final - request for proposal · 2017. 11. 8. · 4.4.1 competitive field determinations ... (iss)...

STATE OF ARKANSAS OFFICE OF STATE PROCUREMENT

1509 West 7th Street, Room 300 Little Rock, Arkansas 72201-4222

FINAL - REQUEST FOR PROPOSAL BID SOLICITATION DOCUMENT

Note: Updates to this final RFP are designated by red font.

SOLICITATION INFORMATION

Bid Number: SP-17-0006 Draft Solicitation Issued:

11/1/2016

Description: Information Support Services

Agency: Arkansas Department of Human Services

SUBMISSION DEADLINE FOR RESPONSE

Bid Opening Date: 2/2/2017 Bid Opening Time: 2:30 p.m., Central Time

Proposals shall not be accepted after the designated bid opening date and time. In accordance with Arkansas Procurement Law and Rules, it is the responsibility of vendors to submit proposals at the designated location on or before the bid opening date and time. Proposals received after the designated bid opening date and time shall be considered late and shall be returned to the vendor without further review. It is not necessary to return "no bids" to OSP.

DELIVERY OF RESPONSE DOCUMENTS

Delivery Address: Office of State Procurement 1509 West 7th Street, Room 300 Little Rock, AR 72201-4222 Delivery providers, USPS, UPS, and FedEx deliver mail to OSP’s street address on a schedule determined by each individual provider. These providers will deliver to OSP based solely on the street address.

Proposal’s Outer Packaging:

Outer packaging must be sealed and should be properly marked with the following information. If outer packaging of proposal submission is not properly marked, the package may be opened for bid identification purposes.

• RFP No. SP-17-0006 • Date and time of bid opening • Vendor's name and return address

OFFICE OF STATE PROCUREMENT CONTACT INFORMATION

OSP Buyer: Stephanie Cellers Buyer’s Direct Phone Number: 501-371-6065

Email Address: [email protected] OSP’s Main Number: 501-324-9316

OSP Website: http://www.dfa.arkansas.gov/offices/procurement/Pages/default.aspx

OSP’s Fax Number: 501-324-9311

http://www.dfa.arkansas.gov/offices/procurement/Pages/default.aspx


Table of Contents

1.0 General Information .............................................................................................. 5 1.1 Introduction .............................................................................................................. 5 1.2 Project Objectives .................................................................................................... 5

1.2.1 Mandatory Qualifications ............................................................................. 6 1.3 State Point of Contact and Vendor Point of Contact ................................................. 6 1.4 Procurement Schedule ............................................................................................. 7

1.4.1 Notice of Additions to or Rescheduling of Due Dates and Deadlines ........... 7 1.5 State of Arkansas Overview ..................................................................................... 7

1.5.1 Department of Human Services Overview ................................................... 8 1.5.2 Department of Information Systems .......................................................... 12

2.0 General Instructions and Proposal Requirements ........................................... 13 2.1 RFP Package Overview and Pre-Proposal Instructions .......................................... 13

2.1.1 Written Questions and Responses ............................................................ 13 2.1.2 Mandatory Pre-Proposal Conference ........................................................ 14 2.1.3 Letter of Intent to Submit a Proposal ......................................................... 14

2.2 Proposal Submission Instructions ........................................................................... 14 2.2.1 Proposal Submission Details ..................................................................... 14 2.2.2 Delivery Methods ...................................................................................... 15 2.2.3 Additional Copies of Proposals .................................................................. 15 2.2.4 RFP Responses ........................................................................................ 15

2.3 Proposal Submission Requirements ....................................................................... 16 2.3.1 Interpretive Convention ............................................................................. 16 2.3.2 Multiple Responses ................................................................................... 16 2.3.3 Required Review ....................................................................................... 17

2.4 Instructions for RFP Response Content ................................................................. 17 2.4.1 Proposal Objectives .................................................................................. 17 2.4.2 Proposal Format and Contents – Mandatory Response Templates ........... 18

2.5 Additional Instructions ............................................................................................ 21 2.5.1 Arkansas Procurement Laws and Rules .................................................... 21 2.5.2 Issuance of RFP and State’s Right to Modify, Cancel, Suspend

and/or Terminate the RFP and any Contracts ........................................... 21 2.5.3 Order of Precedence ................................................................................. 21 2.5.4 Modifications Prior to Submittal Deadline or Withdrawal of Proposals ....... 22 2.5.5 Proposal Preparation Costs ....................................................................... 22 2.5.6 Proprietary/Confidential Information .......................................................... 22 2.5.7 Procurement Library .................................................................................. 22 2.5.8 Minority Business Policy ............................................................................ 23 2.5.9 Equal Opportunity Policy ........................................................................... 23 2.5.10 Prohibition of Employment of Illegal Immigrants ........................................ 24 2.5.11 Past Performance ..................................................................................... 24

2.5.12 Technology Access ................................................................................... 24 2.5.13 Compliance with the State Shared Technical Architecture Program .......... 25 2.5.14 Visa Acceptance ....................................................................................... 25 2.5.15 Publicity 26 2.5.16 Independent Price Determination .............................................................. 26 2.5.17 Disclosure under Arkansas Law ................................................................ 26

3.0 Background and Scope of Work (SOW) ............................................................ 26 3.1 Background ............................................................................................................ 27

3.1.1 Overview and History ................................................................................ 27 3.2 ISS Current Environment ....................................................................................... 27

3.2.1 ISS Overview ............................................................................................ 27 3.2.2 Overview of Current Application Landscape .............................................. 30 3.2.3 Overview of Current Infrastructure Landscape .......................................... 50 3.2.4 Current IT Operations Support .................................................................. 53 3.2.5 Ongoing Initiatives that could impact ISS Scope (this RFP) ....................... 54

3.3 Business Drivers, and Objectives ........................................................................... 56 3.4 Information Support Services (ISS) Engagement Scope ........................................ 56

3.4.1 Application M&O Scope ............................................................................ 57 3.4.2 Implement Enhancements (Application Development) .............................. 64 3.4.3 Business Intelligence and Reporting ......................................................... 67 3.4.4 Provision of Additional As-Needed Services .............................................. 67 3.4.5 IT Operations Support Services (Optional) ................................................ 71 3.4.6 Non-Formalized Service Inclusion ............................................................. 72

3.5 Engagement Staffing and Management ................................................................. 72 3.5.1 Engagement Management and Governance ............................................. 72 3.5.2 Vendor Management ................................................................................. 73 3.5.3 Vendor and DHS Staffing .......................................................................... 75 3.5.4 DHS Staffing Expectations ........................................................................ 75 3.5.5 Vendor Staffing Expectations .................................................................... 75 3.5.6 Expected Work Environment ..................................................................... 77 3.5.7 Deliverables Approval ............................................................................... 78

3.6 Information System Support (ISS) Scope of Work Tasks and Deliverables ............ 80 3.6.1 Scope of Work Overview ........................................................................... 80 3.6.2 Detailed Scope of Work ............................................................................. 81

3.7 Proposed Project Work Plan .................................................................................. 92 3.8 Performance Standards and Associated Remedies ............................................... 93

3.8.1 Liquidated Damages ................................................................................. 94 3.8.2 Deliverable Quality Consequences and Incentives .................................... 95

4.0 Proposal Evaluation ............................................................................................ 96 4.1 Evaluation Criteria .................................................................................................. 96 4.2 Initial Compliance Screening .................................................................................. 97 4.3 Minimum Mandatory Qualifications ......................................................................... 97

-

4.4 Evaluation Scoring ................................................................................................. 98 4.4.1 Competitive Field Determinations .............................................................. 99

4.5 Oral Presentations ............................................................................................... 100 4.6 Cost Score ........................................................................................................... 100

5.0 Vendor Selection and Contract Award ............................................................ 100 5.1.1 Successful Vendor Selection ................................................................... 100 5.1.2 Anticipation to Award ............................................................................... 101 5.1.3 Issuance of Contract ............................................................................... 101

5.2 Availability of Funds ............................................................................................. 101 5.3 Notice to Proceed ................................................................................................. 101 5.4 Term of Contract .................................................................................................. 102

Appendix A – Glossary ............................................................................................. 103

List of Tables Table 1. Milestones and Due Dates ..................................................................................... 7

Table 2. Proposal Sections and Mandatory Response Template Overview – Technical Proposal ...............................................................................................19

Table 3. Proposal Sections and Mandatory Response Template Overview – Cost Proposal ...............................................................................................................20

Table 4. Procurement Library Structure ..............................................................................23

Table 5. Criticality of all the Systems under the current ISS Contract .................................30

Table 6. Core Systems and their Key Attributes ..................................................................31

Table 7. EEF Platform – Solution Component breakdown ..................................................50

Table 8. Sampling Service Desk Tickets per Week .............................................................53

Table 9. Application Retirement Roles and Responsibilities ................................................57

Table 10. State and Vendor Responsibilities ........................................................................63

Table 11. Typical State of Arkansas and ISS Vendor DDI project roles ................................65

Table 12. Vendor’s Enterprise Platform Services Engagement Key Personnel Roles ...........76

Table 13. List of ISS Applications M&O Deliverables ............................................................80

Table 14. Proposed Schedule ...............................................................................................93

Table 15. Evaluation Criteria .................................................................................................96

Table 16. Evaluation Scoring Grid ........................................................................................98

List of Figures Figure 1. Department of Human Services Overview.............................................................10

Figure 2. High Level OST Organization Chart ......................................................................11

Figure 3. CISO Organization Chart ......................................................................................12

Figure 4. High Level DIS Organization Chart .......................................................................13

Figure 5. Current Northrop Grumman Team Structure .........................................................29

-

Figure 6. DHS Current Technology Landscape (Core Systems) ..........................................33

Figure 7. EEF Environment ..................................................................................................35

Figure 8. ACES System and Interfaces ................................................................................37

Figure 9. FACTS System and Interfaces ..............................................................................38

Figure 10. ANSWER System and Interfaces ..........................................................................42

Figure 11. EEF Platform – Technology Stack ........................................................................49

Figure 12. State DHS Evaluation Process ..............................................................................96

-

Bid Solicitation Document Bid No. SP-17-0006

1.0 General Information

1.1 Introduction This Request for Proposal (RFP) is issued by the Arkansas Office of State Procurement (OSP) for the Department of Human Services (DHS) to obtain bids for Information Support Services (ISS).

Arkansas DHS serves over 1.2 million citizens with an annual operating budget of $8 billion. The department is the largest payer of Medicare services in Arkansas with more than $5.1 billion in State and Federal Medicaid dollars being paid to approximately 12,000 providers across the State in fiscal year 2014.

The current DHS Information Support Services (ISS) contract with Northrop Grumman Corporation Information Technology is a fixed price and fixed rate deliverables-based professional services contract that will conclude its term in June 30, 2017. The new contract will encompass the following areas:

Application Maintenance and Operations (M&O) for approximately 200 legacy applications

Application enhancements and development to increase efficiency and effectiveness for the supported programs

Management of the Enterprise Data Warehouse (EDW) technology platform currently in place and related BI solution development, as needed

Provision of resources with specialized skills required to address specific DHS needs ranging from staff augmentation to developing new applications on emerging technology

In addition, this contract includes a component for DHS to optionally contract for various IT infrastructure services (ITIL services) including help desk, change and release managements, network managements, performance managements, etc. to complement the current DIS services while they are strengthening the capacity and skills.

1.2 Project Objectives For this procurement, DHS has established the following goals and objectives:

Implement an approach and pricing model that incentivizes the Vendor to maintain and operate a stable environment of production applications (i.e., Portfolio Applications) in a manner that is both efficient and effective, with cost predictability for DHS

Gain visibility into M&O and enhancement activities and status by application for better understanding of costs. Funding of Applications M&O using actual M&O effort (rather than shifting to discretionary/enhancement, above baseline spending)

Implement a robust methodology for benchmarking, reduce costs and leverage best practices – improve performance against service levels using an independent third party to objectively assess ‘Development and M&O’ performance against peers with similar workload.

The Vendor is expected to perform in the second quartile (peer average) compared to peer providers of similar application portfolio by end of year 2 and improve to 25th percentile performance by end of year 4.

