SGS MA_Final_Part7.pdf

Commonwealth of Massachusetts

Vehicle Inspection and Maintenance Program

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-264 April 7, 2016

The Risk Manager will coordinate with all involved at this point in the Risk Analysis process.

It is possible that the POC could change or that re-work of the analysis is required. All communication will be handled through the Risk Manager.

Periodic updates are required for risks that are currently in the database and not retired. The

Risk Manager will periodically distribute these risks for updates by the POC and/or the responsible person named in the next uncompleted step in the mitigation plan. These risks are updated and distributed to the RMT for any comments or questions. Additionally, these risks are reviewed at RMT meetings for any additional updates that may have occurred.

The RMT may also decide that the risk is sensitive or confidential and consult with appropriate legal assistance on the wording of the risk.

The RMT also has the responsibility of ranking risks relative to each other. Risks are reviewed and compared with other risks, and in combination with other risks. The RMT may also adjust resource assignments, action plans, or other project priorities to ensure that risks are adequately addressed. Any changes to risks during this process are captured by the Risk Manager in order to update any required changes in the Risk Database.

After updating the Risk Database, the Risk Manager will work with the Agencies’ Project

Manager to update the current work plan with the tasks defined in the RRP.

Implementation of Risk Response/Contingency Plan 10.6.5.7

Plan implementation is the act of executing the decisions made and documented in the RRP and/or Contingency Plan. Risk Response and Contingency Plans are tied to a trigger event and executed upon that event’s occurrence, or are implemented immediately.

10.6.5.7.1 Monitor Trigger Events

The Risk Owner has the primary responsibility for monitoring the trigger events associated with the risk response/contingency actions. The Risk Manager assists with tracking triggers as part of any status reviews.

10.6.5.7.2 Execute Risk Response Plan

When the trigger event occurs or is imminent, the Risk Owner initiates the RRP and immediately notifies the Risk Manager of the plan execution. The Risk Manager immediately notifies the RMT. The Risk Owner notifies all parties identified in the RRP and ensures all activities are coordinated. The Risk Owner also takes the specific measurements to determine the

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Technical Response 10-265 April 7, 2016 effectiveness of the activities. If it appears the activities are not producing the desired effect, the

Risk Owner notifies the Risk Manager immediately and proposes changes to address the deficiencies.

10.6.5.7.3 Execute Contingency Plan

When a risk event occurs, in spite of any mitigating actions taken to prevent or lessen its impact, the Risk Owner initiates the Contingency Plan and immediately notifies the Risk

Manager of the plan execution. The Risk Manager immediately notifies the RMT. The Risk

Owner notifies all parties identified in the Contingency Plan and ensures all activities are coordinated. The Risk Owner also takes the specific measurements to determine the effectiveness of the activities. If it appears the activities are not producing the desired effect, the

Risk Owner notifies the Risk Manager immediately and proposes changes to address the deficiencies.

10.6.5.7.4 Update Risk Database with Risk Response Plan Status

The Risk Owner provides status updates to the Risk Manager. The Risk Manager updates the risk response database to reflect the actions being taken (e.g., actual date of trigger event, etc.).

In some cases, the actions also may be tracked in the project work plan to ensure appropriate visibility. Action plan activities and their effectiveness are monitored in the regularly scheduled

RMT meetings.

Risk Monitoring 10.6.5.8

10.6.5.8.1 Process

Risk monitoring systematically tracks and evaluates the performance of risk-response actions.

It is part of the Project Manager’s function and responsibility. The process compares predicted results of planned actions with the results actually achieved to determine status and the need for any change in risk response actions. When changes to the risk profile occur, the basic cycle of identify, analyze and plan is repeated. Additionally, Risk Response and Contingency Plans that are in execution phase may be modified to change the approach if the desired effect is not being achieved.

To ensure that significant risks are effectively monitored, risk-response actions will be reflected in the work plan. The detailed information on risk-response actions and events will be included in the Risk Database for each identified risk.

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-266 April 7, 2016

10.6.5.8.2 Procedures

At a minimum, teams will participate in risk assessments and identify new risks to the Risk

Manager using the Risk Identification Form. The Risk Manager will enter these risks into the

Risk Database (and rank them monthly and at the end of a reassessment meeting). The Risk

Manager will track these risks with inputs from the risk owners until they are retired. Ownership of a risk means implementing the response plans and providing periodic status of the risk and of the response plans/mitigation steps. Ownership also includes monitoring risks that are on the watch list in addition to those with mitigation actions. Risk will be made an agenda item at the weekly status meetings, providing an opportunity for all concerned to offer suggestions for changes to the Risk Management Plan.

The status of the risks and the effectiveness of the risk-response actions will be reported to the

Risk Manager:

Upon request of the Risk Manager

When the owner determines that there has been a change in status of a risk

When the Risk Manager updates the Risk Database and reports changes in status at the weekly status meeting

Communication is another critical aspect of the risk management process that must occur at every step of the process among the project team, project stakeholders, and contractor team.

