU, MU, and weight factor groups. The TMS system shall allow for statewide average factors are required for the MEPDG traffic factors, in addition to individual and grouped factors. Short Term Count Data NCDOT uses specific methodologies to generate statistics from short-term counts. The methodology used is based on the type of count being processed. The same process is used for the same type of count regardless of whether it was collected for the Coverage or Project Count Programs. The types of shortterm counts collected by the NCDOT include: Daily Axle Pair Volume Counts Hourly Axle Pair Volume Counts Hourly Vehicle Volume Counts Hourly Axle Based Vehicle Classification Counts 15 Minute Manual Vehicle Classification Counts Similar processes are used for seasonal factoring depending on the interval and duration of the counts. The first four count types are collected using portable counters and are typically collected for 48 hours. Currently, most axle-pair volume counts are collected as two 24-hour totals each day; they do not have hourly data. Mainline counts on freeways used in the ramp balancing process are typically collected as vehicle volume counts for seven days. Hourly axle based vehicle classification counts are 48-hour counts collected by lane. The manual count type is a partial day count typically collected in two shifts on different days. The actual hours counted are variable depending primarily on scheduling. NCDOT is implementing event recorder type counters in the near future. Data collected using these types of counters shall be supported in the TMS software. The software shall be able to convert this type of data into the binned data types listed herein. This will support application of NCDOT methods specified hereunder for counts collected with event recorder counters. Statistics generated for each include: Volume Count Data Average Hourly Volume Counts: Hourly volume by direction and two way total volume Average Daily Volume Counts: Daily volume generated by direction and two way total volume AADT 54-JC-11377890 Page 22 RFP # 54-JB-11377890 Annual Average Weekday Daily Traffic (AAWDT) K Factor D Factor Peak Hour Factor: For 15 Minute counts only Class Count Data All volume statistics listed in Volume Count Data, and Class 1 to 13 AADT SU AADT SU AAWDT MU AADT MU AAWDT AADTT AAWDTT Vehicle Class Distribution (Classes 4 to 13) Peak Hour SU Percent of AADT Peak Hour MU Percent of AADT Daily SU Percent of AADT Daily MU Percent of AADT Average Weekday Axle Factor The methods used to calculate these statistics are described below. Selection of Grouped Factors The process used to select which group factors to apply to a short-term count to generate statistics is dependent on the type of data being factored. The methods used include: Volume: Volume Seasonal Group (ATR) and axle factors are manually assigned to each station based on a manual review of similar stations. The software shall support maintaining these station attributes for use on counts collected at the stations. Class: SU and MU Seasonal Groups are selected based on the route ID and the raw class count data collected during the count. The Interstate-95 (I-95) corridor has a unique travel pattern and separate factor groups are used for SU and MU classes. If a station is not located on I-95, then the distribution of SU and MU classes is used to identify the factor group. Total SU and MU raw counts are generated for the entire period data was collected in the short term count (e.g. 48hour totals for a 48-hour count). The distribution of total trucks (SU + MU) between these two categories is calculated. The following table is used as the basis for selecting truck factor groups: 54-JC-11377890 Page 23 RFP # 54-JB-11377890 SU TRUCKS/TOTAL TRUCKS SU GROUP ROUTE MIN (>=) MAX (<) NA 0.00 0.34 1 NA 0.34 0.50 2 NA 0.50 1.00 3 I-95 NA NA 4 Table 3: SU Truck Factor Group MU TRUCKS/TOTAL TRUCKS MU GROUP ROUTE MIN (>=) MAX (<) NA 0.67 1.00 1 NA 0.50 0.67 2 NA 0.00 0.50 3 I-95 NA NA 4 Table 4: MU Truck Factor Group The SU and MU group assignment process is performed each time a class count is collected at a station. Volume group assignments are used repeatedly until revised manually in the station inventory table. Weekday daily axle factors are updated on volume monitoring stations when the associated class monitoring station on the same corridor is updated; the axle factor remains static and is used repeatedly between updates. Stations not on roads with truck monitoring have axle factors that are estimated and recorded in the station inventory. For SU and MU group assignments, a previous assignment should never be carried forward from a previous count to a new count at a station. They are generated for each count. All factors used to generate the statistics for short term counts are selected based on the volume, SU, and MU group assignments made using these methods. Expansion of Partial Day Counts Manual counts are collected for a portion of a day in two shifts, and collected on different weekdays. Counts are expanded based on the hours actually counted, with the expansion factor calculated as the inverse of the summed Average Weekday Hourly Distribution values for those hours. The distributions are specified for continuous count data, mentioned previously. When partial hours are counted (e.g. 15 minute intervals), the distribution for that hour is divided by 4 and multiplied by the number of 15 minute intervals counted during the hour, then added to the sum of the counted hourly distribution. The distribution used is selected based on the month the data was collected and the assignment process specified above for selection of grouped factors. 54-JC-11377890 Page 24 RFP # 54-JB-11377890 Using this method allows generation of factors specific to each manual count. This is performed for total volume, SU, and MU vehicle groups where the manual TTST and Twin class counts are expanded using the MU factors for both. Passenger Vehicle daily volume is calculated by subtracting SU and MU daily volume from Total daily volume. Expanded daily values are representative of a typical average weekday for the month collected. Seasonal Factoring Counts The process used for seasonally factoring data depends upon the type of count, interval, and duration of the count. The specific NCDOT methods used include: 1. Daily Axle Pair Volume Counts With no hourly data to work with for these counts, 24-hour counts are factored to generate the AADT statistic. The counter installation date is used as the basis for identifying the month and DOW for the first daily count. The installation date plus one day is used as the basis for identifying the month and DOW for the second daily count. The factors are extracted from the factor table using the seasonal group assignment in the inventory table, the month, and the DOW for each day. The daily axle factor is captured from the station inventory and is used for both days. Seasonal and axle factors are applied to each day generating an AADT for each. The final estimated AADT for the station is generated by averaging the two individual daily estimates. 2. Hourly Axle Pair Volume Counts The data captured for these types of counts will have three days of data for a 48-hour count. The first day total is a partial day, the second day is a 24-hour day, and the third day is a partial day. In many cases, more than 48 hours are collected. The following methodology is used to seasonally factor the data: Trim the third day of data so that it ends exactly 48 hours after the start of the count, if applicable. Factor the first and third days using the factors selected based on the volume seasonal group assignment in the station inventory and the month/DOW values generated from the date the data was collected. Axle factors maintained in the station inventory are used for both days. Sum the two partial days of factored data to generate one estimate of AADT. Factor the second day of data in the same manner to generate a second estimate of AADT. Average the two individual AADT estimates to generate the final AADT. Counts that are collected for longer durations (e.g. seven days) can be factored in the same manner for the beginning and ending partial days as long as they total 24 hours. If the total is less than 24 hours, they are discarded and AADT is generated for full 24-hour days only. The station AADT is based on the average of all daily AADT estimates for a count. 54-JC-11377890 Page 25 RFP # 54-JB-11377890 3. Hourly Vehicle Volume Counts The method used for hourly volume counts that are collected as vehicle counts is the same method as used for the hourly axle pair based volume counts, as described in Hourly Axle Pair Volume Counts. The only difference is axle factors are not required for vehicle counts and only seasonal factoring is performed. 4. Hourly Axle Based Vehicle Classification Counts The method used for hourly counts above are used to seasonally factor the total volume counts generated from the sum of all 13 classes for all lanes. Similar to the Hourly Vehicle Volume Counts, axle factors are not required either. The classifiers report a Class 14 and 15 in the data but these are undefined and are not used in any of the statistics calculations. Only Classes 1 to 13 are used in these calculations. In addition to the factoring of total volume, truck volumes are also seasonally factored. The previous method described for selection of SU and MU seasonal factors is used here. The seasonal factors for SU trucks are applied to each of the daily volumes for Classes 4 to 7. The seasonal factors for MU trucks are applied to each of the daily volumes for Classes 8 to 13. The same method used to factor total volume is used to calculate AADT estimates for each of the truck classes. This process generates AADT estimates for total volume and Classes 4 to 13. The passenger vehicle AADT is calculated as the remainder of total volume AADT less Class 4 to 13 AADT. Passenger vehicle AADT is disaggregated into the individual Class 1 to 3 by using the ratio of each class to the sum of the three classes for the 48-hour total volume in the raw counts. This method synchronizes the output of the two independent factoring processes while generating AADT estimates for all 13 classes. 5. 15 Minute Manual Classification Counts Classification counts are collected manually on high volume freeways and on highways that experience poor traffic flow and portable counters are unable to collect data reliably. An average weekday estimate is generated using the Expansion of Partial Day Counts method previously described. Seasonal groups are selected based on the Selection of Factor Groups method described above. Average Weekday Seasonal Factors are extracted from the tables using the month and assigned seasonal factor group. Seasonal factors are applied to the total volume, SU (Duals), and MU (TTST and Twins) data to generate AADT for each. Passenger Vehicle AADT is calculated by subtracting the Duals, TTST, and Twins class AADT from the total volume AADT. These classes are then disaggregated to the FHWA 13-class scheme using the Annual Average Disaggregation Factors. This method allows generation of the same vehicle classification data as generated from the axle based vehicle classification counts. The methods specified above generate AADT for volume counts and class based AADT for vehicle classification counts. The other statistics generated for these types of counts are common to all of them. The methods used to generate these other statistics are: AAWDT: All AAWDT values are generated by dividing the AADT value by the Annual Average Weekday Factor that corresponds to the type of AADT being factored and the factor group being 54-JC-11377890 Page 26 RFP # 54-JB-11377890 used. This is done to generate all AAWDT estimates based on AADT, SU AADT, MU AADT, and AADTT. K Factor: Calculated by dividing the maximum two-way hourly volume for the count by total AADT. For axle pair hourly volume counts, the K30 Peak Hour Axle Factor is used to convert the hourly axle pair count to a volume prior to calculating the K Factor. D Factor: The peak directional volume divided by the two-way total volume for the hour used in the K Factor calculation. Peak Hour Factor: These are calculated for 15-minute counts only. This calculated for the hour used in the K Factor calculation. Peak Hour Factor is equal to the two-way hourly volume divided by 4 times the maximum 15-minute volume during that hour. Class 1 to 13 Percent of Total AADT: Divide each class AADT by total AADT Vehicle Class Distribution (Class 4 to 13): Divide each truck class AADT by AADTT Peak Hour SU Percent of AADT: Divide the SU truck volume that occurs during the hour used for the K Factor by total AADT Peak Hour MU Percent of AADT: Divide the MU truck volume that occurs during the hour used for the K Factor by total AADT Daily SU Percent of AADT: Divide the SU AADT by total AADT Daily MU Percent of AADT: Divide MU AADT by total AADT Average Weekday Axle Factor: This is generated by using total AAWDT and AAWDT for the 10 truck classes. Axle pair counts must be estimated by using these values and the statewide Average Number of Axles per Vehicle Class values generated from the continuous truck weight data. The truck AAWDT is subtracted from total AAWDT to generate passenger vehicle AAWDT. These are estimated to all have two axles each, and the calculated value is representative of axle pair counts for these vehicle types. Each individual truck AAWDT is multiplied by the average number of axles for that class and divided by two to estimate axle pairs for each class. The sum of the passenger vehicle and 10 truck class axle pair estimates is generated. The Average Weekday Axle Factor is generated by dividing the total AAWDT by the sum of the axle pair estimates. Depending on count type, these statistics are generated for each traffic count each time a station is counted. Statewide Coverage Count Data Statistics The methods previously described are used to generate statistics at monitoring stations when counted. At the end of the year, the data is processed to generate statewide coverage data reported for HPMS and other purposes. The methods used to generate this data include: Growth factor stations not counted for Total AADT Assign AADT data to LRS based AADT segments Assign SU and MU truck percentages to AADT segments Generate SU and MU truck AADT 54-JC-11377890 Page 27 RFP # 54-JB-11377890 Update HPMS Samples Round AADT Attach traffic data to LRS references These methods generate traffic estimates that are consistent with each other and that meet HPMS reporting requirements. The specific NCDOT methods required to support this process include: 6. Growth Factoring Not all coverage count stations are counted every year; this requires the development and application of growth factors to generate estimates for the year being reported from previous year statistics. This is performed for all active stations that did not have counts collected during the year. Factors are generated for Rural and Urban area designations and Primary and Secondary route designations. Rural areas are defined by county and urban areas are generally defined by their planning boundaries. Primary routes include all US and NC route designations. Secondary include SR and locally maintained routes. Interstates are counted annually and AADT are generated using a ramp balancing process. No growth factor data is generated for the interstates. Rural-primary routes are counted annually and factors are generated using reporting year and previous year AADT data. Rural-secondary routes are counted on alternating years and a one-year factor is calculated using AADT from the reporting year and count based AADT collected two years previously. Urban areas are counted on alternating years also and those counted in the reporting year have growth factors calculated for both primary and secondary designations in the same manner as Rural-secondary. Urban areas that are not counted in the reporting year require use of data from the two previous cycles. A one-year factor is calculated from data collected the previous year, and three years prior to that. It is assumed the growth in these off-cycle urban areas will be similar to the trend identified using the previous data. An initial average factor is calculated for each area and route combination. Any station having a growth factor exceeding +/- 2 standard deviations from the initial factor for its area is excluded. The final average factor is calculated without the excluded stations. This is done to eliminate outliers caused by non-growth related changes in travel. The factors are applied in the same manner as calculated. A growth factor is selected based on the area and route designations for a station. The factor is applied to the count-based factored AADT for the previous year, not the rounded value used for reporting. If a station requires more than one year of growth factoring, then the factors for each reporting year are used to generate the current estimate. 7. Truck AADT Calculation The method used to generate truck AADT data is to apply the annualized truck percentages captured at class monitoring stations to AADT segments. The truck AADT for each segment is calculated by multiplying total AADT by the annual SU and MU truck percentages. The association between the AADT 54-JC-11377890 Page 28 RFP # 54-JB-11377890 segments and class monitoring stations is maintained in the AADT segment references. In general, class monitoring segments are comprised of multiple AADT segments. This association is the basis for generating the truck AADT. 8. Rounding Data All statistics are maintained within the traffic data analysis process as calculated. All calculated volumes are rounded to the nearest vehicle. All calculated percentages, distributions, and factors are maintained as calculated in double precision number format. For publishing, traffic data is rounded to comply with reporting formats and to properly represent the level of precision of the estimate. The following method is used to round data: TOTAL AADT Range Rule 0 to 9 Set equal to 10 10 to 999 Round to nearest 10 1,000 to 9,999 Round to nearest 100 10,000 or more Round to nearest 1,000 Table 5: Total AADT Rounding INDIVIDUAL CLASS, SU, AND MU AADT Range Rule 0 to 99 No rounding applied 100 or more Round to nearest 10 Table 6: Individual Rounding When rounding a full distribution of AADT data, the rules are applied to the truck classes and total AADT separately. The Class 2 AADT or Passenger Vehicle AADT (whichever is applicable to the AADT distribution being rounded) is calculated by subtracting rounded truck AADT from the rounded total AADT. This ensures the distributed AADT adds up to the total AADT. In general, published percentages are rounded to 3 decimal places (0.000 or 0.0 %) and published factors and distributions are rounded to 4 decimal places (0.0000). When rounding distributions the rounded values must be checked to ensure they sum to 1. Rounded values should be adjusted if they do not so that they sum to 1. Rounding is performed for publishing and is the last step in the process. All statistics generated using calculated values are based on the unrounded values. 54-JC-11377890 Page 29 RFP # 54-JB-11377890 Data and Reporting Requirements Data Categories General categorizations of data include: Station Inventory: Location, type, and status information for all monitoring stations Work Status: Used to track the schedule, assignment, and status of work; how it is tracked is based on the count program, area, and type of data being collected Raw Data: Store raw data as processed from the Vendor files based on the count program and data type. Data Status: Tracks the status of screening, processing, analysis, and acceptance of data in the system. Statistics: Statistics generated from raw data are managed separately, are formatted based on the count program and type of statistic. Spatial Data: Data used to map locations and to attach statistics data for reporting. Published Data: A combination of inventory, raw, statistics, and spatial data that have been accepted and are made available to the public. Remote Data Field Technicians will temporarily store files transferred from portable counters to standard issue laptop. These files will be transferred to the Field System using the Field Client. Since data is collected, used, and interacted with in a variety of fashions in the field, respondents are strongly encouraged to demonstrate the mobility aspect of their solution offering, in both its current and planned states. Responses lacking clear use and deployment of mobile functionality may result in not being considered. Minimum Historical Data Needed Continuous Count Program Volume and Class: Four (4) previous years of count data for each station; Seasonal Adjustment Factors for Volume, Single Unit Trucks, and Multi Unit Trucks Weight: Selected years for each station up to four (4) years; MEPDG Data: Summary statistics for standard Level 1 individual station and Level 2 grouped factors for MAF, HDF, VCD, and ALDF Coverage Count Program Volume: Four (4) previous cycles for each station for daily raw count data; complete history for AADT data; growth factors from 2007 to present Class: Raw count data from 2000 to present; statistics from 2000 to present HPMS Sample Traffic Data : Traffic data statistics from 2010 to present Project Count Program No historical data will be required. 54-JC-11377890 Page 30 RFP # 54-JB-11377890 Annual Data Processing Station Inventory It is anticipated that the TMS will not exceed 70,000 monitoring stations. Information related to location, status, cycle, and type shall be maintained during the year but the table will remain relatively static in size. Inventory spatial point data shall be maintained for 70,000 station points. Count Spatial Data GPS spatial coordinates for each installation shall be captured to locate each station. Approximately 30,000 points will be collected annually. Equipment Vendor Raw Data Format Processing The Vendor data format for Coverage and Project Count Program portable counts shall be captured for each axle detection, for each sensor, and time stamped and recorded in the counter output file. This data will be processed weekly from the equipment Vendor format into the raw data formats (binned) used in the estimated data requirements. NCDOT will not retain the time stamped data in Core System tables; however, an allowance must be made to provide tables for conversion from the time stamped format to the Core System table format each week. Equipment Vendor files transferred from the counters will be retained for archiving on NCDOT servers, but are not required within the TMS software once the conversion is completed. Estimated Maximum Annual Raw Data Processing in TMS Tables Continuous Count Program 24 hours of data for 365 days = 8,760 hours per lane per year Volume (ATR): 100 stations average 3 lanes each = 3,000,000 transactions Class (WIM): 60 stations average 3 lanes each by 15 classes = 30,000,000 transactions Speed (WIM): 60 stations average 3 lanes each by 15 speed bins = 30,000,000 transactions Weight (WIM): 60 stations average 3 lanes each and average 25 trucks per hour with an average of 3 axles per truck = 434,000,000 transactions Continuous Total: 497,000,000 transactions per year Coverage Count Program Stations collected using portable counters have 48 hours of data collected in total, directional or lane formats Volume: 25,000 stations where 20,000 are total and 5,000 are directional = 7,200,000 transactions Class: 1,400 stations by lane and average 3 lanes each by 15 classes = 3,800,000 transactions Speed: 1,400 stations by lane and average 3 lanes each by 15 classes = 3,800,000 transactions Manual Class: 250 stations by direction in 15 minute intervals for 16 hours for 4 classes = 260,000 transactions Coverage Total: 15,060,000 transactions per year 54-JC-11377890 Page 31 RFP # 54-JB-11377890 Project Count Program Project counts are similar to coverage counts Volume: 500 stations by direction = 240,000 transactions Class: 500 stations by lane and average 3 lanes each by 15 classes = 1,370,000 transactions Speed: 500 stations by lane and average 3 lanes each by 15 classes = 1,370,000 transactions Manual Class: 100 stations by direction in 15 minute intervals for 16 hours for 4 classes = 100,000 transactions Project Total: 3,080,000 transactions per year Maximum Annual Raw Data Production: 515,140,000 transactions per year Statistics and Summary: Approx. 