Page 5 of 112


Alternatively, the Vendor can reduce M&O costs by 10 percent annually for year 2 and beyond as long as the performance against the third party benchmark lies within 20% of the second quartile for the 15 core applications

Leverage the applications provider market to drive the optimal balance of efficiency and effectiveness when developing new business applications

Leverage specialized market expertise such as: advanced analytics, benchmarking, strategy, architecture, etc. While price is important, it is not the most important characteristics for these services, rather skills and capabilities will drive the selection process

Optimize (and enhance as needed) the current EDW and Business Intelligence (BI) environment

This SOW includes M&O for the current EDW, ETL interfaces, batch design, managing data models and databases, database administration, reports development, BI solutions development and the extract, transformation and loading of data into the EDW

In addition, the selected Vendor will provide professional services and assist DHS business divisions and executives with design and development of new reports and analysis methods

1.2.1 Mandatory Qualifications To realize the objectives stated above the State of Arkansas is issuing this RFP to contract with a Vendor who has experience managing complex applications portfolios for major organizations. As such, the State has established mandatory qualifications that must be met to submit a proposal. These include:

The Vendor (Prime) must have at least five (5) years’ experience with three (3) engagements similar in size, complexity and scope to this procurement that include the delivery of information support services

The Vendor’s team (both Prime and Subcontractor) must have proven experience with projects relating to the implementation of Business Intelligence and Reporting as defined in the RFP with at least three (3) implementations similar in size, complexity and scope in the past five (5) years

The Vendor (Prime) must at least have an annual revenue of $50 Million

1.3 State Point of Contact and Vendor Point of Contact The single OSP Point of Contact (POC) for all Vendor communications related to this RFP and the delivery point for all responses and correspondence is:

Stephanie Cellers

Office of State Procurement

1509 West 7th Street, Room 300

Little Rock, AR 72201-4222

Telephone: (501) 371-6065

Fax: (501) 324-9311

E-mail: [email protected]

All Vendor communications, responses and/or correspondences must be in writing.

Page 6 of 112


During the RFP process, Vendors (which include the actual or prospective Vendor, or award winning Vendor for the requested scope of work described in this RFP) shall contact the OSP POC for matters regarding the RFP except to the extent otherwise directed by the OSP POC or as set forth herein. In that case, the Vendor shall contact the State governmental unit or employee designated by and for the purposes directed by the OSP POC. Contact with any other State personnel or attempts by the Vendors to contact any other State personnel in regards to this RFP could result in the rejection of their Proposal.

The Response Template O-2 must be used for submission of written questions.

Each Vendor shall designate an employee to serve as a point of contact (Vendor POC) to communicate on their behalf with the OSP POC throughout the procurement. The Vendor may designate different employees to serve as their Vendor POC upon reasonable notice to the OSP POC provided there shall be only one individual serving as the Vendor POC at any time unless otherwise permitted by OSP.

Additional terms and acronyms used in the RFP are defined in the Glossary (Appendix A. Glossary) of this RFP.

1.4 Procurement Schedule Critical Due dates and milestones for this procurement are listed in Table 1. Table 1. Milestones and Due Dates

Milestone Date Notice of Intent to Release the RFP Nov. 1, 2016 Pre-Proposal Conference Nov. 7, 2016 Questions Due Nov. 21, 2016 State’s Responses to Vendor Questions (anticipated) Jan. 3, 2017 Release of the Final RFP (anticipated) Jan. 3, 2017 Letter of Intent to Submit a Proposal Due Jan. 10, 2017 Proposals Due (Date / Time) Feb. 2, 2017 Oral Presentations (anticipated) Mar.6, 2017 Notice of Award (anticipated) Apr. 17, 2017 Contract Start Date (anticipated) Jul 1, 2017

1.4.1 Notice of Additions to or Rescheduling of Due Dates and Deadlines If any date (other than anticipated dates) to be established by Table 1 is not provided at the time of the release of the RFP, or if any date (other than anticipated dates) set forth in Table 1 is rescheduled by OSP, OSP will issue a notice of the date or the rescheduled date by an addendum. Each such notice constitutes an addendum to the RFP. If a component of this schedule, such as "Proposals Due (Date/Time)" is delayed, OSP shall endeavor to have subsequent dates affected by the rescheduled date extended by the same number of days the original date was extended. OSP reserves the right to establish new or rescheduled dates as it deems appropriate.

1.5 State of Arkansas Overview The US Census Bureau estimates that the population of Arkansas was 2,978,204 on July 1, 2015, a 2.14% increase over the previous census. Arkansas currently ranks as the 20th best state for business, with the 2nd-lowest cost of doing business, 5th-lowest cost of living, 11th

Page 7 of 112


best workforce, 20th-best economic climate, 28th-best educated workforce, 31st-best infrastructure and the 32nd-friendliest regulatory environment. Arkansas gained twelve spots in the best state for business rankings since 2011. As of 2014, Arkansas was found to be the most affordable US state in which to live.

The table below breaks down estimated spending totals for fiscal year 2015. Figures for all columns except "Population” and “Per capita spending" are rendered in millions of dollars (for example, $2,448 translates to $2,448,000,000). Figures in the columns labeled "Population” and “Per capita spending" have not been abbreviated.

Arkansas's total estimated government spending in fiscal year 2015 was $23.6 billion, which was the third highest total spending when compared to surrounding states.

Total estimated state spending, FY 2015 ($ in millions)

State State funds Federal funds Total spending Population Per capita spending

Arkansas $16,502 $7,131 $23,633 2,978,204 $7,935.32 Per capita figures are calculated by taking the state's total spending and dividing by the number of state residents according to United States Census Bureau estimates.[7] Source: National Association of State Budget Officers, "Examining fiscal 2013-2015 state spending," accessed April 4, 2016

Between 2010 and 2014, the share of the Arkansas state budget spent on K-12 education decreased from 17.2% in 2010 to 15.1% in 2014, while Medicaid spending increased from 20% in 2010 to 22.1% in 2014. See the table below for further details (figures are rendered as percentages, indicating the share of the total budget spent per category).

Arkansas spending by function from 2010 to 2014 (as percentages)

Year K-12 education

Higher education

Public assistance Medicaid Corrections Transportation Other

2014 15.1% 15.6% 2.3% 22.1% 2.1% 6.1% 36.8% 2013 15.6% 15.4% 2% 21% 2.1% 5.8% 38% 2012 16.3% 16.2% 2.1% 21.4% 2.2% 5.8% 36.0% 2011 17.2% 15.8% 2.2% 21.1% 2.2% 5.2% 36.3% 2010 17.2% 15.3% 2.2% 20.0% 2.1% 4.9% 38.2%

Source: National Association of State Budget Officers Note**: "Other" expenditures include "Children's Health Insurance Program (CHIP), institutional and community care for the mentally ill and developmentally disabled, public health programs, employer contributions to pensions and health benefits, economic development, environmental projects, state police, parks and recreation, housing and general aid to local governments."[

1.5.1 Department of Human Services Overview DHS is the largest department in Arkansas State Government. Services are provided through Divisions that are coordinated from Central Offices in Little Rock (Pulaski County). The department is the largest payer of Medicare services in Arkansas with more than $5.1 billion in State and Federal Medicaid dollars being paid to approximately 12,000 providers across the State in fiscal year 2014. Specific services are provided by programs in one or more of these nine (9) programmatic Divisions and eight (8) shared services Offices:

Office of the Director

Office of Finance (CFO)

Office of Procurement (CPO)

Page 8 of 112

https://ballotpedia.org/Arkansas_state_budget_and_finances%23cite_note-2015census-7

http://www.nasbo.org/sites/default/files/State%20Expenditure%20Report%20%28Fiscal%202013-2015%29S.pdf

http://www.nasbo.org/

https://ballotpedia.org/Arkansas_state_budget_and_finances%23cite_note-nasbo2015-2


Office of Human Resources (CHRO)

Office of Chief Counsel (OCC)

Office of Legislative and Intergovernmental Affairs (CLO)

Office of Communications and Community Engagement (CCO) (includes Division of Community Service and Nonprofit Support)

Office of Systems and Technology (CIO)

Division of Aging and Adult Services (DAAS)

Division of Behavioral Health Services (DBHS)

Division of Child Care and Early Childhood Education (DCCECE)

Division of Children and Family Services (DCFS)

Division of County Operations (DCO)

Division of Developmental Disabilities Services (DDS)

Division of Medical Services (DMS)

Division of Services for the Blind (DSB)

Division of Youth Services (DYS)

In addition to the department’s central complex at 7th and Main in Little Rock, DHS has 105 remote facilities scattered throughout the 75 county service area; 86 county offices, 7 regional juvenile facilities, 5 human development centers, the DHS Warehouse, the Arkansas State Hospital, and the Arkansas Health Center. In State fiscal year 2014 there are over 7500 employees and the budget is $5.5 billion.

Vendors should be aware of the current dynamic environment involving funding and composition of programs administered by the Department of Human Services. State-level reorganization and restructuring of service delivery mechanisms are possible as a result of changes in federal or State policy.

Page 9 of 112


Figure 1. Department of Human Services Overview

1.5.1.1 DHS Information Technology Overview The OST provides, coordinates and manages information technology solutions in a manner that best supports DHS strategic objectives, and embraces a technological vision that makes DHS and its divisions integral partners in the delivery of human services to Arkansas citizens. OST normally outsources significantly to Northrup Grumman (see section 3). In State fiscal year 2014, OST employed 37 State employees to directly manage the major outsourcing ISS contract, supporting various areas including development, support, and maintenance as well as project and vendor management.

Page 10 of 112


Figure 2. High Level OST Organization Chart

The Information Technology Security (CISO) team reports into OST. The figure below captures the CISO organizational structure.

Page 11 of 112


Figure 3. CISO Organization Chart

1.5.2 Department of Information Systems The Arkansas Department of Information Systems (DIS) was founded in 1977, employs more than 200 State workers and is the information technology solutions provider for the State of Arkansas. The Department provides services from telephony and data networking to technical consulting to the public entities that serve our citizens. The DIS Mission is to ‘Provide technology leadership and solutions to assist customers in their delivery of public services.’

The DIS specialty is Data Center and Hosting Services, Professional Services, Network Services, Storage and Backup Services, Voice Services.

DIS provides the infrastructure (e.g. network, servers, data center, disaster recovery services) for DHS. The applications that will be managed by the Vendor will run on the DIS provided infrastructure. Additionally, the State of Arkansas is migrating towards centrally managed processes (e.g. centralized Service Desk, Change Management process) and, once the transition has occurred the Vendor will need to integrate with these processes.

Page 12 of 112


Figure 4. High Level DIS Organization Chart

2.0 General Instructions and Proposal Requirements

2.1 RFP Package Overview and Pre-Proposal Instructions The RFP package includes three parts;

RFP narrative (this document)

Mandatory response templates, and

Procurement Library

2.1.1 Written Questions and Responses If the Vendor believes that any provision of the RFP is unclear, potentially defective or would prevent them from providing a complete and thorough Proposal, the Vendor shall submit questions using Response Template O-2 — Written Questions. The Written Questions Response Template must be submitted via email to the OSP POC on or before the date set forth in the schedule contained in Table 1 of this RFP. The email should use the subject line “RFP No. SP-17-0006 Vendor Questions.”

The State strongly prefers that the Vendor identify the page, section number, paragraph and line or sentence of such provision(s) of the RFP to which the question applies, the specific language in question, as well as the question itself. Any vendor questions that do not conform to this request may not be answered by DHS.

Page 13 of 112


The questions must be submitted in the original file format "Microsoft Excel” as denoted in Template O-2. OSP will make every effort to respond by the date stated in the schedule. Responses to questions will be posted on the OSP website. If modifications to the RFP are necessary an Addendum will be issued.

2.1.2 Mandatory Pre-Proposal Conference OSP will host a Pre-Proposal Conference session that is mandatory for all Vendors submitting Proposals. Vendors are encouraged to attend in person, however, a teleconference option is also available. Vendors will have the opportunity to gain further understanding of the RFP requirements, process and procedures. This session will be held reasonably in advance of the deadline to submit a Proposal. The Pre-Proposal Conference is for informational purposes only. Neither such Conference(s) nor any information provided through or during them is binding upon OSP or constitutes a change to the RFP. Neither OSP nor DHS are responsible if the appropriate Vendor staff does not attend the Pre-Proposal Conference(s) and does not acquire knowledge of the information presented or discussed during such Conference(s). Vendors (Prime) who do not attend the Pre-Proposal Conference will be disqualified from submitting a Proposal. The Pre-Proposal Conference will be held as follows:

Pre-Proposal Conference Location: University of Arkansas Cooperative Extension, 2301 S. University Ave., Little Rock, AR 72204

Teleconference Line: 1-774-220-4000, Conference ID: 6187-2201

Date: November 7, 2016

Time: 11:00 AM CDT (or CST as applicable)

Note: Date and time of the Pre-Proposal Conference are subject to change. All Prime Vendor(s) must attend the conference.

Any questions regarding the Pre-Proposal Conference shall be directed to the OSP POC.

2.1.3 Letter of Intent to Submit a Proposal Vendors interested in submitting a Proposal shall submit a non-binding Letter of Intent (LOI) to Submit a Proposal by email to the OSP POC before the date set forth in the schedule contained in Table 1 of this RFP, and any amendments thereof. The LOI must use the Response Template O-1.

2.2 Proposal Submission Instructions

2.2.1 Proposal Submission Details Vendors must submit eleven (11) hard copies, and one (1) soft copy of the Proposal, which is inclusive of two (2) separate packages: Technical Proposal and Cost Proposal (see Section 2.4.2 for details). One (1) hard copy of the Proposal must be clearly identified on the cover and packaging as the Proposal ORIGINAL and must contain a “wet” original signature, in blue or black ink, by the person authorizing submission on behalf of the Vendor. The soft copy (e.g., searchable pdf) may be submitted on CDs, DVDs and/or USB storage devices. The Vendor should make reasonable attempts to ensure that the soft copy media is “locked” to avoid unintentional changes to the submission.