Risk Management Information System and Documentation 10.6.6

The Program will use a Risk Database. The system will contain all the information necessary to satisfy the program documentation and reporting requirements.

Risk Management Database 10.6.6.1

The Risk Management Database (RMD) stores and allows retrieval of risk-related data. It provides data for creating reports and serves as the repository for all current and historical information related to risk. This information will support the creation of risk-related reports. The

Project Manager will use the data from the RMD to create reports for management and retrieve data for day-to-day management of the program. The program produces a standard set of reports for periodic reporting.

After the initial assessment (or re-assessment) has been completed, the Risk Manager enters data into the Risk Database using the Risk Identification Form. This form gives members of the project team a standard form for reporting risk related information. The form should be used

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Technical Response 10-267 April 7, 2016 when a potential risk event is identified and will be updated as information becomes available as the assessment, response, and monitoring functions are executed.

Risk Documentation 10.6.6.2

All program risk management information will be documented using the Risk Identification

Form as the standard RMD data entry form.

Current reports from the risk database can be requested at any time to view the current assessment, ranking, status, and response activities for all Program risks. Reports may be requested through the Risk Manager.

Reports 10.6.6.3

Reports are used to convey information to decision makers and team members on the status of the program and the effectiveness of the risk management process. Every effort will be made to limit reports to the standard reports available in the Risk Database.

10.6.6.3.1 Standard reports

The RMD will have a set of standard reports. If additional reports are needed then report requests need to be submitted through the Risk Manager in order to get them created. Access to the reporting system will be controlled through the Risk Manager.

The standard Risk Database reports are:

Detailed Reports

Risks by Rank

Risks by Risk Identification (ID)

Retired Risks

Summary reports

Risks by Rank

Risks by Risk ID

Risks by Title

Retired Risks

Risk Communications 10.6.6.4

Communications regarding risks are continuous throughout the project’s life cycle both through verbal and written reports. As identified in Sections 10.6.1.4 References and 10.6.6.2

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Technical Response 10-268 April 7, 2016

Risk Documentation, reports from the Risk Database are available for review by requesting them through the Risk Manager.

10.6.6.4.1 Risk Management Team (RMT) Meetings

The RMT meeting schedule will vary over the life cycle of the project. On initial implementation of this risk management process, the RMT will meet monthly, or as needed. The

RMT will decide when it is appropriate to reduce/increase the frequency of the RMT meeting and the appropriate meeting schedule.

The Risk Manager will produce current risk status reports using Risk Database for distribution at each meeting.

At each meeting, the Risk Manager will:

Facilitate the meeting

Advise the RMT of any changes reported to risk status or profile

Review any upcoming due dates related to risk management activities that have been or are likely to be missed

Present any new risks for validation by the RMT

Provide for a presentation of any newly completed risk analyses

Provide for a presentation of any newly completed Risk Response or Contingency Plans

A note taker will be present at each meeting to take meeting minutes and to document all decisions and follow-up items.

At each meeting, the RMT will:

Resolve any issues related to risk management activities

Assess candidate risks for validity

Assign Risk Owners

Direct Risk Owners to perform analysis of assigned risks

Review analyses of risks presented by Risk Owners

Determine risk management priorities

Select appropriate risk response strategies

Direct Risk Owners to develop Risk Response and/or Contingency Plans

Review Risk Response and/or Contingency Plans and accept or request additional work

Review all changes in status or profile of risks

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Technical Response 10-269 April 7, 2016

Review all “high” risks

At least once a month, the RMT will briefly review status of each active risk in the Risk

Database and decide whether any changes to current plans are appropriate

10.6.6.4.2 Project Core Team Meetings

The Risk Manager will solicit ideas from the team regarding potential new risks at each Core

Team Meeting. Approximately once per month, the Risk Manager will briefly review the current list of open risks with the Core Team and will brief the team on the status of key risks. The Risk

Manager will not solicit status information on risks in a team setting. Communication of status information will be provided between the Risk Manager and Risk Owners directly.

10.6.6.4.3 Updates on Risk Status and Profile

Updates on risk status and profile must be provided to the Risk Manager on both a regularly scheduled and as-needed basis as follows:

1. Five days prior to each RMT meeting, the Risk Manager will solicit updates from the

Risk Owners and update the Risk Database as needed. Refer to Section 10.6.6.4.1 Risk

Management Team (RMT) Meetings for details regarding frequency of RMT meetings.

2. All Risk Owners are responsible for immediately notifying the Risk Manager if:

A risk event occurs or a risk trigger is detected

Any significant change to the profile (probability, impact, timeframe/horizon) of a risk is detected

The Risk Manager will update the Risk Database and notify the RMT.