2%, in addition to production data volume Estimated volume for stored reports and presentation material shall be evaluated upon system selection, taking into account the methods used by that TMS Vendor, and the archiving strategy employed. Reporting Requirements Formal external reporting requirements are monthly submittal of continuous count data into FHWA’s TMAS system and annual submittal of coverage count based statistics to meet mandated FHWA reporting for HPMS. All other reporting is to NCDOT staff and the public based on standardized reports using the web publishing process. In general, no ad hoc reports are needed but the browser interface must support querying the data resources by location and data type to identify standardized reports available. Post Implementation Warranty The awarded Vendor shall provide one (1) full year of support and warranty for the procured solution. This requires the Vendor to continue as the single point of contact for all problems and maintenance or upgrade issues during that year. The warranty period begins upon NCDOT’s final system acceptance of all deliverables and project phases. The Vendor shall have enforcement responsibility with all third parties, including sub-contractors. All solution components will be warranted as part of the overall system and warranties will be freely assignable to the State. Warranty Period Service Level Agreement (SLA) Service Level Agreement (SLA) – The Vendor shall provide a draft copy of the proposed SLA for the Traffic monitoring system for Vendor and any sub-contractors. SLAs will be finalized prior to contract award by NCDOT and Vendor. The SLA content areas include: 54-JC-11377890 Page 32 RFP # 54-JB-11377890 1. Identification of the parties to the agreement, with responsibilities, duties, and dependencies 2. Description and scope of Services to be provided for the procured solution 3. Timeliness and problem management for various response, restore, recovery, escalation, and performance thresholds 4. Availability of the Services, to include various service levels offered 5. Reliability of the Services provided 6. Description of metrics to be used 7. Reporting 8. Estimate of Services for continued coverage past the initial warranty period for the solution Maintenance Maintenance is considered a planned event and will generally be performed within the standard NCDOT maintenance window (on Sundays between 6AM and noon). Maintenance includes, at no charge, updated versions of covered components, such as bug fixes and new releases that are generally made available to customers with active support subscriptions. The system must remain compatible with the current NCDOT operating environment and the Vendor must ensure the environment is kept current with future upgrades during the term of support or provision of Services herein. The Vendor is responsible for maintaining all system components that are part of this procurement, whether the product is obtained from a subcontractor or purchased from a third party Vendor, for the duration of the warranty period. Software maintenance means any, and all, Services necessary to correct defects or problems in software. Maintenance is to be addressed in the SLA agreed upon by NCDOT prior to contract award. A draft Maintenance SLA is to be included in Vendor’s proposal. The Vendor is responsible for managing all solution upgrades during the term of this agreement. The implementation of the upgrades requires prior approval of NCDOT with responsibilities defined in the maintenance SLA. NCDOT Technical Architecture and Data Security Requirements The procured TMS system shall adhere to NC Statewide Information Security Manual located at: http://www.scio.nc.gov/Mission/InformationSecurityManual.aspx The awarded Vendor, with the NCDOT project team, shall jointly complete a Technical Architecture System Design template, located at: http://www.ncsta.gov/systemDesignTemplate/default.aspx Platform Architecture: Standard End-User Software COMPONENT CURRENT Operating System Migrating toward Windows 7 Enterprise with a current install base 54-JC-11377890 Page 33 RFP # 54-JB-11377890 COMPONENT CURRENT of XP Pro Word Processor Microsoft Word 2010 Spreadsheets Microsoft Excel 2010 Presentations Microsoft PowerPoint 2010 E-Mail Client Microsoft Outlook 2010 Project Management SAP Project Systems Microsoft Project Graphics – Flowcharting/Diagramming Microsoft Visio 2010 Web Browser Microsoft Internet Explorer 8 PDF Viewer Adobe Reader 10 PDF Writer Desk PDF Antivirus and Host-Intrusion Detection McAfee VirusScan Enterprise v8.7i File Integrity Monitoring (FIM)1 McAfee Solidcore Patch Management Microsoft System Configuration Manager (SCCM) Microsoft Windows Server Update Services (WSUS) Mainframe Terminal Emulation IBM Host-On-Demand Thin Client Access Citrix Receiver Client Instant Messaging Microsoft Lync Web Conferencing Microsoft Lync Full Disk Encryption McAfee Endpoint Encryption Remote Support Tool Bomgar CADD Bentley MicroStation, Geopak and Iplot Logging Q1Radar Adaptive Log Exporter (ALE) GIS Esri ArcGIS (deployed as needed) 1 File Integrity Monitoring shall be installed on all applicable devices considered in-scope of Payment Card Industry (PCI) standards. 54-JC-11377890 Page 34 RFP # 54-JB-11377890 Table 7: End User Software Platform Architecture: End User Hardware COMPONENT MINIMUM DESKTOPS SPECIFICATIONS IN NEW DESKTOP SPECIFICATIONS MINIMUM LAPTOP SPECIFICATIONS IN NEW LAPTOPS SPECIFICATIONS CURRENT USE CURRENT USE CPU Intel Core Duo Intel Core i3-2100 Intel Core Duo Intel Core i52520M Disk Configuration 120GB SATA HD 250GB SATA HD 100GB SATA HD 160GB SATA HD Optical Drive 8x DVD+/-RW 16x DVD+/-RW 4x DVD+/-RW 8x DVD+/-RW Memory 2.0GB 4.0GB 2.0GB 4.0GB Monitor 19” TFT 19” TFT 14” TFT 15.4” TFT WXGA (1280x1024) (1280x1024) (1024x768) (1280x768) Video Card Integrated with 128MB VRAM Integrated with 128MB VRAM Integrated with 128MB VRAM Integrated with 128MB VRAM Networking Ethernet 10/100/1000 Base-T Ethernet 10/100/1000 Base-T Ethernet 10/100/1000 Base-T Ethernet 10/100/1000 Base-T Wireless N/A N/A Intel Centrino 802.11 a/b/g Intel Centrino 802.11 a/b/g/n Operating System Windows 7 Enterprise, 64-bit Windows 7 Enterprise, 64-bit Windows 7 Enterprise, 64-bit Windows 7 Enterprise, 64-bit File System NTFS NTFS NTFS NTFS Maintenance 3 Year On-Site, next bus day 3 Year On-Site, next bus day 3 Year On-Site, next bus day 3 Year On-Site, next bus day USB Ports Minimum Minimum Minimum 2 Minimum 3 1 – front 2 – front 1 – rear 3 – rear At least 1 At least 2 N/A N/A Free PCI slots Table 8: End User Hardware 54-JC-11377890 Page 35 RFP # 54-JB-11377890 Platform Architecture Standards: Mobile Devices 2 COMPONENT ENVIRONMENT Platform Windows, iOS and Android Software Compatibility ESRI Map Services, feature Services, data Services, image Services, Geoprocessing Services Web Service - Data Formats JSON Web Service – Data Exchange REST Application Development Frameworks Jquery Mobile, DOJO Content Rendering Cascading Style Sheets (CSS3) Client Side Scripting AJAX/JQuery/JavaScript (ECMAScript v5) Markup HTML5, XML Authentication NCID Active Directory Connectivity Verizon Wireless Cellular data 3G, 4G Wi-Fi (WPA2 Enterprise Security) Table 9: Mobile Devices Additional Mobile Requirements: The following Additional Mobile Requirements must be met along with those listed in the Mobile Devices table. 1. Must comply with all features and functions listed in sections “Coverage and Project – Field System,” “Coverage – Core System,” and “Project – Core System”. 2. Must meet standards listed for Basemap, Map Services, Map Service Publication, GIS Data Management, GIS Data, and GIS Metadata under the section called Platform Architecture: GIS. Platform Architecture: General Server Server needs are determined based on many factors, including utilization of existing Infrastructure, requirements of planned projects, and the availability of specific funding for new equipment. Some platforms will share components and others will not, depending upon the unique circumstances for each project and product. Sharing and re-use are promoted when feasible. NCDOT’s goal is to provide a homogeneous environment to streamline support and maximize resources, using virtual environment 2 Vendor’s mobile solution offerings must deliver functionality outlined within this RFP, including adherence to GIS standards. 54-JC-11377890 Page 36 RFP # 54-JB-11377890 and consolidated server farms supporting many applications. The evaluation of Vendors’ differing hosting solutions will be based, as indicated herein, on how each solution is most advantageous to the State. In some proposed solutions (e.g., SaaS or Vendor Hosting), technical requirements and terms and conditions may differ from State Hosting solutions and are subject to negotiation by the parties before award. COMPONENT ENVIRONMENT Operating System Microsoft Windows Server 2008 R2 Thin Client Access Citrix XenApp 6 Hardware Intel Xeon Backup Commvault Simpana (current use) NetAPP SnapProtect (migrating to) Storage NetAPP FAS3240 Storage E-Mail Microsoft Exchange 2010 (hosted by 3rd Party) w/ Standard Exchange CALS Web Server Microsoft Internet Information Server – IIS7.5 Application Server Microsoft .NET Framework 4.0 Antivirus and Host-Intrusion Detection McAfee VirusScan Enterprise v8.7i File Integrity Monitoring3 McAfee Solidcore Patching Microsoft System Configuration Manager (SCCM) Microsoft Windows Server Update Services (WSUS) Logging Q1Radar Adaptive Log Exporter (ALE) Table 10: General Server 3 File Integrity Monitoring shall be installed on all applicable devices considered in-scope of Payment Card Industry (PCI) standards. 54-JC-11377890 Page 37 RFP # 54-JB-11377890 Platform Architecture: Virtualization, File/Print, Web Servers: All SERVERS REQUIRED WILL BE VIRTUALIZED WHEREVER POSSIBLE, as applicable and appropriate to the awarded solution. Specifications for Virtual resources are shown as default values, resources will be provided as required. Specifications for physical servers are shown only for cases where virtualization is not supported. COMPONENT VMWARE FILE/PRINT SERVICES WEB SERVER APPLICATION SERVER DATABASE SERVER HOST SERVER Type INTEL INTEL INTEL INTEL INTEL Operating System VMware ESXi v5 Windows Server 2008-R2 Windows Server 2008-R2 Windows Server 2008-R2 Windows Server 2008-R2 Specific software for function ESXi v5.0 Part of Windows Server IIS 7.5 .NET Framework 4.0 Microsoft SQL Server 2008 R2 Virtual Processors N/A 2 vCPU 2 vCPU 2 vCPU 2 vCPU Virtual Memory N/A 4GB 4GB 4GB 8GB SPECIFICATIONS BELOW ARE ONLY IF A PHYSICAL SERVER IS REQUIRED. CPU INTEL XEON INTEL XEON INTEL XEON INTEL XEON INTEL XEON 4-Processor 2-Processor 2-Processor 2-Processor 2-Processor (Minimum 8 cores per (Minimum 4 cores per processor) processor) (Minimum 4 cores per processor) (Minimum 4 cores per processor) (Minimum 4 cores per processor) RAM 256GB minimum 32GB minimum 32GB minimum or specific requirement for function 32GB minimum or specific requirement for function 32GB minimum or specific requirement for function Fault Tolerance/Disk Configuration OS/Boot drives – RAID 1 Mirror OS/Boot drives – RAID 1 Mirror OS/Boot drives – RAID 1 Mirror OS/Boot drives – RAID 1 Mirror OS/Boot drives – RAID 1 Mirror 54-JC-11377890 Page 38 RFP # 54-JB-11377890 COMPONENT VMWARE FILE/PRINT SERVICES WEB SERVER APPLICATION SERVER DATABASE SERVER All other storage will be SAN based Data Drives should be SAN based if available. Local storage – RAID 5 Data Drives should be SAN based if available. Local storage – RAID 5 Data Drives should be SAN based if available. Local storage – RAID 5 Data Drives should be SAN based if available. Local storage – RAID 5 Power Redundant Power Supplies (N+1) Redundant Power Supplies Redundant Power Supplies Redundant Power Supplies Redundant Power Supplies Network Interface Cards Eight Ethernet 1000Base-T interfaces Dual Ethernet 1000Base-T Dual Ethernet 1000Base-T Dual Ethernet 1000Base-T Dual Ethernet 1000Base-T Monitor Not required Not required if in datacenter Not required if in datacenter Not required if in datacenter Not required if in datacenter File System N/A NTFS NTFS NTFS NTFS Platform HP Proliant DL580-G7 HP Proliant DL380-G7 HP Proliant DL380-G7 HP Proliant DL380-G7 HP Proliant DL380-G7 Warranty 4 Year, 24/7, 4 hour on-site 4 Year, 24/7, 4 hour on-site 4 Year, 24/7, 4 hour on-site 4 Year, 24/7, 4 hour on-site 4 Year, 24/7, 4 hour on-site Additional Hardware Requirements Rack mountable. Rack mountable. Rack mountable. Rack mountable. Rack mountable. Internal RAID controller for OS/boot 8 - FC HBA for SAN connections Internal RAID controller for OS/boot Internal RAID controller for OS/boot Internal RAID controller for OS/boot Internal RAID controller for OS/boot 2 - FC HBA for SAN connections 2 - FC HBA for SAN connections 2 - FC HBA for SAN connections 2 - FC HBA for SAN connections HOST SERVER Table 11: Other Servers 54-JC-11377890 Page 39 RFP # 54-JB-11377890 Application Architecture: Application Development COMPONENT CURRENT STANDARDS Database Software SQL Server 2008-R2 Application Development Frameworks .NET Framework v4.0 Virtualization VMware vSphere Software and Development Tools Microsoft Visual Studio 2010 End User Client Browser Based Thin Clients only GIS Esri - currently using v10.1 with migration to v10.2 underway ArcGIS Server 10.1 ArcGIS 10.1 ArcSDE 10.1 Version Control, Release, Defect, Deployment, and Issue Management MS Team Foundation Server (migrating to) LDAP/Directory/Authentication Active Directory Middleware Web Services Web Service - Data Formats XML EDI XSLT JSON Web Service – Data Exchange National Information Exchange Model (NIEM) SOAP REST Web Service – Service Description Interface WSDL Software Testing (Functional, Performance, & Load) HP (Mercury) Performance Center Table 12: Application Development Platforms 54-JC-11377890 Page 40 RFP # 54-JB-11377890 Platform Architecture: Enterprise Solution Platforms PLATFORM CURRENT STANDARDS Enterprise Reporting DOT does not currently have an Enterprise Reporting service but is using SQL Server Reporting Services (SSRS) for some applications. So SSRS would be Desired, but not required. Enterprise Resource Planning (ERP) SAP ECC 6 Business Intelligence SAP Business Warehouse SAP Business Objects Suite Enterprise Content Management OpenText ECM Suite 10 Microsoft SharePoint 2010 Document Scanning/Imaging EMC Captiva InputAccel Web Search Engine Microsoft SharePoint Reverse Proxy and Load Balancing Citrix NetScaler appliances Voice Communications Avaya VoIP Address Verification Experian QAS Web Pro Service Desk Heat Enterprise Change Management ServiceNow Patching Microsoft System Configuration Manager (SCCM) Microsoft Windows Server Update Services (WSUS) Network Intrusion Prevention System(s) / Intrusion Detection System(s) HP TippingPoint Security Information and Event Management (SIEM) Q1Radar SIEM Table 13: Enterprise Solution Platforms 54-JC-11377890 Page 41 RFP # 54-JB-11377890 Platform Architecture: GIS PLATFORM CURRENT STANDARDS GIS Desktop4 ArcGIS for desktop 10.1 SP1 GIS Server5 ArcGIS for server 10.1 SP1 Basemap6 ESRI Community map Map Services7 NCDOT Official Services https://gis11.Services.ncdot.gov/arcgis/rest/Services https://ncdot.maps.arcgis.com/home/ State of North Carolina hosted Services http://www.nconemap.com/ Geo Processing Services8 NCDOT Official Services https://gis11.Services.ncdot.gov/arcgis/rest/Services https://ncdot.maps.arcgis.com/home/ State of North Carolina hosted Services http://www.nconemap.com/ Map Service Publication9 NCDOT Official Services https://gis11.Services.ncdot.gov/arcgis/rest/Services https://ncdot.maps.arcgis.com/home/ 4 Current enterprise version is the standard. It is strongly recommended to consult GIS for planned next enterprise standard desktop version to avoid compatibility issues. All deviations must be evaluated case by case and mitigation measures must be part of the project plan. 5 Same as 4. 6 Current standards are strongly recommended for work relating to state maintained roads. No deviations are supported by DOT IT. End Users accept the risks by deviating from NCDOT standards. Any issues relating to using the non-standard Services should be directed to providers. 7 Same as 6. 8 Same as 6. 9 Current publication hosts are standards. All deviations must be evaluated case by case and mitigation measures must be part of the project plan. 54-JC-11377890 Page 42 RFP # 54-JB-11377890 PLATFORM CURRENT STANDARDS GIS Data Management10 GIS Spatial Data Policy https://connect.ncdot.gov/resources/gis/Pages/GISStandards.aspx GIS Data11 NCDOT Base Geospatial Standards https://connect.ncdot.gov/resources/gis/Pages/GISStandards.aspx GIS Metadata12 NCDOT GIS Metadata Content Standards https://connect.ncdot.gov/resources/gis/Pages/GISStandards.aspx ArcGIS Desktop Extensions13 Network Analyst 3D Analyst Spatial Analyst Geostatistical Analyst Publisher Data Interoperability Schematics Workflow manager Production manager Data Reviewer Roads and Highways Table 14: GIS GPS Standards Data collected in the TMS field application using Global Navigation Satellite System (GNSS) receivers must conform to the state GPS data collection standard outlined by the Geographic Information 10 Current version is the standard. All deviations must be evaluated case by case and mitigation measures must be part of the project plan. 11 Same as 10. 12 Same as 10. 13 All licensed extensions are compatible with current standard ArcGIS Desktop. All deviations and additional extensions must be evaluated case by case and mitigation measures must be part of the project plan. 54-JC-11377890 Page 43 RFP # 54-JB-11377890 Coordinating Council Statewide Mapping Advisory Committee, entitled “Statewide Global Position System (GPS) Data Collection and Documentation Standards” accepted May 2006. http://www.ncgicc.org/Portals/3/documents/gps-standard-final.pdf According to this standard, data collected with GNSS technology in the TMS field solution requires using at minimum an “Enhanced Recreational Grade” receiver. Data collected with this grade of receiver meet the standard’s requirements for non-authoritative / non-published data. In addition to this standard, there are additional methods of data collection that utilize this type of nonprofessional (i.e. recreational grade) GNSS equipment in combination with other technology(s), which increase the spatial accuracy of the resulting dataset. The required method uses GNSS technology to navigate and record non-differentially corrected coordinate data and later uses this information as a working or reference layer in the editing process. The editing process uses this coordinate information in combination with orthoimagery to produce geospatial features meet or exceed the required horizontal accuracy standards of this standard. The workflow of this method is as follows: This method is initiated by using GNSS technology to navigate to the general project area and collect a feature’s coordinate data. Next, this data is brought into a Geographic Information System (GIS) as a “working” dataset and displayed in combination with orthoimagery. Then, using the editing tool(s) of the GIS, the features locations can be adjusted to better match the visible location of that feature on the orthoimagery. Orthoimagery used in this process, such as that produced from the North Carolina statewide orthoimagery project, has a 6-inch ground resolution and a horizontal accuracy of at most plus or minus 2.0 feet in any direction. Since the orthoimagery already complies with State horizontal accuracy standard, the adjusted “working” dataset inherits the spatial accuracy of the imagery, therefore bringing its accuracy into compliance with the State horizontal accuracy standard also. This method typically works best for features that are represented as points, (i.e. traffic control stations), but can also be used for lines and polygons as well, as long as the features (points or areas) are visible in the imagery. Project Management Specification Project Management activities include, but are not limited to, defining and executing processes, systems and techniques to effectively balance schedule, cost, and resources to meet the measures of success of the project. All deliverables will be formally reviewed and approved by NCDOT. The Project Management Specifications apply to the entire term of the contract. 1. The project will be subject to guidance of NCDOT PMO and the project Steering Committee. 2. The Vendor is responsible for producing all deliverables defined below. Prior to beginning work on any deliverable, the Vendor must submit a detailed outline, format example, and description of the deliverable. NCDOT will review and approve the deliverable content and format, or provide any requested changes to the Vendor within seven business days. 54-JC-11377890 Page 44 RFP # 54-JB-11377890 3. Forms and templates used by the Vendor must be approved by NCDOT prior to use. At its discretion, NCDOT may require the Vendor to use internal NCDOT project templates. 4. The Vendor must provide evidence of their own internal quality assurance review of all deliverables to verify the accuracy, completeness, continuity, spelling, and content prior to submitting the deliverables to the NCDOT Project Manager for review and approval. 5. The Vendor must conduct “walk-through” meetings and presentations with the Project Team to review the deliverable for accuracy and completeness, and confirm NCDOT understanding of the deliverable content. 6. All deliverables identified within a project phase or task must be completed and approved by NCDOT before the project phase or task will be considered complete. 7. The Vendor must provide one copy of all deliverables in hardcopy form and on CD-ROM or other electronic media as approved by NCDOT. 8. In conjunction with NCDOT, the Vendor must participate in project review assessments at periodic intervals to be defined at project initiation and schedule finalization. At a minimum, this review will critique the project implementation process to date, the effectiveness of the overall project, and any recommendations for just-in-time improvement. 9. The Vendor must propose a comprehensive set of deliverables for the project. If the Vendor is submitting a proposal for options under this RFP, a comprehensive set of Deliverables for the options must be included and clearly labeled as Deliverables for the specific option they are being proposed. The Deliverables for the proposed solution or proposed options must include, but are not limited to: a) Project Management Plan: The Vendor must provide an initial Project Management Plan in its proposal. At a minimum, the plan must include assumptions, constraints, and key risks. The plan must be updated when significant change occurs. b) Project Schedule: The Vendor must provide an initial schedule and the associated Work Breakdown Structure (WBS) in Microsoft Project (2013 format) in its proposal. The Project Schedule in the proposal must show significant phases, activities, tasks, milestones and resource requirements necessary for NCDOT to evaluate the plan. Within the first 30 days of contract award, the Vendor Project Manager will work with the NCDOT Project Manager to baseline the schedule. In the base lined schedule, it is recommended that no task exceed two weeks in work effort. After the project schedule is base lined, updates comparing and contrasting the proposed or planned tasks with the baseline must be provided to NCDOT by the Vendor at the weekly status meetings. c) System Implementation Plan: The Vendor must provide an initial System Implementation Plan in its proposal. At a minimum, this plan must outline the overall strategy for developing and implementing the solution. This plan must support a phased implementation approach that segments this project into manageable phases that can be sequentially implemented 54-JC-11377890 Page 45 RFP # 54-JB-11377890 individually and independently from other project phases. If the approach changes, the document must be updated accordingly. The System Implementation Plan must be structured to ensure minimal disruption and interference with NCDOT’s daily operations. The plan must correlate with the Project Schedule. The Vendor must deliver a final Implementation Plan within 60 days of Project Initiation. d) Weekly Status Reports, Meeting Agendas, and Minutes: The Vendor must provide status reports for regularly scheduled status meetings (weekly throughout the duration of the contract or as determined by NCDOT). The Vendor shall submit these documents in advance of each status meeting in the format approved by the NCDOT project manager. At a minimum, these status reports shall consist of: i. Review of previous week’s progress in comparison to the Project Plan and Schedule ii. Status of major milestones and project Deliverables completed, planned, delayed or added iii. An updated Risk Matrix iv. An updated Issues Log v. An updated Project Schedule reflecting actuals and progress since the last report comparing and contrasting the proposed or planned tasks with the schedule since the last report The Vendor shall prepare and provide timely agendas and minutes for each meeting unless otherwise designated by NCDOT. These meeting documents must be included in the project working papers and a copy delivered with the Final Project Report. e) Issues Management Plan and Log: An Issues Management Plan describes how issues shall be identified, monitored, and resolved. The Issues Management Plan may be included as a subsection in the Project Management Plan. f) Risk Management Plan and Matrix: The Risk Management Plan and Matrix shall describe how risks shall be identified, tracked, monitored, and mitigated for the life of the project. The Risk Matrix must be updated for each Status meeting during the project. The Risk Management Plan may be included as a subsection in the Project Management Plan. g) Staffing and Organizational Plan: The Vendor must provide an initial Staffing Plan in its proposal. The initial plan must include an organization chart showing how the Vendor plans to staff the project, including numbers, and it must name key Vendor personnel. Key personnel minimally include the Vendor’s Project Manager, Technical Lead, and Functional Lead. If staffing levels change during different project phases, the Staffing Plan shall include an organization chart for each project phase and be updated accordingly. The initial Staffing Plan must list all required Vendor staff and suggested State resources and specify each staff member’s title, function, role, responsibility, allocation, and authority. 