All Cost Proposals (both hard copies and soft copies) must be submitted separately from the Technical Proposals, and must be sealed, as described later in this RFP. Submission of all

Page 14 of 112


portions of the Proposal must be received at the address on the cover page of this RFP before the date and time listed in this RFP.

The Vendor must refer to Section 2.5.6 for additional details on proprietary information and redacted copies.

Proposal delivery instructions are provided on the cover page of this RFP document.

2.2.2 Delivery Methods In all cases, it is the Vendor’s responsibility to ensure that the OSP POC physically receives all copies of the Proposal at the address listed prior to the Proposal due date and time. OSP will not make concessions for delivery or transportation services.

U.S. MAIL: Vendors are cautioned that it is their responsibility to originate the mailing of Proposals in sufficient time to ensure Proposals are received prior to the due date and time.

EXPRESS DELIVERY: If Proposals are being sent via an express delivery service, the Vendor should ensure that the RFP designation is clearly shown on the outside of the delivery envelope or box, and that the delivery is made to OSP prior to the due date and time.

HAND DELIVERY: Hand carried Proposals shall be delivered to the OSP POC prior to the due date and time.

ELECTRONIC: Electronic Proposals will not be accepted.

FAXED PROPOSALS: Faxed Proposals will not be accepted.

2.2.3 Additional Copies of Proposals Additional copies of the Proposal may be requested for contracting purposes. OSP will notify the Vendor of the winning Proposal when additional Proposal copies are needed.

If OSP requests additional copies of the proposal, the copies must be delivered within twenty-four (24) hours of the request. All additional hard copies and electronic copies must be identical to the original hard copy. In case of a discrepancy, the original hard copy shall govern.

2.2.4 RFP Responses DHS is seeking a broad set of innovative responses. Vendors must bid on the entire Scope of Work (SOW) included in this RFP. The scope includes:

Applications Maintenance and Operations of existing legacy applications —This includes the M&O of DHS’ existing applications (currently referred to as “Baseline”). The approach and pricing model must include maintaining and operating a stable production environment for a portfolio of applications that is both efficient and effective with cost predictability for DHS. (See Section 3.4.1)

Implement Enhancements (application development) — In addition to providing maintenance and operations for the legacy applications, the Vendor must implement new functionality (currently referred to as “Above the Baseline”). This work will be identified as needed during the engagement and will be accompanied by specific work requests from DHS. (See Section 3.4.2)

Business Intelligence and Reporting — As outlined in Section 3.2.2, DHS has a data warehouse and business intelligence solutions group run by the incumbent vendor including a number of BI solutions for eight (8) divisions within DHS. However, DHS needs to continue to evolve over time and the deployed solutions will need to be kept up to date and relevant to business needs (See Section 3.4.3. The Vendor shall propose a set of services that provides the proper M&O for the existing solutions, as well as

Page 15 of 112


provide responsive and agile services with respect to new and emerging BI and analytics needs.

Procure Additional Services — Throughout the life of the contract DHS anticipates requiring additional technical resources to address their IT needs. (See Section 3.4.4)

IT Operations Support (DHS optional scope) — As noted in Section 3.2.5, the State of Arkansas is considering a project to migrate all departments onto M&O processes operated and maintained by DIS. DHS may decide to procure services from the Vendor to support IT Operations until this transition has occurred (See Section 3.4.5)

Vendors are encouraged to provide Proposals that will best achieve the needs, goals and requirements as stated in this RFP. All Vendors are responsible for adhering to the instructions and proposal requirements below.

2.3 Proposal Submission Requirements

2.3.1 Interpretive Convention Any statement in this document that contains the word “must” or “shall” or “will” means that compliance with the intent of the statement is mandatory, and failure by the Vendor(s) to satisfy that intent will cause the proposal to be rejected. Unless specifically disallowed on any specification herein, the Vendor may provide clarification to any point within Section 3 of the main RFP document or Template 6, including a specification denoted as mandatory, as long as the following are true:

a. The specification is not a matter of State law;

b. The Proposal still meets the intent of the RFP;

c. A Proposal Clarifications Summary Form is included with Vendor’s Proposal (Template T-9); and

d. The clarification is clearly explained, along with any alternative or substitution the Vendor proposes to address the intent of the specification on the Proposal Clarifications Summary Form.

Clarifications shall not be allowed for any other section or template corresponding to this RFP.

2.3.2 Multiple Responses Single and joint Vendor proposals by Vendors are acceptable. However, a single Vendor

must be identified as the Prime Vendor in each proposal. The Prime Vendor will be responsible for the Contract and will be the sole point of contact with regard to support services.

If any part of the work must be subcontracted, the Vendor must include a list of subcontractors, including firm name and address, contact person, complete description of work to be subcontracted, and descriptive information concerning subcontractor’s organizational activities within thirty (30) days of contract award. Vendor must complete, sign and submit the Proposed Subcontractors Form with its Proposal Packet to indicate Vendor’s intent to utilize, or to not utilize, subcontractors. The sub-contractor form is further described in Template T-9. The form is located in the procurement library and on the OSP website.

The Vendor shall not assign the contract in whole or in part or any payment arising there from without the prior written consent of the State Procurement Official.

Page 16 of 112


2.3.2.1 Subcontractors If selected, Vendors are fully responsible for all work performed under the Contract. In the event of a Proposal submitted jointly by more than one organization, one organization shall be designated as the Prime Vendor. All other participants shall be designated as subcontractors.

If the Vendor’s Key Personnel includes the use of subcontractors, it is strongly preferred that the Prime Vendor complete a minimum of 60% of the work, as defined in this procurement. All subcontracted work, and subcontractors performing that work, must be identified in the Vendor’s Proposal. Vendors may, however, only enter into written subcontract(s) for performance of these functions under the Contract upon the approval of DHS and after the signing of the Contract. Subcontracts must be approved in writing by DHS prior to the effective date of any subcontract. No subcontract that Vendors enter into with respect to performance of this Contract shall in any way relieve Vendors of any responsibility for performance of duties. Failure to comply with the terms of this section is at the sole risk of the Prime Vendor, and in such case, the State will in no way be held responsible for anything that arises from that failure.

Vendors shall give DHS immediate notice by certified mail of any action or suit filed and prompt notice of any claim made against the Vendor by any subcontractor or Vendor that in the opinion of the Vendor may result in litigation related in any way to the Contract with DHS.

2.3.3 Required Review Before submitting a Proposal, Vendors must thoroughly and carefully examine this RFP, any attachments, addenda, Procurement Library and other relevant documents, to ensure the Vendor understands the requirements of the RFP. Vendors must also become familiar with State, local, and Federal laws, statutes, ordinances, rules, and regulations that may in any manner affect cost, progress, or performance of the work required.

If Vendors identify any defects in this RFP or its associated documents, or if Vendors need to ask clarifying questions about this RFP or its associated documents, Vendors must submit notice in writing to OSP no later than the deadline for written questions (see Schedule of Due Dates in Table 1 Milestones and Due Dates). This will allow the issuance of any necessary corrections and/or amendments to the RFP by addendum, and mitigate reliance of a defective solicitation and exposure of Proposal(s) upon which award could not be made.

2.4 Instructions for RFP Response Content

2.4.1 Proposal Objectives The RFP document and the mandatory RFP Response Templates provide a structured approach for DHS to detail its business and technical needs for the SOW, and a structured way for Vendors to respond to those needs. It is critical that Vendors respond in a manner consistent with this structure, aligned to the SOW, to ensure that DHS can evaluate all responses in an objective manner. Should Vendors wish to submit additional materials to clarify their response to specific questions in the Response Templates, these additions should be submitted as appendices to the Proposal and referenced in the appropriate section of the Proposal.

All Proposals will be evaluated in an objective and structured manner designed to provide the highest scores to those Proposals that provide the best value to DHS. The highest consideration will be given to those Proposals that meet and exceed the stated business needs, address and comply with the technical constraints, provide a comprehensive plan for implementation and ongoing operations, limit risk for DHS, and provide a competitive total cost of ownership over the contract term.

Page 17 of 112


2.4.2 Proposal Format and Contents – Mandatory Response Templates It is strongly preferred that the Proposal be in the order of the Response Templates, and that all questions in each Response Template be completed. Vendor(s) must use the Response Templates provided by the State. Proposals that are incomplete may be deemed non-responsive at the sole discretion of OSP or may have a significant negative impact on their score due to the impact on the Proposal evaluation process. It is the Vendor’s responsibility to ensure its Proposal is submitted in a manner that enables DHS to easily locate all response descriptions and exhibits for each requirement in the respective SOW within this RFP.

Unless otherwise specified, hard copies of Proposals should use the formats that are offered in the Response Templates on 8-1/2” x 11” white bond paper with no less than ½” margins and eleven (11) point font. Exceptions may be made in the case of pictures, images or tables where relevant, however this use should be limited as much as possible. Hard copies of Proposals should be assembled in loose-leaf, three-hole punch binders with appropriate tabs for each section. Do not provide Proposals in glue-bound binders or use binding methods that make the binder difficult to remove. The Vendor should put its company name and page/volume number in the header or footer of each page of every document submitted.

Vendors must submit a Proposal responding to the SOW in this RFP following the guidelines set forth. Proposals must be divided into two (2) appropriately labeled and sealed packages marked “Technical Proposal” and “Cost Proposal”.

The following illustrates at a high level the contents of each proposal package:

Package 1 – Technical Proposal (see Table 2) This will include five scope areas as shown below:

1. Applications Maintenance and Operations of DHS’ current applications portfolio (see section 3.4.1)

2. Performing projects primarily to enhance DHS’ current applications portfolio (see section 3.4.2)

3. Supporting DHS’ Business Intelligence and Reporting needs (see section 3.4.3)

4. Providing access to staff and/or project teams with the specialized skills required to address specific DHS needs ranging from staff augmentation to developing new applications on emerging technology (see section 3.4.4)

5. IT Operations Support for DHS (e.g. Information Technology Infrastructure Library (ITIL) best practices, including change management, incident management) (Optional) (see section 3.4.5)

Package 2 – Cost Proposal (see Table 3) This will include a total cost summary worksheet and seven (7) cost summary

worksheets for the scope areas of the RFP shown above. All other tabs in C-1 should be total costs

All proposal submissions should be clearly labeled with the RFP number and SOW, as noted above.

2.4.2.1 Package 1 – Technical Proposal This portion of the Proposal should include the sections that correspond to the Response Templates listed in Table 2. Vendor(s) must use the Response Templates provided by the State. The State strongly encourages each vendor to fully complete each Response Template.

Page 18 of 112


Table 2. Proposal Sections and Mandatory Response Template Overview – Technical Proposal

Section / Template

Name Description

T-1 Cover Letter and Executive Summary

The Vendor’s response should include a transmittal (cover) letter, table of contents, executive summary, Vendor contact information and locations, subcontractor contact information and locations, and demonstration of the fulfillment of the Minimum Mandatory Qualifications. The Vendor’s authorized signature on the Response Template T-1 marked “ORIGINAL” shall be a wet original signature in black or blue ink.

T-2 Vendor Experience

The Technical Proposal should include an overview of the Vendor organization, corporate background, and documentation of the Vendor’s experience providing similar services, a summary of Vendor’s experience in the public sector, financial references, and other required forms. If the Proposal includes the use of subcontractor(s), projects completed in the last five (5) years should be provided.

T-3 Vendor References

The Vendor’s Technical Proposal must include at least three (3) references (for the Prime Vendor) from projects performed within the last five (5) years that demonstrate the Vendor’s ability to perform the functions described in the SOW of this RFP. Refer to section 1.2.1 for minimum mandatory qualifications. If the Proposal includes the use of subcontractor(s), the Vendor must provide three (3) references for each subcontractor proposed. DHS has a strong preference for references that demonstrate where the Prime and subcontractor(s) have worked together in the past.

T-4 Vendor Project Organization and Staffing

The Vendor’s Technical Proposal should include: organization plan; organization chart; key staff; subcontractor(s) key staff; qualification of additional staff; staff management; training policies and procedures; staff retention.

T-5 Staff Experiences

The Vendor’s Technical Proposal should include the proposed approach to: roles and responsibilities; summary of skill sets; total years of experience in the proposed role; qualifications; and resumes. If a subcontractor is included, the Vendor’s Technical Proposal should include a summary of the proposed staff (prime and subcontractor) experience in working collaboratively together on projects.

T-6 ISS Requirements

The objective of the ISS Requirements Template is to provide the Vendors with a clear understanding of the tasks they must perform (and an opportunity to provide feedback/make minor clarifications) and provide DHS with a method to evaluate the degree to which each Vendor will satisfy the ISS Requirements.

T-7 ISS Requirements Approach

This section of the Vendor’s Technical Proposal should include a narrative of the Vendor’s proposed approach to addressing the ISS Requirements. The Vendor’s response should detail the approach to meet the various ISS requirements as documented in Template T-6.

