SOFTWARE ENGINEERING SERVICES.doc

SOFTWARE ENGINEERING SERVICES

November 7, 2001

Ashley Super, Purchasing Agent IIIIowa Department of General Services (DGS)Hoover State office Building – Level ADes Moines, IA 50319-0105

Dear Ashley Super:

Software Engineering Services (SES) is pleased to provide a response to Iowa ITQ Number BD80200S102, Information Technology Consulting Services and IT Staff Augmentations, SERVICE CATEGORY: Developing 1.0 and Amendment 1, ISSUED October 10, 2001. SES is a process oriented information technology company dedicated to providing cost effective, value added resources to each client or project. We offer IT solutions and support from Project Management, Web Development, Mainframe/Midrange Programming, System Engineering, and Technical Assessment. We bring a proven record of “on-time” deliverables at the lowest possible cost.

SES is a 10 year old company, and just recently certified by Small Business Administration as 8(a)/Small Disadvantaged Business, that works within the structure of the Software Engineering Institute’s (SEI) Capability Maturity Model (CMM) Level 3. We provide the applications and methodologies to companies seeking the SEI Level 2/3 rating through our customized accelerated (a-CMM) product. We are a leading provider of assessments for the newly mandated Health Insurance Portability Accountability Act (HIPAA). We provide experienced personnel in the areas of EDI, privacy, and security. Please keep “CONFIDENTIAL” all SES financial and financial related documents.

We look forward to the opportunity to provide the best software resources that possess the strategy and vision to develop, build, and maintain operational effectiveness of IT projects for the State of Iowa. To learn more about SES please view our website at www.SESsolutions.com . To review our CMM delivery capability, go to www.a-CMM.com . If you have questions please contact me (Sonny Ashford) at 402.292.8660 or fax me at 402.292.3271.

Sincerely,

James F. “Sonny” AshfordBusiness Marketing Director

http://www.a-CMM.com/

http://www.SESsolutions.com/


RESPONSE TO

CONTINUOUS

INVITATION TO QUALIFY# BD80200S102, Version 1.0 ISSUED June 8, 2001,

Amendment One, ISSUED October 10, 2001

FOR

Information Technology Consulting Servicesand IT Staff Augmentations

SERVICE CATEGORY: Developing

Five Year Multiple Award Contract

A Cooperative Process With The

Iowa Department of Information Technology

http://www.state.ia.us/government/its/

SOFTWARE ENGINEERING SERVICESORIGINAL


Table of Contents:RESPONSE PART 1 PAGE

RESPONSE TO 1-19: DEBARRMENT, DELINQUENT AND SUSPENSION STATUS...................................1

RESPONSE TO 1-21: NON-COLLUSION...............................................................................................................2

RESPONSE TO 1-22: LOBBYING...........................................................................................................................2

RESPONSE TO 1-29: OUT OF STATE RESPONDERS........................................................................................2

RESPONSE TO 4-2: MANDATORY AGREEMENT QUESTIONNAIRE..........................................................2

RESPONSE TO 4-3: PROFESSIONAL/TECHNICAL PERSONNEL QUESTIONNAIRE...............................3

QUESTION 5: DESCRIBE YOUR COMPANY PRACTICES TO ADOPT CLIENT POLICIES AND METHODS....................................................................................................................................................................8

RESPONSE TO 4-4: CLIENT REFERENCES.......................................................................................................27

RESPONSE TO 5-1: REQUIRED SIGNATURE FORMAT.................................................................................27

RESPONSE TO 5-2: VENDOR APPLICATION AND W-9 TAX FORM...........................................................27

PART 6 - EXHIBITS, ATTACHMENTS AND ADDENDUMS:..........................................................................28

ITQ EXHIBIT A - NON-COLLUSION AFFIDAVIT.............................................................................................29ITQ EXHIBIT B - LOBBYING CERTIFICATION FORM....................................................................................30ITQ EXHIBIT C - MANDATORY AGREEMENT QUESTIONNAIRE...............................................................31ITQ EXHIBIT D – REFERENCE SURVEY FORMS.............................................................................................32ITQ EXHIBIT E - STRATGEGY/VISION/CONSULTING..................................................................................33ITQ EXHIBIT E - PROJECT MANAGEMENT....................................................................................................34ITQ EXHIBIT E - DESIGN/PLANNING...............................................................................................................35ITQ EXHIBIT E - DEVELOPING..........................................................................................................................37ITQ EXHIBIT E - TESTING...................................................................................................................................38ITQ EXHIBIT E - IMPLEMENTATION................................................................................................................39ITQ EXHIBIT E - TRAINING.................................................................................................................................40ITQ EXHIBIT E – ADMINISTRATION.................................................................................................................41ITQ EXHIBIT F -REQUIRED SIGNATURE PAGE..............................................................................................42ITQ EXHIBIT F - REQUIRED SIGNATURE PAGE.............................................................................................43

ATTACHMENT 1 – APPLICATION FOR CERTIFICATE OF AUTHORITY................................................44

ATTACHMENT 2 – VENDOR APPLICATION FORM.......................................................................................46

RESPONSE PART 2...................................................................................................................................................49

COMPANY LITERATURE.....................................................................................................................................50CONTRACTOR PRACTICES TO INTEGRATE INTO CLIENT CULTURE......................................................51

SOFTWARE ENGINEERING SERVICESRESPONSE PART 3..................................................................................................................................................53

AMENDMENT NUMBER ONE ISSUED OCTOBER 10, 2001 TO INVITATION TO QUALIFY............................55# BD80200S102, VERSION 1.0 ISSUED JUNE 8, 2001, FOR....................................................................................55INFORMATION TECHNOLOGY CONSULTING SERVICES..............................................................................................55ITQ NEW SECTION RESPONSES...........................................................................................................................55

DUNN AND BRADSTREET REPORT...................................................................................................................59

REQUIRED AMENDMENT 1 SIGNATURE PAGES...........................................................................................60


RESPONSE TO 1-19: DEBARRMENT, DELINQUENT AND SUSPENSION STATUS

Date: November 7, 2001

Software Engineering Services (SES) hereby certifies that it is not currently delinquent in the payment of taxes or other obligations to STATE government, nor under suspension or otherwise debarred from doing business with the STATE of Iowa, any other STATE, or federal government.

Jim BridgesPresident

1508 JF Kennedy Drive Suite 201 Bellevue, NE 68005 Page 1(402) 292-8660 Fax (402) 292-3271


RESPONSE TO 1-21: NON-COLLUSION

A signed notarized affidavit of non-collusion is included at Exhibit A.

RESPONSE TO 1-22: LOBBYING

SES certifies that it will not use any federal funds for lobbying and that SES must disclose the use of non-federal funds for lobbying in ITQ EXHIBIT B - LOBBYING CERTIFICATION FORM.

RESPONSE TO 1-29: OUT OF STATE RESPONDERS

Software Engineering Services (SES), as a foreign corporation with headquarters in Bellevue, Nebraska; has registered with the Iowa Secretary of State per the requirements of Iowa Code Chapter 490. A copy of that application is found at Attachment 1.

RESPONSE TO 4-2: MANDATORY AGREEMENT QUESTIONNAIRE

SES understands and agrees with the State’s requirements for submitting a response to this ITQ, and has provided a positive response to all the agreement questionnaire questions as shown in ITQ EXHIBIT C - MANDATORY AGREEMENT QUESTIONNAIRE.



RESPONSE TO 4-3: PROFESSIONAL/TECHNICAL PERSONNEL QUESTIONNAIRE

Question 1: How do you intend to provide the resources required by this ITQ?

Response: Software Engineering Services (SES) will provide professional information technology software engineers and developers from our Human Resources Database consisting of approximately 100 qualified resources. Approximately one-half of those resources are on the SES staff. We networked with other reliable providers who deliver similar products. We have access to the qualified resources in their databases which in turn expands our workforce. SES is careful to properly match resources to assigned tasks--not just any resource will do. Our resources are composed of enthusiastic, specialized consultants who provide extensive know-how when it comes to satisfying the client’s requirements. We leverage the true skillsets of each service provider to ensure the right fit at the best price. After locating the “best skillset match” for the position, SES asks probing questions to ensure we provide the best candidate to the client. SES selects resources based on qualifications, capacity to respond to client needs, and level of reliability.

Our “best fit” methodology ensures that we place the right resource (not the most expensive resource) at our client’s site. At SES, we recruit resources to support and further our company vision of excellence. We are selective about who we hire and only retain resources that provide a “big bang for the buck”. We work hard to cultivate new resource skills, enhance current skills, and encourage continuing education. We provide skill enhancement and assignment-specific training, combined with a network of experienced mentors to keep our resources at the top of their field. Our experienced and highly trained resources will assist you by defining your requirements and recommending techniques to meet your requirements. Our resources’ vast experience and skillsets guarantee on-target solutions—regardless of the complexity of your requirements.

SES is loyal to its employees and resource providers. Part of our vision statement is: “Create and sustain a working environment that fosters free exchange of innovative ideas.” Our resources are treated with the proper respect for their skills and experience. We include our resource providers at company-sponsored events—they are a valuable part of our team.

Our resources are recognized as information technology leading-edge problem solvers because we take on THE challenging projects. Our resources “go the extra mile” to meet or exceed the identified requirements. Project budget constraints are important to us and we work hard to deliver services on time and at the best price. Our resources have the technical expertise, business experience, best solutions and capabilities to take keep your project on track and on budget. SES guarantees the resources we place as a skillset match, or a new resource will be provided.



Question 2: Identify the SP contract administrator and describe the functions that person will perform.

