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State of North Carolina Department of Health and Human Services

REQUEST FOR PROPOSAL (RFP)

Addendum #3 Date: August 14, 2018 RFP Number: 30-180239 RFP Description: Electronic Network Centered on Rehabilitation Effectiveness (ENCORE) Purpose of Addendum: Agency Response to Vendor Questions & Revisions to Original RFP Offer Submission Date/Time: September 17, 2018 – 2:00PM ET

INSTRUCTIONS:

1. Review Attachment 1 (Agency Response to Vendor Questions) and Attachment 2 (Revisions to Original RFP).

2. Return one properly executed copy of this addendum with your RFP response. Failure to sign and return this addendum may result in the rejection of your RFP response.

ATTACHMENTS:

1. Agency Response to Vendor Questions

2. Revisions to Original RFP

******************************************************************************************************************* Execute Addendum: Vendor: __________________________________________________________________________ Authorized Signature: _______________________________________________________________ Name and Title (Print): ______________________________________________________________ Date: _______________________

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Attachment 1 – Agency Response to Vendor Questions

No. Reference Vendor Question Agency Response

1 Section I. Introduction, p. 6 The RFP states "The ENCORE Solution must comply with DHHS, State, Rehabilitation Services Administration (RSA) and other federal requirements." Has the State received RSA approval to replace their current VR case management system(s)?

RSA is aware of our intent to replace our current VR case management system. According to RSA technical assistance, RSA approval is required after vendor selection is made and before the contract is issued.

2 Section I. A. Background - Community Rehabilitation Providers (CRP), p. 8; Section III. 13) e) i) 16. a. xi. Role-based Capabilities, p.40; Attachment A. List of BEAM Reports, pp. 65-77; Attachment C. List of ENCORE Workflows, pp. 81-83; Attachment D. ENCORE Workflow Diagrams, pp. 84-130

There are several CRP-specific workflows provided in the RFP. Will the case management system be expected to refer participants to the CRP only, or is the CRP also going to perform their work activities in the system? Are the CRPs named end-users of the case management system? Do the CRPs function as case counselors, or do they provide services only? What security requirements are necessary for the CRPs?

The case management system is expected to refer participants to the CRP and the CRP is going to perform/document work activities in the system. CRPs will be end users in the case management system but will have a limited role. They provide and document their services and end a CRP service in the case management system and do not function as case counselors. The security requirements are the same between the CRP access through portal and the ENCORE solution.

3 Section I. A. Background - Community Rehabilitation Providers (CRP), p. 8; Section III. 13) e) i) 15. Client Portal, pp. 35-37; Section III. 13) e) i) 16. Service Provider (vendor) Portal, pp. 37-40

The RFP references a Client Portal and a Service Provider Portal throughout. Does NC DHHS currently have a Client Portal or Service Provider Portal in use?

Apart from the current access where CRPs (service providers) are given role-based access to limited components of current application, DHHS does not have an existing Client Portal or Service Provider Portal for other non-CRP service providers.

4 Section I. A. Background - Community Rehabilitation Providers (CRP). p. 8; Section III.13) e) ii) 9. Acquisition, Licensing and Product Overview, p. 49

The RFP cites number of end-users as 2,000 and as 1,750. We understand the requirement is for 450 concurrent users, however, our commercial off-the-shelf (COTS) solution is licensed per end-user. Please identify the number of named end users for each DSU that will need access to the system.

DHHS currently has 1205 Business Users (DSU Staff) and 545 CRP users (with limited access).

Number of concurrent users is 650.

Please refer to Attachment 2 – Revisions to Original RFP

5 Section III. 5) NCID, p. 22 The RFP states that the proposed solution must use NCID for identity management and authentication-related functions. The sites provided for

Specifics on NCID are typically provided after award. NCID integration is possible by SAML (preferred), Directory

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additional information contain high-level explanations, but no detail about the solution or platform. Can the State provide more detail on the identity management platform and solutions NCID requires?

Sync (LDAP), Web Services, or Proxy.

6 Section III. 12) a) Scope, p. 23; Section III. 13) e) ii) 3. Data Conversion and Migration, pp. 42-43

The RFP indicates that the vendor is responsible for all data migration and data cleansing tasks. As a COTS solution with 39 successful implementations, our best practices require the agency to participate in data migration activities, such as data extracts and data cleansing. Does DHHS have the resources to participate in the data extraction and cleansing activities? Does DHHS have access to their legacy system data? Does DHHS own the data model for the legacy system?

DHHS has access to the legacy system data and can provide assistance with extracting and cleansing data for migration.

While DHHS owns the data within the current systems, it does not own the data model for the legacy system, which is proprietary property of the current vendor.

7 Section III.13) e) i) 9., Integration and Interface, p. 32

The RFP requires the "ability to pull information from other websites through APIs." Please provide examples of "other websites."

The Melissa Global Intelligence Personator and Address Verification services as examples to help prevent loss of contact for clients and to verify and standardize employer addresses.

8 Section III.13) e) i) 14. bb. Workflow, p. 35

The RFP requires "a master calendar for centralized scheduling and tracking." Does the DHHS legacy system have this ability currently? Does this functionality support services provided through the RCB? Do all staff use the scheduling and calendaring? Can the State provide more detail on the purpose of the scheduling and calendar?

No, the legacy system does not have functionality for RCB scheduling.

Only certain RCB staff will need to write on the schedule and calendar. All RCB staff and some administrators will need view access to the calendar and schedules.

Scheduler and Calendar are needed for ABLE, ABLE2, EU, and SAVVY programs to track openings and rolling admissions.

9 Section III.13) e) ii) 3. Data Conversion and Migration, p. 42-43

Is the DHHS legacy case management system expected to be the only system with data for data migration?

Yes.

10 Section III. 13. e) ii) 7. Service Level Agreement, pp. 46-49

The listed support incident classifications and response times differ from our standard agreements. Will the State

Vendor may submit their standard SLA. However, ENCORE SLA will be finalized

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accept a vendor’s standard support incident classifications and response times?

during contract negotiations with finalists.