Page 19 of 112


Section / Template

Name Description

T-8 Work Plan This section of Vendor’s Technical Proposal should include a Work Plan that will be used to create a consistent and coherent management plan. This Work Plan will demonstrate that the Vendor has a thorough understanding of the SOW and what should be done to satisfy the requirements. The Work Plan should include detail sufficient to give DHS an understanding of how the Vendor will use its knowledge and approach to: Manage the Work; Guide Work execution; Document planning assumptions and decisions; Facilitate communication among stakeholders; and

Define key management review of content, scope, and schedule. T-9 Terms and

Conditions of this RFP and Any Resulting Contract

This section of the Vendor’s Technical Proposal includes the Terms and Conditions that will govern this contract and any contracting forms that the Vendor will need to provide with their proposal and those forms required prior to commencing activities under this contract.

T-10 RFP Response Checklist

This section of the Vendor’s Technical Proposal should include the completed checklist verifying that all the RFP response requirements have been completed.

2.4.2.2 Package 2 – Cost Proposal This portion of the Proposal must include Template C-1 — Cost Workbook as described below. The Vendor must follow all of the instructions contained within the Response Template. Table 3. Proposal Sections and Mandatory Response Template Overview – Cost Proposal

Section / Template

Name Description

C-1 Cost Workbook Details the costs associated with the Proposal, including any assumptions that may affect them.

The Cost Proposal, both hard copies and soft copy, must include a response through the mandatory use and submission of the Mandatory Template C-1 — Cost Workbook. Vendors must complete the Template as instructed and place it in a single (1) SEALED package, separate from the Technical Proposal, clearly marked as the Cost Proposal with the Vendor’s name, the RFP number, the SOW and the RFP submission date. Cost information shall not be contained in the Technical Proposal submission, unless explicitly requested. Only cost information provided in the Cost Proposal will be considered.

The Vendor must base its Cost Proposal on the SOW described in Section 3.4 and associated sections of this RFP and Response Templates. The Cost Proposal must clearly state any business, economic, legal, programmatic, or practical assumptions that underlie the Cost Proposal. DHS reserves the right to accept or reject any assumptions. All assumptions not expressly identified and incorporated into the Contract resulting from this RFP are deemed rejected by DHS.

The Vendor shall provide a fixed cost for all Applications M&O activities as specified in this SOW. For enhancements that qualify as Above the Baseline work, the Vendor shall provide detailed information on all staff to be engaged, roles and responsibility, hourly rates, etc.

Page 20 of 112


The Vendor shall include costs for all services outlined in this RFP. The Total Cost Summary is required by DHS for evaluation. Costs for transition services and optional services must be provided for budget purposes but will not be taken into account for evaluation. Costs must be based on the terms and conditions of the RFP, including DHS’ General Conditions (provided in the Procurement Library) and Mandatory Requirements of the RFP (not the Vendor’s clarifications to the terms and conditions). The Vendor must state all other assumptions upon which its pricing is being determined in the Template C-1 — Cost Workbook. Cost assumptions must not conflict with the RFP terms and conditions including DHS’ general conditions or mandatory requirements in this RFP.

The Proposal cost for the Baseline components must be Fixed Fee Price (FFP) with payments based on deliverables as proposed by the Vendor. The Vendor must provide fixed Hourly Labor Rates to use for ‘Unanticipated Tasks’ and ‘Above the Baseline line Tasks’ (e.g. scope not included in this RFP). In addition, fixed Labor Rates must be available for DHS to use for implementing enhancements (3.4.2) and provisioning additional as-needed services (Section 3.4.4) if necessary. The Vendor must provide costs for any Software and Hardware that are required in support of the SOW.

The Vendor is responsible for entering cost data in the format prescribed by the Response Template C-1 — Cost Workbook. Formulas have been inserted in the appropriate cells of the Response Template to automatically calculate summary numbers, and shall not be altered. Further instructions for entering cost data are included in the Response Template. It is the sole responsibility of the Vendor to ensure that all mathematical calculations are correct and that the total costs reflect the total Proposal cost.

Completion of all portions of the Cost Workbook worksheets is mandatory. Applicable purchase, delivery, tax, services, safety, license, travel, per diem, Vendor’s staff training, facility, and any other expenses associated with the delivery and implementation of the proposed items must be included in the Vendor’s costs and fixed Hourly Rates.

2.5 Additional Instructions

2.5.1 Arkansas Procurement Laws and Rules This procurement is conducted according to Arkansas procurement laws and rules. The Vendor must follow all applicable laws and rules. These rules can be found at: http://www.dfa.arkansas.gov/offices/procurement/Documents/lawsRegs.pdf

2.5.2 Issuance of RFP and State’s Right to Modify, Cancel, Suspend and/or Terminate the RFP and any Contracts

Without limiting any other provision of the RFP (including any exhibits, attachments, appendices, Response Templates, and the RFP as amended by any addenda), OSP has the right at any time for its convenience and without cause to modify, alter, amend, change, cancel, suspend or terminate the RFP, including, without limitation, the right to cancel and withdraw the RFP prior to acceptance of Proposals or prior to the award of a Contract for some or all of the requested Solution or services, or in connection with any termination or change in funding. Any modifications or alterations to the RFP will be written in an addendum, posted as an attachment to the original posting on the Office of State Procurement (OSP) website.

2.5.3 Order of Precedence In the event of any inconsistency between the articles, attachments, specifications, or provisions which constitute this Contract, the following order of precedence shall apply.

The Contract including, any special conditions, attachments and addenda

Page 21 of 112

http://www.dfa.arkansas.gov/offices/procurement/Documents/lawsRegs.pdf



The RFP (RFP-SP-17-0006)

The Proposal submitted

The successful Vendor shall comply with all applicable laws, ordinances, codes, rules and regulations of the Federal, State, and local governments, that in any way affect its performance under the Contract.

2.5.4 Modifications Prior to Submittal Deadline or Withdrawal of Proposals The Vendor may modify or withdraw its Proposal before the Proposal due date and time. Any change, addition, deletion of attachment(s) or data entry of a Proposal may be made prior to the deadline for submittal of proposals. No modifications, additions or deletions may be made after the Proposal due date and time.

2.5.5 Proposal Preparation Costs This RFP does not commit the Office of State Procurement to award a contract(s), to pay costs incurred in the preparation of a proposal in response to this request, or to procure or contract for commodities or services

2.5.6 Proprietary/Confidential Information The Vendor must provide one (1) redacted (marked “REDACTED”) copy of the original Technical Proposal Packet, preferably on a flash drive. A CD will also be acceptable.

Submission documents pertaining to this Bid Solicitation become the property of the State and are subject to the Arkansas Freedom of Information Act (FOIA).

One (1) complete copy of the submission documents from which any proprietary information has been redacted should be submitted on a flash drive in the Technical Proposal Packet. A CD is also acceptable.

Except for the redacted information, the redacted copy must be identical to the original hard copy, reflecting the same pagination as the original and showing the space from which information was redacted.

The vendor shall be responsible for identifying all proprietary information and for ensuring the electronic copy is protected against restoration of redacted data.

The redacted copy shall be open to public inspection under the Freedom of Information Act (FOIA) without further notice to the vendor.

If a redacted copy of the submission documents is not provided with vendor’s response packet, a copy of the non-redacted documents, with the exception of financial data (other than pricing), shall be released in response to any request made under the Arkansas Freedom of Information Act (FOIA).

If the State deems redacted information to be subject to FOIA, the vendor will be contacted prior to release of the documents.

2.5.7 Procurement Library This RFP includes a Procurement Library that contains supporting documentation or links to State or Federal websites to assist Vendors in understanding the context of this solicitation. A link to this Library will be published on the OSP website where this RFP is published. These documents shall be considered part of this procurement and each should be reviewed by Vendors for applicability as noted in this section and throughout the RFP.

Page 22 of 112


The documents in the Library are structured under five (5) categories/folders. A Procurement Library index is also included to help Vendors navigate and identify key documentation to support their Proposal development process. The five (5) categories/folders include: Table 4. Procurement Library Structure

Folder Name Description 01 – Business Documents The documents in this folder provide information specific

to DHS’ business. This provides more information regarding the business environment

02 – Technical Documents The documents in this folder provide additional details regarding DHS’ technical environment including infrastructure and applications

03 – Policies and Standards The documents in this folder provide DHS and DIS policies that apply to the DHS environment

04 – DHS Operations Procedure Manual

The documents in this folder provide information regarding the current processes and procedures currently leveraged by the incumbent vendor to manage the ISS Applications

05 – Procurement Forms The documents in this folder are the editable forms which need to be included with the Vendor’s proposal (Template T-9 – Terms and Conditions of this RFP and Any Resulting Contract)

2.5.8 Minority Business Policy Minority participation is encouraged in all State procurements.

Minority is defined by Arkansas Code Annotated § 15-4-303 as a lawful permanent resident of this State who is:

African American American Indian Asian American Hispanic American

Pacific Islander American A Service Disabled Veterans as

designated by the United States Department of Veteran Affairs

The Arkansas Economic Development Commission conducts a certification process for minority businesses and disabled veterans. The vendor’s Minority Certification Number should be included in Template T-2 — Vendor Experience, if applicable.

2.5.9 Equal Opportunity Policy In compliance with Arkansas Code Annotated § 19-11-104, OSP is required to have a

copy of the vendor’s Equal Opportunity (EO) Policy with the submission of a proposal.

EO Policies may be submitted in electronic format to the following email address: [email protected], but should also be included as a hardcopy accompanying the solicitation response.

The submission of an EO Policy to OSP is a one-time Requirement. Vendors are responsible for providing updates or changes to their respective policies, and for supplying EO Policies upon request to other State agencies that must also comply with this statute.

Page 23 of 112

mailto:[email protected]


Vendors, who are not required by law by to have an EO Policy, must submit a written statement to that effect.

2.5.10 Prohibition of Employment of Illegal Immigrants Pursuant to Arkansas Code Annotated § 19-11-105, prior to the award of a contract, selected Vendor(s) must have a current certification on file with OSP stating that they do not employ or contract with illegal immigrants. The selected Vendor must certify online at www.arkansas.gov/dfa/procurement, that the Vendor does not employ or contract with any illegal immigrant prior to contract award.

OSP will notify the selected Vendor(s) prior to award if their certification has expired or is not on file. Instructions for completing the certification process will be provided to the Vendor(s) at that time.

2.5.11 Past Performance In accordance with provisions of State Procurement Law, specifically OSP Rule R5:19-11-230(b)(1), a Vendor's past performance with the State may be used to determine if the Vendor is “responsible”. Proposals submitted by Vendors determined to be non-responsible shall be disqualified.

2.5.12 Technology Access When procuring a technology product or when soliciting the development of such a

product, the State of Arkansas is required to comply with the provisions of Arkansas Code Annotated § 25-26-201 et seq., as amended by Act 308 of 2013, which expresses the policy of the State to provide individuals who are blind or visually impaired with access to information technology purchased in whole or in part with state funds. The Vendor expressly acknowledges and agrees that state funds may not be expended in connection with the purchase of information technology unless that technology meets the statutory Requirements found in 36 C.F.R. § 1194.21, as it existed on January 1, 2013 (software applications and operating ICSs) and 36 C.F.R. § 1194.22, as it existed on January 1, 2013 (web-based intranet and internet information and applications), in accordance with the State of Arkansas technology policy standards relating to accessibility by persons with visual impairments.

ACCORDINGLY, THE VENDOR EXPRESSLY REPRESENTS AND WARRANTS to the State of Arkansas through the procurement process by submission of a Voluntary Product Accessibility Template (VPAT) for 36 C.F.R. § 1194.21, as it existed on January 1, 2013 (software applications and operating ICSs) and 36 C.F.R. § 1194.22, that the technology provided to the State for purchase is capable, either by virtue of features included within the technology, or because it is readily adaptable by use with other technology, of:

Providing, to the extent required by Arkansas Code Annotated § 25-26-201 et seq., as amended by Act 308 of 2013, equivalent access for effective use by both visual and non-visual means

Presenting information, including prompts used for interactive communications, in formats intended for non-visual use

After being made accessible, integrating into networks for obtaining, retrieving, and disseminating information used by individuals who are not blind or visually impaired

Page 24 of 112

http://www.arkansas.gov/dfa/procurement


Providing effective, interactive control and use of the technology, including without limitation the operating system, software applications, and format of the data presented is readily achievable by nonvisual means

Being compatible with information technology used by other individuals with whom the blind or visually impaired individuals interact

Integrating into networks used to share communications among employees, program participants, and the public

Providing the capability of equivalent access by nonvisual means to telecommunications or other interconnected network services used by persons who are not blind or visually impaired

State agencies cannot claim a product as a whole is not reasonably available because no product in the marketplace meets all the standards. Agencies must evaluate products to determine which product best meets the standards. If an agency purchases a product that does not best meet the standards, the agency must provide written documentation supporting the selection of a different product, including any required reasonable accommodations.