Response: The SES Contract Administrator is Esper Smith ([email protected], 402.292.8660). Once a contract is awarded, SES implements the standard contract administration process. SES has used this administration process on numerous contracts with outstanding success. SES Contract administration is accomplished by integrating principles of contract management and program management into one cohesive process. The steps of this integrated process are: (1) For each new business opportunity, review the statement of work and the contract, (2) select and deploy resources to accomplish the tasks, (3) establish lines of communications and accomplish the contract management tasks, (4) establish the internal SES program management office for this contract, (5) monitor contract for schedule adherence, (6) monitor production of deliverables, and (7) manage program to closure.

The first thee steps of the contract administration process focus on getting the contract management precepts in place. First the SES contract administrator (SESCA) reviews the contract and the statement of work to ensure understanding of the contract requirements, methodology, project deliverable formats, deliverable due dates, contract duration, resource commitment, contract payment schedule, and required progress reports. Then the SESCA identifies the primary client contact points and hosts a meeting at the client site to explain how SES plans to administer the contract and manage the projects within the contract. The SESCA is the single point of contact within SES for resource management issues, billing issues, problem solving, contract interpretation, and contract reporting. The SESCA monitors contract progress to insure all statement of work requirements are fulfilled; monitors work progress and switchability of resources (and sub-contractors when utilized) to ensure deliverable schedules are achieved; insures client confidentiality is maintained; and provides a single point of contact for questions and responses concerning business opportunities with the State of Iowa. The SESCA responds (when appropriate) to contract changes or Statement of Work changes proposed by the State of Iowa, responds to requests for audits from the State of Iowa (or the Federal government when appropriate), and maintains all resource records for five years.

The rest of the steps in the Contract Administrator process address program management topics. Program management consists of four elements: program plan to control multiple ongoing projects; project plans to control a single project; project monitoring and controls to integrate task control, quality assurance and configuration management topics; and project/program closure. SESCA program management tasks address interpretation of requirements and scope of work, risk assessment, quality assurance, and configuration management monitoring. Usually these tasks are accomplished by designated resources, but the program manager reviews reports and comments on resource performance when appropriate. Project schedules are monitored for credible time estimates and resource allocation. Key deliverables milestones are monitored to ensure compliance. The effectiveness of project infrastructure and cost assessments is validated. Test planning, test execution and deliverable quality are monitored to ensure contract compliance. Status reports (as specified in the contract) are generated and delivered to the client.


mailto:[email protected]


Project managers report directly to the client (in accordance with the contract), and keep a close watch on project progress, ensuring the project plan is robust, the project is properly funded, starts on time, internal audits and reviews are accomplished, client methodology is followed, and deliverables meet the contract requirements. Once the work is accomplished, the contract administrator ensures, the project documentation is bundled and delivered to the client for archival, lessons learned are accomplished to help the project manager and client expand their understanding of how to manage projects, and resources are deployed as necessary to the next available project.



Question 3: Describe how you plan on providing additional personnel if it becomes necessary to properly staff projects.

Response: Software Engineering Services (SES) has a standard staffing process and experience assessing the resource requirements for a project. If the client makes a change that requires additional staffing, we use the following steps to add the additional staff. We adjust the number of resources by following these proven steps. The steps for the staffing process are:

(1) clarify the changed or new client requirement(2) identify the skillset necessary to accomplish the requirement (3) form a working plan and schedule to address the situation(4) locate the person who has the skillset which matches the requirement(5) provide an SES resource or use a resource from one of our business partners (6) select the ‘best fit’ resource and assign that resource to the project

The first three steps of the staffing process focus on planning. First, SES will listen to the client and ask diagnostic questions to identify the client’s needs. The questions address experience, technical expertise, skillset requirements, project prioritization and duration of staffing requirement. All of this data is used to select the “best fit” resource for the project.

The next three steps of the staffing process focus on selection of the “best fit” resource. This process begins by searching the SES database of company resumes to locate a ‘best fit’ resource for the client. Once a potential candidate is selected, the SES Resource Manager will ask him a series of diagnostic questions to quantify the selection. Close analysis of the questions confirms if the resource is the “best fit” for the task. SES will then generate or modify the Statement of Work and submit it to the customer for review, edit, and final decision. If the customer agrees with the selection, then the resource is introduced to the client for a “face-to-face” interview. If the client is still content with the selection, SES assigns the resource to the project. Our “best fit” methodology is the cornerstone doctrine that ensures we place the right resource at the client’s site.

If the resources are not available within the SES resource pool, then we will contact our business partners to search for a “best fit” resource. Once a partner’s potential candidate is selected, the SES Resource Manager applies the same method of diagnostic questions and client interviews to validate the “best fit”. The potential candidate is introduced to the client for a face-to-face interview. If the client is satisfied that the resource can add value to their project, SES assigns the resource to the project. The SES database of resources contains approximately 100 current resumes. SES is currently partnered with 20 companies. This breadth of resource availability enables SES to provide the “best fit” resources for our customers.



Question 4: Describe your company's ability to uniquely address problems and issues related to the service category.

Response: Software Engineering Services (SES), after 10 years of outsource consulting, realized that companies needed a framework to help make clear and logical decisions. SES uses the RESOLVE methodology to solve a problem, analyze an issue, or research an opportunity. The SES RESOLVE methodology is based on three principals: a problem is an event that has created undesired outcomes, an issue is a condition that requires exploring, and an opportunity is a idea that offers the potential of creating a favorable outcomes. The concept of problem solving with RESOLVE can be described in seven steps. They are:

(1) Record the problem in exact terms and conditions(2) Explore and locate a credible solution for the problem(3) Search for alternate solutions(4) Organize options, decide, and plan(5) Launch prototype solution and record results(6) Validate prototype results and implement solution, (7) Expand to additional opportunities

The first three steps focus on locating a set of solutions for the situation. Our engineers generally use the split-half technique to locate problems. SES engineers document the issues that surround the problem, identify all the hardware and software components that support the disabled function, identify the architectural relationship between the components. Then SES engineers review the string of components that support the disabled function. They identify the expected output of each of the major components. Starting in the middle of the string, they look for expected results. If the output of the middle component appears satisfactory then they move towards the end of the string check output looking for problems. If the output of the middle component appears unsatisfactory then they move towards the beginning of the string, checking output, looking for problems. Once the root cause is known, troubleshooting is completed, a solution is identified, and alternate solutions are selected. During the final four steps, SES engineers narrow the solution set to the ‘best fit’, implement the solution, measure the effectiveness of the solution, and then determine if the solution can be applied to other related problems in the system.

Issue analysis can be handled in a similar path following the seven steps listed above. The first three steps center on finding a list of credible explanations or responses for the issue. Then the remaining four steps bring the list of possible responses down to one response and look for application in other systems or situations. Additional information on the resolve methodology can be found at Response Part 3 – Company Literature.

SES is well versed in process, procedure, and technique evaluation and improvement. We use our process engineering expertise to address project challenges and eliminate problems. Using the RESOLVE methodology we can step-by-step identify and solve conflicting issues.



Question 5: Describe your company practices to adopt client policies and methods

Software Engineering Services (SES) is committed to establishing organizational policies that analyze resources, review organizational structures and policies, determine status and effectiveness of activities performed, and verify implementation to achieve our client’s goals. All SES resources work at Software Engineering Institute (SEI) Capability Maturity Model, Level 3. These resources provide software management project planning, tracking and oversight, subcontract management, quality assurance, and configuration management.

SES has 10 years experience integrating into divergent client cultures. SES, through its CMM application that provides the services to help clients achieve their SEI CMM Level 2/3 rating in half the industries standard time, can adapt quickly to any processes/procedures that the client may have in place. CMM describes the principles and practices underlying software process maturity and is intended to help our clients improve the maturity of their software processes. Predictability, effectiveness and control of an organization’s software processes are improved when CMM is implemented The CMM model enables our clients to improve the maturity of their software processes by identifying their strengths, weaknesses and risks. The five CMM levels are: initial, repeatable, defined, managed and optimized. Each level is organized into key process areas. The key process areas outline key practices which describe the infrastructure and activities that contribute most to the effective implementation and integration of the key process area. Practices used in the key process areas indicate if a specific area is effective, repeatable and lasting.

SES resources quickly transfer their CMM knowledge, education and skillsets into continuous improvement processes which equates to a value-add for our clients. The CMM methodology surrounding design, development, test, and implementation of new software applications or change to current software applications enables our resources to understand and improve our client’s policies and methodologies. The following steps are used by SES resources: (1) locate policy and process documents, (2) review client policy documents to gain an understanding of client culture, (3) review client process and procedure documents to gain an understanding of the client methodology, (4) revisit contractual deliverables in light of the client documents and client culture to work through the exact meaning of each deliverable, (5) establish a schedule of tasks, milestones, and deliverable dates to exemplify the contractor understanding of the client policies and processes, (6) review the schedule with the customer and adjust the schedule as necessary, and (7) implement the schedule.

Once the IT strategy, and the business objectives of our clients are understood, SES resources will generate a Project Plan that includes a schedule of tasks, milestones, and deliverable dates demonstrating an understanding of our client’s policies and processes. The Project Plan is evidence the contractor has begun to assimilate the client culture and has a clear understanding of our client’s needs. Daily updates, weekly meetings, and weekly status reports, provide the client wide visibility into the activities, progress, and problems the contractor encounters during the execution of the Project Plan. SES resources are experienced in the art of assimilating client



cultures and working within that culture to accomplish the requirements of the Statement of Work.



