Department of Disabilities, Aging and Independent Living, Adult Services Division Customer Relationship Management System

1 Department of Buildings and General Services Agency of Administration Office of Purchasing & Contracting 133 State Street, 5th Floor | Montpelier VT 05633-8000 802-828-2211 phone |802-828-2222 fax http://bgs.vermont.gov/purchasing SEALED BID REQUEST FOR PROPOSAL Department of Disabilities, Aging and Independent Living Adult Services Division Customer Relationship Management System ISSUE DATE December 21 2022 QUESTIONS DUE January 25, 2023 – 4:30 PM (EST) RFP RESPONSES DUE BY February 15, 2023 – 4:30 PM (EST) PLEASE BE ADVISED THAT ALL NOTIFICATIONS, RELEASES, AND ADDENDUMS ASSOCIATED WITH THIS RFP WILL BE POSTED AT: http://www.bgs.state.vt.us/pca/bids/bids.php THE STATE WILL MAKE NO ATTEMPT TO CONTACT INTERESTED PARTIES WITH UPDATED INFORMATION. IT IS THE RESPONSIBILITY OF EACH BIDDER TO PERIODICALLY CHECK THE

ABOVE WEBPAGEFOR ANY AND ALL NOTIFICATIONS, RELEASES AND ADDENDUMS ASSOCIATED WITH THIS RFP. STATE CONTACT: Stephen Fazekas TELEPHONE: (802) 279-7075 E-MAIL: stephen.fazekas@vermont.gov FAX: (802) 828-2222 http://bgs.vermont.gov/purchasing http://www.bgs.state.vt.us/pca/bids/bids.php mailto:stephen.fazekas@vermont.gov Revised July 28, 2022 Page 2 of 204 1. OVERVIEW: 1.1. SCOPE AND BACKGROUND: Through this Request for Proposal (RFP) the Agency of Digital Services in partnership with the Agency of Human Services, Department of Disabilities, Aging and Independent Living, Adult Services Division (hereinafter the “State”) is seeking to establish contracts with one or more companies that can provide an Adult Services Division Customer Relationship Management System (CRMS). 1.2. CONTRACT PERIOD: Any Contract(s) arising from this RFP will be for a period of 7 years (up to 2 years implementation, plus 5 years for annual operating (maintenance and services)). The State anticipates the start date for such contract(s) will be June 1, 2023. 1.3. SINGLE POINT OF CONTACT: All communications concerning this RFP are to be addressed in writing to the State Contact listed on the front page of this RFP. Actual or attempted contact with any other individual from the State concerning this RFP is strictly prohibited and may result in disqualification. 1.4. BIDDERS’ CONFERENCE: A bidders’ conference will not be held. 1.5. QUESTION AND ANSWER PERIOD: Any bidder requiring clarification of any section of this RFP or wishing to comment on any requirement of the RFP must submit specific questions in writing no later than the deadline for question indicated on the first page of this RFP. Questions may be e-mailed to the point of contact on the front page of this RFP. Questions or comments not raised in writing on or before the last day of the question period are thereafter waived. At the close of the question period a copy of all questions or comments and the State's responses will be posted on the State’s web site http://www.bgs.state.vt.us/pca/bids/bids.php . Every effort will be made to post this information as soon as possible after the question period ends, contingent on the number and complexity of the questions. 1.6. CHANGES TO THIS RFP: Any modifications to this RFP will be made in writing by the State through the issuance of an Addendum to this RFP and posted online at http://www.bgs.state.vt.us/pca/bids/bids.php . Modifications from any other source are not to be considered. 2. DETAILED REQUIREMENTS/DESIRED OUTCOMES: 2.1. The State of Vermont is interested in obtaining bids to meet the following business need(s): The Adult Services Division (ASD) of the Department for Disabilities, Aging, and Independent Living (DAIL) is requesting estimates for a new Customer Relationship Management System to meet current business needs, process flows and enable complete daily management of client programs for all stakeholders. The Adult Services Division is responsible for a full array of long-term services and supports for older Vermonters and adults with physical disabilities. http://www.bgs.state.vt.us/pca/bids/bids.php http://www.bgs.state.vt.us/pca/bids/bids.php Revised July 28, 2022 Page 3 of 204 The primary focus is on managing Medicaid funded long-term services and supports and as well as services provided through the Older American’s Act and Vermont’s State Plan on Aging. ASD is looking for Cost Estimates and Statement of Work for replacing their current system. The new user-friendly system will assist ASD to better serve Older Vermonters and people with disabilities. The features and functionality of the system will assist with full case management, program eligibility, service authorization, quality oversight by meeting specific business practices and process flows. The system also needs to support the storage of all artifacts of a client case, including large files. A user intuitive customer facing web input mechanism to enable Community Provider direct reporting for accountability. Staff will have secure access to use from any location to perform real-time case management with electronic availability of case documents. Solution options are open to all bids for Salesforce SaaS solutions that will be hosted on the State’s Salesforce Case Management Architecture. 2.2. The State of Vermont seeks to achieve the following Business Value(s): 2.2.1. Cost Savings. 2.2.1.1. It is understood that with the procurement cost of a new solution may be higher than the current solution. Looking at the cost over the lifecycle of the new solution there is the potential that the maintenance and support cost of a new solution may be higher than the current solution. ASD believes that using a State approved case management system platform that can be adapted and modified to meet existing and new business needs (non-static solution) will be financially beneficial to the State overall. 2.2.1.2. A solution that allows inhouse developers to adapt for items such as users accounts, table values, screen layouts, reports, will minimize the need for continuous involvement by the vendor, and will allow the business to continue business processes unhindered by not having to wait on a Vendor to perform the adaptation. 2.2.2. Customer Service Improvement. 2.2.2.1. Increased data entry efficiency, more time to efficiently manage cases. One solution that enables standards and consistency in receipt, data type and management of case data. Interconnectivity with ACCESS for Medicaid Eligibility or MMIS for Claims Management and Program Integrity to enable one solution to validate Medicaid eligibility and claims management. Enable staff to accurately document and manage client needs as well as access information within one system. Revised July 28, 2022 Page 4 of 204 2.2.3. Risk Reduction. 2.2.3.1. Current solution security roles and permissions are unstable as designed. This has the potential to allow security risks as it relates to data access permissions for users, internal and partners. 2.2.3.2. Current solution does not link to the payment system putting Adult Services Division at risk of paying for services that are not authorized and cause audit findings. 2.2.4. Compliance. 2.2.4.1. Current solution does not effectively allow for compliance with Adult Services Division audit findings related to linking authorized services to delivered services. 2.2.5. Equity. 2.2.5.1. The project aligns with the governor's priority to protect the most vulnerable. Adult Services Division Long-Term Services and Supports (LTSS) provides access to programs and services to individuals in underserved communities, and those vulnerable to institutionalization. 2.3. Functional and Non-Functional Requirements 2.3.1. The State’s Functional and Non-Functional Requirements are provided in the Attachment 7.2 State of Vermont Bidder Response Form (Exhibit C), Part 3: Functional Requirements and Part 4: Non-Functional Requirements. 2.3.2. The Functional Requirements include requirements for the following: 2.3.2.1. System Overview. 2.3.2.2. Case Management. 2.3.2.3. Fiscal Budget Management. 2.3.2.4. Specific Program Requirements. 2.3.2.5. System Output Requirements. 2.3.2.6. Data Migration and Retention Requirements. 2.3.2.7. Interfaces. 2.3.2.8. Accessibility. 2.3.2.9. System; Architecture and Design. Revised July 28, 2022 Page 5 of 204 2.3.3. The Non-Functional Requirements include requirements for the following: 2.3.3.1. Application Solution. 2.3.3.2. Security. 2.3.3.3. System Manuals, Guides, and Instruction Materials. 2.3.3.4. Other Non-Functional Requirements. 2.3.3.5. Data Compliance: Solutions must adhere to applicable State and Federal standards, policies, and laws. The Bidder Response Form includes a table of data types and their applicable State and Federal standards, policies, and laws. The boxes in the table that are checked are the ones that are applicable to this procurement. 2.3.3.6. State of Vermont Cybersecurity Standard Update 2022-01. 3. GENERAL REQUIREMENTS: 3.1. PRICING: Bidders must price the terms of this solicitation at their best pricing. Any and all costs that Bidder wishes the State to consider must be submitted for consideration. If applicable, all equipment pricing is to include F.O.B. delivery to the ordering facility. No request for extra delivery cost will be honored. All equipment shall be delivered assembled, serviced, and ready for immediate use, unless otherwise requested by the State. 3.1.1. Prices and/or rates shall remain firm for the initial term of the contract. The pricing policy submitted by Bidder must (i) be clearly structured, accountable, and auditable and (ii) cover the full spectrum of materials and/or services required. 3.1.2. Cooperative Agreements. Bidders that have been awarded similar contracts through a competitive bidding process with another state and/or cooperative are welcome to submit the pricing in response to this solicitation. 