For purposes of this section, the phrase “equivalent access” means a substantially similar ability to communicate with, or make use of, the technology, either directly, by features incorporated within the technology, or by other reasonable means such as assistive devices or services which would constitute reasonable accommodations under the Americans with Disabilities Act or similar state and federal laws Examples of methods by which equivalent access may be provided include, but are not limited to, keyboard alternatives to mouse commands or other means of navigating graphical displays, and customizable display appearance. As provided in Arkansas Code Annotated § 25-26-201 et seq., as amended by Act 308 of 2013, if equivalent access is not reasonably available, then individuals who are blind or visually impaired shall be provided a reasonable accommodation as defined in 42 U.S.C. § 12111(9), as it existed on January 1, 2013.

If the information manipulated or presented by the product is inherently visual in nature, so that its meaning cannot be conveyed non-visually, these specifications do not prohibit the purchase or use of an information technology product that does not meet these standards.

2.5.13 Compliance with the State Shared Technical Architecture Program The respondent’s solution must comply with the State’s shared Technical Architecture Program which is a set of policies and standards that can be viewed at: http://www.dis.arkansas.gov/policiesStandards/Pages/default.aspx. Only those standards which are fully promulgated or have been approved by the Governor’s Office apply to this solution.

2.5.14 Visa Acceptance The awarded Vendor should have the capability of accepting the State’s authorized

VISA Procurement Card (p-card) as a method of payment

Price changes or additional fee(s) shall not be levied against the State when accepting the p-card as a form of payment

VISA is not the exclusive method of payment

Page 25 of 112

http://www.dis.arkansas.gov/policiesStandards/Pages/default.aspx


2.5.15 Publicity Vendors shall not issue a news release pertaining to this Bid Solicitation or any portion

of the project without OSP’s prior written approval

Failure to comply with this Requirement shall be cause for a Vendor’s proposal to be disqualified

2.5.16 Independent Price Determination By submission of this proposal, the Vendor certifies, and in the case of a joint proposal,

each party thereto certifies as to its own organization, that in connection with this proposal:

The prices in the proposal have been arrived at independently, without collusion

No prior information concerning these prices has been received from, or given to, a competitive company

Evidence of collusion shall warrant consideration of this proposal by the Office of the Attorney General. All vendors shall understand that this paragraph may be used as a basis for litigation.

2.5.17 Disclosure under Arkansas Law OSP is required to have a copy of E0-98-04 disclosure form on file for the selected Vendor. Vendor must submit the disclosure form with its proposal. The form is published on the OSP website at http://www.dfa.arkansas.gov/offices/procurement/Pages/forms.aspx and is also located in the procurement library.

3.0 Background and Scope of Work (SOW) In preparation for issuing this RFP, DHS has followed a rigorous and disciplined process to collect and organize the information Vendors require to understand the context of the effort, the framework within which the Vendors will be performing their services and to define the services required. This section provides this information and is organized into the following sections:

Section 3.1 provides background information

Section 3.2 provides an overview of the current ISS environment including an overview of the applications to be supported, the infrastructure on which they run and the support processes currently in place

Section 3.3 captures the objectives of this procurement

Section 3.4 outlines the scope of the services being procured through this RFP

Section 3.5 provides an overview of the anticipated staffing and DHS’ approach to managing the Vendor throughout the engagement

Section 3.6 captures the Scope of Work (Tasks and Deliverables DHS requires the Vendor to perform)

Section 3.7 captures the anticipated schedule

Section 3.8 provides an overview of the performance expectations DHS has of the Vendor and associated remedies

Page 26 of 112

http://www.dfa.arkansas.gov/offices/procurement/Pages/forms.aspx


3.1 Background

3.1.1 Overview and History DHS currently contracts with a vendor to support its applications portfolio of approximately 200 applications. The current Applications M&O contract provides for a fixed-fee baseline component at a current annualized funding level. There is an additional annualized Above-Baseline (ABL) component related to services not specifically included in the Baseline contracts. These applications reside on infrastructure provided by the State of Arkansas Department of Information Services (DIS).

DHS plans to continue contracting with a Vendor (through this procurement) to provide maintenance and operations and enhancement services for their applications portfolio. However, DHS also sees significant opportunity to increase visibility to vendor activities and improve the efficiency of how the maintenance and operations services are provided.

The primary purpose of this RFP is to procure the services required to maintain and operate the applications currently in the DHS environment. In addition, DHS expects the Vendor to provide the ability to implement new functionality, provide business intelligence and reporting consulting/development and access to a network of resources with a variety of IT related skills to address future needs.

Vendors should be aware of the current dynamic environment involving funding and composition of programs administered by the Department of Human Services. State-level reorganization and restructuring of service delivery mechanisms are possible as a result of changes in Federal or State policy.

3.2 ISS Current Environment

3.2.1 ISS Overview The OST is responsible for the development, maintenance and support of the Department's information systems. This office is one of nine (9) programmatic Divisions and eight (8) shared services Offices within DHS. OST is headed by the DHS Chief Information Officer (CIO) who reports directly to the Director of the Department of Human Services.

The current DHS (ISS) contract with the incumbent, Northrop Grumman Corporation (NG) Information Technology, is a combination fixed price and fixed rate, deliverables-based professional services. The current contract provides for a fixed-fee deliverables-based baseline component at an annualized funding level. There is also an additional annualized Above-Baseline (ABL) component related to enhancements, new development and services not specifically provided in the ABL scope and deliverables.

The current ISS contract consists of support and services covering the following organizations:

75 county service areas

7 regional juvenile facilities

5 human development centers

The DHS Warehouse

The Arkansas State Hospital

The Arkansas Health Centers

Northrop Grumman’s engagement encompasses the following functional areas for the department’s existing applications baseline:

Page 27 of 112


Project Management and Administration

Quality Assurance

Data Administration

Application Systems Support

Local Area Network Support

Desktop Support (Pulaski County only) - LAN and Desktop services have been transitioned to DIS

Application Systems Development

Disaster Recovery

Business Continuity and Security

On-Site Network Support

A total of 103 NG staff including sub-contractors support the full scope of the current ISS activities.

Baseline:

38 Full time staff supporting basic application M&O

Above the Baseline (ABL): Approximately 24 task orders ranging from $50K to $3M

Tasks involve incremental modernization and major enhancements, however, a significant amount (approximately $10M) of this work is M&O work and this will be shifted to the baseline/Applications M&O Scope

NG has approximately 60 staff in support of the Above Baseline work.

Six (6) provide data management and reporting support

The figure below provides an overview of how the NG staff is currently organized.

Page 28 of 112


Figure 5. Current Northrop Grumman Team Structure

Outside of the ISS contract with NG, DHS has existing contracts with a number of other vendors providing other key services. It is DHS expectation that the future ISS Vendor (this RFP) will not be responsible for maintaining/enhancing these systems but will coordinate with these vendors to ensure smooth running of all the current operations, including:

The Division of Medical Services (DMS) has contracted with an outside fiscal agent, Hewlett Packard (HP), to process Medicaid claims through the related Medicaid Management Information System (MMIS). The MMIS function will be outside the scope of this procurement, although the ISS Contractor must coordinate, cooperate and interface with the MMIS vendor or other vendors as required.

The Division of Medical Services (DMS) has contracted with an Episode Based Payment System (EBPS) vendor, General Dynamics Information Technology (GDIT) for the Arkansas Payment Improvement Initiative. The ISS contractor must coordinate, cooperate and interface with the EBPS vendor. The contractor must also provide the creation of score cards, reports and other metric tools for use with internal DHS staff.

DHS has contracted with Xerox to manage and support the Docushare solution

DHS has contracted with eSystems to support The Eligibility and Enrollment Framework (EEF).

DIS provides infrastructure services on which the ISS Applications run. This includes providing and supporting servers (including virtualization), network, storage and data center space.

Page 29 of 112


There are also other vendors who assist OST with provision of PMO Services, IV&V Services, and other specialized services.

3.2.2 Overview of Current Application Landscape Currently, the DHS Information Technology (IT) applications portfolio is composed primarily of discrete, stove-piped systems supporting individual divisions’ needs. However, DHS is currently in the process of undergoing a transformation to redefine its underlying architecture to better meet its business objectives.

As a part of the current ISS contract, NG provides development and maintenance support to meet DHS information technology (IT) and business requirements. The development and maintenance support effort provides the foundation for all agencies within DHS. The DHS IT environment includes about 200 application systems, hundreds of subsystems, and thousands of programs, maps, copybooks, jobs, and run books.

The following table provides a snapshot of the approximately 200 applications that the current NG contract supports, across the various solution architectures including Mainframe, Client/Server and N-Tier technologies.

An inventory of all in-scope applications along with key attributes including application sizing data, technology used, interface information etc., is included in the Application Inventory spreadsheet provided as part of the Procurement Library. Table 5. Criticality of all the Systems under the current ISS Contract

# of Apps Criticality

15 Core or Major Approximately 185 Non-Core

Lines of codes (LOC) is one of the major attributes that was used to conduct Application sizing. LOC was derived by extracting each of the project/application code bases from the code repositories onto the windows file system and then using either the windows findstring command or the windows powershell .count dir commands. In cases where the "debug or release /bin" directories or other executable library directories were present, these directories were cleaned or omitted prior to command execution. Both commands utilized recursive directory switches to search and count all folders and files for the applications. If any of the projects/applications consisted of two or more subsystems, the LOC of each subsystem was calculated and then all subsystems were added together for total LOC.

Application sizing details, which include the lines of code and other attributes, have been provided in the Application inventory spreadsheet provided as part of the Procurement Library for both categories of applications, Core and Non-Core.

Of the approximately 200 applications and sub-systems currently within DHS technology landscape, DHS categorizes 15 of those systems as core or major systems.

The Table below provides a mapping of the primary applications supporting the specific DHS programs along with their Interfaces.

Page 30 of 112


Table 6. Core Systems and their Key Attributes

Index Application Name

Application Type Technology Used Application Sizing (Lines of Code)

1 Arkansas Client Eligibility System (ACES)

Mainframe ZOS; COBOL and JCL on Mainframe, access to data through Answer; IMS, VSAM, DB2

620,469

2 Special Nutrition Assistance Program (FACTS System)


346,565

3 Electronic Benefits Transfer (EBT)


11,157

4 Work Incentive Service Eligibility (WISE) System


122,158

5 Development Disability Services (DDS)

Functionality is split across Mainframe and Client Server / Web Based

Mainframe functionality - ZOS; COBOL and JCL on Mainframe, access to data through Answer; IMS, VSAM, DB2 Client Server Functionality - Windows Server 2003, SQL Server DB

2,112,930

6 Arkansas Networked System for Welfare, Eligibility, and Reporting (ANSWER)

Client Server / Web Based

IBM AIX; Windows Server 2008; Powerbuilder 11.5, C, Visual Studio 2008; IBM DB2 9.7; Reports = SQL 2008 R2

1,195,505

7 Access Arkansas Client Server / Web Based

Windows Server 2008; Visual Studio 2012; MS SQL 2008 R2

235,171

8 ARFinds Client Server / Web Based

Windows Server 2008; Visual Studio 2008; DB2 plus external web sources

2,974

9 Worker Generated Notices (WGN)


IBM AIX, Windows Server 2008;Powerbuilder 11.5, C; IBM DB2 9.7, Docushare, SQL 2008 R2 (currently being upgraded to SQL 2012)

26,209

10 OASIS Client Server / Web Based

Windows Server 2008; Visual Basic, MS SQL 2008 R2

101553

11 AASIS Client Server / Web Based


652,372

12 Child Care Suite (CCS)


Windows Server 2008; CCL = Visual Studio 2013;

1,806,476

Page 31 of 112


Index Application Name

Application Type Technology Used Application Sizing (Lines of Code)

KidCare = Visual Basic 6; CCB = Visual Studio 2013; HNP = Visual Studio 2013; MS SQL 2008 R2

13 Children's Reporting and Information System (CHRIS)


AIX and Windows 2008; Powerbuilder and Visual Studio 2015; Oracle 11g and Sql Server 2012

1,209,109

14 Cost Allocation Applications -AASIS Coding Validation Tables (CVT) -Pre Cost Allocation Transaction Review (PCATR) -Cost Allocation Reporting - Time Studies



677,330

15 Enterprise Data Warehouse

Enterprise Backend Windows Server 2008; Visual Studio 2012; MS SQL 2012

3,556,199

OUT OF Scope for ISS 16 Eligibility Enrollment

Framework/ CURAM (EEF)

N-Tier Enterprise Cúram HCR module, Cúram Express Rules Engine (CER), DB2, Cognos for Reporting, Informatica for ETL, IBM WebSphere, Redhat JBoss Fuse ESB

NA

The majority of the DHS transactions are conducted through its legacy mainframe systems (systems of record) as well as the core Client/Server systems.

The following figure captures the current DHS technology landscape (core or critical systems only).

Page 32 of 112


Figure 6. DHS Current Technology Landscape (Core Systems)

3.2.2.1 Four Types of Solution Architecture Serving DHS Needs

3.2.2.1.1 Legacy Mainframe Architecture The core mainframe systems use the CICS/COBOL/MVS architecture serving a wide array of users across various departments. These mainframe legacy systems average about 6.9 million online transactions per month (or 2 transactions per second). The majority of the systems are available 24 hours a day and 7 days a week (except for 1 hour downtime once a week). Across all mainframe systems, approximately 380 mainframe jobs are run per day to support the various DHS departmental activities.