Question 6: List each type/ brand of operating system/ communication system you are experienced with in each category below and make comments.

a) Mainframes: b) Midrange / Minicomputer:c) Client / Server / Distributed Systems:d) Desktop:e) LAN:f) Languages and DBMS:

Response: The following table lists the Software Engineering Services – Systems Experience as requested in Question 6.

Software Engineering Services -- Systems ExperienceCategory System Type Brand Comments

Mainframes Operating System

MVS/ESA MVS/XA

IBMResources available with both state and commercial experience. All resources work at CMM Level 3.

Operating System

VM IBM Resources available with both state and commercial experience. All resources work at CMM Level 3.

Operating System

VMS/DCL Dec VAX Resources available with both state and commercial experience. All resources work at CMM Level 3.

Operating System

DG/CLI Data General Resources available with both state and commercial experience. All resources work at CMM Level 3.

Operating System

EXEC UNISYS Resources available with both state and commercial experience. All resources work at CMM Level 3.

Communication System

Resources available with both state and commercial experience. All resources work at CMM Level 3.

Midrange (mini computer)

Operating System

OS IBM AS/400 Resources available with both state and commercial experience. All resources work at CMM Level 3.

UNIX/AIX IBM AS/400 Resources available with both state and commercial experience. All resources work at CMM Level 3.



Client/Server Distributed Systems

Operating System

UNIX/AIX IBM RS/6000 Resources available with both state and commercial experience. All resources work at CMM Level 3.




UNIX SUN Resources available with both state and commercial experience. All resources work at CMM Level 3.

X-Windows SUN Resources available with both state and commercial experience. All resources work at CMM Level 3.

NT Microsoft Resources available with both state and commercial experience. All resources work at CMM Level 3.

WIN 98 Microsoft Resources available with both state and commercial experience. All resources work at CMM Level 3.



Desktop Operating System




WIN NT Microsoft Resources available with both state and commercial experience. All resources work at CMM Level 3.

Solaris SUN Resources available with both state and commercial experience. All resources work at CMM Level 3.

HP-UX HP Resources available with both state and commercial experience. All resources work at CMM Level 3.

LAN Network Software

Lantastic Artisoft Resources available with both state and commercial experience. All resources work at CMM Level 3.

Network Software

Netview Netview Communications


Network Software

Novell Novell Resources available with both state and commercial experience. All resources work at CMM Level 3.

Network Software

WIN NT Microsoft Resources available with both state and commercial experience. All resources work at CMM Level 3.

Network Software

Unix AIX Resources available with both state and commercial experience. All resources work at CMM Level 3.




Languages and DBMS

Application Language ADA Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language C, C++ Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language CICS Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language CLIST Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language REXX Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language COBOL/370 Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language VS COBOL II Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language VS FORTRAN Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language BAL Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language Jovial Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language Pascal Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language PL/1 Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language RPG I & II Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language Visual Basic Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language JAVA Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language ASP Resources available with both state and commercial experience. All resources work at CMM Level 3.




Application Language HTML Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language Perl Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application Language XML Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS SAS Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS Access Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS DB2 Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS Dbase III Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS FOCUS Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS Fox Pro Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS IDMS Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS IMS Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS ORACLE Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS PARADOX Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS Mark IV, V Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS SYSBASE Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS Rbase Resources available with both state and commercial experience. All resources work at CMM Level 3.




Application DBMS TeraData Resources available with both state and commercial experience. All resources work at CMM Level 3.

Application DBMS SQL embedded Resources available with both state and commercial experience. All resources work at CMM Level 3.



Question 7: Describe your products / experience with Databases.a) Administration:b) Application Development tools:c) End user tools:d) Structure and methodologies:e) Other

Response: The following table describes Software Engineering Services – Database Experience as requested in Question 7.

Software Engineering Services -- Database ExperienceCategory Product or

TopicExperience

Administration IBM MainframeDB2

Provided Lead Analyst for design and implementation of a major DB2/Query Management Facility project. Analyzed and coded COBOL programs and copybooks for monetary field expansion. Functioned as Database administrator for DB2 database. Analyzed and resolved system level abends and file access anomalies. Developed and maintained COBOL and SAS programs, updated batch programs, and developed Visual Basic GUI front-ends to access DB2 databases. Providing technical integration guidance for approved DB2 projects. Managed DB2 environment. Ensured adequate DASD space available to support production. Controlled DB2 security and access issues. Designed new DB2 tables for projects that did not have DB2 expertise.

Deployed system analysts to develop and implement Fortune 500 client Customer Acceptance Test (CAT) platform that was used to test all Y2K changes to system (40 million lines of code). Selected to be Primary Database Administrator for all DB2 tables used to support CAT. Built new online platforms (using OPLEX, CICS, IMS, DB2) to replicate production system, developed naming standards for all CAT batch and online files (1000+ individual names). Replicated the production DB2 environment on the CAT environment. Adjusted table naming conventions and rules as necessary to prevent corruption of production data while maintaining integrity of test (replication of production functionality).

AS400 DB2 Provided analyst to support DB2 batch jobs and other SLA's (including monitor cycle execution). Duties included assisting with problem resolution between Programming and Operations, developing of systems analysis and design specifications, providing technical programming guidance for approved projects, and database administration. Managed DB2 environment, resolve DB2 security issues, and designed new DB2 tables to support project requirements. Controlled system access to database, allocated terminals, and allocated server access to database. Performed Command Center duties: responsible for working Priority 1 IR's (Incident Reports) on production jobs abends related to DB2 interfaces. Performed reruns and system recovery tasks (Team 01) and worked DB2 and INET (front-end) problems.

Oracle Furnished a Technical Lead for design and implementation of a major DB2/Query Management Facility project. Analyzed and coded COBOL programs and copybooks for monetary field expansion. Functioned as database administrator for DB2 database. Analyzed and resolved system level abends and




TopicExperience

file access anomalies. Developed and maintained COBOL and SAS programs, updated batch programs, and developed Visual Basic GUI front-ends to access DB2 databases. Accessed Oracle databases using Oracle Forms. Functioned as database administrator for Oracle database. Accessed Sybase tables to populate the DB2 database.

Application Development Tools

Power Builder

Deployed a Lead analyst to develop and implement drug prescription card systems for two Fortune 500 clients using Powerbuilder, Visual Basic Analytical processing tools, and Crystal reports. Developed the interactive accounts receivable and accounts payable systems for pharmaceutical environments. Coded Microsoft Visual Basic systems using Relational Database and Relational Databridge for accessing COBOL data files and to update an MS SQL server database. Accomplished test plan development, test case development and test bed design. Developed program specifications and system documentation for system design and maintenance activities. Provided technical support for implemented systems.

Provided system analyst for a Fortune 500 client. Primary duties include software development utilizing Sterling Software’s Cool:Gen tool set (full cycle, model-based, application development tool) and Powerbuilder. Modeled and generated code in a structured, iterative, and repeatable manner. Developed and maintained GUI client/server applications, Window NT based client applications, Oracle databases and HP UNIX based servers, which enable maintenance shops throughout the United States to track and maintain locomotives.

End User Tools

Oracle Tools Furnished primary development and support for the companies' three internet websites. (www.mutualofomaha.com, www.mutualmedicare.com, www.innowave.com) This support included website design, graphics creation and modification, testing, and publishing of web based documentation. Developed Oracle driven, interactive internet applications using Oracle tools and some C++ modules, which allowed for dynamic site content using customer supplied data. Configured existing internet servers to allow secure access to information for the companies agents and brokers. Designed and developed numerous Lotus Domino applications for internet, intranet, and extranet sites, allowing users to access to real-time Lotus Notes data.

Microsoft Products (including Visual Basic, Visual InterDev, Access, FrontPage)

Provided system analysts to develop Visual Basic/Microsoft Access personnel database to satisfy tracking and status requirements. Created Web enabled applications using HTML/DHTML, JavaScript, SQL, front page, and CGI. Assisted clients with development of Visual Basic, Crystal Reports, and GUI specifications.

Re-hosted an entire web-site for a new service provider using Power builder, MS Access, and Visual Basic. Created animated navigation buttons and prepared online forms and secure submission for information. Tested automated forms and submission processing tools. Validated all customer requirements were accomplished.

Deployed Technical lead on the project to convert an IMS mainframe system to a Client Server system. Built tables and customized SQL modules to meet customer needs. Created many PL/SQL procedures to add or enhance functionality to the new Forms. Tasks included replacement of OCX spread tables with multi-record blocks




TopicExperience

using MS SQL Server/ Visual Basic and an assortment of MS tools. This activity established separate databases for selected users.

Structure and Methodologies

Project Management

Provided a Project Manager for major Omaha based firm. Delivered two websites on schedule; one “My Homesteaders” personalized for client associates; and the other “Homesteaders Life” optimized for search engines.

Responsible for creating and loading of multiple database tables for the City of Omaha project, “Project Impact”. Received a compressed flat file containing multiple FOCUS file segments from the Douglas County mainframe DBA. Developed code to uncompress the file and parse into multiple flat files for import into SQL Server. Created multiple SQL tables and imported the date into tables containing 2 million, 6 million, and 4 million records each.

Test Management

Deployed Test Manager for a Fortune 500 client Oracle General Ledger project. Conducted daily test meetings to coordinate test policies and resolve technical problems (via daily meetings and phone calls) with all senior managers of 11 operating companies (68 inbound interfaces, 25 outbound interfaces, 55 resources). Accomplished weekly assessment of each active interface. Reported persistent problems to senior managers for correction by Operating Company presidents. Reviewed and approved policy changes for test activities. Evaluated test effectiveness prior to closure of each interface test. Generated principal strategy for implementation of interfaces into production. Completed the project on time.