3.1.3. Retainage. In the discretion of the State, a contract resulting from this RFP may provide that the State withhold a percentage of the total amount payable for some or all deliverables, such retainage to be payable upon satisfactory completion and State acceptance in accordance with the terms and conditions of the contract. Applicable Retainage language has been included in Standard State Contract Attachment B Payment Provision, see Attachment 7.3 Standard State Contract. 3.2. STATEMENT OF RIGHTS: The State shall have the authority to evaluate Responses and select the Bidder(s) as may be determined to be in the best interest of the State and consistent with the goals and performance requirements outlined in this RFP. Revised July 28, 2022 Page 6 of 204 The State of Vermont reserves the right to obtain clarification or additional information necessary to properly evaluate a proposal. Failure of bidder to respond to a request for additional information or clarification could result in rejection of that bidder's proposal. To secure a project that is deemed to be in the best interest of the State, the State reserves the right to accept or reject any and all bids, in whole or in part, with or without cause, and to waive technicalities in submissions. The State also reserves the right to make purchases outside of the awarded contracts where it is deemed in the best interest of the State. 3.2.1. Best and Final Offer (BAFO). At any time after submission of Responses and prior to the final selection of Bidder(s) for Contract negotiation or execution, the State may invite Bidder(s) to provide a BAFO. The State reserves the right to request BAFOs from only those Bidders that meet the minimum qualification requirements and/or have not been eliminated from consideration during the evaluation process. 3.2.2. Presentation. An in-person or webinar presentation by the Bidder may be required by the State if it will help the State’s evaluation process. The State will factor information presented during presentations into the evaluation. Bidders will be responsible for all costs associated with providing the presentation. 3.3. WORKER CLASSIFICATION COMPLIANCE REQUIREMENTS: In accordance with Section 32 of The Vermont Recovery and Reinvestment Act of 2009 (Act No. 54), Bidders must comply with the following provisions and requirements. 3.3.1. Self-Reporting: For bid amounts exceeding $250,000.00, Bidder shall complete the appropriate section in the attached Certificate of Compliance for purposes of self-reporting information relating to past violations, convictions, suspensions, and any other information related to past performance relative to coding and classification of workers. The State is requiring information on any violations that occurred in the previous 12 months. 3.3.2. Subcontractor Reporting: For bid amounts exceeding $250,000.00, Bidders are hereby notified that upon award of contract, and prior to contract execution, the State shall be provided with a list of all proposed subcontractors and subcontractors’ subcontractors, together with the identity of those subcontractors’ workers compensation insurance providers, and additional required or requested information, as applicable, in accordance with Section 32 of The Vermont Recovery and Reinvestment Act of 2009 (Act No. 54). This requirement does not apply to subcontractors providing supplies only and no labor to the overall contract or project. This list MUST be updated and provided to the State as additional subcontractors are hired. A sample form is available online at http://bgs.vermont.gov/purchasing-contracting/forms. The subcontractor reporting form is not required to be submitted with the bid response. http://bgs.vermont.gov/purchasing-contracting/forms Revised July 28, 2022 Page 7 of 204 3.4. EXECUTIVE ORDER 05-16: CLIMATE CHANGE CONSIDERATIONS IN STATE PROCUREMENTS: For bid amounts exceeding $25,000.00 Bidders are requested to complete the Climate Change Considerations in State Procurements Certification, which is included in the Certificate of Compliance for this RFP. After consideration of all relevant factors, a bidder that demonstrates business practices that promote clean energy and address climate change as identified in the Certification, shall be given favorable consideration in the competitive bidding process. Such favorable consideration shall be consistent with and not supersede any preference given to resident bidders of the State and/or products raised or manufactured in the State, as explained in the Method of Award section. But such favorable consideration shall not be employed if prohibited by law or other relevant authority or agreement. 3.5. METHOD OF AWARD: Awards will be made in the best interest of the State. The State may award one or more contracts and reserves the right to make additional awards to other compliant bidders at any time if such award is deemed to be in the best interest of the State. All other considerations being equal, preference will be given first to resident bidders of the state and/or to products raised or manufactured in the state, and then to bidders who have practices that promote clean energy and address climate change, as identified in the applicable Certificate of Compliance. 3.5.1. Evaluation Criteria: Consideration shall be given to the Bidder’s project approach and methodology, qualifications and experience, ability to provide the services within the defined timeline, cost, and/or success in completing similar projects, as applicable, and to the extent specified below. ID Evaluation Criteria Weighting 1 Functionality of Product and Services. 25% 2 Qualifications and Experience of Vendor and Vendor Staff. 20% 3 Support and Maintenance (e.g., Support Hours and Processes, Production Environment Response Time, Recovery and Continuity). 25% 4 Cost and Timeline (e.g., Cost Schedule, Project Schedule). 20% 5 Project Approach and Methodology (e.g., Implementation Plan, Project Management, Change Management). 10% 3.6. CONTRACT NEGOTIATION: Upon completion of the evaluation process, the State may select one or more bidders with which to negotiate a contract, based on the evaluation findings and other criteria deemed relevant for ensuring that the decision made is in the best interest of the State. In the event State is not successful in negotiating a contract with a selected bidder, the State reserves the option of negotiating with another bidder, or to end the proposal process entirely. Revised July 28, 2022 Page 8 of 204 3.7. COST OF PREPARATION: Bidder shall be solely responsible for all expenses incurred in the preparation of a response to this RFP and shall be responsible for all expenses associated with any presentations or demonstrations associated with this request and/or any proposals made. 3.8. CONTRACT TERMS: The selected bidder(s) will be expected to sign a contract with the State, including the Standard Contract Form and Attachment C as attached to this RFP for reference. If IT Attachment D is included in this RFP, terms may be modified based upon the solution proposed by the Bidder, subject to approval by the Agency of Digital Services. As the Department of Disabilities, Aging and Independent Living, Adult Services Division is within the State Agency of Human Services the Contract will also include Attachment E – Business Associate Agreement and Attachment F – Agency of Human Services Customary Contract Provisions, these are included in this RFP. 3.8.1. Business Registration. To be awarded a contract by the State of Vermont a bidder (except an individual doing business in his/her own name) must be registered with the Vermont Secretary of State’s office https://sos.vermont.gov/corporations/registration/ and must obtain a Contractor’s Business Account Number issued by the Vermont Department of Taxes http://tax.vermont.gov/. 3.8.2. The contract will obligate the bidder to provide the services and/or products identified in its bid, at the prices listed. 3.8.3. Payment Terms. Percentage discounts may be offered for prompt payments of invoices; however, such discounts must be in effect for a period of 30 days or more in order to be considered in making awards. 3.8.4. Quality. If applicable, all products provided under a contract with the State will be new and unused, unless otherwise stated. Factory seconds or remanufactured products will not be accepted unless specifically requested by the purchasing agency. All products provided by the contractor must meet all federal, state, and local standards for quality and safety requirements. Products not meeting these standards will be deemed unacceptable and returned to the contractor for credit at no charge to the State. 3.9. DEMONSTRATION: An in-person or webinar demonstration by the Bidder will be required by the State to help the State’s evaluation process. The State will factor information presented during demonstrations into the evaluation. Bidder will be responsible for all costs associated with the providing the demonstration. 3.10. INDEPENDENT REVIEW: Certain State information technology projects require independent expert review as described under 3 V.S.A. § 3303(d). Such review, if applicable, will inform the State’s decision to award any contract(s) resulting from this RFP. https://sos.vermont.gov/corporations/registration/ http://tax.vermont.gov/ Revised July 28, 2022 Page 9 of 204 4. CONTENT AND FORMAT OF RESPONSES: The content and format requirements listed below are the minimum requirements for State evaluation. These requirements are not intended to limit the content of a Bidder’s proposal. Bidders may include additional information or offer alternative solutions for the State’s consideration. However, the State discourages overly lengthy and costly proposals, and Bidders are advised to include only such information in their response as may be relevant to the requirements of this RFP. 4.1. The bid should include a Cover Letter and Technical Response and Price Schedule. 