10.6.6.4.4 Report Lessons Learned on Risks

The Risk Manager documents the results of risk actions (whether successful or unsuccessful) and lessons learned in the risk database. When a project is closed or shutdown, the Risk Manager leads a final risk review to document the final status and results of mitigation and contingency actions, and identify lessons learned during the project.

10.6.6.4.5 Escalate Risks

The Project Manager is responsible for escalating risks that cannot be handled at the project level. Such risks will be escalated to the appropriate Agencies’ staff level.

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-270 April 7, 2016

10.6.6.4.6 Notify Agencies of Risks

The SGS Project Manager is responsible for reporting of risks and risk management activities to the Agencies’ Project Manager.

Risk Identification Form 10.6.7

Risk Title (Short Title for the Risk)

Risk Description (If this occurs, then that will happen)

If [identify the risk event] then [describe the consequences or impact to the project]

Risk Background (A description of why this is considered to be a project risk, the likelihood of occurrence, and what will happen if the risk occurs)

Risk Source Person (Name of Risk Originator)

Risk Identification Date (Date risk was first identified)

Risk Source (How risk was discovered)

Plan/ Schedule Organization and

Management

Development

Environment

User

Involvement

Contractor

Performance

Requirements

Management

Product

Characteristics

External

Environment

Personnel Design and

Implementation

Management

Processes

Other

Examples of Risk Response Strategies and Plans 10.6.8

Risk Root Cause Strategy Response Plan

1. XXX may be technically infeasible to implement.

1) The requirements for XXX were not explained in detail in the SOW.

2) The functionality as now defined cannot be developed using the software planned for this project. It has been determined that an additional software product is required. 3) There are limited technical staff with knowledge of the software product needed. 4) It is unlikely the contractor can acquire the services of one of them.

Avoidance 1) Develop a change request to eliminate the requirement for XXX. 2)

Bank the resource savings to use to fund unanticipated future requirements.

2. Data conversion may be more complex than

1) A Data dictionary was not maintained. 2) Staff with unwritten

Mitigation (Take

Action)

1) Schedule data analysis and data conversion plan

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Technical Response 10-271 April 7, 2016

Risk Root Cause Strategy Response Plan originally planned. institutional knowledge have retired or otherwise left the organization. 2)

Data element values have evolved over time. 3) Database includes some obsolete data element values, as data was not always properly converted to reflect changing values.

earlier in project plan. 2)

Apply additional resources with institutional knowledge (possibly a retired employee) to data analysis to improve quality of plan. 3) Begin data cleansing task earlier in project plan to allow additional time to address problems encountered.

Apply additional resources to data cleansing task.

3. Resource requirements to support data conversion may be more than planned.

(See #2 above) Mitigation (Use

Reserve)

1) Utilize contingency reserve.

4. Contractor may fail to meet necessary implementation date.

(Risk during Project

Initiation/Planning

Stage)

1) Contractor may encounter staff turnover at a higher rate than anticipated. 2) Contractor may not have adequately trained staff; 3)

Contractor may have underestimated the level of effort required to complete the work

Transference Include adequate performance bond/insurance to cover all additional costs that will be incurred if this risk occurs.

5. Contractor may fail to meet necessary implementation date.

(Risk during Project

Execution)

1) Contractor’s efforts to staff up for project proceeded slower than planned. 2) Contractor’s Work Plan was delivered late. 3) The quality of the Contractor’s early deliverables was poor and significant rework was required. 4) Contractor may have underestimated the level of effort required to complete the work

Acceptance

(Active)

1) Closely monitor

Contractor’s progress against Work Plan and major <Project

Name>tones for early identification of potential slippage. 2) Make

“go”/”no go” decision after reviewing System Test results. 3) Take necessary actions to secure any additional needed funding.

6. New legislation may force changes to requirements.

Legislature has latitude to change whatever it wants with no consideration to impact on information systems in the Agencies and Departments.

Acceptance

(Passive)

Do not expend resources on Risk Response Plan until a legislative change impacting the project occurs and an appropriate plan can be developed.

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Technical Response 10-272 April 7, 2016

10.7 EXISTING IT AGREEMENTS AND RELATED DOCUMENTATION

The following represents our proposed submission policies for software license and maintenance agreements, nondisclosure, privacy policies, data management policies, technical support descriptions, maintenance descriptions or other boilerplate agreements for products and services included in our proposed solution.

Please note the following:

Currently we have no applicable existing Software as a Service (SaaS) or Platform as a

Service (PaaS) subscriptions.

The following content may be copied and edited. Upon request, we will provide MS-

Word source to facilitate edit of the following content.

Configuration Management 10.7.1

SGS Testcom, Inc. (SGS) shall maintain an inventory of all software licenses and any pertinent information permissible by the software licensing agreement regarding the licenses in the asset tracking tool.