Other FoxPro Provided system analyst for Annuity History System, and provided technical support for various batch and online processes of the Life Master File Systems. Accomplished system administration tasks to build the required platforms and FoxPro databases. Performed required test and validation activities for associated interfaces. Implemented all changes to system successfully.

Paradox Furnished system analyst to specify, design, code and install a payroll/personnel interface enhancement of the welfare and personal assistance system. Prepared a comprehensive IMS customer information system for USAA. Designed system to track insurance coverage, personal information, family information and requests for information for the entire membership of this profession-limited insurance company. Interfaced this system with a Paradox database. Developed interface application software and paradox tables. Built queries to meet business requirements.

Data Warehouse

Deployed a Lead Analyst for Data Cleansing portion of the Data Warehouse Project for the Department of Human Services, Iowa. Functioned as mainframe consultant for the TeraData PC team. Guided the development of TeraData scripts in mainframe batch jobs, and set up overall flow of data cleansing utilizing COBOL II programs, IBM Developer Utilities, and TeraData Data Warehouse loaders. Wrote over 52 programs and designed the warehouse cleansing load sub-system using developer tools.

Sybase Provided Lead Engineer to analyze and implement a PC-base accounting and




TopicExperience

billing system for a local client. Updated client’s Bankcard Processing System (Sybase Data Warehouse) adding daily account balancing for investor reporting purposes. Generated database to accomplish accounting and billing tasks. Integrated this database with oracle tables from an Oracle Data Warehouse using selected oracle tools.



Question 8: What general software applications have you experience in?

Response: The following table outlines Software Engineering Services experience in general software applications as requested in Question 8.

Software Engineering Services -- General Software ApplicationsCategory ExperienceFinancial Provided Lead Analyst for Fortune 500 firm in Omaha Nebraska. Tasks included the

development and maintenance of project plans for the implementation of two PeopleSoft Payroll systems, PeopleSoft Fit/Gap analysis, creation of custom PeopleSoft panels using PeopleTools, development of custom SQR applications, unit/integration/parallel testing, and training of the payroll staff. Developed multiple payroll bridges to PeopleSoft Financials utilizing SQR for automated 1099 reporting and for payment of garnishments and taxes. Customized General Ledger interface and paycheck advice printing procedures. Documented all custom applications. Supervised project resources to ensure project deliverables were successfully met on time.

Provided system analyst for a custom banking software company to expand the capabilities of current software for new customers. Redesigned and rewrote the accounting functions to support banks with larger customer bases than those for which the software was originally designed. Reconfigured the batch-oriented mortgage processing system to provide on-line support to loan officers. Designed and coded query additions to the savings account subsystem. Also optimized system for larger banks with extensive customer lists.

Resource Management

Deployed a Lead Analyst for Data Cleansing portion of the Data Warehouse Project for the Department of Human Services, Iowa. Functioned as mainframe consultant for the TeraData PC team. Guided the development of TeraData scripts in mainframe batch jobs, and set up overall flow of data cleansing utilizing COBOL II programs, IBM Developer Utilities, and TeraData Data Warehouse loaders. Wrote over 52 programs and designed the warehouse cleansing load sub-system using developer tools.

Insurance Furnished system analyst to reengineer a group insurance application for an Omaha based Fortune 500 insurance company. Developed COBOL pricing applications to support conversion of the system from a large-group insurance product. Created all IMS jobs to support this function in a real-time mode. Client requested SES to remain on site following completion of reengineering project to assist with the Year 2000 effort.

Provided project managers, test managers, configuration managers, and consultants for the Y2K effort. Converted IMS, Mark IV and assembly language modules. Due to breadth of experience and languages, was selected to for the team inspecting all Year 2000 code changes. Finally appointed to audit over 10,000 COBOL, Mark IV, and SAS converted modules to ensure no required changes were overlooked.

Organized and deployed project management office to control and coordinate the actions of 12 project managers refurbishing over 40 million lines of code. Established the corporate policies, project management methodology, provided training, conducted regular quality reviews of project status, monitored problems, and assigned resources to resolve work slowdowns and work stoppages. Ensured Y2K project maintained schedule.



Software Engineering Services -- General Software ApplicationsCategory Experience

Principal architect and manager of test infrastructure. Designed, documented, and implemented the process used for Year 2000 test. Managed the establishment of key test notions and test configuration procedures for control of parallel test events. Managed implementation of a trace tool to insure all Year 2000 code changes were exercised. Guided the development and implementation of the test plan format, detailed test procedures, test report format, and test metrics used by 11 Test Managers. Designed test results package for each individual test event, established standard success criteria for each test. Coordinated the test result archive with lawyers to insure protection from litigation. Successfully managed the infrastructure to control testing for 25 million lines of code by 11 test managers over a 36-month project. Provided consistent test methodology for a blend of in-house software and vender provided software tested across several hardware platforms.

Medicare and Medicaid

Lead Analyst for HIPAA Software Assessment for the State of Iowa’s Department of Human Services. Responsibilities included cross-mapping the new ASC X12 Standard Transactions (834, 835 and 837) Claims and 837 Institutional Claims to Iowa’s MMIS system. Analyzed COBOL programs and sub-programs, along with the JCL of the Iowa MMIS system. Additionally, analyzed the ABC and Medicaid Title 19 systems to determine the impact of the new HIPAA rules on these systems.

Credit Card Systems

As part of the International Client Support Team for a large credit card processing firm, provided technical assistance and system support for International Teams. Duties included conducting system test reviews, coordinating all International Team systems test activities, performing technical lead tasks in support of clients, user, programmers, and other internal organizations (primarily support development and installation of projects), and providing training to junior analysts and programmers. Other tasks included test plan designs for major enhancements, analysis and evaluation of complex technical specifications for technical lead of design walk-through, development of COBOL code, VSAM database administrator, test setup/test prep for major system releases, and primary point of contact for version implementation cycles.

Drug PrescriptionSystems

Lead analyst for the development and implementation of drug prescription card systems for two fortune 500 companies using Powerbuilder, Visual Basic and Crystal reports. Developed the interactive accounts receivable and accounts payable systems for pharmaceutical environments. For purpose of updating an MS SQL server database, coded Microsoft Visual Basic systems using Relational Database and Relational Databridge for accessing COBOL data files. Performed level 1 testing to include test plan development, test case specification and design. Developed program specifications and system documentation for system design and maintenance activities. Additionally, provided technical support for implemented systems.

TANF Temporary Assistance for Needy Families (TANF). Providing development support of the State for Iowa’s TANF Report System, which reports financial grant allocations to the Federal Government. Analyzed and cross-referenced data for the conversion requirements. Designed, developed, and performed unit testing for the TANF Reporting System. Assisted in writing the supporting documentation. Key player in assisting client in identifying and resolving SQL (7.0) problems in Medicaid database.

Performs duties as lead analyst and programmer on the Temporary Assistance for Needy Families (TANF) system for the State of Iowa in Des Moines. This project takes data from 12 files and applies data elements to the Case Master and the Individual Master used to create the TANF Final Report transmitted to the Federal Government. The system has over 24 Programs, 6 Connect Directs (NDM) and 29 Sync Sorts. The system was designed in accordance with the regulations




from the Federal Government. The Programs were unit tested and system tested prior to the initial production run and data transmission using MVS/ESA, COBOL-II, JES JCL, VSAM, SAS, SYNC SORT, NDM (Connect Direct), SPSS and Pentium Work Station, IBM Main Frame. Tools Used were POWER POINT, MS WORD, MS EXCELL, PANVALET, TSO-ISPF, FTANF (software from the Federal Government for editing the transactions).

ISIS Individualized Services Information System (ISIS). Project Administrator for the Iowa Department of Human Services (IDHS) Individualized Services Information System (ISIS) developed to improve tracking and the approval process for Iowa Automated Benefit Calculations (IABC) Facility and Waiver applications. This project created software and databases to consolidate the IABC entries, permit case analysis, document viewing, and IABC form edits.

Workman’s Compensation Claims System

Workman’s Compensation Claims system reengineering. Project manager for Development of the EDI connections between federal government and the state of Iowa for Workman’s Compensation claims. Part of the team that formed the new Workforce Development Department for the State of Iowa.

E-Commerce and Website development

Developing application using Java servlets and MS-SQL Server to track pharmaceutical chemicals from chemical manufacturer to end-user. This application will also allow doctors to track prescriptions written to their patients.

Developed pharmaceutical website containing online purchasing, payment transaction processing, and prescription verification.

Developed websites using PHP and SQL for online newspapers, which allowed the client to update articles and content in a web browser environment.

Created company website (www.phssc.com) for the presentation of available services and company information. Using the Java platform, developed EDI and HIPAA Translators to convert standard ANSI data files into an intelligible output format. Installed company network servers, as well as configuring web, mail, proxy, and file access services.

Designed and developed numerous Lotus Notes/Domino intranet databases for use on a large insurance company’s corporate intranet. Migrated existing web applications and content to be served up in a R5 Domino environment.

Provided primary development and support for the companies' three internet websites. (www.mutualofomaha.com, www.mutualmedicare.com, www.innowave.com) This included website design, graphics creation and modification, and the testing and publishing of web documents and applications. Developed Oracle driven, interactive internet applications, which allowed for a dynamic site content using customer supplied data. Configured existing internet servers to allow secure access to information for the companies agents and brokers. Designed and developed numerous Lotus Domino applications for internet, intranet, and extranet sites, allowing users to access to real-time Lotus Notes data. Lead effort to establish corporate extranet to allow external users secure access to corporate data.