11 Section III. 13. e) ii) 7. Service Level Agreement, pp. 46-49

Will the State accept a vendor’s standard Service Level Agreement if the key subjects listed in this section are addressed in the vendor’s Service Level Agreement documents?

Vendor may submit their standard SLA. However, ENCORE SLA will be finalized during contract negotiations with finalists.

12 Section III. 13. e) ii) 7. Service Level Agreement, pp. 46-49

Does DHHS have flexibility for the hosting services maintenance window if the maintenance occurs outside of DHHS business hours?

Yes, it is negotiable. However, ENCORE system should be available during DHHS business hours of Monday through Friday 7:00 a.m. – 6:00 p.m., ET.

13 Section Referenced by Vendor:

Section III.13) e) i) 17. Alternative Accounting Solution (Optional), p. 47

Apparent Correct Reference:

Section III. 13) e) ii) 7. d., p. 47

The State lists implementation of updates for meeting federal requirements and other requirements at no additional cost to the State. Many of these benefits are met through an annual renewal of an Upgrade, Maintenance and Support (UMS) agreement (for fee) for our COTS solution. Will the State accept our standard UMS agreement to satisfy these requirements?

State will accept standard UMS agreement provided all regulatory, compliance, and accreditation requirements are implemented by the vendor before the required date.

14 Section III.13) e) i) 7. Enterprise Content Management, pp. 30-31;

Attachment F - ENCORE Proof of Concept (PoC) Tasks, p. 136

The RFP asks about scanning capabilities and outlines the desire for a collaborative document management system. Does DHHS currently have a Document Management System? If yes, what does the current DHHS document management system allow you to do?

DHHS currently does not have a Document Management System. Current capabilities include only scanning, saving to a repository (drive), then attaching scanned documents at various places within the legacy case management system.

15 Section V. 23) a) Escrow Agreement for a COTS ENCORE Solutions, p. 60

Will the State accept a third-party Escrow Agent outside of the State of North Carolina? Will the State accept or negotiate based on a vendor's standard escrow agreement?

The State will not accept a third-party Escrow Agent outside the State of North Carolina. The draft escrow agreement must include all of the requirements outlined in the RFP.

16 Section VI. 7) f) i) RFP Response Organization, p. 63

Will the State accept a generic organizational chart?

Yes. A generic organizational chart specific to the project may be submitted with the RFP response. However, detailed organizational charts illustrating the lines of authority and designating the individuals responsible for the completion

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of each project component or Deliverable must be submitted prior to Project Kick-off meeting.

17 Section VI. 7) f) i) RFP Response Organization, p. 63

Will the State accept resumes for key personnel only?

No. Resumes for each individual in the staffing plan must be provided.

18 Attachment B. List of ENCORE Interfaces, pp. 78-80

Please clarify if any of the interfaces listed in the table are Web Service- or API-based. If any are Web Service- or API-based, please identify which ones.

1. CNDS – API 2. NCTRACKS – Web Service 3. NCID – Web Service 4. Positive Pay – API 5. NCAS – API 6. "Generate ESC Request

File" – API 7. "Generate SSA Request

File" and "Load SSA Return File" - API

8. Ticket Tracker – API

19 Attachment C. List of ENCORE Workflows, pp.81-83;

Attachment D. ENCORE Workflow Diagrams, pp. 84-130

Is DHHS willing to re-engineer their current workflows and business processes to implement a COTS solution with minimal customization?

Yes, DHHS is willing to consider “re-engineering” its current workflows and business processes to a reasonable extent. The goal of DHHS is to have minimal customization (coding development). However, any customization(s) needed to meet the requirements should be clearly stated by the vendor in the response to ENCORE RFP.

20 Attachment D. ENCORE Workflow Diagrams, 22) DSB RCB ABLE 2 Work, p. 106

Does the State expect that the new case management system will track and manage services completed by the RCB? Does the State expect the system to manage and track services completed in any additional State-managed training or service centers?

Planned services, including the RCB, are on the consumer’s Individualized Plan for Employment or the Independent Living Older Blind Service Plan or Independent Living Rehabilitation Service Plan.

Yes, services provided at the Center need to be tracked and documented in the new case management system.

No, there are no other DSB-managed training or service centers.

21 Attachment I. ENCORE Project Execution Phase, 9) Vendor Project Staffing Plan, p. 159

Will the State accept identified key resources only for assignments during the project Execution Phase? The assignment of individual contributors to project teams fluctuates throughout an implementation project.

A generic organizational chart specific to the project may be submitted with the RFP response. However, detailed organizational charts illustrating the lines of authority and designating the individuals responsible for the completion of each project component or

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Deliverable must be submitted prior to Project Kick-off meeting.

22 Attachment I. ENCORE Project Execution Phase, 17) Vendor Testing of the ENCORE Solution, i), p. 164

The RFP states that “the vendor will deliver to DHHS all test cases/scripts developed for vendor testing of the Encore solution in a format that is compatible with HP Quality Center.” We have a COTS product with standard testing procedures, including an expectation that the agency will develop their own test scenarios with vendor assistance. Is the State willing to accept this implementation best practice?

Yes.

23 Attachment K. Encore Project Execution Phase Milestones and Deliverables, p. 178

Attachment K states if the Encore solution is hosted by the State, the vendor will be required to assist DHHS with the Encore Security Plan. If the Encore solution is hosted by the vendor, the vendor will be solely responsible for the Encore security plan. We consider the security plan to be shared responsibility. Please amend the RFP to reflect this shared responsibility, regardless of the hosting.

Agreed. Please refer to Attachment 2 – Revisions to Original RFP

24 Attachment K. Encore Project Execution Phase Milestones and Deliverables, p. 179

Attachment K states that “any customizations and/or configurations identified by the Fit/Gap Analysis that will support DHHS’s original specifications included in this RFP will be performed by the vendor at no additional cost to DHHS.” Our response will include costs for customizations to allow the COTS product to conform to your unique needs. Additional customizations and associated costs can be included using the standard Change Control policy. We retain the right to decide what customizations we will make to our COTS product. Is the State willing to accept this approach to customization costs?