4.2. COVER LETTER: 4.2.1. Confidentiality. To the extent your bid contains information you consider to be proprietary and confidential, you must comply with the following requirements concerning the contents of your cover letter and the submission of a redacted copy of your bid (or affected portions thereof). 4.2.2. All responses to this RFP will become part of the contract file and will become a matter of public record under the State’s Public Records Act, 1 V.S.A. § 315 et seq. (the “Public Records Act”). If your response must include material that you consider to be proprietary and confidential under the Public Records Act, your cover letter must clearly identify each page or section of your response that you consider proprietary and confidential. Your cover letter must also include a written explanation for each marked section explaining why such material should be considered exempt from public disclosure in the event of a public records request, pursuant to 1 V.S.A. § 317(c), including the prospective harm to the competitive position of the bidder if the identified material were to be released. Additionally, you must include a redacted copy of your response for portions that are considered proprietary and confidential. Redactions must be limited so that the reviewer may understand the nature of the information being withheld. It is typically inappropriate to redact entire pages, or to redact the titles/captions of tables and figures. Under no circumstances may your entire response be marked confidential, and the State reserves the right to disqualify responses so marked. 4.2.3. Exceptions to Contract Terms and Conditions. If a Bidder wishes to propose an exception to any terms and conditions set forth in the Standard Contract Form and its attachments, such exceptions must be included in the cover letter to the RFP response. Failure to note exceptions when responding to the RFP will be deemed to be acceptance of the State contract terms and conditions. If exceptions are not noted in the response to this RFP but raised during contract negotiations, the State reserves the right to cancel the negotiation if deemed to be in the best interests of the State. Note that exceptions to contract terms may cause rejection of the proposal. Revised July 28, 2022 Page 10 of 204 4.3. TECHNICAL RESPONSE. In response to this RFP, a Bidder shall: 4.3.1. Provide details concerning your form of business organization, company size and resources. 4.3.2. Describe your capabilities and particular experience relevant to the RFP requirements. 4.3.2.1. Identify all current or past State projects. 4.3.3. Identify the names of all subcontractors you intend to use, the portions of the work the subcontractors will perform, and address the background and experience of the subcontractor(s), as per RFP section 4.3.2 above. 4.4. REFERENCES. Provide the names, addresses, and phone numbers of at least three companies with whom you have transacted similar business in the last 12 months. You must include contact names who can talk knowledgeably about performance. 4.5. REPORTING REQUIREMENTS: Provide a sample of any reporting documentation that may be applicable to the Detailed Requirements of this RFP. 4.6. PRICE SCHEDULE: Bidders shall submit their pricing information in the Price Schedule attached to the RFP. 4.7. CERTIFICATE OF COMPLIANCE: This form must be completed and submitted as part of the response for the proposal to be considered valid. 4.8. STATE OF VERMONT BIDDER RESPONSE FORM: This form must be completed and submitted as part of the response for the proposal to be considered valid. The State of Vermont Bidder Response Form provides a standard format and content for bidder proposals. When required, this form will prompt Bidders to supply the information required in the above RFP sections 4.3 through 4.7. Note: In addition to completing the State of Vermont Bidder Response Form, Bidders are required to provide the specific attachments that are described within the Bidder Response Form. 5. SUBMISSION INSTRUCTIONS: 5.1. CLOSING DATE: Bids must be received by the State by the due date specified on the front page of this RFP. Late bids will not be considered. 5.1.1. The State may, for cause, issue an addendum to change the date and/or time when bids are due. If a change is made, the State will inform all bidders by posting at the webpage indicated on the front page of this RFP. 5.1.2. There will not be a public bid opening. However, the State will record the name, city and state for any and all bids received by the due date. This information will be posted as promptly as possible following the due date online at: https://bgs.vermont.gov/content/opc-bid-tabulation-sheets-0. https://bgs.vermont.gov/content/opc-bid-tabulation-sheets-0 Revised July 28, 2022 Page 11 of 204 Bidders are hereby notified to review the information posted after the bid opening deadline to confirm receipt of bid by the State. Any bidder that submitted a bid, and is not listed on the bid tabulation sheet, shall promptly notify the State Contact listed on the front page of this RFP. Should a bidder fail to notify the State Contact listed on the front page of this RFP within two (2) weeks of posting the bid tabulation sheet, the State shall not be required to consider the bid. 5.2. STATE SECURITY PROCEDURES: Please be advised extra time will be needed when visiting and/or delivering information to State of Vermont offices. All individuals visiting State offices must present a valid government issued photo ID when entering the facility. 5.2.1. State office buildings may be locked or otherwise closed to the Public. If this RFP permits hand delivery of bids, delivery instructions will be posted at the entrance to the State facility. Any delay caused by State Security Procedures will be at the bidder’s own risk. 5.3. BID DELIVERY INSTRUCTIONS: 5.3.1. ELECTRONIC. Electronic bids will be accepted. This is the State’s preferred method of submission for this RFP. 5.3.1.1. E-MAIL BIDS. Emailed bids will be accepted. Bids will be accepted via email submission to SOV.ThePathForward@vermont.gov. Bids must consist of a single email with a single, digitally searchable PDF attachment containing all components of the bid. Multiple emails and/or multiple attachments will not be accepted. There is an attachment size limit of 40 MB. It is the Bidder’s responsibility to compress the PDF file containing its bid, if necessary, in order to meet this size limitation. 5.3.1.2. FAX BIDS. Faxed bids will not be accepted. 5.4. U.S. MAIL OR EXPRESS DELIVERY OR HAND DELIVERY: 5.4.1. All paper format bids must be addressed to the State of Vermont, Office of Purchasing & Contracting, 133 State Street, 5th Floor, Montpelier, VT 05633-8000. BID ENVELOPES MUST BE CLEARLY MARKED ‘SEALED BID’ AND SHOW THE REQUISITION NUMBER AND/OR PROPOSAL TITLE, OPENING DATE AND NAME OF BIDDER. 5.4.2. NUMBER OF COPIES: 5.4.2.1. For bids submitted via mail, express, or in-hand, submit an unbound original (clearly marked as such) and one digital copy in PDF, CD-ROM, or USB flash drive copy. mailto:SOV.ThePathForward@vermont.gov Revised July 28, 2022 Page 12 of 204 5.4.3. Paper Format Delivery Methods: 5.4.3.1. U.S. MAIL: Bidders are cautioned that it is their responsibility to originate the mailing of bids in sufficient time to ensure bids are received and time stamped by the Office of Purchasing & Contracting prior to the time of the bid opening. 5.4.3.2. EXPRESS DELIVERY: If bids are being sent via an express delivery service, be certain that the RFP designation is clearly shown on the outside of the delivery envelope or box. Express delivery packages will not be considered received by the State until the express delivery package has been received and time stamped by the Office of Purchasing & Contracting. 5.4.3.3. HAND DELIVERY: Hand carried bids shall be delivered to a representative of the Office of Purchasing & Contracting prior to the bid opening. A Security Officer is at 133 State Street until 4:30pm which is the normal hours. A bid submitted by Hand Delivery will not be accepted after 4:30 PM. 6. BID SUBMISSION CHECKLIST: • Required Number of Copies. • Cover Letter. • Redacted Technical Response, if applicable. • State of Vermont Bidder Response Form and Attachments. o Technical Response (included in Bidder Response Form). o References (included in Bidder Response Form). o Price Schedule (included in Bidder Response Form). o Certificate of Compliance (included in Bidder Response Form). 7. ATTACHMENTS: 7.1. Worker Classification Compliance Requirement; Subcontractor Reporting Form. 7.2. State of Vermont Bidder Response Form (Exhibit C). 7.3. Standard State Contract with its associated attachments, including but not limited to, Attachment C: Standard State Provisions for Contracts and Grants (December 15, 2017) • Attachment A – Statement of Work. • Attachment B – Payment Provisions. • Attachment C – Standard State Provisions for Contracts and Grants. • State of Vermont – Federal Terms Supplement (Non-Construction). Revised July 28, 2022 Page 13 of 204 • Attachment D – Other Terms and Conditions for Information Technology Contracts. • Attachment E – Business Associate Agreement. • Attachment F – Agency of Human Services Customary Contract Provisions. • Attachment G – Confidentiality Agreement. 7.4. State of Vermont Agency of Digital Services, Enterprise Architecture Division Architecture Vision. 7.5. Department of Disabilities, Aging and Independent Living (DAIL) Enterprise 5 Year Roadmap. 7.6. Adult Services Division (ASD) Reference Materials. 7.6.1. Program Manuals. 7.6.2. Assessment Tools. 7.6.3. Choices for Care (High/Highest) Program Forms. 