Software Warranty Support Services 10.7.2

SGS shall maintain warranty support services on the Massachusetts Department of

Environmental Protection (MassDEP) and the Massachusetts Department of Transportation’s

Registry of Motor Vehicles Division (Mass DOT/RMV) (collectively called the “Agencies”)

Vehicle Emissions and Safety Program (“the Program”) software developed by SGS throughout the life of the contract including any extensions.

Software and Operating Systems Services and Maintenance 10.7.3

1. SGS shall maintain maintenance agreements for all hardware, equipment, software, and support services that are sufficient to ensure all programs and services identified within this contract will be sustained, for the life of the contract and any extensions unless already provided by the Agencies.

2. SGS shall identify and document all system hardware and software by the date specified within the deployment plan and will maintain up-to-date documentation on all system components and software.

3. SGS shall be responsible for maintaining all system hardware and software throughout the life of the contract.

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-273 April 7, 2016

4. SGS shall ensure the Agencies’ right of approval of operational and maintenance plans to the extent that they affect its ability to function and prior approval of changes in the operating system, Relational Database Management System (RDBMS) software, client software and development tools.

System Licensing 10.7.4

1. SGS shall own jointly, where allowed by the Licensor, with the Agencies all client software licenses (purchased by SGS for this system) and shall transfer, where allowed by the Licensor, all initial and future (upgraded) client software licenses, media and software documentation to the Agencies and provide the Agencies, where allowed by the Licensor, with full access to software vendor support help lines and user groups. Where software vendor support is not available to the Agencies, SGS will request the software vendor support on behalf of the

Agencies via a request to our Help Desk.

2. SGS shall transfer, where allowed by the Licensor, all initial and future (upgraded) software development licenses, media and software documentation to the Agencies of Massachusetts and provide the Agencies, where allowed by the Licensor, with full access to software vendor support help lines and user groups. Software licenses whose ownership cannot be transferred to the State will be identified by SGS in the Massachusetts Vehicle Emissions and Safety

Program SOW.

3. SGS shall include the purchase, maintenance and updates for equipment, software and licenses to be used by SGS personnel housed at the Agencies.

4. SGS shall maintain clear and accurate on-line and/or written documentation of software license ownership and the assignment of those licenses.

5. All licenses will be held by SGS for the life of the contract. At contract termination or completion, we will transfer the licenses to the Agencies along with full access to software vendor support help lines and user groups.

Contract Transition 10.7.5

1. SGS shall provide electronic copies of the Program software help web pages and all of the associated components to the Agencies.

2. SGS shall transition ownership of all components (hardware, software, network, data center leases, documentation, other, etc.) that comprise the Program in advance of the termination or

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-274 April 7, 2016 expiration of the Agreement. Components that will not be transitioned to the Agencies are as follows:

A. Station Invoicing Software custom-built by SGS

B. JIRA Software, or its replacement, used for change management purposes

C. HEAT Software FrontRange IVR (Interactive Voice Response) System, or its replacement, used for incoming customer service helpdesk call routing

D. HEAT Software FrontRange Solutions HEAT customer service desk ticketing system software and associated Structured Query Language (SQL)/Server database, or its replacement, used for helpdesk ticket management purposes

E. SmartBear CodeCollaborator Software, or its replacement, used for code review purposes

F. Microsoft SharePoint Software, or its replacement, used for document management purposes

G. Revision control system software packages including CVS, subversion, hg/mercurial, git, and artifactory, or their replacements, used for revision control of documents, source code, and binary files

H. Open source software obtainable without charge after accepting the appropriate licensing agreement. Open source licensing agreements are typically non-transferable.

Rights in Software and Applications 10.7.6

1. SGS hereby grants at no additional charge to the Agencies, a royalty-free, non-exclusive, non-transferable, license, in perpetuity to use the source code, software and application programs developed by or for SGS for use in the Program.

2. SGS grants the Agencies a perpetual license to use the full Program software, including all software and database schema associated with the system. The Agencies shall have the unlimited right to use, modify, or incorporate any and all software and database schema developed in conjunction with the Program in any future Electronic Transmission or

Emissions Inspection System specification for use solely by the Agencies, whether through the use of Agencies’ personnel or through the use of a subsequent contractor. Legal title to the source code (including copyrights thereto) developed under this Agreement shall remain with

SGS as its property subject to Agencies’ rights specified in this Agreement. SGS is required to maintain, at its expense, a source code escrow account through a third party. The source code must be available for the Agencies’ inspection at any time. The source code in escrow must be

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-275 April 7, 2016 kept current by refreshing the source code in conjunction with software updates or product releases on a quarterly schedule. The Agencies shall not share the Program software, database schema or other contractual deliverable technical documentation with any commercial competitor of the SGS, except in the event that such competitor enters into a confidentiality agreement with the Agencies for the development of electronic transmission or emissions inspection software.