Goal of DHHS is to have minimal customization. However, any customization(s) needed to meet the requirements should be clearly stated and costs included in the response to ENCORE RFP. Only new requirements will be considered a Change Request.

25 Attachment K. ENCORE Project Execution Phase Milestones

The RFP requires training materials to be delivered

DHHS will accept electronic versions of the training material

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and Deliverables, p. 188 electronically and in a paper format. Our best practice as a COTS solution is to provide electronic versions of our training material for printing on-site as needed to avoid unnecessary printing. Will the State amend this requirement to require only electronic delivery of training materials?

to print as needed. Training materials should be in editable format to provide DHHS the capability to edit and configure the information to assist in learners’ understanding of system concepts and adhere to NC DVRS/ DSB case management needs.

26 Attachment M. Department of Information Technology Terms and Conditions, 4) Subcontracting, p. 234

The State requires written consent for subcontractors. Does the State definition of subcontractor include the use of individual contributors? Does the State define subcontractor as a company or vendor providing services?

Yes. Any person who is not a direct employee of the selected vendor is considered a subcontractor. Yes. Subcontractors include other companies or vendors who provide services that contribute to the awarded vendor’s completion of the RFP’s requirements and specifications.

27 Attachment M. Department of Information Technology Terms and Conditions, 10) Payment Terms, p. 235-236

For an established vendor with 39 successful software implementations in the VR industry, will the State remove or negotiate the 35% holdback requirement?

Vendors may propose additional or revised terms and conditions but the State is under no obligation to accept additional terms and conditions. See “Notice to Vendors” on page 3 of the RFP.

28 Attachment M. Department of Information Technology Terms and Conditions, 16) Insurance Coverage, p. 237

The State requires a commercial general liability of $2,000,000 Combined Single Limit. Please define Combined Single Limit.

Combined single limit means that a single dollar limit applies to any combination of bodily injury and property damage liability claims, as compared to split limits where three separate dollar amounts apply to each accident: per person limit, per occurrence limit for all injured persons, and per occurrence limit for all property damage resulting from the accident. Note: Vendors should consult with their legal counsel and insurance company for professional legal/insurance guidance.

29 Multiple sections

For example, pp. 53, 55, 63, 140-141

Several items in the RFP request confidential vendor information, such as financial details or Intellectual Property (IP). Can a vendor mark such items as Confidential within the response? How will the State ensure such data is kept confidential?

Yes. Vendors should mark all information considered Confidential in their proposals. All reviewers of ENCORE RFP sign confidentiality agreements and are only authorized to discuss the content of vendors’ proposals with other authorized reviewers. Confidential information shall be redacted from vendor proposals before

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providing copies to the public pursuant to requests made in accordance with the NC Public Records Act. See paragraph 18) of Attachment M: Department of Information Technology Terms and Conditions on page 237-238 for additional information.

30 Multiple Sections

For example, pp. 2, 46, 48, 164, 247, 255

The RFP lists several requirements that are out of alignment with our standard, best practice approaches to licensing, maintenance, hosting, and support. Is the State willing and able to negotiate these terms during the contract phase?

Vendor response to ENCORE RFP should describe how your solution aligns or does not meet DHHS requirements. Vendor responses will be evaluated, and finalists will be chosen based on substantial conformance to the RFP’s specifications and the evaluation criteria. Final agreements will be reached during negotiation phase.

31 Section VI. 5), Page 62 The RFP states “The offers should contain the entire solicitation and be organized in the exact order in which the requirements and/or desirable performance criteria are presented in the RFP.”

The RFP response is to be organized based on Section VI, 7) on page 62. However, there are sections in the RFP that look as if they require an answer that do not fall into Section VI. 7) a) - m); for example, Section V. 1) a) - d). Please clarify.

Within each section of their offer, Vendors should address the items in the order in which they appear in the RFP. See Section VI. 7) m) on page 63.

32 Section V. 3) b), Page 53 Due to the sensitive nature of our financial information, can we provide a link to a secure portal for viewing our financial statements and Attachment G. ENCORE Financial Review Form?

Yes. Vendor owns full and complete responsibility for ensuring that reviewers will be provided and have full access to the financial statements. Failure to access the required documents will deem ENCORE RFP submitted by the vendor as incomplete and ineligible for evaluation.

33 Section II. A., Page 9 According to the Procurement Schedule, the anticipated start date is 4/10/19.

What is the desired Go Live date?

DHHS desires completion of the ENCORE project as soon as possible after contract award. Vendors should propose a project completion date based on the ENCORE solution requirements and specifications in their response. In part, Vendor responses will be

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evaluated based on their proposed Project Schedule. Please refer to Attachment 2 – Revisions to Original RFP

34 Section III. 13) ii) 9) i), Page 50 Explain whether you have a customer advisory board. If yes, include a list of the present members and explain how often (per year) this organization meets and for how long.

Please provide clarification into what is meant by a “customer advisory board.”

Customer Advisory Board for a solution provided by the vendor would include a group of existing customers who convene on a regular basis to advice company’s management on industry trends, business priorities and future roadmap of solution.

35 Section III. 13) e) i) 7. q. ., Page 31

“Ensures all printable pages can be made to meet the same accessibility specifications as the rest of the ENCORE Solution.”

Please clarify what is meant by printable pages.

We need to be able to print in large print / with large print settings.

36 Attachment F, 4.8, Page 138 “Demonstrate that the ENCORE Solution allows Authorized Users to create and use custom workflows independently.”

Please clarify if this is role-based, based on the functions of the particular staff member or job function of a particular staff member?

The ability to customize electronic workflows and task assignments was envisioned for someone with a privileged access role, such as a system administrator, to be able to modify the workflow and task assignments of other users as needed.