54-JC-11377890 Page 46 RFP # 54-JB-11377890 Proposals must include resumes of all Vendor key personnel. The Vendor shall deliver a final Staffing and Organizational Plan within fifteen (15) days of Project Initiation. h) Communications Plan: The Vendor must provide an initial Communications Plan in its proposal. At a minimum, the plan must include which individuals need what information, how frequently the information will be delivered, in what form the information will be delivered (i.e., formal report, meeting, etc.), and the entity or person responsible for ensuring the communication is delivered. The type of information to be communicated includes reporting of project processes and progress as well as procedures and responsibilities for problem management and escalation. The Vendor must deliver a final Communications Plan within 60 days of Project Initiation. As project needs change, the plan must be updated accordingly. i) Change Management Plan: The Vendor must provide an initial Change Management Plan in its proposal. The Change Management Plan describes how changes in scope, cost, and schedule will be handled and escalated throughout the project lifecycle. At a minimum, the plan must include a description of how changes shall be identified, tracked, and classified, and how changes shall be incorporated into the project or deferred. The Vendor must deliver a final Change Management Plan within 30 days of Project Initiation. Certain variations, e.g., changes in project scope or total project cost are subject to review and approval by State IT Procurement. j) Quality Management Plan: The Vendor must provide an initial Quality Plan in its proposal. The Vendor must deliver a final Quality Management Plan within 60 days of Project Initiation. k) Business Process Reengineering Plan (BPR): The Vendor must provide an initial BPR Plan in its proposal. Upon Contract Award and during each Implementation Phase thereafter, the Vendor shall deliver all drafts and final version of the BPR Plan and materials pursuant to the approved Project Schedule. The BPR Plan shall clearly describe the Vendor’s Business Process Reengineering and Organizational Change Management strategy and shall clearly describe how each requirement shall be met. l) Training and Education Plan and Training Material: The Vendor must provide an initial Training and Education Plan in its proposal. Upon Project Initiation and during each Implementation Phase thereafter, the Vendor shall deliver all drafts and all final versions of the Training and Education Plan and training materials timely and pursuant to the approved Project Schedule. The Training and Education Plan shall clearly describe the Vendor’s training strategy and shall clearly describe how each training requirement shall be met. At a minimum, the Training Plan will include the following: i. Training Methodology ii. Training Schedule iii. Number of Sessions iv. Number of Students per Session 54-JC-11377890 Page 47 RFP # 54-JB-11377890 v. Expected Learning Outcomes vi. Logistical Information such as training delivery dates and locations with emphasis on the timing to be structured for optimum employee retention vii. Curriculum Map viii. Target Audience (refer to TMS System User Roles) The Training Plan shall include the training requirements with options for maximizing scarce NCDOT competencies and knowledge areas. The Training Plan will be formally approved by NCDOT. The phased milestones for Training Deliverables shall be included in the Vendor’s Project Plan and the associated project schedule to support the development lifecycle in a seamless and integrated manner. The Training plan must be closely correlated with Business Process Reengineering changes. m) Test Plan: The Vendor shall provide an initial Test Plan in its proposal. The Vendor shall deliver revised draft and final Test Plans after Contract Award, as specified in the approved Project Schedule. At a minimum, the Test Plan shall clearly describe the Vendor’s strategy for performing Hardware Configuration Testing, Unit Testing, System/Integration Testing, Stress/Load Testing, and User Acceptance Testing. The Test Plan shall describe the manner in which system interfaces, security requirements, and, if applicable, NCDOT electronic transactions will be tested. The Test Plan shall identify all automated testing tools the Vendor plans to employ, including the specific release/version number of the projects. If the Vendor plans to employ automated test tools, then all test data files shall be in electronic format suitable for input into other testing tools. The Vendor shall deliver revised and final Test Plans at the appropriate and approved times as specified in the approved Project Schedule. n) Operations and Transition Plan: The Vendor shall provide in their proposal an initial Operations and Transition Plan that includes cutover, controlled production and operational readiness. At a minimum, the Vendor shall develop a plan to transition from the development and testing environment where the Vendor is implementing changes to the production environment where NCDOT implements changes and provides the day-to-day operational support. The Vendor shall deliver revised and final Operations and Transition Plans at the appropriate and approved time as specified in the approved Project Schedule. o) Final Project Report: The Vendor shall provide a summary of the project for closeout purposes to satisfy NCDOT requirements. Proposal Content Each Vendor shall demonstrate compliance with all mandatory conditions, requirements, and terms of performance. 54-JC-11377890 Page 48 RFP # 54-JB-11377890 1. Clearly state your understanding of the problem(s) presented by this RFP. i) Response to mandatory and desired requirements ii) Cost proposal 2. Detailed description of Vendor’s firm should include the following: a) Full name, address, and telephone number of the organization; b) Date established; c) Background of firm; d) Ownership (public company, partnership, subsidiary, etc.); e) If incorporated, state of incorporation must be included. f) Number of full-time employees on January 1 for the last three years, or for the duration that the Vendor’s firm has been in business, whichever is less. Proposal Organization The proposal should be organized and indexed in the following format and shall contain, at a minimum, all listed items in the sequence indicated. 1. Letter of Transmittal Each proposal must be accompanied by a letter of transmittal that provides the following information: a) Identify the submitting organization; b) Identify the name, title, telephone and fax number, along with an e-mail address of the person authorized by the organization to contractually obligate the organization; c) Identify the name, title, telephone and fax number, along with an e-mail address of the person authorized to negotiate the contract on behalf of the organization; d) Identify the names, titles, telephone and fax number, along with an e-mail address of the person to be contacted for clarification; e) Acknowledge receipt of all amendments to this RFP. 2. Table of Contents 3. Proposal Summary A proposal summary may be included by Respondents to provide the Evaluation Committee with an overview of the technical and business features of the proposal; however, this material will not be used in the evaluation process unless specifically referenced from other portions of the proposal 54-JC-11377890 Page 49 RFP # 54-JB-11377890 4. Response to Functional Requirements and Feature and Function List 5. Response to Project Management Specifications Section - see page 45 item #9. 6. Cost Form A comprehensive schedule of fees, costs, and associated charges to implement the TMS solution shall be provided. This should include a line-item breakout to afford the State full understanding of its investment. Areas of interest include: a) Software b) Hardware c) Support and Maintenance for years 2 and 3 (first year included) and a comprehensive three-year support and maintenance option. (Payment for support and maintenance is on a yearly basis.) d) Training e) Implementation and installation Services f) Project management g) Other – to include any other associated costs The Cost Schedule shall include all costs for base-level functionality in the current release of all items contained within the proposed solution. Any feature or functional item not in the current release, but identified as planned, in Respondents completed Feature and Function List, may be listed in a second table, or complementary cost schedule, to afford the State insight into any potential future investment to add those items later. 7. Copy of License and Maintenance Agreements. The State reserves the right to review and revise the terms and conditions of the Vendor license agreements to conform to the terms and conditions and requirements of this solicitation. 8. Corporate Background and Experience - Vendor’s shall provide in their bid response their corporate background and experience: including three references strength of financial information; and experience specifically relevant to responding to the State’s business and technical situations, requirements and needs, challenges, and opportunities presented in this RFP. The State may elect to seek references other than the ones provided. Vendor must provide at least three (3) references including reference name, reference title, reference organization name, phone number and email address. 9. Financial Information: the Vendor shall provide evidence of financial stability with its response to this RFP as further described herein below. As used herein, Financial Information shall exclude tax returns and compiled statements. 54-JC-11377890 Page 50 RFP # 54-JB-11377890 a) For a publicly traded company, Financial Statements for the past three (3) fiscal years, including at a minimum, income statements, balance sheets, and statement of changes in financial position or cash flows. If three (3) years of financial statements are not available, this information shall be provided to the fullest extent possible, but not less than one year. If less than 3 years, Vendor must explain the reason why they are not available. b) For a privately held company, when certified audited financial statements are not prepared: a written statement from the company’s certified public accountant stating the financial condition, debt-to-asset ratio for the past three (3) years and any pending actions that may affect the company’s financial condition. The State may, in its sole discretion, accept evidence of financial stability other than Financial Statements for the purpose of evaluating Vendors’ responses to this RFP. The State reserves the right to determine whether the substitute information meets the requirements for Financial Information sufficiently to allow the State to evaluate the sufficiency of financial resources and the ability of the business to sustain performance of the contract award. Scope Statements issued may require the submission of Financial Statements and specify the number of years to be provided, the information to be provided, and the most recent date required. 10. Conflict of Interest: a) Provide a statement that no assistance in preparing the response was received from any current or former employee of the State of North Carolina whose duties relate(d) to this RFP, unless such assistance was provided by the state employee in his or her official public capacity and that neither such employee nor any member of his or her immediate family has any financial interest in the outcome of this RFP; b) State if the Vendor or any employee of the Vendor is related by blood or marriage to an Agency employee or resides with an Agency employee. If there are such relationships, list the names and relationships of said parties. Include the position and responsibilities within the Vendor's organization of such Vendor employees; and c) State the employing State Agency, the individual’s title at that State Agency, and termination date. 11. Errata and Exceptions, if any. The Vendor should note that the State does not favor exceptions, and the same may form the basis, or one of the bases, for finding the Vendor’s bid non-responsive. 12. Other Supporting Material Including Technical System Documentation. 13. Samples or examples of training and other relevant material to understanding the proposed TMS solution. 14. Within each section of the proposal, Respondents should address the items in the order in which they appear in this RFP. Forms, if any provided in the RFP, must be completed and included in the appropriate section of the proposal. All discussion of proposed costs, rates, or expenses must be presented with the cost schedule mentioned in item 6, herein. 54-JC-11377890 Page 51 RFP # 54-JB-11377890 Proposal Format The proposals should be organized in the exact order in which the requirements and/or desirable performance criteria are presented in the RFP. The Execution page of this RFP must be placed at the front of the Proposal. Each page should be numbered. The proposal should contain a table of contents, which cross-references the RFP requirement and the specific page of the response in the Vendor's proposal. Please see the Delivery Instructions section at the beginning of this document for deliverable formats. All proposals should be drafted or produced on standard paper sizes and formats conducive to shared reading, commenting, and inserting of notational references during evaluation, in Adobe Acrobat or Microsoft Office application formats. Each section of submitted versions shall be properly delineated for clarity. Gross Elaboration and Length Respondents are strongly encouraged to adhere to the following general instructions in order to bring clarity and order to the proposal and subsequent evaluation process: 1. Elaborate proposals in the form of brochures or other presentations beyond that necessary to present a complete and effective proposal are not desired. 2. The response should be complete and comprehensive with a corresponding emphasis on being concise and clear. Appendices Respondents may attach other materials that they feel may improve the quality of their responses. However, these materials should be included in separate appendices. Errata or Exceptions Any errata or exceptions must be stated on a separate page, labeled “Errata and/or Exceptions” with references to the corresponding terms or provisions of the Solicitation. The Vendor should note that the State does not favor proposals conditioned upon exceptions, and the same may form the basis, or one of the bases, for finding the Vendor’s bid non-responsive. 54-JC-11377890 Page 52 RFP # 54-JB-11377890 North Carolina Information Technology Procurement Office General Terms and Conditions for Goods and Related Services Definitions: As used herein; Purchasing State Agency or Agency shall mean the Agency purchasing the goods or Services. Services or Professional Services shall mean the tasks and duties undertaken by or on behalf of the Vendor to carry out the requirements and specifications herein relating to the provision of the Vendor solution, as described and agreed herein. State shall mean the State of North Carolina, the Office of Information Technology Services as an Agency or in its capacity as the Award Authority. 1) Standards: Manufactured items and/or fabricated assemblies comprising Deliverables shall meet all requirements of the Occupational Safety and Health Act (OSHA), and State and federal requirements relating to clean air and water pollution, if applicable. Vendor will provide and maintain a quality assurance system or program that includes any Deliverables and will tender to the State only those Deliverables that have been inspected and found to conform to the requirements of this Contract. All manufactured items and/or fabricated assemblies comprising Deliverables are subject to operation, certification or inspection, and accessibility requirements as required: by State or Federal Regulation, by the Chief Information Officer’s (CIO) policy or regulation, or acceptance with appropriate standards of operations or uses of said Deliverables as may be shown by identification markings or other means of the appropriate certifying standards organization. a) Site Preparation: Vendors shall provide the Purchasing State Agency complete site requirement specifications for the Deliverables, if any. These specifications shall ensure that the Deliverables to be installed shall operate properly and efficiently within the site environment. The Vendor shall advise the State of any site requirements for any Deliverables required by the State’s specifications. Any alterations or modification in site preparation which are directly attributable to incomplete or erroneous specifications provided by the Vendor and which would involve additional expenses to the State, shall be made at the expense of the Vendor. b) Goods Return: Any Deliverables and any other goods or materials furnished by the Vendor to fulfill technical requirements shall be in good working order and be maintained in good working order by Vendor for the duration of the Contract; unless otherwise provided in a separate maintenance agreement or in the Solicitation Documents. Deliverables failing to meet the State’s technical requirements shall be considered non-conforming goods and subject to return to the Vendor for replacement at the State’s option, and at the Vendor’s expense. The State is responsible for the return costs related to the termination of a Contract, including deinstallation, and freight to destinations within the Continental United States; except in the case of default by the Vendor or delivery of non-conforming goods by Vendor. Shipping or freight charges, if any, paid by the State for non-conforming goods will be reimbursed to the State. c) Specifications: The apparent silence of the specifications as to any detail, or the apparent omission of detailed description concerning any point, shall be regarded as meaning that only the best commercial practice is to prevail and only material and workmanship of the first quality may be used. Upon any notice of noncompliance provided by the State, Vendor shall supply proof of compliance with the specifications. Vendor must provide written notice of its intent to deliver alternate or substitute products, goods or Deliverables. Alternate or substitute products, goods or Deliverables may be accepted or rejected in the sole discretion of the State; and any such alternates or substitutes must be accompanied by Vendor’s certification and evidence satisfactory to the State 54-JC-11377890 Page 53 RFP # 54-JB-11377890 that the function, characteristics, performance and endurance will be equal or superior to the original Deliverables specified. 2) Warranties: Warranties: The Vendor warrants to the State that any items furnished will be new (unless otherwise requested in this bid), of good material and workmanship, and agrees to replace or reperform any items which fail to comply with the specifications by reason of failure to comply with specifications or due to defective material or workmanship under normal use, free of State’s negligence or accident for a minimum of 12 (twelve) months from date of acceptance. Such replacement shall include, as applicable, transportation costs free of any charge to the State. This statement is not intended to limit any additional coverage, which may normally be associated with a product. Vendor shall assign all applicable third party warranties for Deliverables to the Purchasing State Agency. 3) Personnel: Vendor shall not substitute key personnel assigned to the performance of this Contract without prior written approval by the Agency Contract Administrator. Any desired substitution shall be noticed to the Agency’s Contract Administrator accompanied by the names and references of Vendor’s recommended substitute personnel. The Agency will approve or disapprove the requested substitution in a timely manner. The Agency may, in its sole discretion, terminate the Services of any person providing Services under this Contract. Upon such termination, the Agency may request acceptable substitute personnel or terminate the contract Services provided by such personnel. a) Vendor personnel shall perform their duties on the premises of the State, during the State’s regular work days and normal work hours, except as may be specifically agreed otherwise, established in the specification, or statement of work. b) This Contract shall not prevent Vendor or any of its personnel supplied under this Contract from performing similar Services elsewhere or restrict Vendor from using the personnel provided to the State, provided that: i) Such use does not conflict with the terms, specifications or any amendments to this Contract , or ii) Such use does not conflict with any procurement law, regulation or policy, or iii) Such use does not conflict with any non-disclosure agreement, or term thereof, by and between the State and Vendor or Vendor’s personnel. 4) Subcontracting: The Vendor may subcontract the performance of required Services with other Vendors or third parties, or change subcontractors, only with the prior written consent of the contracting authority. Vendor shall provide the State with complete copies of any agreements made by and between Vendor and all subcontractors. The selected Vendor remains solely responsible for the performance of its subcontractors. Subcontractors, if any, shall adhere to the same standards required of the selected Vendor. Any contracts made by the Vendor with a subcontractor shall include an affirmative statement that the State is an intended third party beneficiary of the contract; that the subcontractor has no agreement with the State; and that the State shall be indemnified by the Vendor for any claim presented by the subcontractor. Notwithstanding any other term herein, Vendor shall timely exercise its contractual remedies against any non-performing subcontractor and, when appropriate, substitute another subcontractor. 5) Vendor’s Representation: Vendor warrants that qualified personnel will provide Services in a professional manner. “Professional manner” means that the personnel performing the Services will possess the skill and competence consistent with the prevailing business standards in the information technology industry. Vendor agrees that it will not enter any agreement with a third party that might abridge any rights of the State under this Contract. Vendor will serve as the prime Vendor under this Contract. Should the State approve any subcontractor(s), the Vendor shall be legally responsible for the performance and payment of the subcontractor(s). Names of any third party Vendors or subcontractors of Vendor may appear for purposes of convenience in Contract documents; and shall not limit Vendor’s obligations hereunder. Third party subcontractors, if approved, may serve as subcontractors to Vendor. 54-JC-11377890 Page 54 RFP # 54-JB-11377890 Vendor will retain executive representation for functional and technical expertise as needed in order to incorporate any work by third party subcontractor(s). a) Intellectual Property. Vendor has the right to provide the Services and Deliverables without violating or infringing any law, rule, regulation, copyright, patent, trade secret or other proprietary right of any third party. Vendor represents that its Services and Deliverables are not the subject of any actual or threatened actions arising from, or alleged under, any intellectual property rights of any third party. b) Inherent Services. If any Services, Deliverables, functions, or responsibilities not specifically described in this Contract are required for Vendor’s proper performance, provision and delivery of the Service and Deliverables pursuant to this Contract, or are an inherent part of or necessary subtask included within the Service, they will be deemed to be implied by and included within the scope of the Contract to the same extent and in the same manner as if specifically described in the Contract. Unless otherwise expressly provided in the Contract, Vendor will furnish all of its own necessary management, supervision, labor, facilities, furniture, computer and telecommunications equipment, software, supplies and materials necessary for the Vendor to provide and deliver the Services and Deliverables c) Vendor warrants that it has the financial capacity to perform and to continue perform its obligations under the Contract; that Vendor has no constructive or actual knowledge of an actual or potential legal proceeding being brought against Vendor that could materially adversely affect performance of this Contract; and that entering into this Contract is not prohibited by any contract, or order by any court of competent jurisdiction d) Warranty as to Equipment; Hardware. Vendor warrants that the equipment and hardware that it provides pursuant to this Contract shall be free from defects in materials, in good working order and be maintained in good working order. 