3. The Agencies agree that it will take appropriate action by instruction, agreement, or otherwise with its employees or other persons permitted access to licensed programs and/or optional materials to satisfy its obligations with respect to use, copying, modification and protections and security of licensed programs and optional materials.

4. SGS agrees to describe what third party software is used and what third party software licenses are obtained, enabling the Agencies to obtain such licenses. The Agencies recognize that SGS may integrate custom proprietary and semi-custom third-party software into the

Program and such software shall be part of the perpetual license granted by the SGS to the

Agencies. All Program related third-party software, modified by the SGS will be transferred for the Agencies’ uses. SGS shall provide the Agencies with applicable software documentation such that the Agencies will be able to fully access and read all system documentation for the Program.

5. The Agencies agree to reproduce and include SGS’s copyright or other proprietary notice on any copies, in whole or in part, in any form, including partial copies of modifications, or

Software Products furnished under this Contract.

6. SGS shall provide authorized the Agencies’ employees and subsequent Contractors with access to electronic and printed copies of system design documents, schemas and data dictionaries relative to all aspects of the Program system, its tables and applications. The

Agencies shall own copies of the system design, schemas and data dictionaries. The Agencies shall treat and cause its employees and subsequent Contractors to treat such items as confidential information. Notwithstanding the above, SGS agrees that it will not replicate or disclose the treatment and protection of confidential information in subsequent uses of the system design and schema.

7. The Agencies will ensure, prior to disposing of any media, that any Software Products licensed hereunder and contained thereon have been erased or otherwise destroyed.

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-276 April 7, 2016

8. SGS shall have the right to free and unencumbered use or sale of any technological advancement developed or acquired by SGS in the performance of any services rendered by

SGS to the Agencies in connection with this Agreement. SGS agrees that the Agencies will have the right to utilize improvements made on the software during the Term of the

Agreement.

9. For the purpose of this section, SGS warrants that the software at the time of deployment and for the term of the Agreement will perform in accordance with the Agreement. In the event, for any reason, with or without SGS’s involvement, the Agencies make modifications to the application software during the Term of the Agreement, and those changes cause problems, the SGS is required to help correct those problems. This will be done at the Agencies’ expense through a Change Management Request (CMR) and SGS shall be relieved of any Service

Level Obligations resulting from such problems.

10. SGS shall indemnify and hold the Agencies harmless from any claims of infringement asserted against the Agencies during the Term of this Agreement arising out of any defects in the rights of SGS to the software at the time of delivery, provided that, if any such claim is asserted against the Agencies, SGS shall be notified in writing by the Agencies within thirty

(30) days of receipt by the Agencies Contract Administrator of knowledge of such asserted claim, and SGS shall thereby be given the right and option to conduct and bear the cost of any defense against such claim.

11. For the software or application programs, SGS makes no other warranties, express or implied, including, but not limited to, the implied warranties of merchantability and fitness for a particular purpose.

Protection of Proprietary Software and Other Proprietary Data 10.7.7

1. The Agencies shall exclusively own all data gathered or developed for the Agencies as a result of this Contract. SGS shall have no rights to any such data gathered as a part of the Contract.

All data gathered as a result of this Contract is hereby deemed “confidential” and shall be protected by SGS. The Agencies shall own all database and data storage design documents, schema, documentation, licensing and end-user documentation developed to support the

Program. The Agencies shall own all Agencies-developed applications used or developed to support the Program. All such Agencies-developed applications are hereby deemed

“proprietary” and “confidential” and shall be protected by SGS

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Technical Response 10-277 April 7, 2016

2. The Agencies agree that all SGS material appropriately marked or identified in writing as proprietary and furnished hereunder are provided for Agencies’ exclusive use for the purposes of this Contract only. All such proprietary data shall remain the property of the Contractor.

The Agencies agree to take all reasonable steps to insure that such proprietary data are not disclosed to others, without prior written consent of the SGS

3. The Agencies will ensure, prior to disposing of any media, that any licensed materials contained thereon have been erased or otherwise destroyed.

4. The Agencies agree that it will take appropriate action by instruction, agreement or otherwise with its employees or other persons permitted access to licensed software and other proprietary data to satisfy its obligations under this Contract with respect to use, copying, modification, protection and security of proprietary software and other proprietary data.

Living our Commitment to Diversity:

We will continue to seek additional minority suppliers after proposal submission and over contract life to maintain our percentage goals and demonstrate corporate commitment to support SDO and Commonwealth diversity goals

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Technical Response 10-278 April 7, 2016

10.8 REQUIRED MASSDOT AND COMMONWEALTH DOCUMENTS

Supplier Diversity Plan (SDP) [3.2.2.8.1] 10.8.1

SGS is committed to including Minority Business Enterprise (MBEs), Women Owned

Business Enterprises (WBEs), Veteran-Owned Business Enterprises (VOBEs), and Service-

Disabled Veteran-Owned Business Enterprises (SDVOBEs) as subcontractors to fulfill RFR requirements. We are aware of the Commonwealth’s Operational Services Division (OSD)

Supplier Diversity Office (SDO) current goals – MBE, 6%, WBE, 12%, and SDVOBE, 3% – and aim to include minority firms as subcontractors and/or vendors on our team as shown in

10.8-1. We have already executed a subcontracting agreement with M/WBE Archipelago

Strategies Group, with whom we will work to develop the program’s public outreach and education effort.