Data Warehouse Lead Analyst for Data Cleansing portion of the Data Warehouse Project for the Department of Human Services, Iowa. Acted as mainframe consultant to the TeraData PC team in establishing TeraData scripts in mainframe batch jobs, and setting up overall flow of data cleansing utilizing




COBOL II programs and IBM Utilities along with the TeraData Data Warehouse loaders. All programming and MVS/JCL design, compiled with mainframe consulting was accomplished at his home, where he has a Virtual office setup for tele-commuting. Mr. Kruse wrote over 52 programs and designed the warehouse cleansing load sub-system for the State of Iowa from his home on-time and/or ahead of schedule.

Automated Tollway System

Project Manager for development and installation of a $7.1 million fully automated tollway in southern California. This, first of its kind application, required integration of civil and electronic subcontractors to bring a project, eleven months delinquent, back to an on-schedule status. Provided management supervision of a seven person team with offices on the east and west coasts. Public relations and a keen quality assurance and control program overcame the challenges of the international customer base.

Planned and conducted several projects to accomplish acceptance testing, operational test and evaluation, and availability assessment of E-470 Toll Beltway Management System (TBMS). Duties included on-site manager, resource management, on-site data collection, data analysis and reporting. Reports identified system failures and recommended corrective actions. Provided 24-hour monitor of TBMS failure alarms and maintenance actions to maximize system availability. Used detailed system knowledge to advise system operators on unusual modes of operations.



Question 9: Please describe any experience and deployed solutions in each of the following specific technologies below.

a) Help desk solutions / technologiesb) Data developmentc) Data analysisd) Data modelinge) Facilitating and consultingf) Photogrametery and remote sensingg) Data collection and clean up mappingh) GIS / ESRI Software / Mapinfoi) Electronic Commerce / EDIj) Document managementk) Telecommunications wide area networkl) Biometricsm) Wireless networkingn) IT staffingo) Graphic / web designp) Other

Response: The following table lists the Software Engineering Services Technology Experience requested in Question 9.

Software Engineering Services -- Technology ExperienceCategory ExperienceData Development Provided lead analyst and programmer for the Temporary Assistance for Needy

Families (TANF) system (State of Iowa). This software extracts data from 12 source files, organizes, formats, and interprets the data to meet new federal requirements. Then the software applies the data elements to the Case Master and the Individual Master used to create the TANF Final Report transmitted to the Federal Government. The system has over 24 Programs, 6 Connect Directs (NDM) and 29 Sync Sorts. The system was designed in accordance with the regulations from the Federal Government. The programs were unit tested and system tested prior to the initial production run and data transmission using MVS/ESA, COBOL-II, JES JCL, VSAM, SAS, SYNC SORT, NDM(Connect Direct), SPSS and Pentium Work Station, IBM Main Frame. Tools Used were POWER POINT, MS WORD, MS EXCELL, PANVALET, TSO-ISPF, FTANF (software from the Federal Government for editing the transactions).

Data Analysis Furnished a Lead Analyst for HIPAA Software Assessment for the State of Iowa’s Department of Human Services. Responsibilities included cross-mapping the new ASC X12 Standard Transactions (834, 835 and 837) Claims and 837 Institutional Claims to Iowa’s MMIS system. Analyzed COBOL programs and sub-programs, along with the JCL of the Iowa MMIS system. Additionally, analyzed the ABC and Medicaid Title 19 systems to determine the impact of the new HIPAA rules on these systems.

Deployed Senior Analyst to accomplish conversion of Omaha based Fortune 200 Client legacy data to PeopleSoft. This involved mapping legacy to PeopleSoft and writing SQRs to load the legacy data into PeopleSoft databases. Wrote many SQL queries and



Software Engineering Services -- Technology ExperiencePS Queries to analyze/verify the table structures and data. Used Import Manager and SmartDB tools to load legacy data into PeopleSoft. Developed testing approach for the project and created documentation that outlines the Unit Test Phase for PeopleSoft Conversion.

Data Modeling N/A

Facilitation and consulting Guided program managers and senior leadership through the steps required to make a fundamental positive shift in their software test actions. Interviewed technical staff, project managers, and vice presidents, formed a specific set of objectives for the test community. Recommended several initiatives that collectively formed the vision to create a dedicated test environment. Analyzed the software and hardware architecture to determine the test environment requirements, provided several training documents, gradually provided training on new ideas to enable the local managers to advocate the vision. Provided several background papers to explain the philosophy and benefits from this initiative, formed a strategy document to encapsulate the vision, helped local managers prepare to ‘sell’ the vision to senior leaders.

Mentored a community of test managers and project managers responsible for insurance claims software. Provided daily consulting for test issues and provided process interpretation for test managers and project managers. Resolved test manager problems, secured resources, provided test manager training (formal and informal) to build corporate effectiveness of the test manager community. Accomplished monthly and quarterly review of test activities to ensure test quality was maintained. Elevated overall consistency in test results, ensured credible test results were achieved for 4000+ test events, established and maintained 99.5 percent success rate for implemented software

Photogrametery and remote sensing

N/A

Data collection and clean up mapping

N/A

GIS/ESRI software Mapinfo

N/A

Electronic Commerce EDI

Worked with VISA in the integration of a Secured Electronic Commerce project. Conducted extensive research in the Smart Card industry to evaluate the feasibility to the issuer side of the credit card industry.

Extensive background in GUI development for customer service applications. E-Commerce solutions were Internet Websites, Intranet Websites, and Extranet Websites. Interfaces were developed for internal customers on Intranet browser and windows based platforms and external customers on Internet browser platforms.

Lead Analyst for HIPAA Software Assessment for the State of Iowa’s Department of Human Services. Responsibilities included cross-mapping the new ASC X12 Standard Transactions (834, 835 and 837) Claims and 837 Institutional Claims to Iowa’s MMIS system. Analyzed COBOL programs and sub-programs, along with the JCL of the Iowa MMIS system. Additionally, analyzed the ABC and Medicaid Title 19 systems to determine the impact of the new HIPAA rules on these systems.



Software Engineering Services -- Technology ExperienceDocument management Developed processes, templates, and training to support the entire accelerated-

Capability Maturity Model (a-CMM). Integrated the Supplier Agreement KPA into a major telecommunications and an international insurance company in minimum time. Selected to provide technical documentation and training material development support for a State of Iowa child welfare database development effort.

Primary roles in Quality Assurance (QA), technical writing, testing, and Configuration Management (CM) for several major Department of Defense (DoD) contracts (both contracts and duties often overlapped). Assisted PRC Bellevue in attaining a Level 3 rating under the Software Engineering Institute’s (SEI’s) Capability Maturity Model (CMM).

Telecommunications wide area network

Consult with clients and programmers to accurately portray clients needs for Internet services. Provided services ranging from webpage design to corporate intranet interface with the Internet. Trainer and programmer of HTML and other "web authoring" tools. Contracting consultant to provide contract personnel for corporate positions. Voting board member of several companies strategically aligned with CyberLink.

Served as project lead in the design, development, testing, and implementation of an Internet Banking E-Commerce System for one of the largest banks in the US. Served as project lead designing an interface that created a single point of contact for four lines of business in the insurance industry. Led design sessions with end users and managers to develop the business workflow. Engaged IT resources to develop mapping and transactions from several back-end database resources to support the end user workflow

Provided Software Engineer to develop central repository for scheduling information to satisfy a Department of Energy (DOE) contract. Worked directly with DOE representatives to identify processes and requirements the system needed to support. Designed systems to distributed real-time project updates with centralized batch updates to the overall plans supporting over 15 geographically separated operating locations. Designed and coded COBOL modules to enter and maintain the Multi-year Program Plan and other project tracking systems. Integrated support for budgeting, work planning and milestone schedule reporting. Provided configuration control for the system during development through initial delivery. Initiated requirements for automated testing tools (AutoTester ), and evaluated tools to insure the deliverables integrated into the existent system and met all specified requirements. Completed project on time, within budget.

Biometrics N/A

Wireless networking N/A



Software Engineering Services -- Technology ExperienceIT staffing Mr. Smith applied business process skills and judgement when looking for resources to

support an impact assessment of the Health Insurance Portability Accountability Act of 1996 (HIPAA) project for a State agency. To accomplish this task, we needed a complete understanding of their internal operations for processing Medicaid claims. Mr. Smith was able to locate resources that could complete an assessment of the State’s readiness to comply with the required privacy regulations. Mr. Smith was very careful to locate resources with the correct skills and the correct personality. The assessment would identify weaknesses in the Medicaid program. This was a politically charged situation, the wrong consultants could jeopardize the health of millions of Medicaid beneficiaries. Mr. Smith understood the situation and was successful in finding the correct consultants to lead this effort. One of our resources was selected to be the team leader. This resource was instrumental in designing surveys, checklist, and a policy review matrix for team members to use when collecting data. When the assessment was completed, the state government was pleased with the clarity of the results. Please review Mr. Smith’s resume (Attachment 1) to learn more about his management and judgement capabilities.

Graphic web design Air Force Weather Agency support. Software Engineering (C++, DB, Visual Basic), Web Design and implementation. Developed Web enabled applications using HTML/DHTML, JavaScript, SQL and CGI. Developed Visual Basic Microsoft Access personnel database to satisfy tracking and status requirements for senior managers. Assisted clients with development of Visual Basic, Crystal Reports, and GUI specifications to enhance website.

Other N/A



RESPONSE TO 4-4: CLIENT REFERENCES

Client reference survey forms have been provided to parties shown in the table below with instructions to return the forms directly to the State. The table indicates that SES if seeking qualification in a number of different categories, so references pertaining to this service category will be supplemented with references for other service categories.