6) Software License (for any internal embedded software, firmware and unless otherwise provided in the State’s solicitation document, or in an attachment hereto): Deliverables comprising goods, equipment or products (hardware) may contain or be provided with software for internal operation, or as embedded software or firmware that is generally not sold or licensed as a severable software product. Software may be provided on separate media, such as floppy diskettes or CD-ROM, or may be included within the hardware at or prior to delivery. Such software is proprietary, copyrighted, and may also contain valuable trade secrets and may be protected by patents. Vendor grants the State a license to use the Code (or any replacement provided) on, or in conjunction with, only the Deliverables purchased, or with any system identified in the solicitation documents. The State shall have a worldwide, nonexclusive, non-sublicensable license to use such software and/or documentation for its internal use. The State may make and install copies of the software to support the authorized level of use. Provided, however that if the hardware is inoperable, the software may be copied for temporary use on other hardware. The State shall promptly affix to any such copy the same proprietary and copyright notices affixed to the original. The State may make one copy of the software for archival, back-up or disaster recovery purposes. The license set forth in this Paragraph shall terminate immediately upon the State’s discontinuance of the use of the equipment on which the software is installed. The software may be transferred to another party only with the transfer of the hardware. If the hardware is transferred, the State shall i) destroy all software copies made by the State, ii) deliver the original or any replacement copies of the software to the transferee, and iii) notify the transferee that title and ownership of the software and the applicable patent, trademark, copyright, and other intellectual property rights shall remain with Vendor, or Vendor’s licensors. The State shall not disassemble, decompile, reverse engineer, modify, or prepare derivative works of the embedded software, unless permitted under the solicitation documents. 7) Maintenance/Support Services: Unless otherwise provided in the State’s solicitation document, or in an attachment hereto or BAFO, for the first year and all subsequent Contract years, if ordered by the 54-JC-11377890 Page 55 RFP # 54-JB-11377890 State, Vendor agrees to provide the following Services for the current version and one previous version of any Software Deliverables, and for any Hardware Deliverables, commencing upon delivery of the Software or installation of the Hardware Deliverables, as appropriate: SOFTWARE SUPPORT a) Error Correction. Upon notice by State of a problem with the Software (which problem can be verified), Vendor shall use reasonable efforts to correct or provide a working solution for the problem. The State shall comply with all reasonable instructions or requests of Vendor in attempts to correct an error or defect in the Program. Vendor and the State shall act promptly and in a reasonably timely manner in communicating error or problem logs, other related information, proposed solutions or workarounds, and any action as may be necessary or proper to obtain or affect maintenance Services under this Paragraph. b) Vendor shall notify the State of any material errors or defects in the Deliverables known, or made known to Vendor from any source during the Contract term that could cause the production of inaccurate, or otherwise materially incorrect, results. Vendor shall initiate actions as may be commercially necessary or proper to effect corrections of any such errors or defects. c) Updates. Vendor shall provide to the State, at no additional charge, all new releases and bug fixes (collectively referred to as “Changes”) for any Software Deliverable developed or published by Vendor and made generally available to its other customers at no additional charge. All such Updates shall be a part of the Program and Documentation and, as such, be governed by the provisions of this Contract. d) Telephone Assistance. Vendor shall provide the State with telephone access to technical support engineers for assistance in the proper installation and use of the Software, and to report and resolve Software problems, during normal business hours, 8:00 AM - 5:00 PM Eastern Standard Time, Monday-Friday. Vendor shall respond to the telephone requests for Program maintenance service, within four hours, for calls made at any time. HARDWARE SUPPORT. Basic Services. The Vendor will provide at least normal and usual Hardware support and maintenance Services generally provided to customers in a similar program, position or setting consistent with and subject to the payment of the support and maintenance fees agreed upon in this Contract, all as indicated in the Furnish and Deliver Table, above. Any available warranties applicable to replacement Hardware equipment will be passed on to the using agency. Any “hot switch” or similar replacement warranty program shall apply as indicated by the Vendor’s support description in the Furnish and Deliver Table, above. 8) Travel Expenses: All travel expenses should be included in the Vendor’s proposed costs. Separately stated travel expenses will not be reimbursed. In the event that the Vendor may be eligible to be reimbursed for travel expenses arising under the performance of this Contract, reimbursement will be at the out-of-state rates set forth in GS §138-6; as amended from time to time. Vendor agrees to use the lowest available airfare not requiring a weekend stay and to use the lowest available rate for rental vehicles. All Vendor incurred travel expenses shall be billed on a monthly basis, shall be supported by receipt and shall be paid by the State within thirty (30) days after invoice approval. Travel expenses exceeding the foregoing rates shall not be paid by the State. The State will reimburse travel allowances only for days on which the Vendor is required to be in North Carolina performing Services under this Contract. 54-JC-11377890 Page 56 RFP # 54-JB-11377890 9) Governmental Restrictions: In the event any restrictions are imposed by governmental requirements that necessitate alteration of the material, quality, workmanship, or performance of the Deliverables offered prior to delivery thereof, the Vendor shall provide written notification of the necessary alteration(s) to the Agency Contract Administrator. The State reserves the right to accept any such alterations, including any price adjustments occasioned thereby, or to cancel the Contract. The State may advise Vendor of any restrictions or changes in specifications required by North Carolina legislation, rule or regulatory authority that require compliance by the State. In such event, Vendor shall use its best efforts to comply with the required restrictions or changes. If compliance cannot be achieved by the date specified by the State, the State may terminate this Contract and compensate Vendor for sums due under the Contract. 10) Prohibition Against Contingent Fees and Gratuities: Vendor warrants that it has not paid, and agrees not to pay, any bonus, commission, fee, or gratuity to any employee or official of the State for the purpose of obtaining any contract or award issued by the State. Vendor further warrants that no commission or other payment has been or will be received from or paid to any third party contingent on the award of any contract by the State, except as shall have been expressly communicated to the State Purchasing Agent in writing prior to acceptance of the Contract or award in question. Each individual signing below warrants that he or she is duly authorized by their respective Party to sign this Contract and bind the Party to the terms and conditions of this Contract. Vendor and their authorized signatory further warrant that no officer or employee of the State has any direct or indirect financial or personal beneficial interest, in the subject matter of this Contract; obligation or contract for future award of compensation as an inducement or consideration for making this Contract. Subsequent discovery by the State of non-compliance with these provisions shall constitute sufficient cause for immediate termination of all outstanding contracts. Violations of this provision may result in debarment of the Vendor(s) as permitted by 9 NCAC 06B.1207, or other provision of law. 11) Availability of Funds: Any and all payments to Vendor are expressly contingent upon and subject to the appropriation, allocation and availability of funds to the Agency for the purposes set forth in this Contract. If this Contract or any Purchase Order issued hereunder is funded in whole or in part by federal funds, the Agency’s performance and payment shall be subject to and contingent upon the continuing availability of said federal funds for the purposes of the Contract or Purchase Order. If the term of this Contract extends into fiscal years subsequent to that in which it is approved, such continuation of the Contract is expressly contingent upon the appropriation, allocation and availability of funds by the N.C. Legislature for the purposes set forth in the Contract. If funds to effect payment are not available, the Agency will provide written notification to Vendor. If the Contract is terminated under this paragraph, Vendor agrees to take back any affected Deliverables and software not yet delivered under this Contract, terminate any Services supplied to the Agency under this Contract, and relieve the Agency of any further obligation thereof. The State shall remit payment for Deliverables and Services accepted prior to the date of the aforesaid notice in conformance with the payment terms. 12) Payment Terms: Payment terms are Net 30 days after receipt of correct invoice or acceptance of the Deliverables, whichever is later; unless a period of more than thirty (30) days is required by the Agency. The Purchasing State Agency is responsible for all payments under the Contract. No additional charges to the Agency will be permitted based upon, or arising from, the Agency’s use of a Business Procurement Card. The State may exercise any and all rights of Set Off as permitted in Chapter 105A-1 et. seq. of the N.C. General Statutes and applicable Administrative Rules. Upon Vendor’s written request of not less than thirty (30) days and approval by the State or Agency, the Agency may: a) Forward the Vendor’s payment check(s) directly to any person or entity designated by the Vendor, or b) Include any person or entity designated in writing by Vendor as a joint payee on the Vendor’s payment check(s), however 54-JC-11377890 Page 57 RFP # 54-JB-11377890 c) In no event shall such approval and action obligate the State to anyone other than the Vendor and the Vendor shall remain responsible for fulfillment of all Contract obligations. 13) Acceptance Criteria: In the event acceptance of Deliverables is not described in additional Contract documents, the State shall have the obligation to notify Vendor, in writing, ten calendar days following installation of any Deliverable described in the Contract if it is not acceptable. The notice shall specify in reasonable detail the reason(s) a deliverable is unacceptable. Acceptance by the State shall not be unreasonably withheld; but may be conditioned or delayed as required for installation and/or testing of Deliverables. Final acceptance is expressly conditioned upon completion of all applicable inspection and testing procedures. Should the Deliverables fail to meet any specifications or acceptance criteria the State may exercise any and all rights hereunder, including such rights provided by the Uniform Commercial Code as adopted in North Carolina. Deliverables discovered to be defective or failing to conform to the specifications may be rejected upon initial inspection or at any later time if the defects contained in the Deliverables or non-compliance with the specifications was not reasonably ascertainable upon initial inspection. If the Vendor fails to promptly cure the defect or replace the Deliverables, the State reserves the right to cancel the Purchase Order, contract with a different Vendor, and to invoice the original Vendor for any differential in price over the original Contract price. When Deliverables are rejected, the Vendor must remove the rejected Deliverables from the premises of the State Agency within seven (7) calendar days of notification, unless otherwise agreed by the State Agency. Rejected items may be regarded as abandoned if not removed by Vendor as provided herein. 14) Equal Employment Opportunity: Vendor shall comply with all Federal and State requirements concerning fair employment and employment of the disabled, and concerning the treatment of all employees without regard to discrimination by reason of race, color, religion, sex, national origin or physical disability. 15) Inspection at Vendor’s Site: The State reserves the right to inspect, during Vendor’s regular business hours at a reasonable time, upon notice of not less than two (2) weeks, and at its own expense, the prospective Deliverables comprising equipment or other tangible goods, or the plant or other physical facilities of a prospective Vendor prior to Contract award, and during the Contract term as necessary or proper to ensure conformance with the specifications/requirements and their adequacy and suitability for the proper and effective performance of the Contract. 16) Advertising/Press Release: The Vendor absolutely shall not publicly disseminate any information concerning the Contract without prior written approval from the State or its Agent. For the purpose of this provision of the Contract, the Agent is the Purchasing Agency Contract Administrator unless otherwise named in the solicitation documents. 17) Confidentiality: In accordance with 9 NCAC 06B.0103, 06B.0207 and 06B.1001 and to promote maximum competition in the State competitive bidding process, the State may maintain the confidentiality of certain types of information described in N.C. Gen. Stat. §132-1 et. seq. Such information may include trade secrets defined by N.C. Gen. Stat. §66-152 and other information exempted from the Public Records Act pursuant to N.C. Gen. Stat. §132-1.2. Vendor may designate appropriate portions of its response as confidential, consistent with and to the extent permitted under the Statutes and Rules set forth above, by marking the top and bottom of pages containing confidential information with a legend in boldface type “CONFIDENTIAL”. By so marking any page, the Vendor warrants that it has formed a good faith opinion, having received such necessary or proper review by counsel and other knowledgeable advisors, that the portions marked confidential meet the requirements of the Rules and Statutes set forth above. However, under no circumstances shall price information be designated as confidential. The State may serve as custodian of Vendor’s confidential information and not as an arbiter of claims against Vendor’s assertion of confidentiality. If an action is brought pursuant to N.C. Gen. Stat. §132-9 to compel the State to disclose information marked confidential, the Vendor agrees that it will intervene in the action through its counsel and participate in defending the State, including any public official(s) or public employee(s). The Vendor agrees that it 54-JC-11377890 Page 58 RFP # 54-JB-11377890 shall hold the State and any official(s) and individual(s) harmless from any and all damages, costs, and attorneys’ fees awarded against the State in the action. The State agrees to promptly notify the Vendor in writing of any action seeking to compel the disclosure of Vendor’s confidential information. The State shall have the right, at its option and expense, to participate in the defense of the action through its counsel. The State shall have no liability to Vendor with respect to the disclosure of Vendor’s confidential information ordered by a court of competent jurisdiction pursuant to N.C. Gen. Stat. §132-9 or other applicable law. a) Care of Information: Vendor agrees to use commercial best efforts to safeguard and protect any data, documents, files, and other materials received from the State or the Agency during performance of any contractual obligation from loss, destruction or erasure. b) Vendor warrants that all its employees and any approved third party Vendors or subcontractors are subject to a non-disclosure and confidentiality agreement enforceable in North Carolina. Vendor will, upon request of the State, verify and produce true copies of any such agreements. Production of such agreements by Vendor may be made subject to applicable confidentiality, nondisclosure or privacy laws; provided that Vendor produces satisfactory evidence supporting exclusion of such agreements from disclosure under the N.C. Public Records laws in NCGS §132-1 et. seq. The State may, in its sole discretion, provide a non-disclosure and confidentiality agreement satisfactory to the State for Vendor’s execution. The State may exercise its rights under this subparagraph as necessary or proper, in its discretion, to comply with applicable security regulations or statutes including, but not limited to 26 USC 6103 and IRS Publication 1075, (Tax Information Security Guidelines for Federal, State, and Local Agencies), HIPAA, 42 USC 1320(d) (Health Insurance Portability and Accountability Act), any implementing regulations in the Code of Federal Regulations, and any future regulations imposed upon the Office of Information Technology Services or the N.C. Department of Revenue pursuant to future statutory or regulatory requirements. c) Nondisclosure: Vendor agrees and specifically warrants that it, its officers, directors, principals and employees, and any subcontractors, shall hold all information received during performance of this Contract in the strictest confidence and shall not disclose the same to any third party without the express written approval of the State. 18) Deliverables: Deliverables, as used herein, shall comprise all Services, project materials, including goods, software license, data, and documentation created during the performance or provision of Services hereunder. Equipment and non-licensed Deliverables are the property of the State of North Carolina. Proprietary Vendor materials licensed to the State shall be identified to the State by Vendor prior to use or provision of Services hereunder and shall remain the property of the Vendor. Embedded software or firmware shall not be a severable Deliverable. Deliverables include "Work Product" and means any expression of Licensor’s findings, analyses, conclusions, opinions, recommendations, ideas, techniques, know-how, designs, programs, enhancements, and other technical information; but not source and object code or software. All Software source and object code is the property of Licensor and is licensed nonexclusively to the State, at no additional license fee, pursuant to the terms of the software license contained herein, and in the Supplemental Terms and Conditions for Software and Services. 19) Late Delivery, Back Order: Vendor shall advise the Agency contact person or office immediately upon determining that any Deliverable will not, or may not, be delivered at the time or place specified. Together with such notice, Vendor shall state the projected delivery time and date. In the event the delay projected by Vendor is unsatisfactory, the Agency shall so advise Vendor and may proceed to procure substitute Deliverables or Services. 20) Patent, Copyright, and Trade Secret Protection: a) Vendor has created, acquired or otherwise has rights in, and may, in connection with the performance of Services for the State, employ, provide, create, acquire or otherwise obtain rights in various concepts, ideas, methods, methodologies, procedures, processes, know-how, techniques, 54-JC-11377890 Page 59 RFP # 54-JB-11377890 models, templates and general purpose consulting and software tools, utilities and routines (collectively, the “Vendor Technology”). To the extent that any Vendor Technology is contained in any of the Deliverables including any derivative works, the Vendor hereby grants the State a royaltyfree, fully paid, worldwide, perpetual, non-exclusive license to use such Vendor Technology in connection with the Deliverables for the State’s purposes. b) Vendor shall not acquire any right, title and interest in and to the copyrights for goods, any and all software, technical information, specifications, drawings, records, documentation, data or derivative works thereof, or other work products provided by the State to Vendor. The State hereby grants Vendor a royalty-free, fully paid, worldwide, perpetual, limited, non-exclusive license for Vendor’s internal use to non-confidential Deliverables first originated and prepared by the Vendor for delivery to the State. c) The Vendor, at its own expense, shall defend any action brought against the State to the extent that such action is based upon a claim that the Services or Deliverables supplied by the Vendor, or the operation of such Deliverables pursuant to a current version of Vendor-supplied software, infringes a patent, or copyright or violates a trade secret in the United States. The Vendor shall pay those costs and damages finally awarded against the State in any such action. Such defense and payment shall be conditioned on the following: i) That the Vendor shall be notified within a reasonable time in writing by the State of any such claim; and, ii) That the Vendor shall have the sole control of the defense of any action on such claim and all negotiations for its settlement or compromise, provided, however, that the State shall have the option to participate in such action at its own expense. d) Should any Services, software or equipment supplied by Vendor, or the operation thereof become, or in the Vendor’s opinion are likely to become, the subject of a claim of infringement of a patent, copyright, or a trade secret in the United States, the State shall permit the Vendor, at its option and expense, either to procure for the State the right to continue using the goods/hardware or software, or to replace or modify the same to become noninfringing and continue to meet procurement specifications in all material respects. If neither of these options can reasonably be taken, or if the use of such goods/hardware or software by the State shall be prevented by injunction, the Vendor agrees to take back such goods/hardware or software, and refund any sums the State has paid Vendor less any reasonable amount for use or damage and make every reasonable effort to assist the State in procuring substitute Deliverables. If, in the sole opinion of the State, the return of such infringing Deliverables makes the retention of other items of Deliverables acquired from the Vendor under this Contract impractical, the State shall then have the option of terminating the Contract, or applicable portions thereof, without penalty or termination charge. The Vendor agrees to take back such Deliverables and refund any sums the State has paid Vendor less any reasonable amount for use or damage. e) Vendor will not be required to defend or indemnify the State if any claim by a third party against the State for infringement or misappropriation (i) results from the State’s alteration of any Vendorbranded product or Deliverable, or (ii) results from the continued use of the good(s) or Services and Deliverables after receiving notice they infringe a trade secret of a third party. f) Nothing stated herein, however, shall affect Vendor's ownership in or rights to its preexisting intellectual property and proprietary rights. 21) Access to Persons and Records: Pursuant to N.C. General Statute 147-64.7, the Agency, the State Auditor, appropriate federal officials, and their respective authorized employees or agents are authorized to examine all books, records, and accounts of the Vendor insofar as they relate to transactions with any department, board, officer, commission, institution, or other agency of the State 54-JC-11377890 Page 60 RFP # 54-JB-11377890 of North Carolina pursuant to the performance of this Contract or to costs charged to this Contract. The Vendor shall retain any such books, records, and accounts for a minimum of three (3) years after the completion of this Contract. Additional audit or reporting requirements may be required by any Agency, if in the Agency’s opinion, such requirement is imposed by federal or state law or regulation. 22) Assignment: Vendor may not assign this Contract or its obligations hereunder except as permitted by 09 NCAC 06B.1003 and this Paragraph. Vendor shall provide reasonable notice of not less than thirty (30) days prior to any consolidation, acquisition, or merger. Any assignee shall affirm this Contract attorning to the terms and conditions agreed, and that Vendor shall affirm that the assignee is fully capable of performing all obligations of Vendor under this Contract. An assignment may be made, if at all, in writing by the Vendor, Assignee and the State setting forth the foregoing obligation of Vendor and Assignee. 