Figure 10.8-1: Minority Subcontractors/Vendors. Including minority and women business enterprises on this contract helps strengthen SDO’s SDP

Subcontractor/Vendor Role Minority

Status

Archipelago Strategies Group (ASG) Public outreach and education M/WBE

Alpha Office Supplies, Inc. and/or VSM Group

Corporation (d/b/a VSM Imaging Supplies) Sourcing, packing, & shipping consumables M/WBE

Cleary Consultants, Inc.

Staffing part-time employees required in non-technical roles

SOMWBA

Standard Modern and/or Promo Stuff Online Printing or mailings WBE/ LGBTQ

Environmental Integrity Company, LLC Workstation Recycling MBE

Green Castel Business Solutions Office furniture and equipment for 10 MACs and Program Office

M/VOBE

intuVision Enhanced video analytics/consulting services WBE

As a result of our commitment, 7.5% of contract revenues will be allocated to minority firm participation (see Section 10.8.7 for SDP Plan Form #1 – SDP Plan Commitment).

If selected as the Agencies’ Contractor, within 30 days of contract execution we submit SDP

Plan Form #2 – Declaration of SDP Partners. If something changes with regard to our relationship building with qualified minority businesses, we submit alternatives with respect to

Form #2 and work with SDO to identify and contract with other minority partners to meet our commitment. Within 45 days of the end of each quarter, we submit a SDP Plan Form #3 – SDP

Spending Report.

Environmental Plan [3.2.2.7.1] 10.8.2

The SGS Environmental Plan begins at our Corporate Level and maintains high visibility to each Program’s operational activities. In accordance with the Commonwealth of Massachusetts’

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Technical Response 10-279 April 7, 2016

Executive Order No. 484: “Leading by Example – Clean Energy and Efficient Buildings,” SGS is well-placed to also lead by example given our extensive experience with emissions-testing and its hand-in-hand relationship with clean air, the environment, and the environmental requirements associated with publicly visible programs. Figure 10.8-2 provides an example of how SGS reinforces its commitment to each employee by sending this graphic every month as part of ongoing safety and environmental training.

Figure 10.8-2 SGS Monthly Safety and Environmental Training Introduction.

SGS is Committed to Enhancing its Environmental Practices

As described in Executive Order No. 484 and within SGS’s own business practices, meeting energy goals requires planning, and we apply a variety of energy conservation, efficiency, and renewable strategies, such as:

On-site energy efficiency programs

Installation/Purchase of energy efficient equipment (e.g., Green Seal Certified)

Use of bio-based or alternative fuels

Use of renewable energy on-site

Purchase of renewable energy

Our Environmental Plan is dynamic and changes with new information or improved energy savings/sustainability measures identified. We place emphasis on developing a specific Plan-Do-

Check-Act cycle as applied to ISO 14001 standards for Environmental Management Systems.

We develop our environmental methods, implement these actions, review and check effectiveness, and then we improve where possible to optimize existing energy systems, reduce

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Technical Response 10-280 April 7, 2016 energy consumption, and to encourage more sustainable options to everyday activities. More than just recycling and re-use of consumables, SGS’s Environmental Plan is a commitment within our organization to apply energy conservation in our daily business practices. In our data centers, we explore ways to conserve energy – realizing cost savings as well – while maintaining server and database functionality with high dependability. Recycling and minimizing consumables at corporate and Hotline centers is common practice and encouraged with recycling bins in copy rooms, break rooms, and conference rooms.

Our Environmental Plan is also a partnership with the Agencies to communicate with and educate the motorist, inspector/technician, inspection station/repair facility, and suppliers on multiple avenues for promoting energy efficient and sustainable practices throughout the duration of the

Massachusetts Program.

Sustainable and energy-conservation business practices are directly flowed down to subcontractors and we actively encourage each inspection station and emission repair facility to follow more environmentally aware practices. SGS accomplishes this through the language and terms in our Station Participation Agreements (SPAs) with individual stations/facilities, and we continue encouraging environmentally-friendly practices through visits from our Field Service Representatives (FSRs) during our inspection station audits.