The majority of DHS legacy applications execute on an IBM 2066-03 mainframe facility maintained and operated by DIS. The Vendor shall be required to provide personnel knowledgeable about the mainframe environment described herein and shall be responsible for maintaining the mainframe applications for as long as they are in production. The system software used to develop and support DHS applications includes:

Page 33 of 112


TSO – text editor

MVS/ZOS 1.04 – Operating System

CICS/TS 3.1 – Transactions Server

IMS 8.1 – Database

VSAM – File Management

COBOL and COBOL II – Programming language

Assembler programming

LCM Source Code Management

Programmers supporting these systems currently average 13 maintenance and/or enhancement migrations per month in the production modules.

DHS averages 2.2 million on-line transactions per month. The application systems are available to specific authorized users 24 hours per day and 7 days per week (except for 4 hours on Sunday starting at 1:00 p.m.).

There is one production CICS region with normal on-line application system availability from 7:00 a.m. until 7:30 p.m.

There are five (5) CICS test regions: Permanent Test, Temporary Test, 2 development regions, and a training region.

On average, approximately 260 mainframe jobs are run per day in support of DHS requirements.

3.2.2.1.2 Client/Server Architecture The core Client/Server systems primarily use .Net framework (C#, VB.Net, VB6, SQL Server backend etc.) with some elements supported by PowerBuilder and other Microsoft platform based tools to serve a wide array of users across various departments. Some of these Client/Server applications’ primary use is to provide the intermediary interface with the end user for the legacy mainframe applications. The client server DHS applications use a variety technologies:

The client server applications run on a combination of UNIX and Windows servers. ANSWER, AWARE, and CHRIS are Client/Server applications running on UNIX servers while the remaining applications run on Windows servers

In recent years, the development trend has moved towards Web Based Client/Server and N-Tier applications. These primarily use MS SQL Server RDBMS as a back end and utilize VB6, VB.NET, Visual Studio 2003 and 2005, 2010, Java and C# as development environment and languages.

The various tools used for source code management include:

Harvest - Harvest is used for Source Code Management for Oracle and DB2 applications

TFS - Team Foundation Server (TFS) is used for SQL based applications.

3.2.2.1.3 Enterprise Data Warehouse (EDW) and Business Intelligence The Enterprise Data Warehouse (EDW) and Business Intelligence (BI) applications provide a core capability around access to critical operational and performance data. The EDW team has standardized on the Microsoft BI toolset such as MS SQL Server, SQL Server Reporting

Page 34 of 112


Services (SSRS), SQL Server Analysis Services (SSAS), as well as SAS for specialized analytics and some Oracle Relational Database Management system. There are over 50 data sources that provide data to the EDW including financial data from SAP, benefits related data from ANSWER and ACES, Claims data from MMIS, behavioral health data, Childcare Data, exclusions data, and cost allocation reporting. The business intelligence reports range from dashboards, geospatial coded maps, and custom reports.

3.2.2.1.4 N-Tier Architecture The Eligibility and Enrollment Framework (EEF) project currently uses N-Tier Architecture. EEF was originally envisioned to fully support the MAGI Medicaid, Traditional Medicaid and SNAP (Food Stamps) eligibility and enrollment functionality. However, due to various challenges with the current implementation, only the MAGI Medicaid functionality is currently in production. Though the SNAP functionality was also developed using the EEF Technologies, it was halted at the beginning of the UAT phase (User Acceptance Testing). DHS is of the opinion that the remaining programs will only be restarted after various enterprise level initiatives including architecture committee, governance and a new Design, Development and Implementation (DDI) vendor are in place (IE-BM RFP award is expected in the second or third quarter of 2017).

The EEF has been implemented using multiple Commercial Off-The-Shelf (COTS) application components and infrastructure technologies including Cúram HCR modules (MAGI Medicaid), Cúram Express Rules Engine (CER), DB2, Cognos for Reporting, Informatica for ETL, IBM WebSphere, Redhat JBoss Fuse ESB and a host of other technologies. The full list of products currently supporting the EEF initiative are provided as part of the Procurement Library.

The following figure captures the current EEF environment. Figure 7. EEF Environment

The EEF System is not within the scope of ISS SOW (this RFP).

Page 35 of 112


3.2.2.2 Core Legacy Systems Serving DHS Needs The following section lists all the major legacy systems across each of the three architectures, namely, Mainframe, Client/Server, and N-Tier architecture serving DHS needs.

3.2.2.2.1 Core Mainframe Systems

3.2.2.2.1.1 Arkansas Client Eligibility System (ACES) Arkansas Client Eligibility System (ACES) is a mainframe system that comprises of 17 sub-systems servicing approximately 180,000 Medicaid clients and 25,000 TEA clients.

Through the ANSWER system, data is collected online where eligibility for TEA and Medicaid benefits are determined and submitted to the ACES system. During the nightly batch processing cycle, the ACES system processes the data and issues supplemental and monthly benefits through the EBT system. It also submits data to the MMIS system regarding client Medicaid Eligibility. The system provides state and federal reporting and produces the photo ID cards that are used at point-of-sale devices by providers to access client benefits.

Some of the key functional features are listed below:

Determines eligibility for TEA

Provides Case Mgmt. For 300,000+ clients

Provides reports to satisfy Federal & State requirements

Provides Photo Ids for Medicaid Clients

Provides Benefit Issuance through EBT

Some of the key technical attributes and features are listed below:

The technology used is primarily mainframe CICS COBOL architecture and is comprised of approximately 120 online programs and 604 batch programs

The system accesses 19 IMS database segments along with over 100 Virtual Storage Access Method (VSAM) files

Operating System platform – ZOS

Development Environment – COBOL and JCL on Mainframe, access to data through Answer

Database Environment – IMS, VSAM, DB2

Some of the interface exchanges and data sensitivity levels are listed below:

Federal or State Agencies Data is Exchanged with – CMS, Social Security Administration, Food and Nutrition Service, Office of Child Support Enforcement, MMIS, TANF, Workforce and Employment Security Division, Department of Health

Type of Sensitive data maintained – PHI, PII, HIPAA

Page 36 of 112


Figure 8. ACES System and Interfaces

3.2.2.2.1.2 Supplemental Nutrition Assistance Program (FACTS System) Food Stamps System (FACTS) is a mainframe system that comprises of 10 sub-systems serving approximately 225,000 SNAP cases. The system processes applications for Food Stamps from the ANSWER system, issues monthly benefits and provides reporting.

Through the ANSWER system, data is collected online and eligibility is determined and submitted to the SNAP system. During the nightly batch processing cycle, the SNAP system processes the data and issues supplemental and monthly benefits through the EBT system.


Determines Food Stamp eligibility

Manages 100,000+ current Food Stamp cases

Provides and updates data for EBT

Provides reports to satisfy Federal & State requirements

It produces reports for the Arkansas Division of County Operations

It produces federally mandated reports in a timely and accurate manner to avoid sanctions

FACTS interfaces with the following legacy systems

─ ACES (Arkansas Client Eligibility System)

─ SSI – Supplemental Security Income

─ EBT – Electronic Benefits Transfer

Page 37 of 112


─ ANSWER – For eligibility information

Some of the key Technical features are listed below:


The system accesses 4 IMS database segments along with over 50 Virtual Storage Access Method (VSAM) files

Figure 9. FACTS System and Interfaces

3.2.2.2.1.3 Electronic Benefits Transfer (EBT) Electronic Benefits Transfer (EBT) system is a sub-system of ACES for TEA benefits, the cash assistance program and Food Stamps benefits (SNAP).


The EBT System sends SNAP and TEA case benefit information to a 3rd party vendor and to Department of Workforce Services (DWS) respectively where a SNAP or TEA client account is established and credited with authorized benefits

Clients can use a debit card to access their SNAP and TEA benefits

The EBT system tracks updated client account information and creates reports for DHS managers

Some of the key technical features are listed below:

The system has been operational since 1997

The technology used is primarily mainframe COBOL and MVS architecture using CICS and is comprised of mainly 19 online programs and 20 batch programs

Page 38 of 112


The system accesses 22 IMS database segments along with about 11 Virtual Storage Access Method (VSAM) files

On-line programs are written in COBOL MVS, using CICS and VSAM data files. The batch programs are also written in COBOL MVS using VSAM data files

3.2.2.2.1.4 Work Incentive Service Eligibility (WISE) Work Incentive Service Eligibility (WISE) is a mainframe system comprised of 9 sub-systems servicing approximately 85 DHS county offices and the central office users. The primary function of the system is to evaluate, track and report on consumers enrolled in either the TEA and/or SNAP program(s) for work type activities. The system was originally used and managed by the DHS Division of County Operations. As of July 2006, the system became the responsibility of the Arkansas Department of Workforce Services, but still managed by DHS today.


This system tracks the work type activities of those enrolled in TEA and/or Food Stamps programs

There are a number of system interfaces. The major interfaces include the ACES and SNAP applications and the AASIS Payment Interface. A web system, written in ASP.NET provides the users with the ability to view the current status of the payments submitted through the AASIS Payment Interface


The system is over 20 years old, but underwent major renovations to the reimbursement processing sub-system to enable payments through AASIS

The technology used is primarily mainframe COBOL and MVS architecture using CICS and is comprised of mainly 80 online programs and 132 batch programs

The system accesses 29 IMS database segments along with about 75-100 Virtual Storage Access Method (VSAM) files

The on-line programs are written in COBOL, using CICS and some amount of high level DL1. The batch programs are written in COBOL using some amount of high level DL1 and COBOL MVS

3.2.2.2.1.5 Development Disabilities Services System (DDS) – Functionality Exists in both Mainframe and Client Server Environments

The Development Disabilities Services System (DDS) is a mainframe system that comprises of 14 sub-systems serving approximately 6,000 clients.

DDS provides a variety of support to improve the quality of life for individuals with mental retardation, autism, epilepsy, cerebral palsy or other conditions that cause a person to function as if they have mental retardation. DDS also provides services for individuals with a developmental delay, aged birth to 3 years. DDS also runs the 5 Human Development Centers for the severely disabled, needing around the clock care.


Tracks services provided to 6,000+ clients with disabilities

Provides reports to satisfy Federal and State requirements

This application is used to track applicants for DDS services, services authorized, service plans, tracks required meetings with clients and parents, demographics,

Page 39 of 112


Human Development Center (HDC) store room inventory, dietary labels and menus, proscribed medications, possible interactions, payroll and other functions



The system has over 50 Virtual Storage Access Method (VSAM) files with 1.25 million records

Within this DDS application are a number of sub-systems which include 3rd party applications.

DDS Dietary — Manages the menu planning and produces meal labels for the clients admitted to an HDC

DDS Store Room Inventory — This sub-system tracks the inventory of supplies on-hand at each Human Development Center (HDC) supported by DDS

DDS Foster Grandparent Payroll — Another program supported by the DDS systems is the Foster Grand Parents program. This program enlists the support of elderly citizens around the state to give time and support to some of the younger DDS clients. The Foster Grand Parent Payroll system reimburses these citizens for expenses incurred and the time given to the program. This occurs through the use of the AASIS Payment Interface.

Also included within the application are:

─ DDS Cash Accounts

─ DDS Community Center

─ DDS Authorization

─ DDS Staff Monitoring

A SQL reporting database provides the ability to create more complex reports in a timely manner for the users of the system

3.2.2.2.2 Core Client/Server Systems

3.2.2.2.2.1 Arkansas Networked System for Welfare, Eligibility, and Reporting (ANSWER)

The Arkansas Networked System for Welfare, Eligibility and Reporting (ANSWER) is a Client/Server eligibility System that supports Medicaid, Transitional Employment Assistance (TEA) and Food Stamp Programs.


ANSWER supports the Transitional Employment Assistance (TEA) and SNAP programs and Medicaid Eligibility determination. ANSWER has supplemented the existing ACES (Arkansas Client Eligibility System) since the fourth quarter of calendar year 2001

ANSWER meets Arkansas's functional and technical requirements and satisfies the Department’s needs and objectives to support the Federal and State programs. These requirements encompass all federally certifiable criteria including the Food and Consumer Services (FCS) Automation of Data Processing/Computerization of Information Systems (ADP/CIS) Model Plan Checklist

Page 40 of 112


ANSWER includes a number of system interfaces. The major interfaces include the ACES, SNAP and MMIS applications. The interface includes Recipient Overpayment Accounting System (ROAS) system and the Work Rate Calculation (WORC) system which calculates the percentage of clients performing activities necessary


ANSWER is a graphical user interface (GUI) that serves as a front-end application for the Department’s legacy systems and provides a single point of entry for the end user to update and query the legacy systems. ANSWER also provides policy enforcement through a set of automated rules and includes an on-line user’s manual for system reference.