23) Insurance Coverage: During the term of the Contract, the Vendor at its sole cost and expense shall provide commercial insurance of such type and with such terms and limits as may be reasonably associated with the Contract. As a minimum, the Vendor shall provide and maintain the following coverage and limits: a) Worker’s Compensation - The Vendor shall provide and maintain Worker’s Compensation Insurance, as required by the laws of North Carolina, as well as employer’s liability coverage with minimum limits of at least $100,000.00, covering all of Vendor’s employees who are engaged in any work under the Contract. If any work is sublet, the Vendor shall require the subcontractor to provide the same coverage for any of his employees engaged in any work under the Contract; and b) Commercial General Liability - General Liability Coverage on a Comprehensive Broad Form on an occurrence basis in the minimum amount of $2,000,000.00 Combined Single Limit (Defense cost shall be in excess of the limit of liability); and c) Automobile - Automobile Liability Insurance, to include liability coverage, covering all owned, hired and non-owned vehicles, used in connection with the Contract. The minimum combined single limit shall be $500,000.00 bodily injury and property damage; $500,000.00 uninsured/under insured motorist; and $5,000.00 medical payment; and d) Providing and maintaining adequate insurance coverage described herein is a material obligation of the Vendor and is of the essence of this Contract. All such insurance shall meet all laws of the State of North Carolina. Such insurance coverage shall be obtained from companies that are authorized to provide such coverage and that are authorized by the Commissioner of Insurance to do business in North Carolina. The Vendor shall at all times comply with the terms of such insurance policies, and all requirements of the insurer under any such insurance policies, except as they may conflict with existing North Carolina laws or this Contract. The limits of coverage under each insurance policy maintained by the Vendor shall not be interpreted as limiting the Vendor’s liability and obligations under the Contract. 24) Dispute Resolution: The parties agree that it is in their mutual interest to resolve disputes informally. A claim by the Vendor shall be submitted in writing to the Agency Contract Administrator for decision. A claim by the State shall be submitted in writing to the Vendor’s Contract Administrator for decision. The Parties shall negotiate in good faith and use all reasonable efforts to resolve such dispute(s). During the time the Parties are attempting to resolve any dispute, each shall proceed diligently to perform their respective duties and responsibilities under this Contract. If a dispute cannot be resolved between the Parties within thirty (30) days after delivery of notice, either Party may elect to exercise any other remedies available under this Contract, or at law. This term shall not constitute an agreement by either party to mediate or arbitrate any dispute. 25) Default: In the event any Deliverable furnished by the Vendor during performance of any Contract term fails to conform to any material requirement of the Contract specifications, notice of the failure is provided by the State and if the failure is not cured within ten (10) days, or Vendor fails to meet the requirements of Paragraph 13) herein, the State may cancel and procure the articles or Services from 54-JC-11377890 Page 61 RFP # 54-JB-11377890 other sources; holding Vendor liable for any excess costs occasioned thereby, subject only to the limitations provided in Paragraphs 28) and 29) and the obligation to informally resolve disputes as provided in Paragraph 24) of these Terms and Conditions. Default may be cause for debarment as provided in 09 NCAC 06B.1206. The State reserves the right to require performance guaranties pursuant to 09 NCAC 06B.1207 from the Vendor without expense to the State. The rights and remedies of the State provided above shall not be exclusive and are in addition to any other rights and remedies provided by law or under the Contract. a) If Vendor fails to deliver Deliverables within the time required by this Contract, the State may provide written notice of said failure to Vendor, and by such notice require payment of a penalty. b) Should the State fail to perform any of its obligations upon which Vendor’s performance is conditioned, Vendor shall not be in default for any delay, cost increase or other consequences due to the State’s failure. Vendor will use reasonable efforts to mitigate delays, costs or expenses arising from assumptions in the Vendor’s bid documents that prove erroneous or are otherwise invalid. Any deadline that is affected by any such failure in assumptions or performance by the State shall be extended by an amount of time reasonably necessary to compensate for the effect of such failure. c) Vendor shall provide a plan to cure any default if requested by the State. The plan shall state the nature of the default, the time required for cure, any mitigating factors causing or tending to cause the default, and such other information as the Vendor may deem necessary or proper to provide. 26) Waiver of Default: Waiver by either party of any default or breach by the other Party shall not be deemed a waiver of any subsequent default or breach and shall not be construed to be a modification or novation of the terms of this Contract, unless so stated in writing and signed by authorized representatives of the Agency and the Vendor, and made as an amendment to this Contract pursuant to Paragraph 40) herein below. 27) Termination: Any notice of termination made under this Contract shall be transmitted via US Mail, Certified Return Receipt Requested. The period of notice for termination shall begin on the day the return receipt is signed and dated. a) The parties may mutually terminate this Contract by written agreement at any time. b) The State may terminate this Contract, in whole or in part, pursuant to Paragraph 25), or pursuant to the Special Terms and Conditions in the Solicitation Documents, if any, or for any of the following: i) Termination for Cause: In the event any goods, software, or service furnished by the Vendor during performance of any Contract term fails to conform to any material requirement of the Contract, and the failure is not cured within the specified time after providing written notice thereof to Vendor, the State may cancel and procure the articles or Services from other sources; holding Vendor liable for any excess costs occasioned thereby, subject only to the limitations provided in Paragraphs 28) and 29) herein. The rights and remedies of the State provided above shall not be exclusive and are in addition to any other rights and remedies provided by law or under the Contract. Vendor shall not be relieved of liability to the State for damages sustained by the State arising from Vendor’s breach of this Contract; and the State may, in its discretion, withhold any payment due as a setoff until such time as the damages are finally determined or as agreed by the parties. Voluntary or involuntary Bankruptcy or receivership by Vendor shall be cause for termination. ii) Termination For Convenience Without Cause: The State may terminate service and indefinite quantity contracts, in whole or in part by giving thirty (30) days prior notice in writing to the Vendor. Vendor shall be entitled to sums due as compensation for Deliverables provided and Services performed in conformance with the Contract. In the event the Contract is terminated for the convenience of the State the Agency will pay for all work performed and products delivered in conformance with the Contract up to the date of termination. 54-JC-11377890 Page 62 RFP # 54-JB-11377890 28) Limitation of Vendor’s Liability: a) Where Deliverables are under the State’s exclusive management and control, the Vendor shall not be liable for direct damages caused by the State’s failure to fulfill any State responsibilities of assuring the proper use, management and supervision of the Deliverables and programs, audit controls, operating methods, office procedures, or for establishing all proper checkpoints necessary for the State’s intended use of the Deliverables. b) The Vendor’s liability for damages to the State for any cause whatsoever, and regardless of the form of action, whether in contract or in tort, shall be limited to two times the value of the Contract. c) The foregoing limitation of liability shall not apply to the payment of costs and damage awards referred to in the Paragraph entitled "Patent, Copyright, and Trade Secret Protection", to claims covered by other specific provisions calling for liquidated damages or specifying a different limit of liability, or to claims for injury to persons or damage to property caused by Vendor’s negligence or willful or wanton conduct. This limitation of liability does not apply to the receipt of court costs or attorney’s fees that might be awarded by a court in addition to damages after litigation based on this Contract. 29) Vendor’s Liability for Injury to Persons or Damage to Property: a) The Vendor shall be liable for damages arising out of personal injuries and/or damage to real or tangible personal property of the State, employees of the State, persons designated by the State for training, or person(s) other than agents or employees of the Vendor, designated by the State for any purpose, prior to, during, or subsequent to delivery, installation, acceptance, and use of the Deliverables either at the Vendor’s site or at the State’s place of business, provided that the injury or damage was caused by the fault or negligence of the Vendor. b) The Vendor agrees to indemnify, defend and hold the Agency and the State and its Officers, employees, agents and assigns harmless from any liability relating to personal injury or injury to real or personal property of any kind, accruing or resulting to any other person, firm or corporation furnishing or supplying work, Services, materials or supplies in connection with the performance of this contract, whether tangible or intangible, arising out of the ordinary negligence, willful or wanton negligence, or intentional acts of the Vendor, its officers, employees, agents, assigns or subcontractors, in the performance of this Contract. c) Vendor shall not be liable for damages arising out of or caused by an alteration or an attachment not made or installed by the Vendor, or for damage to alterations or attachments that may result from the normal operation and maintenance of the Vendor’s goods. 30) General Indemnity: The Vendor shall hold and save the State, its officers, agents and employees, harmless from liability of any kind, including all claims and losses, with the exception of consequential damages, accruing or resulting to any other person, firm or corporation furnishing or supplying work, Services, materials or supplies in connection with the performance of this Contract. The foregoing indemnification and defense by the Vendor shall be conditioned upon the following: a) The Agency shall give Vendor written notice within thirty (30) days after it has actual knowledge of any such claim(s) or action(s) filed; and b) The Vendor shall have the sole control of the defense of any such claim(s) or action(s) filed and of all negotiations relating to settlement or compromise thereof, provided, however, that the Agency or State shall have the option to participate at their own expense in the defense of such claim(s) or action(s) filed. 31) Changes: This Contract and subsequent purchase order(s) is awarded subject to shipment of quantities, qualities, and prices indicated by the order or Contract, and all conditions and instructions of the Contract or proposal on which it is based. Any changes made to this Contract or purchase order proposed by the Vendor are hereby rejected unless accepted in writing by the Agency or State Award 54-JC-11377890 Page 63 RFP # 54-JB-11377890 Authority. The State shall not be responsible for Deliverables or Services delivered without a purchase order from the Agency or State Award Authority. 32) Stop Work Order: The State may issue a written Stop Work Order to Vendor for cause at any time requiring Vendor to suspend or stop all, or any part, of the performance due under this Contract for a period up to ninety (90) days after the Stop Work Order is delivered to the Vendor. The ninety (90) day period may be extended for any further period for which the parties may agree. a) The Stop Work Order shall be specifically identified as such and shall indicate that it is issued under this term. Upon receipt of the Stop Work Order, the Vendor shall immediately comply with its terms and take all reasonable steps to minimize incurring costs allocable to the work covered by the Stop Work Order during the period of work suspension or stoppage. Within a period of ninety (90) days after a Stop Work Order is delivered to Vendor, or within any extension of that period to which the parties agree, the State shall either: i) Cancel the Stop Work Order, or ii) Terminate the work covered by the Stop Work Order as provided for in the termination for default or the termination for convenience clause of this Contract. b) If a Stop Work Order issued under this clause is canceled or the period of the Stop Work Order or any extension thereof expires, the Vendor shall resume work. The State shall make an equitable adjustment in the delivery schedule, the Contract price, or both, and the Contract shall be modified, in writing, accordingly, if: i) The Stop Work Order results in an increase in the time required for, or in the Vendor’s cost properly allocable to the performance of any part of this Contract, and ii) The Vendor asserts its right to an equitable adjustment within thirty (30) days after the end of the period of work stoppage; provided that if the State decides the facts justify the action, the State may receive and act upon a proposal submitted at any time before final payment under this Contract. c) If a Stop Work Order is not canceled and the work covered by the Stop Work Order is terminated in accordance with the provision entitled Termination for Convenience of the State, the State shall allow reasonable direct costs resulting from the Stop Work Order in arriving at the termination settlement. d) The State shall not be liable to the Vendor for loss of profits because of a Stop Work Order issued under this term. 33) Price Adjustments For Term Contracts: Reserved 34) Time is of the Essence. Time is of the essence in the performance of this Contract. 35) Date and Time Warranty: The Vendor warrants that any Deliverable, whether hardware, firmware, middleware, custom or commercial software, or internal components, subroutines, and interface therein which performs any date and/or time data recognition function, calculation, or sequencing, will provide accurate date/time data and leap year calculations. This warranty shall survive termination or expiration of the Contract. 36) Independent Contractors: Vendor and its employees, officers and executives, and subcontractors, if any, shall be independent Vendors and not employees or agents of the State. This Contract shall not operate as a joint venture, partnership, trust, agency or any other business relationship. 37) Transportation: Transportation of Deliverables shall be FOB Destination; unless otherwise specified in the solicitation document or purchase order. Freight, handling, hazardous material charges, and distribution and installation charges shall be included in the total price of each item. Any additional charges shall not be honored for payment unless authorized in writing by the Purchasing State Agency. In cases where parties, other than the Vendor ship materials against this order, the shipper must be instructed to show the purchase order number on all packages and shipping manifests to ensure proper identification and payment of invoices. A complete packing list must accompany each shipment. 54-JC-11377890 Page 64 RFP # 54-JB-11377890 38) Notices: Any notices required under this Contract should be delivered to the Contract Administrator for each party. Unless otherwise specified in the Solicitation Documents, any notices shall be delivered in writing by U.S. Mail, Commercial Courier or by hand. 39) Titles and Headings: Titles and Headings in this Contract are used for convenience only and do not define, limit or proscribe the language of terms identified by such Titles and Headings. 40) Amendment: This Contract may not be amended orally or by performance. Any amendment must be made in written form and signed by duly authorized representatives of the State and Vendor in conformance with Paragraph 31) herein. 41) Taxes: The State of North Carolina is exempt from Federal excise taxes and no payment will be made for any personal property taxes levied on the Vendor or for any taxes levied on employee wages. Agencies of the State may have additional exemptions or exclusions for federal or state taxes. Evidence of such additional exemptions or exclusions may be provided to Vendor by Agencies, as applicable, during the term of this Contract. Applicable State or local sales taxes shall be invoiced as a separate item. 42) Governing Laws, Jurisdiction, and Venue: a) This Contract is made under and shall be governed and construed in accordance with the laws of the State of North Carolina. The place of this Contract or purchase order, its situs and forum, shall be Wake County, North Carolina, where all matters, whether sounding in contract or in tort, relating to its validity, construction, interpretation and enforcement shall be determined. Vendor agrees and submits, solely for matters relating to this Contract, to the jurisdiction of the courts of the State of North Carolina, and stipulates that Wake County shall be the proper venue for all matters. b) Except to the extent the provisions of the Contract are clearly inconsistent therewith, the applicable provisions of the Uniform Commercial Code as modified and adopted in North Carolina shall govern this Contract. To the extent the Contract entails both the supply of "goods" and "services," such shall be deemed "goods" within the meaning of the Uniform Commercial Code, except when deeming such services as "goods" would result in a clearly unreasonable interpretation. 43) Force Majeure: Neither party shall be deemed to be in default of its obligations hereunder if and so long as it is prevented from performing such obligations as a result of events beyond its reasonable control, including without limitation, fire, power failures, any act of war, hostile foreign action, nuclear explosion, riot, strikes or failures or refusals to perform under subcontracts, civil insurrection, earthquake, hurricane, tornado, or other catastrophic natural event or act of God. 44) Compliance with Laws: The Vendor shall comply with all laws, ordinances, codes, rules, regulations, and licensing requirements that are applicable to the conduct of its business, including those of federal, state, and local agencies having jurisdiction and/or authority. 45) Severability: In the event that a court of competent jurisdiction holds that a provision or requirement of this Contract violates any applicable law, each such provision or requirement shall be enforced only to the extent it is not in violation of law or is not otherwise unenforceable and all other provisions and requirements of this Contract shall remain in full force and effect. All promises, requirement, terms, conditions, provisions, representations, guarantees and warranties contained herein shall survive the expiration or termination date unless specifically provided otherwise herein, or unless superseded by applicable federal or State statute, including statutes of repose or limitation. 46) Federal Intellectual Property Bankruptcy Protection Act: The Parties agree that the Agency shall be entitled to all rights and benefits of the Federal Intellectual Property Bankruptcy Protection Act, Public Law 100-506, codified at 11 U.S.C. 365(n), and any amendments thereto. 47) Electronic Procurement (Applies to all contracts that include E-Procurement and are identified as such in the body of the solicitation document): Purchasing shall be conducted through the Statewide EProcurement Service. The State’s third party agent shall serve as the Supplier Manager for this EProcurement Service. The Vendor shall register for the Statewide E-Procurement Service within two (2) 54-JC-11377890 Page 65 RFP # 54-JB-11377890 business days of notification of award in order to receive an electronic purchase order resulting from award of this contract. The transaction fee below may not apply to Services. a) The successful Vendor(s) shall pay a transaction fee of 1.75% (.0175) on the total dollar amount (excluding sales taxes) of each purchase order issued through the Statewide EProcurement Service. This applies to all purchase orders, regardless of the quantity or dollar amount of the purchase order. The transaction fee shall neither be charged to nor paid by the State, or by any State approved users of the contract. The transaction fee shall not be stated or included as a separate item in the proposed contract or invoice. There are no additional fees or charges to the Vendor for the services rendered by the Supplier Manager under this contract. Vendor will receive a credit for transaction fees they paid for the purchase of any item(s) if an item(s) is returned through no fault of the Vendor. Transaction fees are non-refundable when an item is rejected and returned, or declined, due to the Vendor’s failure to perform or comply with specifications or requirements of the contract. b) Vendor, or its authorized Reseller, as applicable, will be invoiced monthly for the State’s transaction fee by the Supplier Manager. The transaction fee shall be based on purchase orders issued for the prior month. Unless Supplier Manager receives written notice from the Vendor identifying with specificity any errors in an invoice within thirty (30) days of the receipt of invoice, such invoice shall be deemed to be correct and Vendor shall have waived its right to later dispute the accuracy and completeness of the invoice. Payment of the transaction fee by the Vendor is due to the account designated by the State within thirty (30) days after receipt of the correct invoice for the transaction fee, which includes payment of all portions of an invoice not in dispute. Within thirty (30) days of the receipt of invoice, Vendor may request in writing an extension of the invoice payment due date for that portion of the transaction fee invoice for which payment of the related goods by the governmental purchasing entity has not been received by the Vendor. If payment of the transaction fee invoice is not received by the State within this payment period, it shall be considered a material breach of contract. The Supplier Manager shall provide, whenever reasonably requested by the Vendor in writing (including electronic documents), supporting documentation from the E-Procurement Service that accounts for the amount of the invoice. c) The Supplier Manager will capture the order from the State approved user, including the shipping and payment information, and submit the order in accordance with the E-Procurement Service. Subsequently, the Supplier Manager will send those orders to the appropriate Vendor on State Contract. The State or State approved user, not the Supplier Manager, shall be responsible for the solicitation, bids received, evaluation of bids received, award of contract, and the payment for goods delivered. d) Vendor agrees at all times to maintain the confidentiality of its user name and password for the Statewide E-Procurement Services. If a Vendor is a corporation, partnership or other legal entity, then the Vendor may authorize its employees to use its password. Vendor shall be responsible for all activity and all charges for such employees. Vendor agrees not to permit a third party to use the Statewide E-Procurement Services through its account. If there is a breach of security through the Vendor’s account, Vendor shall immediately change its password and notify the Supplier Manager of the security breach by e-mail. Vendor shall cooperate with the state and the Supplier Manager to mitigate and correct any security breach. 