37 Attachment I, Pages 155-168 Please confirm that the Draft Project Schedule, Draft Vendor Project Staffing Plan, Draft ENCORE Disaster Recovery Plan,

Draft ENCORE Security Plan, and Draft Service Level Agreement are required to be delivered with the proposal response and the Training Plan, Vendor Software Quality Assurance Plan, Quality Assurance Plan, Project Change Management Plan, and Test Plan will be required to be delivered after award.

Drafts of all plans need to be submitted along with the Vendor’s response to ENCORE RFP.

38 Attachment I, 8) on pPage 159 “If the Vendor wishes to shorten or extend the time allocated for the Project Execution Phase as depicted in Figure 1 in the DHHS Project Management

Agreed. DHHS desires completion of ENCORE project as soon as possible after contract award. Vendor should propose a project completion date based on the ENCORE

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Approach section, the Vendor will provide justification for doing so in its proposal.”

Figure 1 on page 155 does not show any time allocation. Please clarify.

solution requirements and specifications in their response. to the proposal. In part, Vendor responses will be evaluated based on their proposed Project Schedule. The Execution Phase will be part of the draft project schedule provided by Vendor in response to the ENCORE RFP. Please refer to Attachment 2 – Revisions to Original RFP

39 Section III. 13) i) 16. a. ix. 2) (k) 11) (a) 12), Page 39

(a) “Allows the Service Provider to verify accuracy of information in the ENCORE Solution:

12) Statements preferences via the Service Provider Portal.”

Please clarify for what is meant by “Statements preferences” in the context of this requirement.

“Statements preferences” within the context of this requirement means that the system will allow a service provider of vocational rehabilitation services to select, at a minimum, the ability to receive paper or electronic statements of work completed from within the Service Provider Portal. Various formats of statement of work completed may be offered.

40 Section III. 13) ii) 5. h) ii. 1) b), Page 45

1) Describe the classroom or face-to-face training courses that you will offer. Include in your description how you will address the following items:

b) Role Based (VR Counselor, Managers, Casework, Technician, Process Assistance, etc.).

Can the State please define the following roles, and the capacity within which they will use the ENCORE solution? Please include the business functions and processes each user group manages.

• DHHS key staff, technical staff, and administrators

• VR counselor, managers, casework, technician, process assistance

• Community rehabilitation program vendors

• Technical administrators, business administrators, workflow administrators and helpdesk support personnel

How many of each will require training?

The face-to-face training will be

blending training to include

demonstration training

(mirroring production

functionality), whiteboard

instruction to reinforce case

flow, and storytelling with case

studies and knowledge checks.

Instruction will be specific to the

to specific employee roles and

responsibilities. The simulations

will take employees from

referral to closure. Participants

will be able to ask questions

specific to their roles and create

a personal action plans for

efficiency.

Administrative Specialist 1 - (Processing Assistance and Rehabilitation Casework Tech)- the functionality of this position involves verifying data, report writing, summarizing and reconciling information or financial data, records management, claims review and processing, data collection and analysis, research, inventory, personnel

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administration and fund collection or expenditures. Administrative Specialist I, are also responsible for payroll, student services, accounting in the form of generating bill, bill payments and reconciliations, medical records, statistical reporting. Community Employment Program Specialist – the functionality of this position involves preparing clients with one or more disabilities for training and/or job placement. Employee documents the progress of the client in support of the VR counselors plan and assist with coordinating and billing for contract services (internship and OJT). This employee can participate in training with other support staff. Rehabilitation Counselor Supervisor – the functionality of this position involves the supervision of a small sub-program or satellite office and direct delivery of vocational rehabilitation services to clients. Employees plan and carry out a range of vocational rehabilitation services for an assigned caseload according to the same basic concept described for the Rehabilitation Counselor. Employee participates in the planning and development of vocational rehabilitation services in a designated setting, but the major responsibility focuses on coordinating the work of a small staff of professional, paraprofessional and/or administrative support positions engaged in caseload activity representing a variety of disabilities. Employees provide training to staff or ensure training is provided. Employees apply policy and regulations to cases and approve the

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casework of non-independent counselors. Rehabilitation Services Manager I and II- Rehabilitation Services Assistant Manager - the functionality of these positions involves planning, implementing, and evaluating the technical and administrative components of a diverse rehabilitation program consisting of multiple caseload types, third-party programs, and specialized rehabilitation programs. Positions also serve as a liaison with employment and training agencies and Community Rehabilitation Program providers to meet the federal grant requirements of education and outreach. Administrative management tasks include budget development, personnel administration, staff development/training, program evaluation analyzing data reports and reporting to Regional Directors and Agency Directors. Technical aspects of the work relate to casework supervision and consultation/technical assistance provided to subordinate staff. Employees assess service delivery needs based on the nature of the client populations served, availability of community resources, and federal requirements for service provision. Employees assign caseloads, develop and maintain budgets, and initiate organizational changes to ensure coverage of all disability groups within the catchment area. Report queries will be most important to this group as well as the approval processes. Vocational Rehabilitation

Counselor – the functionality of

this position involves the design

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and implementation of a

comprehensive plan of

vocational rehabilitation or

independent living rehabilitation

services for persons who have

one or more disabilities.

Employees are recognized as

independent practitioners (after

a period of prescribed

orientation and training)

responsible for the

administration of a full range of

case services which include

case activations, development

and implementation of written

rehabilitation plans,

encumbering funds and

monitoring case budget,

information and referral, and

case closures. Employees

evaluate diagnostic data to

determine eligibility and

functional capability, assess

clients’ service needs, develop

a written plan of service in

conjunction with the client, and

provide supportive and

vocational counseling.

Employees are responsible for managing a caseload in one or more of several disability categories: mental health, intellectual disabilities, cognitive disabilities, substance abuse, general/physical disabilities, hearing or visually impaired, or transition (high school to post-secondary education or employment) or others as may be determined. Positions may also perform or oversee paraprofessional or support staff performing tasks such as monitoring client progress, job development, direct job placement, and marketing VR services and clients to employers.