Service Category Reference Organization Reference Name Contract or Project1,2,3,4,5,6,7,9 State of Iowa Walt Hoshaw DHS Data Warehouse2,3,5,6,7 State of Iowa Walt Hoshaw ISIS1,2,6,7 ING-Equitable of Iowa Jan Post SEI CMM Level 21,2,3,4,5,6,7,8,9 Mutual of Omaha Luther Larson Y2K 1,2 State of Iowa Dennis Headlee Medicaid Assessment

RESPONSE TO 5-1: REQUIRED SIGNATURE FORMAT

Two originally signed copies of the signature form are included in Exhibit F.

RESPONSE TO 5-2: VENDOR APPLICATION AND W-9 TAX FORM

SES’s vendor application and W-9 forms are located at Attachment 2.



PART 6 - EXHIBITS, ATTACHMENTS AND ADDENDUMS:



ITQ EXHIBIT A - NON-COLLUSION AFFIDAVIT

NON-COLLUSION AFFIDAVIT

I, the undersigned, am the person responsible for the preparation of and cost data contained in this response submitted to the STATE in response to this ITQ and certify that:

Cost data has been arrived at independently and without consultation with any other party.

No information regarding this response content has been disclosed to any other party that may be or may potentially be responding to the ITQ with a response.

No attempt has been made to induce or to refrain any other party in responding to this ITQ or to influence the content of their response.

This response and subsequent proposal(s) submitted by my firm to RFPs referring to this ITQ is made / will be made in good faith and not pursuant to any discussions / agreement with any other party.

My firm and its affiliates, subsidiaries, officers, directors and employees are not currently under investigation or been convicted for any act prohibited by federal law involving conspiracy or collusion with respect to bidding on public ITQ and related POs, except as follows:

____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

I understand that any miss-statement in this affidavit is and shall be treated as fraudulent concealment from the STATE of the true facts relating to the response submission for this ITQ.

Name: _Jim Bridges ________, Position : __President___________________

SIGNATURE: ____________________________________ Date : _________________

Representing COMPANY NAME: Software Engineering Services

SWORN TO AND SUBSCRIBED BEFORE ME THIS DAY ___________ OF __________

NOTARY PUBLIC _________________________ My commission expires: ___________



ITQ EXHIBIT B - LOBBYING CERTIFICATION FORM

LOBBYING CERTIFICATION FORM

FOR ITQ AND RELATED POSS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS

The undersigned certifies, to the best of her or his knowledge and belief, that

No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress in connection with the awarding of any federal contract or agreement, or the making of any federal grant, loan, or co-operative agreement.

If any funds other than federal appropriated funds have been paid to any person for influencing or attempting to influence the making of federal contracts or federal grants, loans, co-operative agreements, the undersigned will submit full disclosure of lobbying activities showing all details and supporting documents.

The undersigned will require any or all subcontractors to submit a separate lobbying certification and disclosure accordingly.

SIGNATURE: ___________________________________ TITLE: __President_______

COMPANY NAME: Software Engineering Services DATE: November 7, 2001__



ITQ EXHIBIT C - MANDATORY AGREEMENT QUESTIONNAIRE

This section consists of a series of questions that must be answered to the affirmative prior to proceeding with development of your response. It confirms your understanding of and agreement to our requirements for submitting a response. Negative responses will disqualify you. Please insert a copy of your answers inside each of your responses.

1. Do you agree that the contents of your proposal(s) will become part of any resulting ITQ and related POs and can not be held confidential? YES _____ NO _____

2. Do you agree to submit one original of your proposal, together with two (2) copies and a electronic soft copy on diskette? YES _____ NO _____

3. Will you include at least three (3) client references and agree you must attain acceptable scores from references for each service category you are attempting to qualify for? YES _____ NO _____

4. Do you agree that you must maintain an acceptable rating by each agency you do work for in order to remain pre-qualified for each service category? YES _____ NO _____

5. Do you agree to abide by agency specific requirements as outlined in section 1-25? YES _____ NO _____

6. Do you agree that your response will remain valid for at least 120 business days and duration of ITQ and related POs? YES _____ NO _____

7. Are you a TSB or do you currently have or have had a contracting role in three (3) projects for each of the categories you are attempting to qualify for? YES _____ NO _____

8. Do you agree that if the STATE finds any part of your response to be false, you will be placed on temporary suspension from doing business with the STATE? YES _____ NO _____

9. Do you accept the requirements stated in sections 1-19 and 1-21?YES _____ NO _____

10. Will you provide all documents of proof of insurance as required by this ITQ and any related POs? YES _____ NO _____

11. Are you aware that the STATE will conduct any and all background checks it deems necessary? YES _____ NO _____

SUBMIT COMPLETED COPY INSIDE YOUR RESPONSE.

COMPLETED BY ________________________


X

X

X

X

X

X

X

X

X

X

X


ITQ EXHIBIT D – REFERENCE SURVEY FORMS(RESPONSES SUBMITTED SEPARATELY)



ITQ EXHIBIT E - STRATGEGY/VISION/CONSULTING

COST DATA SHEET for ITQ Number BD80200S102 Revision 1.0, Amendment 1

FOR SERVICE CATEGORY: Strategy/Vision/Consulting

COMPANY NAME: Software Engineering Services date: November 7, 2001

DESCRIPTION OF SERVICE (Rates quoted are for both Project Development and Staff Augmentation)

RATE PER HOUR NOT TO EXCEED

ArchitectSubject Matter ExpertBusiness Consultant/Analyst

$125.00$125.00$95.00

Note: The SP may be able to have additional line items added at a later date to this ITQ, IF it is in the same service category as originally qualified for under the ITQ, and If such a request is approved by the STATE. In such case, an addendum will be issued by the STATE.

Submit additional sheets as necessary. RATE PER HOUR is to be in US dollars and is firm for the duration of ITQ, except that changes to the rates per hour may be made upon approval by the STATE once every 12 months from date of the ITQ execution and no change will be allowed over 5% for each line item without justification. In such case, an addendum will be issued by the STATE.



ITQ EXHIBIT E - PROJECT MANAGEMENT


FOR SERVICE CATEGORY: Project Management

COMPANY NAME: Software Engineering Services date : November 7, 2001



Program ManagerProject ManagerProject AdministratorTechnical Writer

$125.00$95.00$85.00$75.00

Note: The SP may be able to have additional line items added at a later date to this ITQ, If it is in the same service category as originally qualified for under the ITQ, and If such a request is approved by the STATE. In such case, an addendum will be issued by the STATE.




ITQ EXHIBIT E - DESIGN/PLANNING


FOR SERVICE CATEGORY: Design/Planning




Architect/Technology Lead $125.00




SOFTWARE ENGINEERING SERVICESITQ EXHIBIT E - DEVELOPING


FOR SERVICE CATEGORY: Developing




DeveloperSr. DeveloperJr. DeveloperEngineerSr. EngineerJr. Engineer

Emerging/Niche Technology Sr. Emerging/Niche Technology Jr. Emerging/Niche Technology

$95.00$105.00$85.00$95.00$105.00$85.00$125.00$125.00$110.00





ITQ EXHIBIT E - TESTING


FOR SERVICE CATEGORY: Testing




Test PlanningQuality Assurance

$85.00$85.00





ITQ EXHIBIT E - IMPLEMENTATION


FOR SERVICE CATEGORY: Implementation




Implementation Planning $85.00





ITQ EXHIBIT E - TRAINING


FOR SERVICE CATEGORY: Training




Product BuildingClassroom DeliveryOnline / CBTField Delivery

$95.00$85.00$95.00$85.00





ITQ EXHIBIT E – ADMINISTRATION


FOR SERVICE CATEGORY: Administration




Database LAN/WAN Operating System

WebSecurity

Emerging/Niche Technology

$85.00$85.00$85.00$85.00$85.00$125.00




SOFTWARE ENGINEERING SERVICESITQ EXHIBIT F -REQUIRED SIGNATURE PAGE

If for any reason the SP’s agent for service is unable to act as such or the address of the agent changes, the SP shall immediately appoint a new agent and provide the STATE with written notice of the change in agent or address. Any change in the appointment of the agent or address will be effective only upon actual receipt by the STATE. Nothing in this provisions will alter the right of the STATE to serve process in any other manner permitted by law.

I / we as undersigned agree to the terms and conditions of the aforementioned ITQ #BD80200S102 and if

our response is accepted, to furnish any and all services upon which cost data has been submitted. Any

material misstatement in our response shall be treated as fraudulent concealment from the STATE of the

facts relating to this ITQ.

Name of Entity / Person Submitting Proposal: Jim Bridges

Mailing address: 1508 JF Kennedy Drive, Suite 201

Bellevue, NE 68005

Phone: (402) 292-8660 Fax: _(402)292-3271 Email: [email protected]

If Individual: SIGNATURE: _________Date: _________Social Security Number:________

If Partnership:Names -type written: N/A Social Security Numbers: N/A

SIGNATURES of PARTNERS: ____________________________________ Date: __________

_____________________________________Date: __________

If Corporation: Corp ID# __________________________________ State: Nebraska

SIGNATURE: ________________________________Date: November 7, 2001

Name and Title -type written: Jim Bridges, President

I / we consent to service of process by certified or register mail addressed to our designated agent as required by Part 5-13-i of the Terms and Conditions of the ITQ. I / we appoint _Jim Bridges____ at _1508 JF Kennedy Dr., Suite 201, Bellevue, NE 68005 as our agent to receive service of process.