48) Electronic Procurement (Applies only to Statewide Term Contracts): Reserved. The following Terms are added, consistent with and governed by any specific provisions of this solicitation (above): 49) Personal Services: The State shall have and retain the right to obtain personal services of any individuals providing Services under this Contract. This right may be exercised at the State’s discretion 54-JC-11377890 Page 66 RFP # 54-JB-11377890 in the event of any transfer of the person providing personal Services, termination, default, merger, acquisition, bankruptcy or receivership of the Vendor to ensure continuity of Services provided under this Contract. Provided, however, that the Agency shall not retain or solicit any Vendor employee for purposes other than completion of personal services due as all or part of any performance due under this Contract. a. Vendor personnel shall perform any duties on the premises of the State during the State’s regular work days and normal work hours, except as may be specifically agreed otherwise, established in the specification, or statement of work. b. The State has and reserves the right to disapprove the continuing assignment of Vendor personnel provided by Vendor under this Contract. If this right is exercised and the Vendor is not able to replace the disapproved personnel as required by the State, the parties agree to employ best commercial efforts to informally resolve such failure equitably by adjustment of other duties, set-off, or modification to other terms that may be affected by Vendor’s failure. c. Vendor will make every reasonable effort consistent with prevailing business practices to honor the specific requests of the State regarding assignment of Vendor’s employees. Vendor reserves the sole right to determine the assignment of its employees. If one of Vendor’s employees is unable to perform due to illness, resignation, or other factors beyond Vendor’s control, Vendor will provide suitable personnel at no additional cost to the State. d. This Contract shall not prevent Vendor or any of its personnel supplied under this Contract from performing similar Services elsewhere or restrict Vendor from using the personnel provided to the State, provided that: (1) Such use does not conflict with the terms, specifications or any amendments to this Contract , or (2) Such use does not conflict with any procurement law, regulation or policy, or (3) Such use does not conflict with any non-disclosure agreement, or term thereof, by and between the State and Vendor or Vendor’s personnel. 50) Responsibilities of the State: a. The State shall provide normal office working facilities and equipment necessary for Vendor performance under this Contract. The Procuring Agency shall provide Vendor personnel with reasonable office workspace and facilities including access to a local telephone service, copy machine usage and office supplies. The Vendor shall provide Vendor personnel with any required personal computer equipment and software and shall reimburse the Procuring Agency for all long distance telephone calls charged to the Procuring Agency. b. Any special requirements in addition to the specifications may be identified in a statement of work, made in writing, and annexed to the Contract. c. The State will provide the information, data, documentation, test data, and other items or materials necessary, in its opinion, to facilitate Vendor’s performance of the Contract. d. Vendor shall provide written notice within ten days of any delay or failure of the State under (a), (b), or (c) above. 51) Unanticipated Tasks: In the event that additional work must be performed that was wholly unanticipated, and that is not specified in this Contract, but which in the opinion of both parties is necessary to the successful accomplishment of the contracted scope of work, the procedures outlined in this section will be followed. For each item of unanticipated work, Vendor shall prepare a work authorization in accordance with the State’s practices and procedures. 54-JC-11377890 Page 67 RFP # 54-JB-11377890 a) It is understood and agreed by both parties that all of the terms and conditions of this Contract shall remain in force even with the inclusion of any work authorization. A work authorization shall not constitute a Contract separate from this Contract, nor in any manner amend or supersede any of the other terms or provisions of this Contract or any amendment hereto. b) Each work authorization shall comprise a detailed statement of the purpose, objective, or goals to be undertaken by Vendor, the job classification or approximate skill level or sets of the personnel required, an identification of all significant material then known to be developed by Vendor’s personnel as a Deliverable, an identification of all significant materials to be delivered by the State to Vendor’s personnel, an estimated time schedule for the provision of the Services by Vendor, completion criteria for the work to be performed, the name or identification of Vendor’s personnel to be assigned, the Vendor’s estimated work hours required to accomplish the purpose, objective or goals, the Vendor’s billing rates and units billed, and the Vendor’s total estimated cost of the work authorization. c) All work authorizations must be in writing and submitted for review and approval by the procurement office that approved the original Contract and procurement. This submission and approval must be completed prior to execution of any work authorization documentation or performance thereunder. Once approved, all work authorizations must be signed by Vendor and the appropriate State official prior to beginning work. d) The State has the right to require Vendor to stop or suspend performance under the “Stop Work Order” provision above. e) Vendor shall not expend Personnel resources at any cost to the State in excess of the estimated work hours unless this procedure is followed: If, during performance of the work, the Vendor determines that a work authorization to be performed under this Contract cannot be accomplished within the estimated work hours, the Vendor will be required to complete the work authorization in full. Upon receipt of such notification, the State may: i.) Authorize the Vendor to expend the estimated additional work hours or service in excess of the original estimate necessary to accomplish the work authorization, or ii.) Terminate the work authorization, or iii.)Alter the scope of the work authorization in order to define tasks that can be accomplished within the remaining estimated work hours. iv.)The State will notify Vendor in writing of its election within seven (7) calendar days after receipt of the Vendor’s notification. 52) Reports: The Vendor will provide periodic status reports to the Agency Project Manager. Status reports will include at a minimum a discussion of project progress, problems encountered and recommended solutions, identification of policy or management questions, and requested project plan adjustments. 53) Project Management: All project management and coordination on behalf of each agency involved shall be through a single point of contact designated as the agency Project Manager. Vendor shall designate a Vendor Project Manager who will provide the single point of contact for management and coordination of Vendor's work. All work performed pursuant to this Contract shall be coordinated between the agency Project Manager and the Vendor Project Manager. 54) Meetings: The Vendor is required to meet with agency personnel, or designated representatives, to resolve technical or contractual problems that may occur during the term of the Contract. Meetings will occur as problems arise and will be coordinated by agency. The Vendor will be given reasonable and sufficient notice of meeting dates, times, and locations. Face to face meetings are desired. However, at 54-JC-11377890 Page 68 RFP # 54-JB-11377890 the agency Project Manager’s option and the Vendor’s expense, a conference call meeting may be substituted. Consistent failure to participate in problem resolution meetings two (2) consecutive missed or rescheduled meetings), or to make a good faith effort to resolve problems, may result in termination of the Contract. North Carolina Office of Information Technology Supplemental Terms and Conditions for Software and Services 1. Supplement: The additional terms and conditions set forth herein shall supplement the General Terms and Conditions for Goods and Related Services. In the event of a conflict between this Supplement and the General Terms and Conditions, or any other document, the order of precedence shall be determined by the State’s solicitation document(s). The access licensing and support terms, e.g., for SaaS, may differ from the provisions below and are subject to negotiation by the parties and memorialization in a BAFO. 2. License Grant: This paragraph recites the scope of license granted, if not superseded by a separate licensing agreement as follows: a) Vendor grants to the State, its Agencies and lawful customers a non-exclusive, non-transferable and non-sublicensable license to use, in object code format, Vendor’s software identified in the solicitation documents, Vendor’s Statement of Work (SOW), or an Exhibit thereto executed by the parties (“Software”), subject to the restrictions set forth therein, such as the authorized computer system, the data source type(s), the number of target instance(s) and the installation site. Use of the Software shall be limited to the data processing and computing needs of the State, its Agencies and lawful customers. This license shall be perpetual, unless terminated as provided herein. The State agrees not to distribute, sell, sublicense, or otherwise transfer copies of the Software or any portion thereof. For purposes of this Agreement, a State Entity shall be defined as any department or agency of the State of North Carolina, which is controlled by or under common control of the State or who is a lawful customer of the State pursuant to Article 3D of Chapter 147 of the General Statutes. b) Vendor shall provide all encryption or identification codes or authorizations that are necessary or proper for the operation of the licensed Software. c) The State shall have the right to copy the Software, in whole or in part, for use in conducting benchmark or acceptance tests, for business recovery and disaster recovery testing or operations, for archival or emergency purposes, for back up purposes, for use in preparing derivative works if allowed by the solicitation documents or statements of work, or to replace a worn copy. d) The State may modify non-personal Software in machine-readable form for its internal use in merging the same with other software program material. Any action hereunder shall be subject to uses described in this paragraph, the restrictions imposed by Paragraph 2, and applicable terms in the solicitation documents or statements of work. 54-JC-11377890 Page 69 RFP # 54-JB-11377890 3. Restrictions. State’s use of the Software is restricted as follows: a) The license granted herein is granted to the State and to any political subdivision or other entity permitted or authorized to procure Information Technology through the Office of Information Technology. If the License Grant and License Fees are based upon the number of Users, the number of Users may be increased at any time, subject to the restrictions on the maximum number of Users specified in the solicitation documents. b) No right is granted hereunder to use the Software to perform services for commercial third parties (so-called “service bureau” uses). Services provided to other State Departments, Agencies or political subdivisions of the State is permitted. c) The State may not copy, distribute, reproduce, use, lease, rent or allow access to the Software except as explicitly permitted under this Agreement, and State will not modify, adapt, translate, prepare derivative works (unless allowed by the solicitation documents or statements of work,) decompile, reverse engineer, disassemble or otherwise attempt to derive source code from the Software or any internal data files generated by the Software. d) State shall not remove, obscure, or alter Vendor’s copyright notice, trademarks, or other proprietary rights notices affixed to or contained within the Software. 4. Vendor’s Retained Rights: Subject only to the rights granted to State hereunder, Vendor retains all right, title and interest in and to the Software and all copies of the Software, including without limitation all modifications, enhancements, upgrades and new versions with respect to any of the foregoing, all patent rights, copyrights and trade secret rights embodying any of the foregoing, and all know-how, concepts, inventions and ideas related to the foregoing. State shall provide Vendor with access to State’s facilities, at reasonable times and upon reasonable notice, to verify State’s compliance with the terms of this Agreement. 5. Support or Maintenance Services: This paragraph recites the scope of maintenance Services due under the license granted, if not superseded by a separate licensing and maintenance agreement or as may be minimally stated in the solicitation documents as to firmware. Subject to payment of a Support Service or Maintenance Fee stated in the solicitation documents for the first year and all subsequent years, if requested by the State, Vendor agrees to provide the following support Services (“Support Services”) for the current version and one previous version of the Software commencing upon delivery of the Software: a) Error Correction: If the error conditions reported by the State pursuant to the General Terms and Conditions are not corrected in a timely manner, the State may request a replacement copy of the licensed Software from Vendor. In such event, Vendor shall then deliver a replacement copy, together with corrections and updates, of the licensed Software within 24 hours of the State’s request at no added expense to the State. 54-JC-11377890 Page 70 RFP # 54-JB-11377890 b) Other Agreement: This Paragraph 6 may be superseded by agreement provided that: Support and maintenance Services shall be fully described in a separate agreement annexed hereto and incorporated herein c) Temporary Extension of License: If any licensed Software or CPU/computing system on which the Software is installed fails to operate or malfunctions, the term of the license granted shall be temporarily extended to another CPU selected by the State and continue until the earlier of: i. Return of the inoperative CPU to full operation, or ii. Termination of the license. d) Encryption Code: Vendor shall provide any temporary encryption code or authorization necessary or proper for operation of the licensed Software under the foregoing temporary license. The State will provide notice by expedient means, whether by telephone, e-mail, or facsimile of any failure under this paragraph. On receipt of such notice, Vendor shall issue any temporary encryption code or authorization to the State within 24 hours, unless otherwise agreed. e) Updates. Vendor shall provide to the State, at no additional charge, all new releases and bug fixes (collectively referred to as “Updates”) for any Software Deliverable developed or published by Vendor and made generally available to its other customers at no additional charge. All such Updates shall be a part of the Program and Documentation and, as such, be governed by the provisions of this Contract. f) Telephone Assistance. Minimally, Vendor shall provide the State with telephone access to technical support engineers for assistance in the proper installation and use of the Software, and to report and resolve Software problems, during normal business hours, 8:00 AM - 5:00 PM Eastern Time, Monday-Friday. Vendor shall respond to the telephone requests for Program maintenance service, within four (4) hours, for calls made at any time. The type of support and maintenance program procured with the TMS solution supersedes this section. 6. Termination of Support or Maintenance: If the State fails to pay Support or Maintenance Services for the Software or choose not to pay for Support or Maintenance Services, the State may continue to use the Software pursuant to the license granted hereunder, but will not be entitled to receive routine Support Services for such Software. If the State does not subscribe or purchase Support or Maintenance Services effective with the date of this Contract, Support or Maintenance Services may be subsequently subscribed or purchased at any time during the term of this Contract by payment of Support Service or Maintenance Fees at Vendor’s then current prices. During the term of this Agreement, the State may also purchase implementation Services, consulting and training from Vendor at Vendor’s then current prices. 7. Program Retirement: Vendor retains the right to retire a version of the Program and stop providing Maintenance, Updates, or Services, upon providing 180 day written notice to the State of its intent to do so. The decision to stop maintaining a version of the Program is the sole business discretion of 54-JC-11377890 Page 71 RFP # 54-JB-11377890 Vendor and shall not be deemed a breach of contract. If Vendor retires the version of the Program provided to the State and if the State has paid all applicable annual Maintenance Fees subsequent to executing this Agreement, the State shall be entitled to receive, at no additional charge, a newer version of the Program that supports substantially the same functionality as the licensed version of the Program. Newer versions of the Program containing substantially increased functionality will be made available to the State for an additional fee. 8. Services Provided by Vendor: Vendor shall provide the State with implementation Services as provided for above in this solicitation as specified in a Statement of Work (“SOW”) executed by the parties. This Agreement in combination with each SOW individually comprises a separate and independent contractual obligation from any other SOW. A breach by Vendor under one SOW will not be considered a breach under any other SOW. The Services intended hereunder are related to the State’s implementation and/or use of one or more Software Deliverables licensed hereunder or in a separate software license agreement between the parties (“License Agreement”). 9. Payment Terms: The total License Fee and the Support Service or Maintenance Fee (provided the State subscribes or purchases such Services) for the first year shall be invoiced upon delivery of the Software. The Support Service or Maintenance Fee for subsequent contract years, if any, will be invoiced annually 60 days prior to the anniversary date beginning each subsequent year. Increases in Vendor’s Contract price for Support Services or Maintenance shall not exceed five percent (5%) per year following the first Contract year. Payment terms for software are Net 30 days after receipt of correct invoice or acceptance of software, whichever is later. Payment terms for Services are due and payable the month following the month for which charges accrue, or in accordance with the contract payment schedule. The using agency is responsible for all payments under the contract. 10. Acceptance: Acceptance testing is required for all Vendor supplied software unless provided otherwise in the solicitation documents or a Statement of Work. The State may define such processes and procedures as may be necessary or proper, in its opinion and discretion, to ensure compliance with the State’s specifications and Vendor’s technical representations. Acceptance of software or Services may be controlled by amendment hereto, or additional terms as agreed by the parties. In the event acceptance of software or Services is not described in additional contract documents, the State shall have the obligation to notify Vendor, in writing and within a reasonable time following installation of any software deliverable described in the contract if it is not acceptable. The notice shall specify in reasonable detail the reason(s) a deliverable is unacceptable. Acceptance by the State shall not be unreasonably withheld; but may be conditioned or delayed as required for installation and/or testing of software. 11. Warranty Terms: Notwithstanding anything in this Contract or Exhibit hereto to the contrary, Vendor shall assign warranties for any Deliverable supplied by a third party to the State. a) Vendor warrants that any Software or Deliverable will operate substantially in conformity with prevailing specifications as defined by the current standard documentation (except for minor defects or errors which are not material to the State) for a period of 12 (twelve months from the date of acceptance (“Warranty Period”), unless otherwise specified in the Solicitation 54-JC-11377890 Page 72 RFP # 54-JB-11377890 Documents. If the Software does not perform in accordance with such specifications during the Warranty Period, Vendor will use reasonable efforts to correct any deficiencies in the Software so that it will perform in accordance with or substantially in accordance with such specifications. b) Vendor warrants to the best of its knowledge that: i. The licensed Software and associated materials do not infringe any intellectual property rights of any third party; ii. There are no actual or threatened actions arising from, or alleged under, any intellectual property rights of any third party; iii. The licensed Software and associated materials do not contain any surreptitious programming codes, viruses, Trojan Horses, “back doors” or other means to facilitate or allow unauthorized access to the State’s information systems. iv. The licensed Software and associated materials do not contain any timer, counter, lock, or similar device (other than security features specifically approved by Customer in the Specifications) that inhibits or in any way limits the Software’s ability to operate. c) UNLESS MODIFIED BY AMENDMENT OR THE SOLICITATION DOCUMENTS, THE WARRANTIES IN THIS PARAGRAPH ARE IN LIEU OF ALL OTHER WARRANTIES, EXPRESS OR IMPLIED, OR WHETHER ARISING BY COURSE OF DEALING OR PERFORMANCE, CUSTOM, USAGE IN THE TRADE OR PROFESSION OR OTHERWISE, INCLUDING, BUT NOT LIMITED TO, IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE, AND NO OTHER REPRESENTATIONS OR WARRANTIES HAVE FORMED THE BASIS OF THE BARGAIN HEREUNDER. 12. Escrow of Code: Reserved 13. Confidentiality: Vendor shall employ security measures and standards, including encryption technologies, as may be necessary or proper, and as mutually agreed by the State and Vendor during performance of this Agreement. Vendor and its agents, if any, shall not have access to any information except as required to perform Vendor’s obligations under this Contract. 14. State Property and Intangibles Rights: The parties acknowledge and agree that the State shall own all right, title and interest in and to the copyright in any and all software, technical information, specifications, drawings, records, documentation, data and other work products first originated and prepared by the Vendor for delivery to the State (the “Deliverables”). To the extent that any Vendor Technology is contained in any of the Deliverables, the Vendor hereby grants the State a royaltyfree, fully paid, worldwide, perpetual, non-exclusive license to use such Vendor Technology in connection with the Deliverables for the State’s internal business purposes. Vendor shall not acquire any right, title, and interest in and to the copyrights for goods, any and all software, technical information, specifications, drawings, records, documentation, data or derivative works thereof, or other work products provided by the State to Vendor. The State hereby grants Vendor a royaltyfree, fully paid, worldwide, perpetual, non-exclusive license to non-confidential Deliverables first originated and prepared by the Vendor for delivery to the State. 54-JC-11377890 Page 73 RFP # 54-JB-11377890 15. License Rights: All licenses granted to either party include the right to make, have made, use, have used, import, offer to sell, sell, lease or otherwise transfer any apparatus, or practice and have practiced any method and shall include the right to grant, directly or indirectly, revocable or irrevocable sublicenses to affiliates of such party; and nothing contained in this contract shall be deemed to grant any license under any other patents or patent applications arising out of any other inventions of either party. 16. Default: If the prescribed acceptance testing stated in the Solicitation Documents or performed pursuant to Paragraph 13 of the General Terms and Conditions for Goods and Related Services is not completed successfully, the State may request substitute Software, cancel the portion of the Contract that relates to the unaccepted Software, or continue the acceptance testing with or without the assistance of Vendor. These options shall remain in effect until such time as the testing is successful or the expiration of any time specified for completion of the testing. If the testing is not completed after exercise of any of the State’s options, the State may cancel any portion of the contract related to the failed Software and take action to procure substitute software. If the failed software (or the substituted software) is an integral and critical part of the proper completion of the work for which the Deliverables identified in the solicitation documents or statement of work were acquired, the State may terminate the entire contract pursuant to the Default terms in the General Terms and Conditions. 