41 Section III. 13) ii) 5. h) ii. 2) g), Page 45

2) Describe the online training courses that you will offer. DHHS is seeking training

DHHS utilizes Cornerstone LMS. Any video or interactive online training models should be compatible with the

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modules that are Configurable by system administrators and accessible to external customers (i.e., Clients and vendors). Include in your description how you will address the following items:

g) SSA Confidentiality Form – LMS training is a prerequisite for case management system usage. Include in your description how you will address the following items:

i) Accept the completed SSA confidentiality form and electronic signatures before employee can proceed with casework.

ii) DHHS staff completion with electronic signature.

iii) CRP Vendor completion with electronic signature.

Can the State please clarify how it envisions training videos and a learning management system to play a role in staff, vendor, and client training efforts?

Cornerstone LMS System for DHHS employees. CRP Vendors should be able to access the training through an email link or dedicated webpage.

42 Section VI. 7) l), Page 63 7) RFP RESPONSE ORGANIZATION: The offer should be organized and indexed in the following format and should contain, at a minimum, all listed items in the sequence indicated.

l) Training and Other Materials, Samples or Examples.

Our training materials include confidential materials, is submission of such material mandatory with our response?

Yes. Confidential training materials should be marked “Confidential” in accordance with paragraph 18) of Attachment M: Department of Information Technology Terms and Conditions on pages 237-238.

43 Attachment K, Milestone 15,

Page 188

b) The Vendor will deliver training materials in both electronic and paper format. (Refer to Section 13.C) ii.8, Training, for specifications on user training.)

Can the State please confirm where in the RFP we may find section 13.C ii.8 Training? We cannot locate this reference.

The correct reference should be Section III.13) e) ii. 5. h. on page 45 of the RFP. Please refer to Attachment 2 – Revisions to Original RFP

44 Section III. 2) a) 3. - Software as a Service (SaaS) or Cloud-

Is the State willing to consider a Cloud-based ENCORE Solution

Ideally, State desires to have a SaaS or Cloud-based highly

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based ENCORE Solution, Page 21

needing customization for ENCORE specific requirements?

configurable solution with little to no customization.

45 Section III. 3) - Enterprise Licensing, Page 21

The State existing license agreements provided on the RFP include only SAS and ESRI, is the State able to leverage software license from NCFAST (i.e., application servers, databases, document management systems, etc.)?

What licensing agreements could be leveraged as part of this would have to be investigated and would not necessarily be tied to NCFAST. The sharing of system resources such as a database would not be allowed. Because the RFP only includes SAS and ESRI the respondents must include whatever their licensing requirements are and the associated cost. Then the DHHS can review to see if there is potential to leverage additional agreements already in place.

46 Section 1. A. – Background - Community Rehabilitation Providers (CRP), Page 8

Can the State please clarify the number of users that will be using the system. From the RFP, there are 2,000 business users. Are these all case workers, supervisors, internal users of the system? The RFP states, an additional, 90,000 clients will be accessing the Client portal or the Service Provider Portal. Can the State please clarify what the total number of clients will be using the Client Portal (i.e. clients receiving benefits/services from DVRS and/or DSB)? Can the State please clarify how many providers will be needing access to a Provider Portal?

DHHS currently has 1205 Business Users (DSU Staff) and 545 CRP users (with limited access).

DHHS expects to have up to 90,000 clients accessing Client Portal.

Other than CRP providers (approximately 545), DHHS expects to have an additional 6000 Service Providers (vendors) accessing the Service Provider Portal. Please refer to Attachment 2 – Revisions to Original RFP

47 General RFP Question Will there be a Requirements Matrix supplied that vendors need to reply to?

No.

48 Attachment A – List of BEAM Reports, Page 65

Will the State supply a description or screenshots of the reports?

No. The report name should suffice as brief description for purpose of RFP response.

49 General RFP Question Does an electronic copy of the response need to be submitted in addition to a physical copy?

The Vendor must also submit one (1) signed, executed electronic copy of its offer on a USB Flash Drive(s). The files should not be password-protected and should be capable of being copied to other

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media. See “Delivery Instructions” on Page 2 of RFP.

50 Attachment E - Vendor Security Assessment Guide, Page 131

Does the vendor need to fill out the Vendor Security Assessment Guide as part of the RFP response?

Yes.

51 Attachment L - ENCORE Minimum Content and Delivery Provisions for Deliverables

The tables from pages 192 - 234 seem to have a column on the right cut off. Can the State please re-issue this attachment?

Per Addendum 1 posted to IPS on July 17, 2018: To obtain a corrected copy of Attachment L, Vendors should send an e-mail to Ken Dahlin at ken.dahlin@dhhs.nc.gov.

52 Section III. 14) a) - Functional or Non-Functional Requirements), Page 50

The RFP states "Describe your or your proposed ENCORE Solution’s ability to meet each of the following requirements (in Section f). FUNCTIONAL OR NON-FUNCTIONAL REQUIREMENTS below)", can the State please clarify which Section F they are referring to?

Section f should read Section i. Please refer to Attachment 2 – Revisions to Original RFP

53 Attachment H – ENCORE Proposal Cost Tables, Page 142

Would DHHS please release Attachment H as either a Word or Excel document?

Yes. To obtain a MS Word copy of Attachment H, Vendors should send an e-mail to Ken Dahlin at ken.dahlin@dhhs.nc.gov.

54 Section III. 5) – NCID,

Page 22

What software/technology is used to implement the NCID system? What protocols would NC expect the vendor to use to integrate with NCID (e.g. SAML)?

NCID integration is possible by SAML (preferred), Directory Sync (LDAP), Web Services, or Proxy.

55 Section IV. – Cost Proposal,

Page 52

Do the funds allocated for this project from 2017-2018 carry over to the total budget for this project?

The funds allocated carry over to the budget period for the project.

56 Section III.13) e) ii. 3., - Data Conversion and Migration,

Page 42

The size of the BEAM data source is listed as 400GB of MS SQL Database data. Does this include the size of all documents to be migrated, or are those separate? If separate, please provide the total size of documents stored in the system. Please include additional metrics surrounding the data if possible (including the number of tables, number of records per table, largest document size).