WITNESS SIGNATURE: ______________________ Title: ________________ Date: _________

The STATE of Iowa, acting through the undersigned officer(s), hereby accepts the foregoing response to the ITQ and pre-approves the SP named for agency requests for proposals using this agreement. This acceptance and the SP’s response for the above referenced ITQ and related POs, including the terms and conditions of the ITQ constitute a binding contract between the STATE and the SP.CT ____________ Vendor ID# ____________________ CONDITIONAL TSB

Evaluation Committee Chairperson _____________________________ Date: _______________

DGS Purchasing Div. Administrator: ____________________________ Date: _______________

Purchasing Agent / Issuing Officer : ____________________________ Date : ______________


X

SOFTWARE ENGINEERING SERVICESITQ EXHIBIT F - REQUIRED SIGNATURE PAGE

If for any reason the SP’s agent for service is unable to act as such or the address of the agent changes, the SP shall immediately appoint a new agent and provide the STATE with written notice of the change in agent or address. Any change in the appointment of the agent or address will be effective only upon actual receipt by the STATE. Nothing in this provision will alter the right of the STATE to serve process in any other manner permitted by law.

I / we as undersigned agree to the terms and conditions of the aforementioned ITQ #BD80200S102 and if

our response is accepted, to furnish any and all services upon which cost data has been submitted. Any

material misstatement in our response shall be treated as fraudulent concealment from the STATE of the

facts relating to this ITQ.

Name of Entity / Person Submitting Proposal: : Jim Bridges

Mailing address: 1508 JF Kennedy Drive, Suite 201

Bellevue, NE 68005

Phone: _(402) 292-8660___ Fax: _(402)292-3271____ Email: [email protected]__

If Individual: SIGNATURE: _________Date: _________Social Security Number:________

If Partnership:Names -type written: N/A Social Security Numbers: N/A

SIGNATURES of PARTNERS: ____________________________________ Date: __________

_____________________________________Date: __________

If Corporation: Corp ID# __________________________________ State: _NE__________

SIGNATURE: ________________________________Date: November 7, 2001

Name and Title -type written: ___Jim Bridges, President_________________________________

I / we consent to service of process by certified or register mail addressed to our designated agent as required by Part 5-13-i of the Terms and Conditions of the ITQ. I / we appoint _Jim Bridges____ at _1508 JF Kennedy Dr., Suite 201, Bellevue, NE 68005 as our agent to receive service of process.

WITNESS SIGNATURE: _________________ Title: ____________ Date: _______________

The STATE of Iowa, acting through the undersigned officer(s), hereby accepts the foregoing response to the ITQ and pre-approves the SP named for agency requests for proposals using this agreement. This acceptance and the SP’s response for the above referenced ITQ and related POs, including the terms and conditions of the ITQ constitute a binding contract between the STATE and the SP.CT ____________ Vendor ID# ____________________ CONDITIONAL TSB

Evaluation Committee Chairperson _____________________________ Date: _______________ DGS Purchasing Div. Administrator: ____________________________ Date: _______________ Purchasing Agent / Issuing Officer : ____________________________ Date : ______________


X

SOFTWARE ENGINEERING SERVICESATTACHMENT 1 – APPLICATION FOR CERTIFICATE OF AUTHORITY

CHESTER J. CULVERSecretary of State

State of Iowa

APPLICATION FOR CERTIFICATE

OF AUTHORITY

TO THE SECRETARY OF STATE OF THE STATE OF IOWA:Pursuant to section 1503 of the Iowa Business Corporation Act, the undersigned corporation applies for a certificate of authority to transact business in Iowa, and states:

1. The name of the corporation is Software Engineering Services_Corporation.1A. [ See note 5] The name the corporation will use in Iowa, if different than the legal name of the corporation is_________________________________________________________________________

2. The corporation is incorporated under the laws of the state [or foreign country] of Nebraska.3. The date of incorporation of the corporation was August 22, 1992. 4. The duration of the corporation is perpetual.

5. The street address of its principal office isAddress 1508 JF Kennedy Drive, Ste. 201 City, State, Zip Bellevue, NE 68005

6. The street address of its registered office in Iowa and the name of its registered agent at that office:Name John AbellAddress 408 Second Street, PO Box 96City, State. Zip Silver City, IA 51571

7. The names and business addresses of its current directors and officers:Name Jim Bridges, PresidentAddress 1508 JF Kennedy Drive, Ste. 201City, State, Zip Bellevue, NE 68005

Name ____________________________________________________________________________Address __________________________________________________________________________City, State, Zip ____________________________________________________________________


635_0110A06/01


SOFTWARE ENGINEERING SERVICESName ___________________________________________________________________________Address __________________________________________________________________________City, State, Zip ____________________________________________________________________


[Please attach additional pages as necessary]8. A certificate of existence, or a document of similar import, duly authenticated within 90 days prior to the date of this application, by the official having custody of corporate records in the state or country of incorporation, accompanies this application.

9.Signature _______________________________________________________________________Type or print name and title __________________________________________________________

NOTES:1. The filing fee is $100.00. Make checks payable to SECRETARY OF STATE.

2. The document is to be signed by the chairperson of the board, the president, or other officer of the corporation. If directors have not been selected, the document is to be signed by an incorporator. If the corporation is in the hands of a court appointed fiduciary, the document is to be signed by the fiduciary. A copy of a signature is acceptable for filing. Verification is not required.

3. One copy of the document is to be delivered to the Secretary of State for filing.

4. The effective time and date of the document is the later of the following:a. the time of filing on the date it is filed;b. the time specified in the document on the date it is filed;c. the time and date specified in the document, not later than 90 days after the date it is filed.

5. If the name of the corporation does not satisfy the requirements of section 401 of the Iowa Business Corporation Act, the corporation may do either of the following in applying for a certificate of authority:a. add one of the following words or abbreviations to its corporate name for use in Iowa:corporation, incorporated, company, limited, corp., inc., co., ltd.;

or b. use a fictitious name to transact business in Iowa if the corporation's real name is unavailable and the corporation delivers to the secretary of state for filing a copy of the resolution of its board of directors, certified by its secretary , adopting the fictitious name.

SECRETARY OF STATECorporations Division

Lucas Building, 1st FloorDes Moines, Iowa 50319

Phone: 515/281-5204FAX: 515/242-5953635_0110A06/01



ATTACHMENT 2 – VENDOR APPLICATION FORMIowa Department of General Services

Purchasing DivisionHOOVER BUILDING, LEVEL A

DES MOINES, IOWA 50319-0105

VENDOR APPLICATION FORM

1. Legal Business Name: Software Engineering Services Corporation Yrs. In Business: 10 (For remittance of warrants/payments)

Line 1: 1508 JF Kennedy Drive, Suite 201

Line 2: Bellevue Sarpy NE 68005

(City) (County) (State) (Zip)

Address if different than listed above:

2. Alternate (DBA) Address:

Legal (DBA) Name:___________________________________________________DBA ___

Line _______________________________________________________________________

Line 2 _____________________________________________________________________

City/State/Zip_______________________________________________________________

3. Purchase Order/Bid Mailing Address:

Business Name: ______________________________________________________________

Line 1 ______________________________________________________________________

Line 2 ______________________________________________________________________

City/State/Zip _______________________________________________________________

4. Federal Identification Number (FEIN) and/or Social Security Number or EIN#, if applicable:

EIN#:________________________________________________________________________

SSN#:________________________________________________________________________

5. Type of organization: Corporation Partnership Individual Sole Proprietorship Foreign


47-0760858

X


6. If corporation, indicate in which state: Nebraska Date incorporated? August 22, 1992

(Record additional corporation and/or company data on reverse side)

7. Does any state of Iowa employee hold an office as Principal, Director, Partner, or hold any remunerative position in this Company? YES (List names, positions & agencies on reverse side) NO

8. Indicate on the attached commodity list, the classes of equipment, supplies, material and/or services on which you desire to bid/sell:

9. Specific brand names of items handled: _______________________(Please attach separate list)

10. Type of business (Check more than one if applicable):A. Manufacturer or producer _________ E. Service Establishment _________B. Dealer with inventory stock_________ F. Professionally Licensed _________C. Construction concern _________ G. Foreign _________D. Distributor _________ H. Other IT Consulting Services

11. Type of operation (Check more than one if applicable):A. Is your firm located in Iowa? NoB. Are you a single management concern (not a branch or subsidiary of another firm)? YesC. Gross receipts/sales last year: $3,012,333.89D. Number of employees: Company-wide 25 in Iowa 2 E. Are you a minority- or disadvantaged-owned concern , at least 51 percent owned,

controlled and actively managed by one or more minorities or, if a publicly-owned concern, at least 51 percent of the stock owned by one or more minorities Yes

F. Are you a woman-owned concern, at least 51 percent owned, controlled and actively managed by one or more women or, if a publicly-owned concern, at least 51 percent of the stock owned by one or more women? No

G. If you are a Targeted Small Business (TSB), are you currently certified with the Iowa Department of Inspections and Appeals? No

12. Company Contact Person(s): NAME Official Position Telephone Number

Jim Bridges____________________President__________________( 402 ) 292 - 8660

_______________________________________________________ (402 ) 292 - 8660

________________________________________________________(____)____- ___


X

Sonny Ashford Director of Marketing


12. Bank Reference: _________________________________________________________________

Address_____________________________________________________________________

14. The undersigned certifies that the information contained herein is correct. I understand that misrepresentation may be cause for removal from the qualified vendor list and any other penalties allowed by law. Further I affirm that the undersigned company’s employment practices do not discriminate because of age, race, creed, color, sex, national origin, religion, or disability.