For the Motorist Assistance Centers (MACs), we will apply best energy practices when first identifying MAC locations and also later when fitting out each facility. For those MAC buildings larger than 20,000 square feet, SGS will first determine what potential energy-saving measures exist (e.g., reduced landscaping, large windows for natural light, flexible barricades to retain inspection area heat) and whether Leadership in Energy and Environmental Design (LEED) certification is possible. On-site solar energy is a viable option for buildings with unshaded, southern-facing roofs, though this option must be balanced with several other items, such as:

Shaded roof provides cooler summer building temperatures; Limited solar savings due to restrictive panel area allowance; and Use of more environmentally-friendly electrical energy through other means (i.e., Renewable Energy Certificates). We also will install water-saving

“SGS Requirements for Sustainability in

Relationships with Business Partners”

SGS requires that contracted suppliers complete and acknowledge this SGS document covering:

Environmental Practices o Management o Ecological Standards o Resource Consumption o Waste/Recycling o Employee Training

Social Standards

Health and Safety

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-281 April 7, 2016 fixtures in the bathrooms and common areas, and use recycled gray water for landscaping as another means to conserve energy. For building footprints less than 20,000 square feet, SGS will still apply energy conservation standards in line with Massachusetts recommendations and apply the services of a company that specializes in energy efficiency to inspect and recommend best energy efficiency practices.

Everyday conservation at the MACs (and in other SGS Team offices) occurs through our workplace recycling program. We collect paper, cardboard, glass, plastic and specialty recyclables (e.g., monitors, toners) and recycle these materials promptly. In addition, we will implement actions to prevent unnecessary printing, utilize light-emitting diode (LED) and incandescent lighting, and use energy efficient appliances throughout our offices.

For inspection stations, our MASS17 Workstation installation program includes a plan to recycle old workstations for stations that would like to have their MASS08 workstations removed. As some stations may not want their workstations removed, only those stations that have executed a MASS08 Removal Agreement with SGS will have their workstation removed.

We anticipate over 75% of the inspection station network will request removal of their MASS08 workstation. Within each station’s SPA, a comprehensive recycling plan will be included that provides instructions for which components are directly recyclable and which workstation components must be recycled through a specialty recycler. Together with our workstation subcontractor Worldwide Environmental Products, Inc. (WEP), the SGS Team will work with a local Massachusetts company, Environmental Integrity Company, LLC (EIC), to ensure that all workstations (and components) are recycled in a safe and environmentally friendly manner. EIC meets Responsible Recycling Practices (R2) and e-Stewards standards and will reuse and recycle all electronics items as fully as possible.

Stations will need to decide if they prefer their MASS08 workstation removed during the setup and installation of their MASS17 Workstation or afterwards. SGS will then schedule a time with

EIC for the removal. EIC will remove the workstation and ensure that all components are selectively separated to distinct recyclers and do not end up in landfills (i.e., Cradle to Cradle regeneration). EIC also provides fast and accurate reporting to track the status of workstation component disposal to verify no environmental impact. SGS can then provide regular recycling updates to MassDEP and MassDOT/RMV to provide accurate, near real-time data to track recycling progress.

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-282 April 7, 2016

Again following the principle of Leading by Example, SGS promotes good environmentally-conscious stewardship by maximizing use of Hybrid (gasoline/electric) for company business vehicles used within the new Program (not including covert audit vehicles, of course, where testing of internal combustion engine [ICE]-related emissions is the core of the program). Our

MACs and FSRs are high-visibility representatives of the overall Program and their vehicle usage delivers a strong message to the public and inspection stations.

Another example of where the SGS Team implements everyday energy-aware planning is through our supply chain management for necessary Program equipment and related purchases.

SGS consistently explores more efficient, cost effective, and environmentally friendly ways to build and service equipment. We strive for a more sustainable product by mapping the supply chain, communicating our expectations to vendors, and by establishing an environmental baseline with vendors. Through continued communication and relationship building with these vendors, the SGS Team has established a working partnership to build a greener supply chain.

Examples of how this can be effective are:

Local companies are used to provide equipment components instead of using overseas companies, which significantly reduces our carbon footprint by using less fuel and reducing emissions produced through longer shipping routes

All equipment components are repaired/refurbished whenever possible for future use

Toner cartridges are refilled/reused whenever possible

All testing equipment components are 100% recyclable

Our Public and Inspection Stations Communications Plan is also an effective means for conveying our environmental planning ideas to the general public and inspection station network. Through printed handouts and brochures available within the MACs, inspection stations, and via FSRs – plus web site links – the motorist is educated on the benefits of a variety of energy-conservation items, such as: Hybrid Vehicles FAQs, Electrical Vehicles FAQs, Benefits of Using Alternative Fuels, and Massachusetts’ Sustainability Practices.

The SGS Additional Environmentally Preferable Products/Practices (EPP) form is included in

Section 10.8.8 which summarizes our compliance with Commonwealth efforts to reduce environmental impacts within their programs.