7.6.4. Moderate Needs Program Forms. [Remaining section of page intentionally left blank] Revised July 28, 2022 Page 14 of 204 RFP/PROJECT: DATE: Page 1 of 3 CERTIFICATE OF COMPLIANCE For a bid to be considered valid, this form must be completed in its entirety, executed by a duly authorized representative of the bidder, and submitted as part of the response to the proposal. A. NON COLLUSION: Bidder hereby certifies that the prices quoted have been arrived at without collusion and that no prior information concerning these prices has been received from or given to a competitive company. If there is sufficient evidence to warrant investigation of the bid/contract process by the Office of the Attorney General, bidder understands that this paragraph might be used as a basis for litigation. B. CONTRACT TERMS: Bidder hereby acknowledges that is has read, understands and agrees to the terms of this RFP, including Attachment C: Standard State Contract Provisions, and any other contract attachments included with this RFP. C. WORKER CLASSIFICATION COMPLIANCE REQUIREMENT: In accordance with Section 32 of The Vermont Recovery and Reinvestment Act of 2009 (Act No. 54), the following provisions and requirements apply to Bidder when the amount of its bid exceeds $250,000.00. Self-Reporting. Bidder hereby self-reports the following information relating to past violations, convictions, suspensions, and any other information related to past performance relative to coding and classification of workers, that occurred in the previous 12 months. Summary of Detailed Information Date of Notification Outcome Subcontractor Reporting. Bidder hereby acknowledges and agrees that if it is a successful bidder, prior to execution of any contract resulting from this RFP, Bidder will provide to the State a list of all proposed subcontractors and subcontractors’ subcontractors, together with the identity of those subcontractors’ workers compensation insurance providers, and additional required or requested information, as applicable, in accordance with Section 32 of The Vermont Recovery and Reinvestment Act of 2009 (Act No. 54), and Bidder will provide any update of such list to the State as additional subcontractors are hired. Bidder further acknowledges and agrees that the failure to submit subcontractor reporting in accordance with Section 32 of The Vermont Recovery and Reinvestment Act of 2009 (Act No. 54) will constitute non-compliance and may result in cancellation of contract and/or restriction from bidding on future state contracts. Revised July 28, 2022 Page 15 of 204 RFP/PROJECT: DATE: Page 2 of 3 D. Executive Order 05 – 16: Climate Change Considerations in State Procurements Certification Bidder certifies to the following (Bidder may attach any desired explanation or substantiation. Please also note that Bidder may be asked to provide documentation for any applicable claims): 1. Bidder owns, leases or utilizes, for business purposes, space that has received: ❑ Energy Star® Certification ❑ LEED®, Green Globes®, or Living Buildings ChallengeSM Certification ❑ Other internationally recognized building certification: _______________________________________________________________________ 2. Bidder has received incentives or rebates from an Energy Efficiency Utility or Energy Efficiency Program in the last five years for energy efficient improvements made at bidder’s place of business. Please explain: _______________________________________________________________________ 3. Please Check all that apply: ❑ Bidder can claim on-site renewable power or anaerobic-digester power (“cow-power”). Or bidder consumes renewable electricity through voluntary purchase or offset, provided no such claimed power can be double-claimed by another party. ❑ Bidder uses renewable biomass or bio-fuel for the purposes of thermal (heat) energy at its place of business. ❑ Bidder’s heating system has modern, high-efficiency units (boilers, furnaces, stoves, etc.), having reduced emissions of particulate matter and other air pollutants. ❑ Bidder tracks its energy consumption and harmful greenhouse gas emissions. What tool is used to do this? _____________________ ❑ Bidder promotes the use of plug-in electric vehicles by providing electric vehicle charging, electric fleet vehicles, preferred parking, designated parking, purchase or lease incentives, etc. ❑ Bidder offers employees an option for a fossil fuel divestment retirement account. ❑ Bidder offers products or services that reduce waste, conserve water, or promote energy efficiency and conservation. Please explain: _______________________________________________________________________ _______________________________________________________________________ 4. Please list any additional practices that promote clean energy and take action to address climate change: _______________________________________________________________________ _______________________________________________________________________ _______________________________________________________________________ Revised July 28, 2022 Page 16 of 204 RFP/PROJECT: DATE: Page 3 of 3 E. Executive Order 02 – 22: Solidarity with the Ukrainian People ❑ By checking this box, Bidder certifies that none of the goods, products, or materials offered in response to this solicitation are Russian-sourced goods or produced by Russian entities. If Bidder is unable to check the box, it shall indicate in the table below which of the applicable offerings are Russian-sourced goods and/or which are produced by Russian entities. An additional column is provided for any note or comment that you may have. Provided Equipment or Product Note or Comment Bidder Name: Contact Name: Address: Fax Number: Telephone: E-Mail: By: Name: Signature of Bidder (or Representative) (Type or Print) END OF CERTIFICATE OF COMPLIANCE Revised July 28, 2022 Page 17 of 204 PRICE SCHEDULE Pricing Submissions See Attachment 7.2 State of Vermont Bidder Response Form (Exhibit C), Part 8. Pricing for full details on the format and content for submission of pricing for proposed solution. [Remaining section of page intentionally left blank] Revised July 28, 2022 Page 18 of 204 ATTACHMENT 7.1 – WORKER CLASSIFICATION COMPLIANCE REQUIREMENT; SUBCONTRACTOR REPORTING FORM RFP/PROJECT: DATE: SUBCONTRACTOR REPORTING FORM This form must be completed in its entirety and submitted prior to contract execution and updated as necessary and provided to the State as additional subcontractors are hired. The Department of Buildings and General Services in accordance with Act 54, Section 32 of the Acts of 2009 and for total project costs exceeding $250,000.00 requires bidders to comply with the following provisions and requirements. Contractor is required to provide a list of subcontractors on the job along with lists of subcontractor’s subcontractors and by whom those subcontractors are insured for workers’ compensation purposes. Include additional pages if necessary. This is not a requirement for subcontractor’s providing supplies only and no labor to the overall contract or project. Subcontractor Insured By Subcontractor’s Sub Insured By Date: Name of Company: Contact Name: Address: Title: Phone Number: E-mail: Fax Number: By: Name: Failure to adhere to Act 54, Section 32 of the Acts of 2009 and submit Subcontractor Reporting: Worker Classification Compliance Requirement will constitute non-compliance and may result in cancellation of contract and/or forfeiture of future bidding privileges until resolved. Send Completed Form to: Office of Purchasing & Contracting 133 State Street, 5th Floor Montpelier, VT 05633-8000 Revised July 28, 2022 Page 19 of 204 ATTACHMENT 7.2 – STATE OF VERMONT BIDDER RESPONSE FORM (EXHIBIT C) State of Vermont Bidder Response Form Request for Proposal Name: Department of Disabilities, Aging and Independent Living, Adult Services Division Customer Relationship Management System Revised July 28, 2022 Page 20 of 204 Vendor Instructions: Provide the information requested in this form and submit it to the State of Vermont as part of your Request for Proposal (RFP) response. All answers must be provided within the form unless otherwise specified. Important: This form must be completed and submitted in response to this RFP for your proposal to be considered valid. The submission must also include the eight (8) additional artifacts requested within this form (denoted by underlined green font). See the RFP for full instructions for submitting a bid. Bids must be received by the due date and at the location specified on the cover page of the RFP. Direct any questions you have concerning this form or the RFP to: Stephen Fazekas, Technology Procurement Administrator State of Vermont Office of Purchasing & Contracting 133 State Street, 5th Floor Montpelier VT 05633-8000 E-mail Address: SOV.ThePathForward@vermont.gov mailto:SOV.ThePathForward@vermont.gov Revised July 28, 2022 Page 21 of 204 PART 1: VENDOR PROFILE 1. Complete the table below. Item Detail Company Name: [insert the name that you do business under] Physical Address: [if more than one office – put the address of your head office] Postal Address: [e.g., P.O Box address] Business Website: [URL address] Type of Entity (Legal Status): [sole trader/partnership/limited liability company or specify other] Primary Contact: [name of the person responsible for communicating with the Buyer] Title: [job title or position] Email Address: [email] Phone Number: [landline] Fax Number: [fax] 2. Provide a brief overview of your company including number of years in business, number of employees, nature of business, and description of clients. Identify any parent corporation and/or subsidiaries. 