17. Limitation of Liability for Software Deliverables: a) Where equipment is under the State’s exclusive management and control, Vendor shall not be liable for any damages caused by the State’s failure to fulfill any State responsibilities including, without limitation, those relating to assuring the proper use, management and supervision of the equipment and programs, audit controls, operating methods, office procedures or for establishing all property checkpoints necessary for the State’s intended use of the machines. b) The Vendor’s liability for damages to the State for any cause whatsoever, and regardless of the form of action, whether in contract or in tort, shall not exceed two times the value of the contract, but in no event shall the liability for damages be less than the total value of the contract. c) WITH THE EXCEPTIONS OF INTELLECTUAL PROPERTY RIGHTS INFRINGEMENT ACTIONS, THE STATE’S CONSTITUTIONAL RIGHTS AS A SOVEREIGN, AND PENALTIES IMPOSED UPON THE STATE BY ANY FEDERAL ENTITY OR EXPENDITURES OF PUBLIC FUNDS REQUIRED OR RESULTING FROM AN OPERATIONAL FAILURE OF THE DELIVERABLE(S) OR SERVICES PROVIDED HEREUNDER, BUT NOTWITHSTANDING ANY OTHER TERM TO THE CONTRARY CONTAINED IN THIS CONTRACT, NEITHER PARTY NOR THEIR RESPECTIVE AFFILIATES SHALL, UNDER ANY CIRCUMSTANCES, BE LIABLE TO THE OTHER PARTY OR ITS AFFILIATES (I) FOR ANY CLAIM BASED UPON ANY THIRD PARTY CLAIM, (II) FOR ANY CONSEQUENTIAL, INCIDENTAL OR INDIRECT DAMAGES OF ANY NATURE WHATSOEVER, INCLUDING, WITHOUT LIMITATION, LOST PROFITS, LOST SAVINGS OR OTHER ECONOMIC CONSEQUENTIAL DAMAGES, WHETHER RESULTING FROM DELAYS, LOSS OF DATA, INTERRUPTION OF SERVICE OR OTHERWISE, EVEN IF A PARTY OR ITS AFFILIATES HAVE 54-JC-11377890 Page 74 RFP # 54-JB-11377890 BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, OR (III) FOR ANY PUNITIVE OR EXEMPLARY DAMAGES OF ANY NATURE WHATSOEVER. 18. Vendor Obligations: In the event the State does not perform the State Obligations in a timely manner; Vendor may revise the applicable SOW and/or amount it is charging for Services, and present it as a Change pursuant to Paragraph 31 of the General Terms and Conditions for Goods and Related Services, or terminate this Agreement, at Vendor ’s option. For each SOW, Vendor will designate one (1) Vendor point of contact who shall be responsible for responding to the State’s questions and issues relating to the Services. The State understands and agrees that Vendor may subcontract with third parties to perform all or part of the Services in conformance with Paragraph 4 of the General Terms and Conditions for Goods and Related Services. 19. Qualified Personnel: Each party shall provide sufficient, qualified, knowledgeable personnel capable of: a) Performing obligations set forth in this Agreement and each SOW; b) Making timely decisions necessary to move the Services forward; c) Participating in the project and assisting Vendor in rendering the Services; and d) Facilitating development, testing, and implementation of Vendor software, if applicable. Vendor warrants that qualified personnel will perform the Services in a professional manner. As used in this Paragraph, “professional manner” means that the personnel performing the Services will be of a skill and competence consistent with prevailing norms of company providers in the information technology industry. 20. Vendor shall not be responsible for any alleged breach of the foregoing Paragraph 17) that is attributable to a) Misuse or modification of Vendor’s Software by or on behalf of the State, b) The State’s failure to use corrections or enhancements made available by Vendor, c) The quality or integrity of data from other automated or manual systems with which the Vendor’s Software interfaces, d) Errors in or changes to third party software or hardware implemented by the State or a third party (including the vendors of such software or hardware) that is not a subcontractor of Vendor or that is not supported by the Deliverables, or e) The operation or use of the Vendor’s Software not in accordance with the operating procedures developed for the Vendor’s Software or otherwise in a manner not contemplated by this Agreement. 54-JC-11377890 Page 75 RFP # 54-JB-11377890 21. Transportation: Transportation of software shall be FOB Destination unless delivered by internet or file transfer as agreed by the State, or otherwise specified in the solicitation document or purchase order. 54-JC-11377890 Page 76 RFP # 54-JB-11377890 Appendix A: Feature and Function List For each feature/function listed, please indicate the following: Yes: The feature or function is met within the current proposed COTS solution. Unless the solution meets the minimal requirements for features/functions, the State may declare that the bid is non-responsive. No: The feature or function is not met within the current proposed COTS Solution. Comment: Enter comment if feature/function will be met through customization or a future release of a COTS solution (indicate date feature/function will be available). Vendor responds “No” to a “required” Feature/Function without indicating ability to meet that required feature/function prior to implementation of the proposed solution will be disqualified. Points from “desired” Features/Functions will only be considered when all “required” Features/Functions are met. With the bid proposal, and for further evaluation of responsive bids, Vendor must provide documentation and discussion with reference to each ID# describing in detail how the proposed system provides the features and meets the following functionalities: Continuous - Polling REQUIRED/ DESIRED ID # FEATURE / FUNCTION CTN-PL001 The system must poll equipment from (including but not limited to): Peek ADR 3000 and ADR 6000, TIRTL Classifier, and Wavetronix HD125) Required CTN-PL002 The system must support adding new equipment to the polling process in the future Required CTN-PL003 The system must communicate using POTS and IP addressable cellular methods Required CTN-PL004 The system must download new data/files only or accept a specified date range (dependent upon the counter type) Required CTN-PL005 The system must poll counters automatically on a daily cycle Required 54-JC-11377890 YES/NO COMMENT Page 77 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED CTN-PL006 The system must automatically start polling based on time Required CTN-PL007 The system must support setting the polling start time by the user Required CTN-PL008 The system must poll counters setup in a polling list automatically Required CTN-PL009 The system must manually maintain a polling list with information required to connect and communicate with each counter (e.g. telephone number or IP address, counter type) Required The system must automatically make multiple attempts to contact a counter if the first attempt fails (e.g. 3 attempts before discontinuing) Required The system must time out an attempt to poll a counter if a connection is established but the counter becomes unresponsive once connected Required CTN-PL012 The system must save Vendor raw data files to a polling directory Required CTN-PL013 The system must generate polling status reports (e.g. did not connect/connected but did not capture/connected and captured) Required CTN-PL014 Assign stations to polling groups Desired CTN-PL015 Specify different settings for each polling group Desired CTN-PL016 Run counter status checks (if available on the equipment) Desired CTN-PL017 Auto load data from files into tables Desired CTN-PL010 CTN-PL011 54-JC-11377890 YES/NO COMMENT Page 78 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED CTN-PL018 Perform basic checks to data to validate operation of equipment Desired CTN-PL019 Generate data validation reports for data auto load Desired YES/NO COMMENT YES/NO COMMENT Table 15: Feature and Function – Continuous (Polling) Continuous – Core System REQUIRED/ DESIRED ID # FEATURE / FUNCTION CTN-CS001 The system must support Volume, Class, Speed, and Weight Data Types Required CTN-CS002 The system must use FHWA 13 Vehicle Class Scheme Required CTN-CS003 The system must use FHWA Truck Weight Data Scheme Required CTN-CS004 The system must aggregate class data and generate statistics in the NCDOT 4 class scheme Required CTN-CS005 The system must aggregate truck class data/statistics into FHWA Single Unit and Combination Unit classes Required CTN-CS006 The system must capture data using an automated method from counter generated files (currently Peek ADR 3000 and ADR 6000, TIRTL Classifier, and Wavetronix HD125) Required The Vendor must provide future support for implementing automated data capture of Vendor files for new equipment types Required The system must generate exception reports identifying data not captured Required CTN-CS007 CTN-CS008 54-JC-11377890 Page 79 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CTN-CS009 The system must track the status of data screening by station and month (e.g. not screened/in progress/under review/completed) Required Utilize FHWA Speed Bins Desired CTN-CS011 The system must apply rule based data validations that identify invalid data without flagging large amounts of valid data Required CTN-CS012 The system must apply absolute (Fail) and cautionary (Warning) rule types Required CTN-CS013 Apply both universal and station based rules and criteria Desired CTN-CS010 YES/NO COMMENT Rule Base Use NCDOT preferred rule set CTN-CS014 and allow authorized user to modify rule set http://www.ncdot.gov/projects/trafficsurvey/ Desired CTN-CS015 The system must generate reports for reviewing and reporting data Required CTN-CS016 The system must generate reports of data flagged for rule violations Required CTN-CS017 The system must support printing reports to printers and printing to PDF files Required Reports 54-JC-11377890 Page 80 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CTN-CS018 Generate monthly and annual status reports for processing, validation, and reporting of data Desired CTN-CS019 Generate reports for comparison of statistics for the current month to the same month in previous years by station Desired CTN-CS020 Generate an annual summary report of factors and statistics by station including a map, graphs, and tables Desired CTN-CS021 Generate an annual summary report of factors and statistics by group including graphs and tables Desired YES/NO COMMENT Generate preferred report types, refer to samples on CTN-CS022 http://www.ncdot.gov/projects/trafficsurvey/ Desired Graphs CTN-CS023 The system must generate data graphs for visual data screening Required CTN-CS024 The system must graph data by lane, by direction, and two way totals Required CTN-CS025 The system must move forward and backward by DOW within the graph interface and the graph will display that data without having to exit Required The system must display all days by DOW for a station for the month being screened Required CTN-CS026 54-JC-11377890 Page 81 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CTN-CS027 The system must generate graphing by year, month, Day of Week (DOW) or hour for class distribution, GVW, and steering axle weight for raw and summary data (depending on the data type) Required CTN-CS028 The system must support printing graphs to printer and printing to PDF files Required CTN-CS029 Generate graphs comparing current data to historic typical data for the same Month and DOW from previous years Desired CTN-CS030 Generate graphs for comparison of statistics for the current month to the same month in previous years by station Desired CTN-CS031 Generate graphs for comparison of statistics for the current year to previous years by station Desired The system must review individual rule based flag reports, graphs of data, and summary flag reports by station by month and/or by day as the basis for evaluating the validity of the data and identify if it is a typical or atypical pattern Required The system must record invalid, typical, and atypical screening results by station and date for each data type collected at a station Required The system must record invalid, typical, and atypical screening results for different data types for stations that collect more than one data type (e.g. code weight data for a station as invalid Required YES/NO COMMENT Screening CTN-CS032 CTN-CS033 CTN-CS034 54-JC-11377890 Page 82 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT and class data for the same station as typical) CTN-CS035 The system must revise screening results after submittals and/or statistics generation for previously screened stations Required CTN-CS036 Track holidays/weather events/activities affecting traffic regionally/statewide Desired CTN-CS037 Support recording notes on data screening findings by station by month Desired The system must support exporting valid data (typical and atypical) into FHWA Station, Volume, Class, Speed, and Weight card formats for monthly TMAS submittals Required Apply minimum data requirements (1 day of data per day of week per month) for including data for a station in the monthly TMAS submittals Desired FHWA Submittal CTN-CS038 CTN-CS039 Station Factors and Statistics CTN-CS040 CTN-CS041 54-JC-11377890 The system must generate factors and statistics used by the NCDOT by station calculated using TMG, AASHTO, ASTM, MEPDG, or NCDOT methods as specified in the NCDOT Methods document Required The system must calculate typical and combined (typical and atypical) monthly statistics by station Required Page 83 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CTN-CS042 The system must calculate typical and combined (typical and atypical) annual statistics by station Required CTN-CS043 The system must rerun statistics after revising screening results of previously screened stations Required CTN-CS044 Generate monthly statistics each month Desired CTN-CS045 Flag monthly statistics by month by station Desired CTN-CS046 Record notes on monthly statistics findings Desired CTN-CS047 Compare annual statistics for the current year to previous years by station Desired CTN-CS048 Flag annual statistics by year by station Desired CTN-CS049 Can record notes on annual statistics findings Desired YES/NO COMMENT Group Factors and Statistics CTN-CS050 The system must generate grouped factors and statistics used by the NCDOT as specified in the NCDOT Methods document Required CTN-CS051 The system must support maintaining groups for Volume (ATR) Seasonal Factors, SU Seasonal Factors, MU Seasonal Factors, and Truck Weight Groups Required CTN-CS052 The system must support manually attribute stations with a group ID for each group associated with the type of data used Required CTN-CS053 The system must support generating group statistics and factors by averaging the statistics and factors from individual stations Required 54-JC-11377890 Page 84 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT assigned to a group CTN-CS054 The system must generate statewide average statistics from all stations with data available Required CTN-CS055 The system must support documenting descriptions of the seasonal pattern and/or common attributes that define what the group represents; The system must support documenting criteria used to assign a short term count station to a group for factoring purposes and/or use of design statistics (depending on type of group) Required CTN-CS056 The system must support updating reference factor tables used for factoring short term count data Required CTN-CS057 The system must track the version of factors in the reference factor tables used for short term count factoring Required CTN-CS058 Apply statistical clustering techniques to selected statistics to generate a hierarchal listing of station clusters (from individual clusters for each station to all stations in one cluster) to minimize the amount of variability introduced with each clustering step Desired Support the export of the hierarchal listing and the amount of variability introduced with each clustering step for use in an external descriptive analysis Desired Support the export of data, factors and statistics to text, character delimited, Excel, and Access electronic formats Desired CTN-CS059 CTN-CS060 54-JC-11377890 Page 85 RFP # 54-JB-11377890 Table 16 Feature and Function – Continuous (Core) Coverage and Project – Field System REQUIRED/ DESIRED ID # FEATURE / FUNCTION CV-PJ-F-S001 The system must allow user to access field system server using cellular data communication via the Internet using a Citrix connection or direct connection to the NCDOT network (Field System Server) Required CV-PJ-F-S002 The system must support data collection for coverage and project count stations (Field Client and Field System Server) Required CV-PJ-F-S003 The system must support work for multiple years (coverage) and multiple projects concurrently (Field Client and Field System Server) Required The system must maintain count program or project ID, count data type, equipment type, interval, and duration attributes for each count station (Field Client and Field System Server) Required The system must allow user to assign or revise station attributes by selecting multiple stations and input the attribute value once (Field Client and Field System Server) Required The system must group stations by count program or project, area, data type, equipment type, assigned supervisor, assigned technician, and/or schedule (Field Client and Field System Server) Required The system must use or import spatial data from ESRI shapefiles/geodatabases for station mapping for use in scheduling, tracking, and data capture processes (Field Client Required CV-PJ-F-S004 CV-PJ-F-S005 CV-PJ-F-S006 CV-PJ-F-S007 54-JC-11377890 YES/NO COMMENT Page 86 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT and Field System Server) CV-PJ-F-S008 The system must use open source base mapping (Field Client and Field System Server) Required CV-PJ-F-S009 The system must function in an offline mode (Field Client) Required CV-PJ-F-S010 The system must support downloading map files for mapping during offline data collection (Field Client) Required CV-PJ-F-S011 The system must synchronize with the server in the background when reestablishing a connection with the Field System Server (Field Client) Required CV-PJ-F-S012 The system must allow Central office to set an activation date to groups of count stations for collection (Field System Server) Required CV-PJ-F-S013 The system must allow Central office staff to assign groups of stations by count program area or project ID, data type, or equipment type to field supervisors (Field System Server) Required The system must allow Field supervisors to assign individual or groups of count stations to field technicians and assign a scheduled due date (Field Client) Required CV-PJ-F-S015 The system must allow Field technicians to select count stations to setup weekly schedules (Field Client) Required CV-PJ-F-S016 The system must track work as it is collected (Field Client and Field System Server) Required CV-PJ-F-S014 54-JC-11377890 Page 87 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CV-PJ-F-S018 The system must capture GPS based location data for counter location data at installation locations (Field Client) Required CV-PJ-F-S019 The system must support uploading raw data files to server (Field Client and Field System Server) Required CV-PJ-F-S020 The system must support printing reports to printers and printing to PDF files both in the field and in the central office (Field Client and Field System Server) Required CV-PJ-F-S020 The system must reset a station for a recount if the count data is determined to be invalid (Field Client and Field System Server) Required CV-PJ-F-S021 The system must support viewing stations by a group assignment, data type, or schedule (Field Client and Field System Server) Required CV-PJ-F-S022 The system can add new stations in the field (Field Client and Field System Server) Required CV-PJ-F-S023 The system must support capturing data files from portable counters for volume, class, and speed count types (Field System Server) Required The system must support capturing data files from manual count boards for turning movement and manual classification count types (Field System Server) Required CV-PJ-F-S025 Perform basic data checks on uploaded data files (Field System Server) Desired CV-PJ-F-S026 Generate reports for status of work, supervisor tracking, technician schedules, and flagged data (Field Client and Field Desired CV-PJ-F-S024 54-JC-11377890 YES/NO COMMENT Page 88 RFP # 54-JB-11377890 ID # REQUIRED/ DESIRED FEATURE / FUNCTION YES/NO COMMENT System Server) CV-PJ-F-S027 Assign stations for a safety audit and suspend collection activities if safety issues are found during the safety audit (Field Client and Field System Server) Desired Table 17: Feature and Function – Coverage and Project (Field System) Coverage – Core System REQUIRED/ DESIRED ID # FEATURE / FUNCTION CV-CS001 The system must support processing and analyzing data for overlapping count years Required CV-CS002 The system must process volume, speed, and class count data collected using portable counters or manually Required CV-CS003 The system shall process binned vehicle class data formatted in FHWA 13-class scheme and NCDOT 4-class manual count scheme Required CV-CS004 The system must process GPS based and descriptive based (route/description) field location data Required CV-CS005 The system must push planned count stations to field system by area and cycle Required CV-CS006 The system must key raw daily volume counts from field sheets Required CV-CS007 The system must electronically capture data from Vendor files for multiple types of equipment in both event based and binned formats (currently Peek ADR 1000, Wavetronix HD125, Jamar Required 54-JC-11377890 YES/NO COMMENT Page 89 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT DB400) CV-CS008 Vendor must provide support to automate capture of data from new equipment when added Required CV-CS009 Process binned speed data using the FHWA speed bins Desired CV-CS010 The system must apply rule based data validations that identify invalid data without flagging large amounts of valid data Required CV-CS011 The system must validate field location data using GPS data by calculating the distance between the GPS location and the inventory location (flagged if it exceeds a specified tolerance) Required The system must validate descriptive field location data by comparing to the station inventory description (route and location) when GPS data is not available Required Rule Base CV-CS012 CV-CS013 The system must apply the NCDOT AADT trend based rule to flag trend deviations (see preferred rule set at http://www.ncdot.gov/projects/trafficsurvey/ Required CV-CS014 The system provides the ability to apply NCDOT rules for short term count data (see preferred rule set at / http://www.ncdot.gov/projects/trafficsurvey/ Desired Workflow 54-JC-11377890 Page 90 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CV-CS015 The system must assign, schedule, screen, process, analyze, and track work for coverage count data Required CV-CS016 The system must assign stations to an analysis group Required CV-CS017 The system must assign and schedule work by analysis group to a Data Technician or Data Supervisor Required CV-CS018 The system must process, screen and analyze data by analysis group Required CV-CS019 The system must track status of work (capture, screening, processing, analysis, review, publishing) by area or analysis group Required CV-CS020 The system must support editing or updating location description data in the station inventory Required CV-CS021 The system must support adding or editing station attribute data Required CV-CS022 The system must support processing data from multiple counters for a single station Required CV-CS023 The system must process short term counts and generate statistics using the factors generated from the continuous count stations Required The system must generate statistics from short term counts using the methods specified by the NCDOT - see NCDOT Methodology Section Required YES/NO COMMENT Processing CV-CS024 54-JC-11377890 Page 91 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CV-CS025 Support importing or updating station attribute data from external sources Desired CV-CS026 Process event recorder data into binned volume and binned FHWA 13-class scheme using a class algorithm input by the NCDOT Desired The system must support work with data using an electronic mapping interface for viewing stations for processing and analysis tasks Required CV-CS028 The system must support view stations by data type in the map Required CV-CS029 The system must support view stations by area or analysis group in the map YES/NO COMMENT Mapping CV-CS027 Required CV-CS030 CV-CS031 CV-CS032 54-JC-11377890 The system must support view graphs and reports of hourly and class distribution data by station by selecting a station in the map Required The system must support viewing class data and statistics in FHWA 13-class scheme, NCDOT4-class scheme, and HPMS 2class truck scheme for current and previous years by selecting a station in a map Required The system must allow users to accept or exclude data for publication by station or groups of stations interactively in the map Required Page 92 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED CV-CS033 Use open source base mapping in the mapping interface Desired CV-CS034 Allow users to view ESRI shapefiles, geodatabases, or REST map Services of LRS Arcs, functional classification, truck route, NHS, facility type, urban boundaries, HPMS