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-283 April 7, 2016

MassDOT and Commonwealth Standard Contract Forms [Appendix 8] 10.8.3

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-284 April 7, 2016

MassDOT and Commonwealth Terms and Conditions [Appendix 8] 10.8.4

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-285 April 7, 2016

Request for Taxpayer Identification Number and Certification (Mass. Substitute 10.8.5

W9 Form) [Appendix 8]

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-286 April 7, 2016

Contractor Authorized Signatory Listing [Appendix 8] 10.8.6

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-287 April 7, 2016

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-288 April 7, 2016

Supplier Diversity Program Plan Form 1 [Appendix 8] 10.8.7

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-289 April 7, 2016

Additional Environmentally Preferable Products / Practices [Appendix 8] 10.8.8

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-290 April 7, 2016

Prompt Payment Discount Form [Appendix 8] 10.8.9

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-291 April 7, 2016

Business Reference Form [Appendix 8] 10.8.10

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 10-292 April 7, 2016

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 11-1 April 7, 2016

11 AMENDED ATTACHMENT K: BIDDER’S RESPONSE CHECKLIST

PART 1: SST RFR RESPONSE SCREENING CHECKLIST

NOTE: The Agencies will utilize this part of the checklist for the initial screening of the RFR

Responses to determine whether: (1) the Bidder’s Response is properly packaged, (2) the Bidder has responded to the Response Elements according to the format prescribed in the RFR, and (3) the Response does not exceed mandatory page limits. Part I is included in this Attachment K as a convenience to Bidders, to inform them of the required elements for the RFR Response.

BIDDERS SHALL NOT RESPOND TO PART 1 OF THIS CHECKLIST, AS IT IS FOR

THE AGENCIES’ USE ONLY.

BIDDER INFORMATION

Name Date Screened Screened By

PACKAGING OF BIDDER’S RESPONSES (RFR Section 5) YES NO Electronic Response Was the Electronic Response received within the specified time period?

Are both the Technical and Cost Responses included?

Have Bidders submitted an email to each Agency’s procurement contact indicating that the complete Electronic Response was uploaded onto COMMBUYs? (RFR section 5.3.1)

IMPORTANT ACTION REQUIRED IN COMMBUYS: On the COMMBUYS webpage, the Bidder MUST enter a number 1 into the cell titled “Quote” in order for the Quote Package to be accepted by the COMMBUYS system. Failure to enter a “1” will result in the FAILURE OF THE Bidder’s Quote Package being received by the Agencies.

Hardcopy Response Was the Hardcopy Response received within the specified time period?

Are both the Technical and Cost Responses included?

Is the Cost Response completely separate from the Technical Response?

Are the Electronic and Hardcopy Responses identical (except for Additional Items with Hardcopy Response and Sample Equipment below)?

Bidders must submit the Technical Response and the Cost Response on 8 ½” 11” paper, with one and a half line spacing for text, and with one-inch margins for text. Bidders may submit the following Technical Response Elements on 11” x 17” paper: 1) the flow diagram of the inspection process required in RFR section 3.2.1.1.A.; 2) any diagram prepared by the Bidder to meet the requirements of RFR section 3.2.1.5.A.; and 3) any implementation schedules required in RFR section 3.2.1.12.

Is the hardcopy Response printed on recycled paper with a minimum post-consumer content of thirty percent? All bids should note the brand of paper and the level of recycled content contained in the paper being used.

Bids and copies should minimize or eliminate use of non-recyclable or non re-usable materials such as plastic report covers, plastic dividers, vinyl sleeves and GBC binding.

Three-ringed binders are required.

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Technical Response 11-2 April 7, 2016

Text of both Technical and Cost Response must be no smaller than 12 point.

Submitted one loose-leaf original each of Technical and Cost Responses, and 22 bound copies of each part.

Additional Items with Hardcopy Response Submitted Bid Bond in a separate sealed envelope Submitted two copies of Technical Response on compact disc Submitted two copies of Cost Response on compact disc Sample Equipment Submitted sample Workstation camera Submitted sample wired OBD scan tool Submitted sample wireless OBD scan tool Submitted sample headset

BIDDER’S RESPONSE FORMAT (RFR Section 5.4) Page Limits (if any)

YES NO

Technical Response 320 Total Commitment Letter, including any attachment required under RFR Section

3.2.2.1 (no page limit for attachment)

Bid Bond (in separate envelope) Executive Summary Bidder Identification (including subcontractors) Program proposal (covering all Technical Response Elements in the following order)

Program Description Inspection Station Network Workstations Network Management Database VISITS Application & Field Investigation Equipment Inspector Training & FMCSA Equivalency Motorist & Industry Communications Covert Auditing Vehicle Maintenance Initiative Motorist Assistance Network

Implementation Schedule Contractor Organization: Key Personnel and Management Plan Relevant Experience Bidder Qualifications Attachments [Note: Required Service Level Agreements, Software Agreements, VPATs, Security Plan, Database Quality Assurance Plan, Risk Management Plan, Bidder’s existing IT agreements and related documentation, and required Commonwealth documents, including Supplier Diversity Plan]