3. Is your organization currently or has it previously provided solutions and/or services to any agency or entity of the Vermont State government? If so, name the State entity, the solution and/or services provided, and the dates. Revised July 28, 2022 Page 22 of 204 4. Provide a Financial Statement* for your company and label this as Attachment #1. A confidentiality statement may be included if this financial information is considered non-public information. This requirement can be filled by: ▪ A current Dun and Bradstreet Report that includes a financial analysis of the firm, ▪ An Annual Report if it contains (at a minimum) a Compiled Income Statement and Balance Sheet verified by a Certified Public Accounting firm, or ▪ Tax returns and financial statements including income statements and balance sheets for the most recent 3 years, and any available credit reports. *Some types of procurements may require bidders to provide additional or specific financial information. Any such additional requirements will be clearly identified and explained within the RFP and may include supplemental forms in addition to this Bidder Response Form. 5. Disclose any judgments, pending or expected litigation, or other real potential financial reversals, which might materially affect the viability or stability of your company or indicate below that no such condition is known to exist. 6. Provide a list of three references similar in size and industry (preferably another governmental entity). References shall be clients who have implemented your Solution within the past 48 months. Reference 1 Detail Reference Company Name: [insert the name that the reference company does business under] Company Address: [address] Type of Industry: [industry type: e.g., government, telecommunications, etc.] Contact Name: [if applicable] Contact Phone Number: [phone] Contact Email Address: [email] Description of system(s) implemented: [description] Date of Implementation: [date] Revised July 28, 2022 Page 23 of 204 Reference 2 Detail Reference Company Name: [insert the name that the reference company does business under] Company Address: [address] Type of Industry: [industry type: e.g., government, telecommunications, etc.] Contact Name: [if applicable] Contact Phone Number: [phone] Contact Email Address: [email] Description of system(s) implemented: [description] Date of Implementation: [date] Reference 3 Detail Reference Company Name: [insert the name that the reference company does business under] Company Address: [address] Type of Industry: [industry type: e.g., government, telecommunications, etc.] Contact Name: [if applicable] Contact Phone Number: [phone] Contact Email Address: [email] Description of system(s) implemented: [description] Date of Implementation: [date] Revised July 28, 2022 Page 24 of 204 Part 2: Vendor Proposal/Solution 1. Provide a description of the technology solution you are proposing. 2. Provide a description of the capabilities of the technology solution you are proposing. 3. If a proprietary software is being proposed, provide a description of the: A. Standard features and functions of the software: B. The software licensing requirements for the solution: C. The standard performance levels: ▪ Hours of system availability: ▪ System response time: ▪ Maximum number of concurrent users: ▪ Other relevant performance level information: 4. Give a brief description of the evolution of the system/software solution you are proposing. Include the date of the first installed site and major developments which have occurred (e.g., new versions, new modules, specific features). 5. List the total number of installations in the last 3 years by the year of installation. 6. Provide the total number of current users for the proposed system and indicate what version they are using. 7. Have you implemented the proposed solution for other government entities? If so, tell us who, when, and how that implementation went? 8. Provide a Road Map that outlines the Company’s Short-Term and Long-Term goals for the proposed solution/software and label this as Attachment #2. 9. Provide a PowerPoint (minimum of 1 slide and maximum of 10 slides) that provides an Executive Level Summary of your proposal to the State. Label this as Attachment #3. Revised July 28, 2022 Page 25 of 204 10. Oral Demonstrations, Interviews and Trial Evaluation Period: The State reserves the right to, • Require a Vendor to present an Oral Demonstration of their proposed solution, preferably by the Vendor’s Solution Experts and Information Technology staff that will be implementing the solution and respond to interview questions during the demonstration. The demonstration will be stand alone and should include a high-level overview of how the proposed solution meets the State’s needs and will be limited to 45 minutes, then 30 minutes available for the State to ask questions about the proposed solution. • Request and be provided a Trial Evaluation (Hands-On Evaluation) Period of the proposed solution by State Evaluators. State Evaluators will have access to Vendor’s Sandbox version of the proposed solution for Hands-On Evaluation which will include: o Hands-On Evaluation Setup Meeting prior to beginning of the Evaluation period with Vendor Representative, and State Representatives to review such items as ▪ Account setup and types of roles. ▪ Confirmation of Hands-On Evaluation duration dates. ▪ Vendor Support contact during Hands-On Evaluation. ▪ Setup of Kick-Off meeting with Vendor Representatives and State Evaluators. ▪ Check-In meetings; setup of a minimum of two (2) meetings during Evaluation period. ▪ How Vendor will respond to State questions and evaluation scripts findings (issues). o Pre-Hands-On Evaluation Support to ensure that all Evaluators have successfully logged into the Vendor’s Sandbox. o Hands-On Evaluation Duration of Fifteen 15 Business Days. ▪ First day of the Evaluation period, or prior to, a Kick-Off Meeting with Vendor Representatives, and State Evaluators for orientation of Vendor’s Sandbox version of the solution. ▪ Minimum of fourteen (14) business days of Hands-On Evaluation of Vendors proposed solution in Vendor’s Sandbox. ▪ Minimum of two (2) Check-In Meetings during Evaluation period with State Evaluators and Vendor Representatives to review any issues, blocks, features, and functionality discovered. It is preferred by the State that the first Check-In Meeting be in the first week of the Evaluation period. • All costs associated with oral demonstration, interviews, and Sandbox setup and usage for Hands-On Evaluation will be borne entirely by the Vendor. • Describe how you will make these items possible and what Vendor support will be provided during Hands-On Evaluation period. Revised July 28, 2022 Page 26 of 204 11. Does your proposed solution include any warranties? If so, describe them and provide the warranty periods. 12. Describe any infrastructure, equipment, network, or hardware required to implement and/or run the solution. 13. What is your recommended way to host this solution? 14. Describe how your solution can be integrated to other applications and if you offer a standard-based interface to enable integrations. 15. Respond to the following questions about the solution being proposed: Question Yes or No Vendor Response/Explanation A. Does the solution use Service Oriented Architecture for integration? B. Does the solution use a Rules Engine for business rules? C. Does the solution use any Master Data Management? D. Does the solution use any Enterprise Content Management software? E. Does the solution use any Case Management software? F. Does the solution use any Business Intelligence software? G. Does the solution use any Database software? H. Does the solution use any Business Process Management software? I. Is this a browser-based solution and if so, what browsers do you support? J. Does the solution include an API for integration? Revised July 28, 2022 Page 27 of 204 Part 3: Functional Requirements The table below lists the State’s Functional Requirements. Indicate the “Availability” for each requirement for your proposed solution. Use the “Vendor Comments” column to provide any additional information or explanations. A - Feature is available in the core (“out-of-the-box”) solution. D - Feature is currently under development (indicate anticipated date of availability in the Vendor comments column). C - Feature is not available in the core solution but can provided with customization. N - Feature is not available. ID # Functional Requirement Description Availability Vendor Comments 1 System Overview SO-001 The new user-friendly system will assist State to better serve Older Vermonters and people with disabilities with the features and functionality of the system that will, • Assist with full case management, program eligibility, service authorization, quality oversight by meeting specific business practices and process flows. • Support the storage of all artifacts of a client case, including large files. • Have a user intuitive customer facing web input mechanism to enable Community Provider direct reporting for accountability. • Secure access for State Staff to use from any location to perform real-time case management with electronic availability of case documents. • Have system process flows to enable continued flow into the next phase bringing forward the needed data to that next process phase. Revised July 28, 2022 Page 28 of 204 ID # Functional Requirement Description Availability Vendor Comments • Not lock out of any phases before or after a phase for updates, usage of data and viewing by approved Users, unless business rules require no modifications on a specific field at a specific point in a business flow. • Where warranted not allow users to move forward to another Phase until required fields have been completed or to Close a Case until specific fields are completed. • Automate task creation, predefined workflows for transactions, process metrics, automated assignments, user access (Inbox, Queue, or To Do List) capabilities. SO-002 System must support the following. Users overall (Programs combined usage): • 40 DAIL Staff. • Potential for 250 Partner active user accounts. • 65 up to 150 concurrent users. Cases: Approximately 155,000 client cases annually, of which 5,000 are new cases. 