Firm Software Engineering Services Corporation

Signed ___________________________________

Print Name: Jim Bridges

Title: President & CEO

Business number: (402) 292 - 8660

Toll free number: (800) 244 - 1278 Date: November 7, 2001

FAX number: (402) 292 - 3271

1. E-mail Address: [email protected]



RESPONSE PART 2



COMPANY LITERATURE



CONTRACTOR PRACTICES TO INTEGRATE INTO CLIENT CULTURE

DAY before Start Day -- Call client and confirm arrival time. Ask for name, phone number, desk location, duty hours of initial contact. Confirm proper dress code. Confirm if contractor needs to bring LAPTOP to enable productivity on first day.

DAY 1 – Work Environment Seating arrangements – where do you sit, who manages the trash cans, where is the bathroom,

where is the area to store your coats and personal effects Working hours – what are the norms, is Saturday morning a unwritten duty day Lunch hour – when do people usually disappear for lunch (don’t schedule meetings or work) Desk top management – what is the corporate norm for keeping your work area clean and neat Computer usage traditions – web access rules, email rules Dress requirements – regular dress, Friday dress, and meeting dress code

Standard meetings – locate and attend the regular, required business meetings, determine (if possible) the agenda before you attend to be sure you are prepared. Learn the cultural requirements for meetings if you are scheduling and managing meetings

DAY 1 – Initiate Contract Accomplish initial Statement of Work interview with client Identify immediate tasks to start on Make commitments for follow up meeting on Day 2. Identify directory location of Client policy documents Identify directory location of Client process documents Identify POC for LAN logon and telephone access.

Establish connectivity Get password established for LAN logon Locate phone number, FAX number, e-mail address, report back to SES Locate phone number, email address, physical location of primary POC

DAY 1 – Review Corporate Policy Ask for location of client policies, processes, procedures’ Review client policies Inquire about murky areas Learn to speak the client “policy language”

DAY 2 – Review Corporate Process Review client process and procedures Ask questions about interpretation Learn to speak the client “technical and business language” Identify time sheet documentation required by customer Identify task report format required by customer


SOFTWARE ENGINEERING SERVICES Gain an understanding of client methodology as it pertains to SOW required deliverables

DAY 2 -- Contractual Requirements Learn the Chain of command Review and understand the statement of work in the context of client comments from Day one

initial meeting Accomplish a detailed interview (subtle interaction) with key point of contact to confirm the

contractor understands the true need (requirements) of the client – review the statement of work with client if necessary to solidify the required tasks

Establish a plan on how to apply corporate methodologies, create deliverables, set milestones, set standards of quality – manage the expectations of the client

Look for examples of similar deliverables created by client (using the targeted methodologies) to use a model for deliverable format.

If SES format is to be used, present examples for client to review and approved before the work starts – explain how the SES format fits within the client methodology, if the fit is not ‘perfect’, explain how the SES format will be modified to meet the corporate methodology

Establish regular “how goes it” meetings with principal client POC, discuss goals, deliverables, and application/interpretation of client methodologies

Establish the path for the SES weekly report

End of first WEEK Accomplish a detailed interview (subtle interaction) with key point of contact to confirm the

contractor understands the true need (requirements) of the client – review the statement of work with client if necessary to solidify the required tasks

Review current status Explain how to read the SES weekly report and the need for a Locate FAX to ship signed SES weekly report back to SES, secure permission to use the FAX

for said purpose. Review Deliverable status and formats



RESPONSE PART 3

AMENDMENT Number One ISSUED October 10, 2001 to INVITATION TO QUALIFY# BD80200S102, Version 1.0 ISSUED June 8, 2001, for

Information Technology Consulting Services

SECTION DESCRIPTION SES SECTION/PARAGRAPH COMMENTS

1.0 Background *Critical issues reviewed/ accepted as written. Dunn and Bradstreet Report included in this response.

2.0 Acceptance & Effective Date *Signature Pages included in this response.

3.0 Questions *Questions will be directed to Issuing Officer.

4.0 Amendments to ITQ by Section/Paragraph:1.5 COMMUNICATIONS *Communications will transpire

between SES and Issuing Officer using the preferred method (e-mail). FAX/Phone will be used to correspond on time sensitive issues.

1-7 TERMS & CONDITIONS WILL NOT BE NEGOTIATED

*Accepted as written.

1-10 (3rd Paragraph) * Accepted as written.1-11 PAYMENT TERMS * Accepted as written.1-12 HARDWARE AND SPFTWARE

* Accepted as written.

1-26 EVALUATIONS AND AWARDS (1st paragraph)

* Accepted as written.

1-31 FIDELITY BOND * SES will post a fidelity bond in accordance with the stated requirements. Accepted as written.

2-1 PREFACE * Accepted as written.2-2 OWNERSHIP AND LICENSES

* The State of IA shall own the copyright or other property interests in specified deliverables unless otherwise agreed to in the PO. Accepted as written.

2-3 PAYMENTS *Payments and retainage shall be made based on the agreements made between the State of IA



AMENDMENT Number One ISSUED October 10, 2001 to INVITATION TO QUALIFY# BD80200S102, Version 1.0 ISSUED June 8, 2001, for

Information Technology Consulting Servicesand SES in the PO. *Accepted under PO agreements.

2.4 ASSIGNMENT OF ITQ AND RELATED POS


2.5 DEFAULT; REMEDIES OF STATE


2.9 (last paragraph) *Accepted as written.2.10 DEFAULT: REMEDIES OF SP


2.12 TERMINATION FOR CONVENIENCE


2-18 Required car insurance is changed to $1 million. *Accepted as written.

* Referenced Amendment 1 changes ISSUED 10/10/01 are accepted as written where so stated with the understanding that any Purchase Orders issued under this ITQ shall be negotiated and agreed to by the State of Iowa and SES, accordingly.



AMENDMENT Number One ISSUED October 10, 2001 to INVITATION TO QUALIFY

# BD80200S102, Version 1.0 ISSUED June 8, 2001, for


ITQ NEW SECTION RESPONSES5.1 Additional Section to Part 2 (new last paragraph): WARRANTIES

*Warranty period for this ITQ and any PO is Accepted as written and agreed to by State of IA and SES.

5.2 Additional Section to part paragraph 4-6: SP’s BACKGROUND / FINANCIAL QUESTIONAIRE):


4-6.1 The following is a list states where SES has had business operations or dealings of the (corporate or other type of entity) are subject to charter, registration, certification, licensure or regulation.: Alabama, Arkansas, Colorado Iowa, Minnesota, Nebraska, Rhode Island, and South Dakota

4-6.1A SES has not been disciplined, admonished, warned, had its license, registration, charter, certification or any similar authorization to do business suspended or revoked for any reason (collectively “disciplined”).

4-6.1B

SES, its officers, agents or employees have not been disciplined nor are disciplinary actions pending in any State in which SES has business dealings.

4-6.1B(2) Not Applicable 4-6.1B(3) Not Applicable 4-6.1B(4) Not Applicable 4-6.2 SES does not have any pending

administrative, criminal or civil proceedings against the business entity, its officers, agents or employees that relate directly or indirectly to the conduct of






ITQ NEW SECTION RESPONSESbusiness.

4-6.2A Not Applicable 4-6.2B Not Applicable 4-6.2C Not Applicable 4-6.2D Not Applicable 4-6.3 Within the past three (3) years

SES has not been sued by any person or entity for damages or injunctive relief in State or Federal Court with regard to Vendor’s collection practices in which the person or entity brought the primary action against the Vendor’s collection practices.

4-6.3A Not Applicable 4-6.3B Not Applicable 4-6.3C Not Applicable 4-6.3D Not Applicable 4-6.3E Not Applicable 4-6.4 Within the past three (3) years

SES not entered into a settlement agreement, consent decree, or confession of judgment in lieu of litigation (or further litigation) with respect to prospective Vendor’s collection practices.

4-6.4A Not Applicable 4-6.4B Not Applicable 4-6.4C Not Applicable 4-6.4D Not Applicable 4-6.5 Within the past three (3) years

no complaints have been filed nor lodged against SES, its officers, agents, or employees with the Attorney General of any state, Better Business Bureau of any state, the Consumer Affairs’ Office (or similar nomenclature) of any state, the Federal Trade






ITQ NEW SECTION RESPONSESCommission or any other federal agency which relate directly or indirectly to the conduct of the business.

4-6.5A Not Applicable 4-6.5B Not Appplicable 4-6.5C Not Applicable 4-6.5D Not Applicable 4-6.6 SES has not filed a voluntary

petition in bankruptcy, nor a voluntary petition to reorganize its business, nor a voluntary petition to effect a plan or arrangement with creditors within the past five (5) years.

4-6.7 SES has not been the subject of a filing for involuntary bankruptcy within the past five (5) years.

4-6.8 Not Applicable per Ashley Super.

4-6.9 Not applicable per Ashley Super. 4-6.10A A Dunn and Bradstreet Report

for SES is included. 4-6.10B Please keep “CONFIDENTIAL”

SES financial statements and other related financial information. A Request for Authorization to Release Information-- any financial or other sensitive business information should be submitted to SES in writing by the State of Iowa prior to release of such information.

One (1) Copy of SES Dunn and Bradstreet Report is enclosed.






ITQ NEW SECTION RESPONSES 4-6.10C Financial Reference:

Name:Address:Telephone:FAX:

3.3.5 Acceptance of Amendment #1 to ITQ BD80200S102, version 1.0 Forms are included (2 Copies with Original Signatures).



DUNN AND BRADSTREET REPORT



REQUIRED AMENDMENT 1 SIGNATURE PAGES


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