The size of BEAM database is currently 510 GB. Yes, this includes size of all documents to be migrated.

There are 2,136 tables and 34,448 elements.

Some tables are quite large. The filedforms table, for example, currently has about 17 million rows.

Please refer to Attachment 2 – Revisions to Original RFP

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57 Section III.12) b) – Objectives,

Page 24

Please describe the interfaces made available for North Carolina Accounting System (NCAS) and the expected workflow for the interfaces.

Approved invoices are sent from Case Management System to NCAS for payment processing. NCAS, in turn, sends cancellation, refund and checks processed information back to the Case Management System. Case Management System also creates Itemized Statements of the Checks processed. Vendors are added/updated to NCAS thru the Case Management System. (In proposed new solution, Vendor Interface is going to be Bi-directional.) FC General Ledger entries are also added to NCAS thru the Case Management System.

58 Section III.12) b) – Objectives,

Page 25

What collaborative document management/sharing actions are desired for users?

In the most basic sense, users should have role-based simultaneous access to documents; sharing and versioning, updated versions noted as most current version. Document management would be more in line with managing and tracking workflow of assemblages of document/form packets for review tied to a case with group-specific action items to be circulated among work groups (e.g.) field-based case work team to policy group to purchasing group to fiscal group within the system. Each group could add or revise a component then send on to next group in the work flow.

59 Section III. 13) e) i) 1.f. – Accessibility, Page 27

Please elaborate on the expected functionality the ENCORE solution will provide concerning video processing, viewing and downloading.

The minimum expected functionality the ENCORE solution will provide concerning video processing, viewing, and downloading will be to call up a fully accessible and robust media viewer/player to play videos with auditory adjustments and ability to display closed captioning in a way that is fully accessible for users that are deaf or hard of hearing. To provide

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accessibility for our low vision users, all videos must be able to be enlarged to full screen. To provide accessibility for our blind users, all videos should also present with the option of accessing the video’s transcript with full descriptive commentary available instead of watching the video. These accommodations are expected to be screen reader and screen magnification software accessible.

60 Section III. 13) e) i) 6. j. – Data, Page 30

Please expand upon the intended uses of audio files, video files and spatial files as they relate to users work.

The most common method of collecting the audio, video and spatial files would be information submitted through the client and service provider portals—a vendor may wish to upload a video or audio file of a worksite situation or a client may wish to upload a video or audio file documenting an achievement or other situation as uploaded via their PDA or other device. It would be securely received as opposed to via unsecured e-mail.

61 Section III. 13) e) i) 7. b. iii. – Enterprise Content Management, Page 30

Please elaborate on the expected end user experience the document management solution will provide surrounding appending document content.

All modifications to documents will be archived and archive information viewable by those whose role allow access to the documents. Another example is that certain planning documents between business and clients (service recipients) will be amended with documentation and additional signatures and date lines required. Versions and versioning should be well organized and easy to follow with minimal case clutter resulting.

62 Section III. 13) e) i) 7. h., - Enterprise Content Management, Page 31

Please elaborate on how the document management solution should allow for electronic signature capability as it relates to users daily activities. What formats of documents require signatures. Does the solution necessitate non-repudiation of signatures? What formats of signatures will users be signing

Electronic signatures for staff working within the system can be captured in a more basic sense, since their signature of internal forms or documents inherent within the solution are tied to an auditable trail; Electronic signatures of service recipients/clients/consumers who may be working outside of the system using a mobile

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documents with (image based, secure key based)?

device will require the option of secure key-based signatures or another secure legally compliant method of assuring the document was signed by them or their legal representative/guardian. The majority of documents requiring signature could be web forms or .pdf documents. DHHS expects the client and service provider vendor portals to be the environment where documents can be securely signed through verifiable, legally-binding current methods of conveniently obtaining electronic non-repudiated signatures. Blind and visually-impaired individuals will also need to sign documents electronically, so solution needs to be compatible with their needs.

63 Section III. 13) E) i) 7. J. – Enterprise Content Management, Page 31

What types of documents must be exportable in what formats? Please quantify any document conversion capabilities that the provided ENCORE solution must support.

DHHS needs the ability to import native content to the system so that it can be retrieved and to export files in different formats like rtf, .pdf, .csv, and .xml, depending on the file.

Also, as it pertains to document conversion, the expected baseline functionality, web-forms, documents, letters, and data reports generated from within the system must be able to be exportable to .pdf, rtf, .xls, .xlsx,.txt, .doc and .docx and any other common file types. It is anticipated that .pdf will be the most widely used exported format.

64 Section III. 13) e) i) 7. m. – Enterprise Content Management, Page 31

Please quantify any document conversion capabilities that the provided ENCORE solution must support with input formats. What document types are expected to be exportable to PDF?

DHHS expects ENCORE baseline functionality, web-forms, documents, letters, and data reports generated from within the system must be able to be exportable to .pdf. Export of data files requires other formats as indicated in the specifications, such as .csv, .xml, ascii, .xls., .xlsx., ebcdic.

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65 Section III. 13) e) i) 16. a. viii. – Service Provider (vendor) Portal, Page 38

Please elaborate on the intended uses of these technologies. Are image-based signatures in documents a viable alternative to integration with either of these services?

No. The intended use of electronic signatures and digital credentials would be in ways such as having a service recipient (client/consumer) or their guardian sign legally binding documents such as releases for sharing confidential or health information, individualized plans, and other documents without requiring pen and ink signatures. Such documents will usually need to be secure. Further, service providers could do the same for invoices, quotes, or other documents requiring their legally-binding signatures, similar to those allowed by Verisign or DocuSign. Secure key-based option should be included as part of the design proposal.

66 Attachment F – ENCORE Proof of Concept (PoC) Tasks, 1.0, 1.5, Page 134

As a web application designed to 508 and WCAG 2.0 standards, do standard web accessibility features and font modification features available at the browser / operating system tiers meet the following requirements? Does this requirement apply to all portions of the system or only the portals?