2 Case Management CM-DF General Design and Functionality CM-DF-001 System must capture required data elements for Federal and State Reporting and Case Management needs for core funded Programs. CM-DF-002 System should have the capacity to capture data elements for VT-specific Programs and data analysis needs beyond the requirements of Federally mandated data. Revised July 28, 2022 Page 29 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-DF-003 System must use a unique case number for tracking and monitoring of all information related to that case. This unique case number will be presented to users as a reference case number. This is not the System based unique ID. CM-DF-004 System must allow different parameters or business rules to be applied to each Program, e.g., eligibility, fiscal transactions, case flow etc., under control of Local System Administrator. CM-DF-005 System must support different business rules for different statuses. CM-DF-007 System should be able to support flexible assignment of staff to one or more offices or regions (e.g., case lead or supervisor who covers more than one office.) CM-DF-008 System should allow cases to be organized into caseloads, and case leads to be assigned to caseloads. CM-DF-009 System should track history of case assignment to caseloads, and caseload assignments to case lead. CM-DF-010 System should track whether case lead has met required business process steps and can sign certifications and Plans. CM-DF-011 System should use a provider reference table maintained by the Local System Administrator that ensures consistent recording of names and locations for analytical purposes. CM-DF-012 System screens and outputs must restrict display of SSN as much as possible; documents that are sent outside of Adult Services Division, such as authorizations and remittance advices shall not show clients’ SSN. Revised July 28, 2022 Page 30 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-DF-013 System should support real-time electronic signature capacity. CM-DF-014 Data Mapping; Geographic Information System (GIS) Mapping It is desired that the System will have the ability to plot different geographic information on map of Vermont using specified data points as set by users through dashboard or other means. GIS Module will have such features and functions to enable users to produce such items as: basic map production by State, Counties or specific regions of the State, ability to print, publish and export maps with datapoints, selecting attributes for data points, auto feature or manually set labels for data points and create plotting of data points. It is expected that training will be provided to users to enable full understanding and efficient use of the GIS Module. This feature can be within the core solution or have interconnectivity to a third-party solution. CM-CM Client Management CM-CM-001 System must provide the ability for authorized users to add a new client with required fields as needed by each Program. The Local System Administrator will have the ability to set required fields. CM-CM-002 System will collect client demographic information. CM-CM-003 System must prevent creation of a duplicate client record. CM-CM-004 System must not use the client SSN as a primary unique ID or key. CM-CM-005 System must require a unique SSN. System will assign a 'proxy' SSN in situations where a valid, SSA-issued SSN is not available, no duplication on SSN. Revised July 28, 2022 Page 31 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-CM-006 System will allow changes to the client SSN and historical tracking of previous SSN. CM-CM-007 System must collect and store client name history. CM-CM-008 System must allow statewide search of clients by current and historical names and SSNs. CM-CM-009 System must collect and store client address history with effective date ranges. CM-CM-010 System should be able to enable user to identify whether client is currently enrolled in specified additional Programs. CM-CM-011 System must provide the ability to update or add client information for clients who already exist in the System without affecting data used in past reports. CM-CM-012 When user updates select demographic information in fields shared between modules, the fields in all modules that are identical shall be updated (e.g., phone number, address), unless the business specifies that a field within a specific module is not to be changed. User shall be prompted to promote this action for full changes in all modules or only the module they are working in. CM-CM-013 When user updates select demographic information, no data will be updated within specified documents that were created prior to the change of the demographic information. CM-CM-014 System should have capacity to flag individuals who are deceased to prevent inclusion in mailings or notices of any type being sent. CM-G Case Management – General Revised July 28, 2022 Page 32 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-G-001 System must provide the user the capability to gather and analyze necessary data for such items as eligibility determination, service authorization, client assessment, and delivery of services to clients. System must be able to provide data to specific data sources for these same reasons. • Data sources may be from external solutions and may be imported into the core solution. • Indicators of eligibility determination may be exported from the core solution to an external solution. Example of external source: State of Vermont Agency of Digital Services OnBase ECM Solution. CM-G-002 System must store client case history, maintain previous cases as separate entities. CM-G-003 System must track history of Care Program enrollment for an individual client. CM-G-004 System must prevent a single client from having a concurrent active status in the same Program (e.g., 2 cases for same Program with the same dates). CM-G-005 Local System Administrator should have the ability to set business rules that determine whether a single client can have concurrent active status in different Programs. CM-G-006 A user must be able to select one or more “special indicator(s)” (i.e., Status, Reason, Type) from a reference table managed by the Local System Administrator, preferably with an effective and expiration date for areas of a record such as Client, Case, Program, and Service. Standard Reports must include the ability to filter by these indicators within specified dates. Revised July 28, 2022 Page 33 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-G-007 System must provide ability to find individuals by name, partial names, alias, SSN, case number. CM-G-008 System must provide ability to display case from the list returned from a search, enabling the user to open the case landing screen. CM-G-009 System must permit authorized user the ability to view all previous cases on a client. CM-G-010 System must provide a quick view summary or profile of a case that can be viewed on a minimum number of screens. User can print this summary or profile. CM-G-011 System must display date and time in any status in format of Month/Day/Year (MM/DD/YYYY). CM-G-012 System must provide a change log of case activity including status changes, applications, and case notes. CM-G-013 Users must be able to search and sort case activity change log by multiple criteria. CM-G-014 System should ensure that cases always have an assigned user with an appropriate role even when case type and case lead has not yet been determined. CM-G-015 System must record two dates for each status change. Date of status change (system generated, non-editable) and effective date (system generated, user editable). CM-G-016 System must automate status changes, when possible, based on set criteria by Local System Administrator. CM-G-017 System must ensure that application, eligibility, and closure statuses cannot be added manually. Instead, require users to enter data into applicable screens and auto-create the status. Revised July 28, 2022 Page 34 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-G-018 System must allow saving of incomplete case data, but not advance status until all required data is complete. State will provide the required data for the business rules. CM-G-019 System must prevent status changes until process requirements are met. State will provide the required data for the business rules. CM-G-020 System must enable, in a single transaction, the transfer of one or more individuals between caseloads, or regions with an automated notice to affected team members. CM-G-021 System should provide that a history is available of transfers to include date transferred, and previous regional office(s) and case lead(s) that once had the case. CM-G-022 Any documents created for a case must be associated with that case and can be viewed at any point in time within the parameters of role-based security requirements. CM-G-023 System should provide a document indexing feature or other capability which allows staff to track required paper case documentation. CM-G-024 System should generate, or allow user to generate, appropriate documents at specified points in business process. CM-G-025 System must provide a means to save releases of information to a record and to track specific information about the releases. CM-G-026 When a case note is created, the author's name and current date (date of creation) must be auto filled by the System and be non-editable. User will also have the option of entering the "date of service" in a separate field. Revised July 28, 2022 Page 35 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-G-027 Once saved and exited, a case note can be edited by the note author but only within a timeframe after creation, State will provide timeframe. After the prescribed timeframe, Managers may still edit notes. The intent of this requirement is to prevent significant alterations on older case notes. This timeframe should be editable by the Local System Administrator should business rules change. CM-G-028 If a case note is edited the System must add