The technology used is primarily PowerBuilder and .Net code with a SQL Server backend

ANSWER is a graphical front-end interface to the existing departments legacy systems that provides a single point of entry for the worker

ANSWER interfaces with the following legacy systems

─ ACES (Arkansas Client Eligibility System)

─ Food Stamps/SNAP – FACTS system

─ MMIS – Medicaid Management System

─ AASIS – Statewide accounting System

─ Work Rate Calculation (WORC)

─ Recipient Overpayment and Accounting System (ROAS)

Page 41 of 112


Figure 10. ANSWER System and Interfaces

3.2.2.2.2.2 Access AR Access AR is the web based Consumer Portal which interacts with the ANSWER system to provide an entry point for all Participants.

Access Arkansas Management Interface (AAMI) is a web based tool used in conjunction with Access Arkansas. AAMI interfaces with the ANSWER system. After the client has used Access Arkansas to apply for TEA, SNAP and Medicare Savings services, the county office staff will use AAMI to register the application in ANSWER. The registration process is used to track the number of applications that are received and also to track the timeliness of completion of the application outcome. Once the application is registered it can be used to approve the citizen for appropriate services.

3.2.2.2.2.3 ARFinds ARFinds is a link within ANSWER that allows County Office workers to verify citizen information. The link in ANSWER takes the worker to a web based service that allows them to select which data service they need to query for information. ARFinds replaced some of the functionality of Unique Client Directory (UCD). Using ARFinds, the worker can access Driver’s License Service, State Inquiry of SSA Information (SOLQ), Office of Child Support Enforcement (OCSE), Workforce and Employment Security Data (WESD), Department of Health - Vital Records Information, for Arkansas citizens that apply for services.

3.2.2.2.2.4 Worker Generated Notices (WGN) WGN is a tool built within the ANSWER System to create client notices. The County Office worker uses the tool to create client notices which are uploaded to Docushare and can be

Page 42 of 112


printed for mailing to the client. This process saves time for the worker and is used as verification that the client received notification of other items needed to process their application.

3.2.2.2.2.5 Overpayment Accounting Services Information System (OASIS) Overpayment Accounting Services Information System (OASIS) is a client server system. This system interfaces with other State and Federal revenue agencies to enable the recoupments of overpayments.

Some of the Technical features are listed below:

The technology used is primarily client/server architecture

This System is deployed on Windows Server 2008

The system is written in Visual Basic with SQL Server DB backend

3.2.2.2.2.6 Various Interfaces to State Accounting System (AASIS)

AASIS Payment Interface The AASIS Payment Interface is a series of Data Transformation Services (DTS) steps that take a payment file or raw data from an external system and convert it into the appropriate format required by the state-wide accounting system (AASIS) for payment through the State’s warrant process. Prior to finalizing the payment file and sending it to AASIS, the Data Transformation steps perform several validation edits against the file to ensure all required fields have been populated, the batch is in balance, and that valid cost accounting codes and values have been entered. If errors are found, the entire batch will be rejected and returned to the sending system.

The process allows for two distinct types of records to be sent to AASIS

Those with a valid AASIS vendor number

Those with a “One Time Vendor” number assigned to the record

Currently, the process is scheduled to run twice a day, as different systems have different times when their payments are produced. An email is sent after each run to the appropriate system personnel informing them of the success or failures of the conversion of the received payment file(s).

Systems using this process include:

ACES

AWARE

Child Care

THERAP

Foster Care Board

DDS Foster Grandparent

SNP

WISE

Wright Express

Page 43 of 112


AASIS Employee Change SSIS Process This process was built for the Office of System Technology to assist various groups of people to alert them when changes to an employee occur for the purposes of administering security to applications and other IT related services.

The process uses data produced by the AASIS Repository Process

The AASIS Repository Process uses Position Control data from AASIS to determine the following changes:

New Hires

Terminations

Transfer of Location

Change in Position

Transfer of Division

Last Name Change

AASIS Repository The AASIS Repository is a database and a series of Data Transformation Services processes. The purpose of the AASIS Repository is to centrally locate the process of downloading files from AASIS and processing those files and to centrally store the data for use by applications and people.

The Repository is responsible for downloading the following files:

Position Control Report

Retirement Reconciliation

Personnel Activity

AASIS Vendors

Payment Interface Warrant Data

This process is also responsible for generating employee change data that is used by several applications.

3.2.2.2.2.7 Child Care System Suite (CCS) The Child Care system is comprised of several integrated Client/Server and Web applications serving the Arkansas Division of Child Care and Early Childhood Education (DCCECE). The Child Care Licensing (CCL) system manages the licensing and inspections of state approved Child Care facilities (homes, schools, and centers).

Some of the key features of Child Care System suite are listed below:

The technology used is primarily Visual basic.Net, ASP.Net and SQL Server backend

The sub-systems are comprised of Child Care Licensing (CCL), Child Care Eligibility (CCE), Child Care Billing (CCB), Special Nutrition Program (SNP), Decision Support System (DSS), Exclusion and Rates

Page 44 of 112


KidCare for Eligibility Determination The KidCare system manages the eligibility determination and authorization tracking for the subsidized Child Care program.

Child Care Billing (CCB) The Child Care Billing (CCB) system enables the participating child care facilities to submit their billing invoices electronically.

Decision Support System (DSS) The Decision Support System (DSS) brings together data from all these systems as well as the Special Nutrition system to enable DCCECE the ability to view and report on this data from an enterprise level.

Child Care Licensing Child Care Licensing manages inspection and licensing of authorized child care facilities.

3.2.2.2.2.8 Child Reporting and Information System (CHRIS) The Child Reporting and Information System (CHRIS) is spawned from the Oklahoma KIDS system for SACWIS. CHRIS interfaces with both ANSWER (Eligibility) and OCSE (Child Support System). This child welfare system is the Arkansas Statewide Automated Child Welfare Information System (SACWIS). It provides case management for the Arkansas Division of Children and Family Services (DCFS) to document all casework activities:

Some of the Functional features of CHRIS are listed below:

Referrals — Child Maltreatment Calls handled by the Arkansas State Police Hotline

Investigations — Findings of Child Maltreatment Calls conducted by DCFS and Arkansas

State Police Crimes Against Children’s Division Investigators

Child Protective Services:

─ In-Home — Services/activities to maintain family

─ Out-of-Home — Foster care services/activities/placements to reunite child to family or other permanent goal

Supportive Services — Services/activities to support family unit

Interstate Compact — Services/activities for Arkansas children residing out-of-state or families from other states residing in Arkansas

Independent Living Program — Services/activities for ex-foster children over 18 years of age

Adoptions — Services/activities/subsidies for adoptive families

Providers — Services/activities for foster/adoptive families from Applicant Status to Approval Status to Re-evaluations; and other Placement Providers, such as Residential Facilities and Emergency Shelters. Also, Providers who offer Non-Placement Services, such as Counseling, Medical, and Educational Services

Staff Organization — Demographics on all CHRIS Users

Training — Captures Staff and Foster/Adoptive Families training topics/dates/hours

Page 45 of 112


Differential Response — Responds to allegations of child neglect

Financial Component — CHRIS also has a financial component and automatically creates payments for non-contracted foster care placements and adoption subsidies. These obligations are submitted to AASIS once a month for payment. AASIS returns warrant information once the checks have been created and CHRIS and AASIS are reconciled each month.

The system also provides numerous reports for federal reporting, as well as statewide reporting for DCFS to monitor casework activities

Some of the Technical features of CHRIS are listed below:

The technology used is primarily client/server architecture and runs the AIX operating system on an IBM RS6000 clustered Unix server

However, the new development and enhancements are in .Net framework with a SQL Server DB

3.2.2.2.2.9 Cost Allocation Applications The cost allocation system is a web-based application that is used by the cost allocation/research & statistics unit to run the cost allocation process and calculations and verify the results for accuracy. The application uses information provided by CVT, PCATR and manual worksheets application to allocate quarterly expenditures based on approved methodologies

Coding Validation Tables (CVT) The AASIS Coding Validation Tables (CVT) is a web-based application that is potentially used by all DHS employees. The Cost Allocation/Research & Statistics Staff are the administrators of the data within the CVT.

The CVT is a comprehensive table of accounting and cost allocation coding information which serves multiple purposes. The major purpose of the CVT is to serve as a coding accuracy check for expenditure information used in cost allocation. Since AASIS does not have any coding accuracy monitoring tools, an additional validation method had to be developed outside of AASIS to identify coding errors.

CVT contains all valid combinations of Cost Centers and Internal Orders used in accounting transactions. Any unlisted combinations would be considered invalid

The CVT also contains comprehensive tables of coding elements and their definitions. In addition to the coding validation function the CVT serves as a matrix of relationships among various codes and elements of the accounting and cost allocation systems

The CVT ties together all related information, such as Division, Funds Center, Fund, Cost Center, Internal Order, Program Code, and provides details and descriptions on each category

The CVT data is used elsewhere in other applications and databases such as the AASIS Repository. Often times it is used to determine what division an employee works for by comparing the employee’s cost center to the owning division of the cost center.

Cost Allocation — Pre-Cost Allocation Transaction Review(PCATR) The Pre Cost Allocation Transaction Review (PCATR) application is a web-based application that used by division CFOs and the Cost Allocation/Research & Statistics Staff to support the DHS Cost Allocation process. There are three main purposes of the application:

Page 46 of 112


Allow Divisions to access and correct transaction entries as well as PCR position coding with incorrect combinations of Cost Center and Internal Order, identified by the CVT.

Allow cost allocation staff to input additional information required for accurate cost allocation process. These additional inputs may include prior quarter adjustments, depreciation, and statewide costs.

Maintain several tables that control cost allocation information and processes. Among these tables are Job Codes table, Personnel Areas table and PCR Percentage Totals table.

Cost Allocation — Processing The application provides final results of the allocation process for verification in form of several reports and allows inputting of post-allocation adjustments.

Cost Allocation — Reporting The Cost Allocation Reporting application is a web-based application that is used to display the results of cost allocation and supporting documentation.

The following groups of people use the application:

Cost Allocation/Research & Statistics unit staff

Division CFOs

Reporting and Forecasting Unit

Audit

Cost Allocation — Time Studies The DHS Time Studies is a web-based and Windows application that supports the Cost Allocation Research & Statistics unit in administering the time studies and collecting time study data.

The application also serves the users/participants of the time study in completing their time study records in electronic form.

The Time Study Maintenance Application is used to administer various types of time studies used to access what proportion of work time an employee spends performing a particular activity or working on a specific program. Currently, there are three types of time studies: 100% Review of Time, Call Long and the Random Moment studies. The results of the time studies are used to allocate indirect costs to benefiting programs in the cost allocation process.

3.2.2.2.3 Enterprise Data Warehouse (EDW) and Business Intelligence The Arkansas Department of Human Services Data Warehouse (EDW) is a centralized repository consisting of over forty databases and ten thousand tables from across multiple DHS divisions and offices. EDW framework is based upon the Microsoft Business Intelligence stack utilizing: SQL Server 2012 databases; SQL Server Integration Services for ETL/file handling; SQL Server Reporting Services for report delivery and presentation. EDW performs disparate cross system analysis for clients, providers and program services, providing dashboards, scorecards, reporting and data exports for DHS staff for decision support, case analysis, client research, and vendor research. EDW provides financial analysis for DMS, in addition to anomaly and outlier identification for participating divisions. Data provisioning is provided via direct SQL queries, canned reports, and flat file exports. EDW coordinates over 140 SSIS

Page 47 of 112


packages and over 100 reports, with processing occurring daily and weekly depending on need and availability of data. The EDW utilizes MS SSRS and potentially SAS Visual Analytics in the future. The EDW utilizes approximately 6 TB of space with an expected growth of 100 GB/ year.

The incumbent currently provides a team of 15 FTEs to meet the reporting and analytics need of Eight (8) divisions across the DHS through the Enterprise Data Warehouse (EDW) team. The team is made up of Data Architects, Database Administrators, Business Analysts, Statisticians and Project Managers. All of the activities of the EDW team is funded by individual funding streams from each division as ABL projects. The EDW team has standardized on the Microsoft BI toolset such as MS SQL Server, SQL Server Reporting Services (SSRS), SQL Server Analysis Services (SSAS), as well as SAS for specialized analytics and some Oracle Relational Database Management system. There are over 50 data sources that provide data to the EDW including financial data from SAP, benefits related data from ANSWER and ACES, Claims data from MMIS, behavioral health data, Childcare Data, exclusions data, and cost allocation reporting.

The business intelligence reports range from dashboards, geospatial coded maps, and custom reports. There is no data from the new IBM Curam based MAGI Medicaid System (EEF) brought into the EDW environment at this time. Any confidential data at rest is encrypted to meet CFR Article 42 Part 2 requirements. Access security is managed via the State Active Directory service implementation. The EDW team uses Rapid Application Development and prototyping techniques to develop new BI related applications.

3.2.2.2.4 N-Tier Applications The Eligibility and Enrollment Framework (EEF) project currently uses N-Tier Architecture. EEF was originally envisioned to fully support the MAGI Medicaid, Traditional Medicaid and SNAP (Food Stamps) functionality. However, due to various challenges with the current implementation, only the MAGI Medicaid functionality is currently in production. Though the SNAP functionality was also developed using the EEF Technologies, it has been halted at the beginning of the UAT phase (User Acceptance Testing).