It applies to the entire solution – both the system and any portals.

67 Page 2 The RFP states “Vendor must return all the pages of this solicitation in their response.” In what section should the RFP be included?

Refer to Section VI. 5) - Offer Format on page 62.

68 Page 2 The RFP states “Vendor must return all the pages of this solicitation in their response.” Please confirm vendors are not required to answer within the actual RFP and that we can provide our own template in which to respond.

Refer to Section VI. 5) - Offer Format on page 62.

69 Section VI. 7. – RFP Response Organization, Pages 62-63

Section VI.7. lists the order in which the response should be submitted, but does not reference information requested in Section V. (i.e., Vendor Utilization of Workers Outside the U.S.) In which tabbed

Within each section of their offer, Vendors should address the items in the order in which they appear in the RFP. See Section VI. 7) m) on page 63.

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section of Section VI.7.a – m shall responses to Section V. be provided?

70 Section V. – Other Requirements and Special Terms, Pages 52-61

Are responses to Section V. required? If so, in which tabbed section of Section VI.7. a – m shall responses to Section V. be provided?

Yes, responses to Section V. are required where applicable. Within each section of their offer, Vendors should address the items in the order in which they appear in the RFP. See Section VI. 7) m) on page 63.

71 Attachments A-D, F and I-O Please confirm that Attachments A through D, F and I through O are for information only to assist in providing an informed response and do not require a response and are not required to be included in the proposal.

Description that vendor solution can meet requirements stated under Functional Specifications that refer to Attachment A through D will be needed as specified in RFP. Should a vendor be determined a Finalist, Attachment F will be used to perform PoC. All relevant information needed for Attachment I through O should be provided with RFP response.

72 Attachment L - ENCORE Minimum Content and Delivery Provisions for Deliverables, Page 192

The last column in Attachment L appears to be cut off. Please provide a complete version of Attachment L.

Per Addendum 1 posted to IPS on July 17, 2018: To obtain a corrected copy of Attachment L, Vendors should send an e-mail to Ken Dahlin at ken.dahlin@dhhs.nc.gov.

73 Points of Contact, Page 4 Page 4 appears to request information about the vendor, in which section of our response should it be included?

The Vendor should populate the table on page 4 of the RFP template with the required information.

74 Section VI. 7. – RFP Response Organization, Pages 62-63

Please confirm that Section VI.7. provides the actual order in which the response should be provided.

Yes, that is correct.

75 Section VI. 7. m), - RFP Response Organization, Page 63

The RFP states, “All discussion of proposed costs, rates, or expenses must be presented with the cost response.” Should the cost response be submitted separately from the Technical proposal?

The cost proposal should be submitted with the technical proposal (not separately).

76 Section VI. 5) – Offer Format, Page 62

Each page should be numbered.

Can Bidders number the pages by major section (i.e., A-1, B-1)?

Can Bidders exclude signed forms, attachments, tables of content, etc. from the sequential numbering requirement?

Yes. However, each page of the response should be numbered to the greatest extent possible for easy referencing.

77 Section VI. 5) – Offer Format, Page 62

Each page should be numbered.

We will be submitting some pre-existing documents (e.g.,

Yes. However, each page of the response should be numbered

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financial reports) that have existing page numbering and some pages may not be numbered. Because these are long and complex documents, may we leave them unaltered?

to the greatest extent possible for easy referencing.

78 Section V.3) – Proposal Content, Page 53

Given the length of our audited financial statements (more than 200 pages), can Bidders provide these documents in electronic format only?

Yes

79 Section III.13) e) i. 4. l.,

Page 29

Can you provide an example scenario for, "Ability to define alert criteria to identify potential phishing?" What aspect(s) of the system need this ability? Can this be done external to the delivered solution?

This pertains to emails sent and attachments submitted through Client and Service Provider (vendor) portals. Solution should be able to detect suspected phishing from known bad email domains, containing common phishing attachments or contains a URL that has been blacklisted.

80 Section III.13) e) i. 6. b.,

Page 30

Regarding, "Allows user interaction with documents using capabilities such as view, read, comment, highlight, update, change and append." Can these types of edits be done in their native applications, for example MS Word, and then uploaded to the solution?

The desired functionality is to perform these operations within the ENCORE solution.

81 Section III.13) e) i. 6. j.,

Page 30

Regarding, "Supports broad range of data types, from highly structured data to less structured data such as scanned images, fax, emails, audio files, video files, spatial files, etc." Can you elaborate on this requirement? What is required beyond uploading the native content to the system?

ENCORE solution should be able to store datatypes used such as scanned images, fax, emails, audio files, video files, spatial files, etc.

82 Section III.13) e) i. 6. l.,

Page 30

Regarding, "Supports bulk upload of scanned documents." Can you briefly describe the required functionality, or provide use cases(s)?

Part of the requirement will ensure that the solution system architecture and capacity can handle a large volume of documents scanned to solution without adversely impacting performance of other functionality of the system for other users simultaneously using the system. Another part of this requirement is to have the solution to support the

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following type of example scenario: A community scanning device with auto document feeder may be utilized with a number of paper documents to be scanned and directed to various targeted places within various cases using cover sheets with barcoding or other technologies that can direct “several” documents to these targeted locations within client cases.

83 Section III.13) e) i. 6. r.,

Page 30

Regarding, "Maintains all historical electronic data." Does this include storing historical data states, for example like in a data warehouse?

The system will interface with a data warehouse, but there should be a transaction log of changes for a data field (e.g., “old value” to “new value”) with metadata for the transactions.

84 Section III.13) e) i. 6. t.,

Page 30

Regarding, "Supports the ability to directly scan files into the ENCORE Solution." Is it sufficient to be able to upload a scanned document to the solution?

It is NOT sufficient to be able to upload a scanned document to the solution from a stored location. The desired functionality is to scan directly to a targeted location within the solution, minimizing procedural steps.