the author’s name and edit date by auto fill, these items must be non-editable. CM-G-029 Case notes must be assigned categories or tags from a pre-determined reference list that is managed by the Local System Administrator. CM-G-030 Case note titles are free form fields with a default value (e.g., 100 characters) that is defined by the Local System Administrator or is a formula based on the note text. CM-G-031 An email can be associated with, attached to, or imported into a case note. The header and content information from that email must be easily accessible by and from the case note. • E-mail header and content will not be editable. Additional comments can be added, or modified, in this case note, provided the email content remains unchanged. CM-G-032 The default display for case notes sorted list with most recent case note listed first (reverse chronological order). CM-G-033 Case notes can be filtered or sorted by date of service, user, and categories or tags. Have ability to print filtered items. Revised July 28, 2022 Page 36 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-G-034 A user must be able to print or extract a case note to common formats (e.g., PDF, Microsoft Word, Microsoft Excel, CVS, TIF) and ability to save extract within or external to the System. CM-G-035 System provides that closed records will be accessible by Program Management, Senior Management, and staff for statistical use. CM-G-036 System maintains, as accessible data, all open clients, closed cases that have not been archived, plus any closed cases that have been archived. CM-I Case Management – Intake CM-I-001 When referral data is entered, the System puts the case into Referral Status, and a unique case number is assigned. CM-I-002 System will allow information to be entered without requiring the case to be assigned to a caseload or Program (e.g., supporting documentation, case notes) for cases in a Referral status, but there should always be staff assigned as Case Lead to be accountable for the case. CM-I-003 System must allow editing of the application date to reflect actual date of application, but cannot be dated in the future, and cannot be edited after creation except by Local System Administrator and other defined roles. CM-I-004 System must support presumed eligibility when individual receives SSI or SSDI. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-I-005 System generates enrollment letter which includes authorized services. This will need to be enabled based on Programs business rules and may not be needed by all Programs. Revised July 28, 2022 Page 37 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-I-006 System generates ineligibility notification, and an editable letter. CM-I-007 System supports management of Order of Selection and wait list changes This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-I-008 System must allow ability to simultaneously advance multiple cases from wait list Status to other defined Status. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-P Case Management – Planning CM-P-001 System must support electronic comprehensive assessment and forms. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-P-002 System must support electronic Plan (form) and Amendments. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-P-003 A user must be able to make and store multiple Amendments to the Individualized Plan, Service Authorizations, Annual Reauthorization. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-P-004 System must preserve original, changes, reauthorizations, and signed Amendments. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-P-005 System must provide a user capability to print the entire Plan or any selected Amendments. This will need to be enabled based on Programs business rules and may not be needed by all Programs. Revised July 28, 2022 Page 38 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-A Case Management – Activities CM-A-001 System should track Program enrollment participation, including the care manager, care enrollment, service topic, provider, start and end dates, and outcomes. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-C Case Management – Closure CM-C-001 System must collect closure data at time of closure. Case cannot be closed without required closure data. CM-C-002 System must prevent successful closure if client has not been placed in terminated or closed status. CM-C-003 System must allow the assigned Case Manager to reopen a closed case within a limited timeframe after the case has been closed, State will provide timeframe. After that timeframe is past, the Local System Administrator may reopen the case once approved by Senior Management. This timeframe should be editable by the Local System Administrator should business rules change. CM-C-004 System must allow cases closed successfully to be opened and set at any status. CM-C-005 System must allow addition of case notes on closed case. CM-C-006 System must support multiple reasons for closure, each with different business rules or parameters. CM-C-007 System has ability to view and print upcoming annual reviews; sorted by Region, Case Lead and Program. Revised July 28, 2022 Page 39 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-C-008 System provides that Management, or Supervisory Staff, can randomly select at set percentage (e.g., 10%, 15%, 20%) of one or more Case Leads' caseloads for review. The section can be based on current Statuses or Closure Types within a specified time-period. CM-AT Case Management – Scheduling, Alerts, and Ticklers CM-AT-001 System must support scheduling events (e.g., interviews, hearings, review meetings) and updates users preferred calendars with said events. CM-AT-002 System must contain a set of built-in reminders/ticklers that can be configured by the Local System Administrator. CM-AT-003 System should allow Local System Administrator to create new event-driven or data-driven system alerts and system broadcast messages. CM-AT-004 Users must be able to manually set user-defined reminders and ticklers. CM-AT-005 A supervisor must be able to view all upcoming and overdue alerts for their subordinates for coverage and supervisory reasons. CM-AT-006 System alerts are linked appropriately to the relevant case and screen to facilitate direct action by user to respond. CM-AT-007 Tickler system should notify case lead of upcoming review or target dates or notify when a task is past due. The number of days prior to the notification is configurable and can be different based on the type of reminder. Revised July 28, 2022 Page 40 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-AT-008 Standard Alert: Prompt user to take action such as send a letter after defined period of time based on Program application or Service Authorization Status and Status Dates. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-AT-009 Standard Alert: Configurable by set days (e.g., 30-day) eligibility determination due / overdue. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-AT-010 Standard Alert: Configurable by set days (e.g., 90-day) initial plan due / overdue. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-AT-011 Standard Alert: Annual plans review due or overdue. CM-AT-012 Standard Alert: Elapsed time with no case activity. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-AT-013 Standard Alert: Consent form expiration. This will need to be enabled based on Programs business rules and may not be needed by all Programs. Revised July 28, 2022 Page 41 of 204 ID # Functional Requirement Description Availability Vendor Comments CM-AT-014 Standard Alert: If a held authorization is approved, the person who created the authorization is notified. This will need to be enabled based on Programs business rules and may not be needed by all Programs. CM-AT-015 Standard Alert: Prompt user periodically to seek valid SSN when client has proxy SSN assigned. CM-AT-016 System should notify the Case Lead’s Supervisor when notes past the timeframe for locking have been edited, including a record of the changes made. This will need to be enabled based on Programs business rules and may not be needed by all Programs. 3 Fiscal Budget Management FBM-001 System will require a Service Rate calculating formula factor for specific service authorizations. System must enable Local System Administrators to update Service Rate value as related to service authorizations when required by State and Federal mandates. FBM-002 Budget data must be tracked by Program and fiscal year. Multiple Programs and fiscal years must be supported. FBM-003 System must allow designated roles/individuals to distribute funds, transfer undistributed budget money, or redistribute unspent funds that have already been distributed. FBM-004 System must allow authorized individuals to transfer funds to region, office, and/or caseload. Revised July 28, 2022 Page 42 of 204 ID # Functional Requirement Description Availability Vendor Comments FBM-005 System should have the capacity to select a default budget based on the characteristics of the client, service, provider, and case lead caseload, but not link to payment. Ability to edit items once selection is made. The business rules governing this selection must be under the control of the Local System Administrator. 