Samples, and aerial photography in the map Desired Allow users to edit attribute data for multiple selected stations for the same attribute for the same input value by selecting groups of stations in the map Desired CV-CS036 Allow users to view validation flags graphically using symbology on the stations in the map Desired CV-CS037 Allow users to view an AADT data report for a station of raw count data and factored values for the current cycle and 3 previous cycles counted at a station by selecting the station in the map Desired Allow users to view a trend graph of AADT data showing the current and 3 previous cycles counted at a station by selecting the station in the map Desired Allow users to flag accepted AADT for exclusion from growth factor calculations by selecting stations in the map Desired The system must support generation of reports for processing, screening, analyzing for raw data, flags, and statistics for individual stations and generate summary reports by area or Required CV-CS035 CV-CS038 CV-CS039 YES/NO COMMENT Reporting CV-CS040 54-JC-11377890 Page 93 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT analysis group of the results of these processes CV-CS041 CV-CS042 CV-CS043 The system must support generation of reports that provide tracking of the status of collection, screening, processing, analysis, review, and publication of traffic data Required The system must support printing reports to printers of the types utilized by DOT and printing to PDF files Required Support generation of NCDOT styled reports, for samples, refer to / http://www.ncdot.gov/projects/trafficsurvey/ Desired Graphs CV-CS044 The system must support generation of graphs that display data and statistics to evaluate and accept data Required CV-CS045 The system must support printing graphs to printers and printing to PDF files Required CV-CS046 The system must support ramp balancing of freeway data using control counts, ramp counts and station inventory to generate AADT estimates Required CV-CS047 The system must support applying growth factors to previous year AADT data to generate current year estimates Required CV-CS048 The system must support export data for external applications Required CV-CS049 The system must support import data generated from external applications Required 54-JC-11377890 Page 94 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION CV-CS050 The system must support export AADT, peak hour, and class data for external publications and HPMS annual submittal Required CV-CS051 The system must support update axle factors on volume monitoring stations based on factors generated at class monitoring stations Required The system must support push published data to the Web Publication System Required CV-CS052 CV-CS053 YES/NO COMMENT Allow users to generate NCDOT styled graphs, for samples, refer to / http://www.ncdot.gov/projects/trafficsurvey/ Preferred CV-CS054 Record analysis notes by station Desired CV-CS055 Record analysis notes by area and analysis groups Desired CV-CS056 Generate area based AADT growth factors using NCDOT methodology Desired CV-CS057 Support generation of AADT by calculation using count and growth factored AADT from other stations Desired TMS - Roads & Highway (R&H) Integration TMS-RH001 TMS-RH002 54-JC-11377890 The system must support all maintenance of station and segment linear references in R&H through RCE within the TMS interface Required The system must use R&H to maintain the traffic references Required Page 95 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT using station identifiers that will link to traffic data generated in TMS The system must consume the R&H REST Services for viewing the current feature locations in the TMS mapping interface to support TMS functions Required TMS-RH004 The system must provide REST Services for GPS data for consumption in RCE Required TMS-RH005 The system must support generation of new station identifiers in TMS and provide them to RCE when generating the traffic station feature in R&H Required TMS-RH006 The system must support switching the map interface within TMS from TMS to RCE and from RCE to TMS Required TMS-RH007 When switching between TMS and RCE map interfaces, the view in the map being displayed must be automatically adjusted to the same map extent as the view of the map no longer being displayed Required TMS-RH008 The system must use station and segment references from R&H as the basis for spatial data in publications Required TMS-RH009 The system must support the following publications using R&H based spatial data: Required TMS-RH009-1 AADT and Class Data Event Tables – Supports publication to enterprise LRS event tables that provide AADT, truck AADT, and related traffic statistics Required TMAS Submittal – Supports publication of station coordinates Required TMS-RH003 TMS-RH009-2 54-JC-11377890 Page 96 RFP # 54-JB-11377890 ID # REQUIRED/ DESIRED FEATURE / FUNCTION YES/NO COMMENT YES/NO COMMENT based on R&H references for continuous count stations for upload into the FHWA TMAS data reporting system on a monthly schedule TMS-RH009-3 HPMS Submittal – LRS section event traffic data for AADT, truck AADT, and HPMS sample traffic statistics Required TMS-RH009-4 ArcGIS Online (AGOL) Publications – Publish map Services for AADT stations, AADT segments, Class stations, and Class Segments Required TMS-RH009-5 Shapefile/Geodatabase Downloads – AGOL data available for download in ESRI file formats (based on R&H references) Required TMS-RH009-6 Standard TMS Web Publishing – standard reporting features available in the Vendor’s COTS solution Required TMS-RH009-7 Spatial data provided by customers must be used for publishing project data. Required TMS-RH010 Allow users to open TMS through the Workflow Manager Extension (WMX) Desired Table 18: Feature and Function – Coverage (Core) Project – Core System ID # FEATURE / FUNCTION PJ-CS001 The system must support processing and analyzing data for a minimum of 2000 projects at the same time 54-JC-11377890 REQUIRED/ DESIRED Required Page 97 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION PJ-CS002 The system must support processing volume, speed, class, and turning movement data collected using portable counters or manually PJ-CS003 The system must support processing binned vehicle class data formatted in FHWA 13-class scheme or NCDOT 4-class manual count scheme Required PJ-CS004 The system must support processing binned speed data using the FHWA speed bins Required PJ-CS005 The system must support processing GPS based and descriptive based (route/description) location data Required PJ-CS006 Track project schedules (received, sent to field, field due date, field completion date, project due date, project completion date) Desired PJ-CS007 The system must support group stations by project ID Required PJ-CS008 The system must support assign, schedule, screen, process, analyze, and track work by Project ID Required PJ-CS009 The system must support assign and schedule work by Project ID to a Data Technician or Data Supervisor Required PJ-CS010 The system must support process, screen and analyze data by Project ID Required PJ-CS011 The system must support import or display digitized stations from ESRI shapefiles Required 54-JC-11377890 YES/NO COMMENT Required Page 98 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION PJ-CS012 The system must support attribute station points by count type, equipment type, interval, and duration Required PJ-CS013 The system must support pushing project station data to field system Required PJ-CS014 The system must support capturing key raw daily volume counts from field sheets Required PJ-CS015 The system must support electronically capturing data from Vendor files for multiple types of equipment in both event based and binned formats (currently Peek ADR 1000, Wavetronix HD125, Jamar DB400) Required The system must provide support to automate capture of data from new equipment when added. Able to provide support to automate capture of data from new equipment when added Required PJ-CS017 The system must apply rule based data validations that identify invalid data without flagging large amounts of valid data Required PJ-CS018 The system must validate field location data using GPS data by calculating the distance between the GPS location and the inventory location (flagged if it exceeds a specified tolerance) Required The system must validate descriptive field location data by comparing to the station inventory description (route and location) when GPS data is not available Required PJ-CS016 YES/NO COMMENT Rule Base PJ-CS019 54-JC-11377890 Page 99 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT Apply NCDOT preferred rules, refer to PJ-CS020 http://www.ncdot.gov/projects/trafficsurvey/ Preferred Processing Required PJ-CS021 The system must allow edit or update location description data in the project station inventory PJ-CS022 The system must allow add or edit station attribute data Required PJ-CS023 The system must allow event recorder data into binned volume and binned FHWA 13-class scheme using a class algorithm input by the NCDOT Required PJ-CS024 The system must support processing of data from multiple counters for a single station Required PJ-CS025 The system must support processing of short term counts and generate statistics using the factors generated from the continuous count stations Required The system must allow generation of statistics from short term counts using the methods specified by the NCDOT. Refer to NCDOT Traffic Monitoring System Statistics Generation Methodology. Required The system must process hourly volume data to generate distribution of average weekday volume by hour Required PJ-CS026 PJ-CS027 54-JC-11377890 Page 100 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT Mapping The system must provide an electronic mapping interface for viewing stations for processing, screening, analysis, and reviewing tasks Required The system must allow user to view ESRI shapefiles or geodatabases or REST map Services of functional classification, truck route, urban boundaries, published traffic data, and aerial photography in the map Required The system must allow adding or editing station points in the map Required The system must allow editing attribute data for multiple selected stations for the same attribute for the same input value by selecting groups of stations in the map Required PJ-CS032 The system must allow viewing stations by data type in the map Required PJ-CS033 The system must allow viewing stations by Project ID in the map Required PJ-CS034 The system must allow viewing GPS based field location data in the map to validate counter was installed at the correct location Required PJ-CS035 The system must allow user to view graphs and reports of hourly and class distribution data by station by selecting a station in the map Required The system must allow user to view class data and statistics in FHWA 13-class scheme, NCDOT 4-class scheme, and HPMS 2- Required PJ-CS028 PJ-CS029 PJ-CS030 PJ-CS031 PJ-CS036 54-JC-11377890 Page 101 RFP # 54-JB-11377890 ID # FEATURE / FUNCTION REQUIRED/ DESIRED YES/NO COMMENT class truck scheme for current and previous years by selecting a station in the map The system must allow user to accept or exclude data for publication by station or groups of stations interactively in the map Required The system must track the status of capture, processing, and analysis of data by station, count type, or project ID on the map Required PJ-CS039 The system must track the status of supervisor review of analyzed data by station, count type, or project ID on the map Required PJ-CS040 Use open source base mapping in the mapping interface Desired PJ-CS041 Allow users to view validation flags graphically using symbology on the stations in the map Desired The system must allow generation of reports for processing, screening, analyzing for raw data, flags, and statistics for individual stations and generate summary reports by area or analysis group of the results of these processes Required The system must allow generation of reports that provide tracking of the status of collection, screening, processing, analysis, review, and publication of traffic data by Project ID Required The system must support printing of reports to printers and printing to PDF files Required PJ-CS037 PJ-CS038 Reporting PJ-CS042 PJ-CS043 PJ-CS044 54-JC-11377890 Page 102 RFP # 54-JB-11377890 ID # PJ-CS045 REQUIRED/ DESIRED FEATURE / FUNCTION YES/NO COMMENT Able to generate NCDOT styled reports, refer the link below for samples http://www.ncdot.gov/projects/trafficsurvey/ Desired Graphs PJ-CS046 The system must generate graphs that display data and statistics to evaluate and accept data Required PJ-CS047 The system must support printing graphs to printers and printing to PDF files Required PJ-CS048 The system must support export project data and statistics for direct delivery to requester Required PJ-CS049 The system can push published data to Web Publication System Required samples at PJ-CS050 http://www.ncdot.gov/projects/trafficsurvey/ Desired PJ-CS051 Support the transfer of data from project station for use at coverage station Desired Table 19: Feature and Function – Project (Core) 54-JC-11377890 Page 103 RFP # 54-JB-11377890 Web-based Publication REQUIRED/ DESIRED ID # FEATURE / FUNCTION WB-PB001 The solution must provide a Web based system capable of providing access to the public Required WB-PB002 The solution must provide a map based interface for display and selection of objects Required WB-PB003 The system must publish continuous, coverage, and project count data Required WB-PB004 The system must provide reports for volume, speed, class, weight and turning movement data Required WB-PB005 Class reports must include FHWA 13-class scheme, NCDOT 4class scheme, HPMS 2-class truck scheme, NCDOT MEPDG pavement design inputs, and peak hour statistics Required YES/NO COMMENT The system must support the display of NCDOT station and segmented traffic data published using REST map Services at WB-PB006 http://ncdot.maps.arcgis.com/home/group.html?owner=NCDOT .GOV&title=NCDOT%20Services Required WB-PB007 WB-PB008 54-JC-11377890 The system must allow the display of other NCDOT data published using REST map Services at http://ncdot.maps.arcgis.com/home/group.html?owner=NCDOT .GOV&title=NCDOT%20Services Required The system must generate all published data sets in TMS Required Page 104 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION WB-PB009 The system must support publication of project data for completed project counts on station points using spatial data provided by the customer (not maintained in R&H) published to TMS Web Publishing Required The system must support an iterative HPMS Submittal where a version of the data set will be submitted, reviewed in the HPMS software, data revised in R&H to resolve flags, and resubmitted Required The Web Publishing System in TMS shall be use the AGOL map Services for providing that data through the TMS Web Publishing interface Required WB-PB012 The system must provide an administrative level function to manage what is published in the system Required WB-PB013 The public must be restricted from accessing unpublished data Required WB-PB014 The system must provide an administrator the authority to manage the transfer of data from the continuous, coverage, and project areas of the Core System Required WB-PB015 The system must allow an administrator functionality to publish, correct, and retract published data Required WB-PB016 The system must allow the administrator to format display, symbology, and labeling of unpublished and published data Required WB-PB017 The system must allow an administrator the ability to publish traffic metadata in PDF file format Required WB-PB010 WB-PB011 YES/NO COMMENT Administration 54-JC-11377890 Page 105 RFP # 54-JB-11377890 REQUIRED/ DESIRED ID # FEATURE / FUNCTION WB-PB018 The system must allow an administrator to publish information about NCDOT TMS processes in PDF file format Required WB-PB019 The system must Display data at stations on a map and select stations to open standardized reports Required WB-PB020 The system must allow users to turn on/off data layers Required WB-PB021 The system must allow users to select multiple objects for export Required WB-PB022 The system must export data based on selected stations Required WB-PB023 The system must support printing reports and maps to printers and printing to PDF files Required WB-PB024 Standardized reports including a map, summary statistics, and graphs Desired WB-PB025 Use open source base mapping Desired WB-PB026 Export selected objects in shapefile/geodatabase formats Desired WB-PB027 Allow Project Requestor to view project data before the project data is published to the public Desired WB-PB028 Display data for individual projects (using project ID) Desired WB-PB029 Export data for individual project (using project ID) Desired WB-PB030 Support the search for traffic data available for a specific route in a specific county as input by the user Desired WB-PB031 Support running a query and highlight stations using YES/NO COMMENT General 54-JC-11377890 Desired Page 106 RFP # 54-JB-11377890 ID # REQUIRED/ DESIRED FEATURE / FUNCTION YES/NO COMMENT standardized queries for volume and class data by area (e.g. AADT > 50,000 in Wake County) WB-PB032 Generate standardized query based reports (e.g. Top 10 AADT Volumes by Route by Area) Desired WB-PB033 Support zooming to a location based on an address input by the user Desired WB-PB034 Provide Help and FAQ function to explain how to use the interface Desired WB-PB035 Print a map as setup by the user Desired WB-PB036 Print an AADT station map as setup by NCDOT based on an extent selected by the user Desired WB-PB037 Email a link to a customer that opens a specific report and/or a specific map extent/configuration in the system Desired Table 20: Feature and Function – Web Publication 54-JC-11377890 Page 107 RFP # 54-JB-11377890 Appendix B: FHWA and NCDOT Class Scheme Comparison NCDOT uses a modified FHWA Vehicle Type classification scheme, specified by the Office of Highway Policy Information, to band vehicles for according to the types outlined in the table below. FHWA VEHICLE CLASSIFICATION NCDOT CLASS SCHEME 1. Motorcycles 2. Passenger Cars Passenger Vehicles 3. Other Two-Axle, Four-Tire Single Unit Vehicles 4. Buses 5. Two-Axle, Six-Tire, Single-Unit Trucks 6. Three-Axle Single-Unit Trucks Duals 7. Four or More Axle Single-Unit Trucks 8. Four or Fewer Axle Single-Trailer Trucks 9. Five-Axle Single-Trailer Trucks Truck and Tractor with Semi-Trailer 10. Six or More Axle Single-Trailer Trucks 11. Five or Fewer Axle Multi-Trailer Trucks 12. Six-Axle Multi-Trailer Trucks Twins 13. Seven or More Axle Multi-Trailer Trucks Table 21: FHWA and NCDOT Vehicle Class Scheme Comparison Additional details and examples regarding the federally defined vehicle types may be found at the following location: http://www.fhwa.dot.gov/policy/ohpi/vehclass.htm. 54-JC-11377890 Page 108 RFP # 54-JB-11377890 Appendix C: Glossary and Acronyms Glossary Annual Average Daily Traffic (AADT) – The AADT identifies the average volume of traffic for a one day (24 hour period) during a data reporting year. Annual Average Daily Truck Traffic (AADTT) – The Annual Average Daily Truck Traffic identifies the volume of truck traffic for a one day (24 hour period) during a data reporting year. ATR Site – The location of an automated traffic recorder (permanent station) used for collecting traffic volume data, now use the term CCS. Axle Factor – Axle correction factors can be applied at either the point or system level. That is, axle correction factors can be developed either from specific vehicle classification counts at specific locations, or from a combination of vehicle classification counts averaged together to represent an entire system of roads. Axle Weight – The weight placed on the road by all wheels of one axle (Oregon DOT). Continuous Count Station (CCS) – Volume counts derived from permanent counters (ATRs), for a period of 24-hours each day over 365 days for the data reporting year. Coverage Count – Special temporary count taken on a 24-48 hour basis for a specific segment of road, usually associated with HPMS sections. Extent – Spatial coverage for which the data are to be reported: functional system, NHS, Sample, paved etc. FHWA – Federal Highway Administration Metadata – Describes how data are collected or converted for reporting; explains variations in data that do not warrant the establishment of a collection requirement (e.g., type of equipment used, sampling frequency etc.) Monthly Average Daily Traffic – For a CCS site that operates 365 days per year without failure, the MADT can be computed by adding the daily volumes during any given month and dividing by the number of days in the month. National Highway System (NHS) – The NCS is a network of nationally significant highways approved by Congress in the NHS Designation Act of 1995 and redefined by MAP-21. It includes the Interstate System, other roads, and connectors to major intermodal terminals. Sample Panel (HPMS) – A collection of designated roadway sections within a system of public roads that is stable over time and is used to estimate attributes for the entire system. Travel Monitoring Analysis System (TMAS) – the FHWA-provided online software used by States, MPO’s and cities to submit data for Federal purposes. 54-JC-11377890 Page 109 RFP # 54-JB-11377890 Vehicle – Assembly of one or more units coupled for travel on a highway; vehicles include one powered unit and may include one or more unpowered full-trailer, or semi-trailer units. Vehicle Axle – The axis oriented transversely to the nominal direction of vehicle motion, and extending the full width of the vehicle, that the wheel(s) at both ends rotate. Vehicle Axle Spacing – For each vehicle axle, the horizontal distance between the center of that axle and that of the preceding axle; the axle spacing for the vehicle’s front axles is assumed to be zero. Vehicle Class – The FHWA vehicle typology separates vehicles into categories, or classes, depending on whether they carry passengers or commodities. There are 13 vehicle classes identified by FHWA, as listed in Appendix B. Vehicle Counts – The activity of measuring and recording traffic characteristics such as vehicle volume, classification, speed, weight, or a combination of these characteristics. Vehicle Length – Overall length of a vehicle measured from the front bumper to the rear bumper. Vehicle Miles Traveled (VMT) – Vehicle miles traveled indicates how many vehicles have traveled over the distance of a route, for a data reporting year, when reported as Annual VMT. (VMT=DVMT x 365) Vehicle Speed – Measure of how fast a vehicle is traveling in kilometers/hour or miles/hour. Weigh In Motion (WIM) – A measure of the vertical forces applied by axles to sensors in the roadway. This is used to measure the weight carried by trucks to determine the appropriate depth for pavement sections. Acronyms AADT Annual Average Daily Traffic AADTT Annual Average Daily Truck Traffic AASHTO American Association of State Highway and Transportation Officials AAWDT Annual Average Weekday Traffic ADMS Archived Data Management System AJAX Asynchronous JavaScript and XML ASTM American Society for Testing and Materials ATR Automated Traffic Recorder CCS Continuous Count Station DOW Day of Week ESRI Environmental Systems Research Institute, Inc. 54-JC-11377890 Page 110 RFP # 54-JB-11377890 FHWA Federal Highway Administration GIS Geographic Information System GPS Global Positioning System HPMS Highway Performance Monitoring System HTML Hypertext Markup Language ITS Intelligent Transportation System JSON JavaScript Object Notation LRS Linear Referencing System MADT Monthly Average Daily Traffic MAF Monthly Adjustment Factor MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) MAWDT Monthly Average Weekday Daily Traffic MAWDTT Monthly Average Weekday Daily Truck Traffic MAWET Monthly Average Weekend Daily Traffic MOY Month of Year MPO Metropolitan Planning Organization NCID North Carolina Identity Management NEPA National Environmental Policy Act NHPN National Highway Planning Network NHS National Highway System NIT National Institute of Technology OFE Other Freeways and Expressways REST Representational State Transfer RCE Road Characteristic Editor TMAS Travel Monitoring Analysis System TMG Traffic Monitoring Guide 54-JC-11377890 Page 111 RFP # 54-JB-11377890 WIM 54-JC-11377890 Weigh-in-Motion Page 112 RFP # 54-JB-11377890 Appendix D: Cost Form These Forms must be adapted to the specifics of the proposed solution. E.g., a SaaS solution will probably have different cost components. Vendor Name: _______________________________________________ Implementation Costs: (Itemized list(s) attached by Vendor) Licensing* Software * Hardware * Services * Total Cost * Vendor hourly cost rate: $_______________ On-going Operating and Maintenance Costs: Year 1 Licensing Included in above Software Maintenance Included in above Hardware Maintenance Included in above Services Included in above Other (Itemize Included in above Total Not Applicable 54-JC-11377890 Year 2 Year 3 Year 4 Year 5 Page 113
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