85 N/A Has the Department allocated funding for the VOIP yet? If so, through which source (budget, CIP, state/federal grant, etc.)? If no funding is secured, which sources will be sought and when? If utilizing a grant, would you be able to specify which one?

Primary funding source is authorized CFDA number 84.126A.

86 N/A What is the estimated cost of the ENCORE System?

In accordance with 09 NCAC 06B .0103 – Confidentiality of Solicitation Documents: In order to preserve fairness and encourage competitiveness, all information and documentation relative to the development of a solicitation for a proposed procurement shall be withheld from public inspection. Refer to cited rule above for complete language.

End of Agency Response to Vendor Questions

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Attachment 2 – Revisions to Original RFP

1. Section I. A. Background - Community Rehabilitation Providers, Page 8. Third paragraph has been deleted in its entirety and replaced with the following:

DHHS is seeking a Vendor in the case management marketplace with a proven track record of support to the business and an understanding of the federal requirements to which DVRS and DSB must comply. The awarded Vendor’s ENCORE Solution will serve an estimated 1.5 million Clients (records), 10,000 Vendors utilizing thousands of vendor-service combinations, and 1750 business users located across the State, including up to half using mobile devices. The ENCORE Solution will support self-service access of a minimum of 90,000 additional individuals accessing portions of their case or data records via the Client or Service Provider Portal. DHHS currently has total of 1750 business users (1205 Business Users (DSU Staff) and 545 CRP users (with limited access).

2. Section III. 13) e) ii) 9. Acquisition, Licensing and Product Overview, Page 49. Sub-paragraph a. has been deleted in its entirety and replaced with the following:

a. Provide a baseline licensing option for your ENCORE Solution (including Third-Party software if used as part of your ENCORE Solution), which includes license terms for the current estimated user base of 1750 business users and an estimated average of 650 concurrent users once all required ENCORE Solution functionality is in production.

3. Section III. 13. e) ii) 2. Concurrent Users, Page 42. Sub-paragraphs a. and b. have been deleted in their

entirety and replaced with the following:

a. Describe how your Solution ensures adequate space on servers, bandwidth and response time in the Solution to allow for a minimum of 650 concurrent users accessing, entering, uploading, querying, reporting, and downloading information.

b. Explain how your Solution handles an overall increase above 650 in the number of concurrent users.

4. Attachment K. ENCORE Project Execution Phase Milestones and Deliverables; Milestone 3: Planning

and Design: Project Plans and Activities, Page 178. Sub-paragraph h) has been deleted in its entirety

and replaced with the following:

h. If the ENCORE Solution is hosted by the State, the Vendor will be required to assist DHHS with the ENCORE Security Plan. If the ENCORE Solution is hosted by the Vendor, the Vendor and DHHS will have shared responsibility for the ENCORE Security Plan.

5. Attachment I: ENCORE Project Execution Phase, 8) Vendor Project Schedule, Page 159. First

paragraph has been deleted in its entirety and replaced with the following:

The Vendor will include a draft project schedule in the Vendor’s proposal to DHHS. Within the timeframe proposed in the project schedule, the Vendor will identify the Work Breakdown Structure (WBS), Task duration and resource allocations during each stage of the Project, the Milestones and Deliverables planned, and the Vendor’s staffing specifications. If the Vendor wishes to shorten or extend the time allocated for completion of the project as depicted in their draft Project Schedule, the Vendor will provide justification for doing so in an amended proposal (to be agreed upon by both Vendor and DHHS). The Vendor Project Schedule will:

6. Section III. 14), FUNCTIONAL OR NON-FUNCTIONAL REQUIREMENTS, Page 50. Sub-paragraph a)

has been deleted in its entirety and replaced with the following:

a) Functional or Non-Functional Requirements are requirements that the Vendor and/or its Solution, as applicable, must meet. Describe your or your proposed ENCORE Solution’s ability to meet each of the following FUNCTIONAL OR NON-FUNCTIONAL REQUIREMENTS (in Section i) Compliance

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and Section ii) Security), providing a narrative response detailing how the proposed ENCORE Solution will meet or not meet the requirements outlined below, including its capabilities, features, or limitations, and any Changes needed to the ENCORE Solution to meet these requirements. If Changes are needed to a COTS ENCORE Solution to meet the requirement, provide an estimate of the time it will take to complete each individual Change and identify whether the Change will be a Customization or a Configuration.

7. Attachment F. ENCORE Proof of Concept (PoC) Tasks, Page 139: The following paragraph has been

added:

6.0 Portability of Solution for Remote Access

6.1 Demonstrate by using a mobile/portable device (PDA--personal data assistant) how a user can utilize the solution offline without having wireless/ internet access to securely collect demographic data or other form entries/actions, then have the data sync up with the ENCORE solution when wireless/ internet access is re-established. This feature will be helpful for staff working remotely in areas where wireless/ internet access can be intermittently available.

8. Section V. 23) Escrow Agreement for a COTS ENCORE Solutions, p. 60. Sub-paragraph a) is deleted

in its entirety and replaced with the following:

a) By no later than thirty (30) State Business Days after the Effective Date of the Contract, the Vendor shall submit a draft Escrow Agreement to DHHS with a third-party Escrow Agent that has offices within the State of North Carolina. The Escrow Agreement must:

9. Section III. 13) e) ii. 3. – Data Conversion and Migration, p. 60. Sub-paragraph a. is deleted in its

entirety and replace with the following:

a. DHHS desires that the awarded Vendor perform all Legacy Data conversion and migration tasks for all Legacy data located on DHHS’s MS SQL Server. The estimated size of the SQL Server Legacy Data that the Vendor will convert is 510 gigabytes.

10. Attachment K. Milestone 15: Execution and Build – Training Materials, p. 188. Sub-paragraph b) is

deleted in its entirety and replaced with the following:

b) The Vendor will deliver training materials in both electronic and paper format. (Refer to Section

III.13) e) ii. 5. h. Training for vendor and End User, Page 45).

End of Revisions to Original RFP