4 Specific Program Requirements SP-ASD-A Adult Service Division – Assessment SP-ASD-A- 001 System must enable by role to create multiple types of assessments forms within the System. SP-ASD-A- 002 System must enable configurable data population into a new assessment from a prior assessment. • This is for new assessments and re- assessments. • Re-Assessments will require a Change Request that will need to be recorded within the System. SP-ASD-A- 003 System needs to enable printing of assessments forms blank and completed. SP-ASD-A- 004 System must enable by role to update specific service reimbursement rates that populates plans that include that service. Revised July 28, 2022 Page 43 of 204 ID # Functional Requirement Description Availability Vendor Comments SP-ASD-A- 005 System will; when rates change based on the start date of the new reimbursement rate, • Create new care plans with new rates based on new reimbursement rate start date. • For existing care plans, o Set End Date of current care plan to be one day before the start date of the new reimbursement rate. o Create an updated care plan with, ▪ Start Date being the effective date of new reimbursement rate. ▪ End Date that matches the previous care plan’s End Date. Association with requirement FBM-001. SP-ASD-A- 006 When you open a new assessment, it should be based on current year values: e.g., poverty level, social security. SP-ASD-A- 007 System has ability to use specific indicators within an assessment to create a score to populate on the assessment (e.g., fall indicators, nutrition risks). SP-ASD-A- 008 System to populate care plan fields from service authorization details in the assessment form. • Modify and approve service authorization details in an assessment form. • Service authorization in the assessment form populates specific service fields in a care plan. Based on indicated client service needs, the System will indicate what items (e.g., data collection and input, letters, output of forms) need to be completed for the connected Programs and Services. Revised July 28, 2022 Page 44 of 204 ID # Functional Requirement Description Availability Vendor Comments SP-BPD Business Program – Dashboard SP-BPD-001 System will have Program Dashboard capabilities, or specific screen, that: • Shows specific client information in a dashboard layout to allow approved users to view, or have links to, needed client information for straightforward review for such items as, assessments, eligibility determinations, legal, complaints, critical incident reports, case status. • Sub-Menu with links to access specific client information. SP-LU-CA Legal Unit – Client Appeal SP-LU-CA- 001 Legal Solution Module: The DAIL Legal Unit does not have any specific requirements as they pertain to a new solution; however, if a solution has a module, the Department will evaluate the benefits and additional costs, if any, of such a module. Module potential business needs: • Recording of the following items in the Solution: o Receiving the initial notification of Consumer Appeal with required initial information to transition information into an Appeal Case. • Access to required case information to build an Appeal Case within the Solution. • Correspondences: o Acknowledgement to Consumer of their Appeal Request. o Correspond with Consumer, Consumer Representative or Attorney process to Revised July 28, 2022 Page 45 of 204 ID # Functional Requirement Description Availability Vendor Comments communicate notices, decisions and general correspondence with the Consumer, Consumer Representative or Attorney in preparation for an appeal. o Record these items within the Appeal Case record. • Schedule Hearings, record dates of importance and provide notifications to required individuals. • All notices and decisions sent to Consumer are attached to the Appeal Case in Solution. System allows DAIL Legal Unit staff to be able to organize, by applicant or participant, all records relating to the appeal determinations (by determination) concerning benefits or eligibility by specific case. Business need is to be able to efficiently obtain all documents and data related to a specific decision for a consumer from one location within the system. In future DAIL Legal may have a solution that will need to interconnect with the ASD system, and the needed documents and data may be exported to their solution to be part of an Appeal Case. Revised July 28, 2022 Page 46 of 204 ID # Functional Requirement Description Availability Vendor Comments SP-LU-CA- 002 DAIL Legal Unit receives an alert from the ASD solution when an appeal request has been submitted and recorded in the clients record in the ASD solution. • Alert will contain a to section within the ASD solution where there is a dashboard or section to obtain the appropriate documents, notes, media files for the appeal. • These items can then be downloaded into a Legal Unit client folder on State Network or into a Legal solution (future). • Continued alerts to notify Legal Unit when any additional item(s) have been added for the client appeal in the ASD solution to be transferred to the Legal Unit. SP-LU-CA- 003 DAIL Legal Unit has ability to enter a note with a triggered alert to ASD of any status changes in a case such as, if the case gets appealed up to the State’s Human Service Board (HSB), the appellant withdraws. SP-QMU- CIR Quality Management Unit – Critical Incident Reporting SP-QMU- CIR-001 Critical Incident Reporting (CIR): State requires a robust incident management system to allow the State to proactively respond to incidents and implement actions that reduce the risk and likelihood of future incidents. Ability to record, take action on and track incidents. This can be a module within the System or an interconnected Module. Revised July 28, 2022 Page 47 of 204 ID # Functional Requirement Description Availability Vendor Comments SP-QMU- CIR-002 Staff can record incidents from varying sources (email, phone, etc.) into a case record and case note; identify the type of Incident, record the reporting of the Incident. • System populates relevant client and/or agency data fields from Program data and enables specific CIR fields to be manual entered. • CIR fields that are system populated can be edited with no impact to Program data. Quality Management Director facilitating and assigning a Critical Incident Report for follow-up with alert to Reviewer. SP-QMU- CIR-003 Ability to send an alert to the State Incident Reviewer indicating a new incident report has been entered into the System. SP-QMU- CIR-004 Section to track investigation findings and related documentation associated with the incident record. SP-QMU- CIR-005 Section to track resolution actions and outcomes. SP-QMU- CIR-006 Section to track Program review of incident. SP-QMU- CIR-007 Ability to send messages between the Case Manager and the State Incident Reviewer. Revised July 28, 2022 Page 48 of 204 ID # Functional Requirement Description Availability Vendor Comments SP-QMU- CIR-008 Staff have access to appropriate data sets to trend and track critical incidents for such business needs as. • Determine further case action. • Reach out and work with specific individuals. • Survey population for trends. • Utilize for an Agency’s Quality Review, Improvement and Assurances. Identify incident trends across areas such as Program, Agency, staff involved, individual and type of incident. SP-QMU- CIR-009 System to ensure consistency in collection of data and reporting on critical incidents. SP-QMU- CIR-010 Federal reporting: Abilities to compile specific data from the overall system and the critical incidents section(s) to meet Federal reporting capabilities. SP-QMU- CIR-011 Standard Alerts: • Reminders for staff to follow-up on incidents for timely action and resolve. Management Alert when specific timeframe has passed with no action on a case. SP-QMU-C Quality Management Unit – Complaints Revised July 28, 2022 Page 49 of 204 ID # Functional Requirement Description Availability Vendor Comments SP-QMU-C- 001 System needs to have a Complaints tracking method. Staff can record complaints from varying sources (email, phone, etc.) into a case record and case note; identify the type of complaint, record the reporting of the complaint. • Ability to formally record, take action on and follow-up with the complainant. • System populates relevant client and/or agency data fields from Program data and enables specific complaint fields to be manual entered. Complaint fields that are system populated can be edited with no impact to Program data. SP-QMU-C- 002 Management can view all complaint information in one location for triaging and assigning of staff to the complaint case for follow-up actions and send notification to the staff that a complaint has been assigned to them for action. SP-QMU-C- 003 Ability to send an alert to the State Complaint Reviewer indicating a new complaint has been entered into the System. SP-QMU-C- 004 Section to track complaint findings and related documentation associated with the complaint. SP-QMU-C- 005 Section to track resolution actions and outcomes. SP-QMU-C- 006 Section to track Program review of complaint. SP-QMU-C- 007 Ability to send messages between the Case Manager and the State Complaint Reviewer. Revised July 28, 2022 Page 50 of 204 ID # Functional Requirement Description Availability Vendor Comments SP-QMU-C- 008 Staff have access to appropriate data sets to trend and track complaints for such business needs as. • Determine further case action. • Reach out and work with specific individuals. • Survey population for trends. • Utilize for an Agency’s Quality Review, Improvement, and Assurances. Identify complaint trends across areas such as Program, Agency, Staff involved, individual and type of complaint. SP-QMU-C- 009 System to ensure consistency in collection of data and reporting on complaints. SP-QMU-C- 010 Federal reporting: Abilities to compile specific data from the overall system and the complaint section(s) to meet Federal reporting capabilities. SP-QMU-C- 011 Standard Alerts: • Reminds for staff to follow-up on complaints for timely action and resolve. Management Alert when specific timeframe has passed with no action on a case. 5 System Output Requirements SOR-DCM Document Creation and Management SOR-DCM- 001 System will generate documents such as informational letters, notices, service authorization and forms to be completed by client for providers or providers. All documents will pull data from system data but will be editable by staff based on role.