DHS is of the opinion that the remaining programs will only be restarted after various enterprise level initiatives including architecture committee, governance and a new Design, Development and Implementation (DDI) vendor are in place.

A separate RFP process is underway to fulfil these tasks. This will be categorized under the Integrated Eligibility and Benefit Management (IE-BM) initiative.

EEF is not part of the scope of this RFP. However, the following information is being provided to ensure that the ISS vendor (this RFP) has a summary level understanding of all the systems that can impact its scope of work.

EEF platform has completed the following capabilities for the MAGI Medicaid functionality

Relationship Management — Encompasses functionality to interact and share information with participants and potential applicants of the in-scope programs.

Client Data Management — A centralized enterprise-level repository of enrolled clients. DHS envisions using the framework for a broad spectrum of programs and hence intends to operationally share the client data management components across each program.

Program Enrollment Management — Simply put, program enrollment management handles the association of an eligible individual/family with a given program. It covers the types of services/benefits offered by the program as well as the issuance of those benefits where appropriate.

Page 48 of 112


Program Management — Includes functions and features that enable DHS to configure and customize the framework to automate our policy. Program management includes configuration of business rules to comply with policy, recording of appeals against a program, and enabling DHS to create and manage ‘tasks’ associated with the programs policy.

User Management — Enables DHS to adopt a self-service model with the new framework. With the new framework DHS envisions administering users of the systems in a singly defined manner- all users of the system, whether a case worker, designee, or the client, use the same profile components, but are granted different access to data and functions within the system. DHS expects the new framework to realize many operational improvements and savings from this function.

Accounting (minimal) — Records and tracks the issuance of benefits to eligible and enrolled clients. In the first phase of the modernization (this procurement) DHS does not expect a great deal of accounting functionality to be implemented, but does expect some components to support EBT issuance.

EEF has been implemented using multiple Commercial Off-The-Shelf (COTS) application components and infrastructure technologies including Cúram HCR modules (MAGI Medicaid), Cúram CGISS modules (SNAP), Cúram Express Rules Engine (CER), DB2, Cognos for Reporting, Informatica for ETL, IBM WebSphere, Redhat JBoss Fuse ESB, EP Notify (custom made product) etc. The full list of products currently supporting the EEF initiative are provided as part of the Procurement Library.

The following figure captures the current EEF Stack.

Figure 11. EEF Platform – Technology Stack

The following Table captures the current EEF Technology Stack.

Page 49 of 112


Table 7. EEF Platform – Solution Component breakdown

Component System Capabilities

IBM/Cúram – Health Care Reform Module (only MAGI Medicaid implemented)

Screening and Intake Verification of Member Information Eligibility Determination Application Management Case Management Change in Circumstance Processing Remote Identity Proofing Notices

DocuShare Content Management System

CA – Identity and Access Management Identity Management Access Control Access Auditing

Guardium, Nagois, Ganglia Monitoring – Database and System Monitoring

Informatica Data Staging Data Quality Data Conversion and ETL

Cognos BI Reporting

Database DB2 Redhat JBoss Fuse ESB SOA Infrastructure

3.2.3 Overview of Current Infrastructure Landscape

3.2.3.1 Platform DHS supports multiple hardware platforms including but not limited to:

P Series AIX

Windows Servers

P Series Linux Servers

Mainframe runs on CICS/COBOL architecture.

DHS supports multiple software platforms including but not limited to:

TSO is used as the text editor

ZOS Operating System

CICS 4.1 Teleprocessing Monitor

IMS 4.1 Database

VSAM File Management

FOCUS

LCM Source Code Management

VB 6

Page 50 of 112


VB Script

C

C#.Net

JavaScript

MS SQL Server

VB.NET

ASP

ASP.NET

MS ACCESS

DTS

Power Builder

DB2/UDB

Oracle

Harvest

Visual SourceSafe

Crystal Reports

SQL Reporting Services Quality Center

LoadRunner

WinRunner

WISE

Biztalk

MS Sharepoint

MS Sharepoint Portal Server

JAWS

MS Scorecard

MS Great Plains Dynamics

RedGate

Idera

Embarcadero

DHS currently utilizes a hybrid exchange system using Microsoft Office 365 for 4600 of our users and the state’s Microsoft Exchange system managed by DIS for the remaining users. DHS currently uses Microsoft Lync for its unified communication system.

3.2.3.2 Virtualization The State uses virtualization technologies for the more modern systems, mainly EEF. EEF uses virtualization technology to maximize efficient use of both hardware resources and software licenses. Processor pools group virtual machines running the same software, which allows the

Page 51 of 112


EEF to license software based on the processor pools’ maximum capacity rather than the cumulative maximum capacity of all distinct virtual machines.

The current EEF technology used for visualization is Power VM and VMware.

The State’s (DHS/DIS) preference is to continue using Power VM and VMware..

3.2.3.3 Server Hardware and Environments The State’s uses a combination of IBM Z-Series for its mainframe as well as Power 770 machines for its client server and N-Tier applications.

The current hardware being used for the EEF solution is Power 770. The State’s (DHS/DIS) preference is to continue to use the same hardware.

Most of the current legacy applications have different environments with at least a minimum of

Development

Testing

Production

However, the N-Tier EEF solution has the following six environments

Development

Testing

UAT

Training

Staging

Production

Refer to the Application Inventory provided in the Procurement Library for detailed list of environments by system name.

3.2.3.4 Data Center and Hosting The State (DHS/DIS) prefers to keep most of the Data Center and hosting functions “In House”. However, select functions, which will be determined at a later date, could fall under the purview of the ISS Vendor using the Provision of optional Additional Services defined in this RFP.

DHS has a small Data Center of networked, rack mounted servers operating in the WINDOWS environment on location in DHS’ downtown Little Rock office complex. To improve data security, and provide for a greater level of operations infrastructure redundancy, DHS is in the process of moving mission critical servers to the Data Center operated by the Department of Information Systems (DIS). If necessary, the selected vendor will be responsible for planning for and coordinating this move with the DIS staff in such a manner as to minimize downtime and impact upon the end user community at DHS.

3.2.3.5 Network Infrastructure The State’s (DHS/DIS) preference is to own and manage all of the Network Infrastructure as it does currently.

DHS’ goal is to have all LAN-connected PCs and networking hardware monitored and managed remotely. The WAN communications protocol is TCP/IP.

The Department of Information Systems is responsible for all WAN issues

Page 52 of 112


It is DHS’ intent for DIS to be also responsible for all LAN maintenance and operations

3.2.4 Current IT Operations Support DIS currently provides all infrastructure related IT Operational support processes through their contractor, Clear Pointe. As part of the infrastructure support DHS provides service desk support, network and data center support, incident management, problem management and a host of other infrastructure support activities modeled around ITIL v3 framework. Currently DHS is responsible for all applications operations support.

3.2.4.1 IT Operational Processes DHS, through the incumbent vendor, manages and administers all operational processes for the applications. This includes items such as help desk, incident/problem management, change/release/configuration management, applications monitoring and performance management and capacity planning.

The Vendor should refer to the Joint Operations Performance Manual (JOPM)manual as well as Clear Pointe SOW provided as part of the procurement library to get a better understanding of the IT operational processes being used to support the legacy applications.

3.2.4.2 Service Desk Volumes The following table provides a sampling of the Service desk volumes in a typical week. Table 8. Sampling Service Desk Tickets per Week

Reports for Week Apr 18 – 22 2016 Total tickets Assigned to DHS in Service Desk 416

Ticket Handling Information

Mon Tue Wed Thur Fri

Average Tickets per Hour per day 10.8 9.3 8.5 6.1 6.9

Average Tickets per person per Hour 5.4 4.7 4.3 3.1 3.5

Weekly Average Tickets per Hour 10.4

Weekly Average Tickets per person per Hour 5.2

The vendor should refer to the procurement library where 20+ weekly reports have been provided on Service desk volumes by application category to get a better understanding of the scope of activities.

3.2.4.3 IT Operational Tools The incumbent vendor has implemented a variety of tools to support the development and maintenance and operations of DHS’ application portfolio.

The Vendor should refer to the Joint Operations Performance Manual (JOPM) manual and the Application Inventory provided in the procurement library to get a better understanding of the tools currently being leveraged to maintain legacy applications.

Page 53 of 112


3.2.5 Ongoing Initiatives that could impact ISS Scope (this RFP)

3.2.5.1 Integrated Eligibility and Benefit Management (IE-BM) It is DHS’ intention to build the new DHS Enterprise Platform, Integrated Eligibility & Enrollment and Benefits Management (referred henceforth as IE-BM) to serve as the core of the Enterprise DHS Integrated Eligibility needs. The strategic goal of the organization is to migrate all core eligibility solutions applications to the IE-BM enterprise platform over a period of time. Once this project is completed all legacy eligibility and benefits management solutions will be retired (see Section 3.4.1) for additional details.

As such, ARDHS has performed the initial assessment of how the components of the Enterprise Platform will best support the complete functionality currently served by ANSWER, ACES, FACTS, WISE, WGN, Access Arkansas etc. to align with the defined vision. The predecessor to the IE-BM initiative was the EEF project that has deployed functionality for State’s MAGI Medicaid Program. The State is conducting a parallel procurement to ISS to continue the build out of the IE-BM Solution, where appropriate, leveraging the assets that have been acquired as a part of the EEF initiative.

DHS is anticipating the IE-BM Project to be approximately 30 months in duration. However, all anticipated dates are subject to change pending IE-BM Vendor selection and project kickoff. The following figure provides a rough estimate of the IE-BM project timelines.

3.2.5.1.1 EEF Platform – Serving MAGI Medicaid Functionality EEF was originally envisioned to fully support the MAGI Medicaid, Traditional Medicaid and SNAP (Food Stamps) functionality. However, due to various challenges with the current implementation, only the MAGI Medicaid functionality is currently in production. Though the SNAP functionality was also developed using the EEF Technologies, it has been halted at the beginning of the UAT phase (User Acceptance Testing).

DHS is of the opinion that the remaining programs will only be restarted after various enterprise level initiatives including architecture committee, governance, and a new Design, Development and Implementation (DDI) vendor are in place.

Page 54 of 112


A separate RFP process is being undertaken to fulfil these tasks. This will be categorized under the Integrated Eligibility and Benefit Management (IE-BM) initiative.

DHS assumes that the following systems will be directly impacted by the IE-BM platform once the full vision of IE-BM is achieved. With the implementation of IE-BM platform (a separate RFP), it is the State’s assumption that the following systems will either be completely retired or will only serve very limited functionality that is not served by the IE-BM platform and without duplication of data and/or functionality

Arkansas Client Eligibility System (ACES)

Food Stamps System (FACTS)

Arkansas Networked System for Welfare, Eligibility and Reporting (ANSWER)

Various existing interfaces to the above systems

3.2.5.2 Medicaid Management Information System Replacement The DHS MMIS system is currently managed by HP. The MMIS system in itself will be outside the scope of this procurement, however, there is an initiative to replace the current MMIS system. The Vendor (this RFP) must coordinate and cooperate with the MMIS vendor or other vendors as required to support the design and implementation of interfaces to support end-to-end process integration.

There are many interfaces from the current legacy systems (both main frame and client server) that send and receive data with the MMIS system. The following are some of the core legacy systems that have interfaces to MMIS –

ACES

ANSWER

SNAP

EBT

3.2.5.3 DIS’ Enterprise Data Warehouse/Business Intelligence Effort DIS is in the early stages of developing a Statewide data warehousing strategy including centralizing some capabilities under DIS while following a federated model for other capabilities. This may impact the ISS Vendor’s scope over the life of the contract, however, this change in scope should be captured through the benchmarking effort (see Section 3.5.2.2)

3.2.5.4 DIS’ Enterprise Systems Operations Effort DHS has migrated infrastructure operations support to DIS. There is also a Statewide initiative to centralize applications operations activities including:

Help Desk Services (e.g. Service Desk)

IT Operations process support (e.g. incident management, change/release/configuration management)

Application Operations Services (e.g. job scheduling)

The Vendor will be responsible for coordinating with DIS and assisting with the transition. Once this transition is completed, there will be no need for the Vendor to provide IT Operations Support Services (Optional deliverable, see Section 3.4.5).

Page 55 of 112


3.3 Business Drivers, and Objectives The primary objective of this procurement is to select a Vendor to provide maintenance and operations for DHS’ application portfolio. However, DHS has analyzed the structure of their current contract and how they are managing the incumbent vendor to identify opportunities to improve how their applications portfolio is managed. Below are the key objectives for this effort

ISS Applications Maintenance and Operations (M&O) Procurement Goals

Implement an approach and pricing model that incentivizes the Vendor to maintain and operate a stable environment of production applications (aka applications portfolio) in a manner that is both efficient and effective, with cost predictability for DHS

Gain a better understanding of where funds are spent (e.g. align the funding of Applications M&O with actual M&O activities rather that shifting to discretionary above base line spending)

Reduce annual M&O as cost as a result of legacy retirement, consolidation of applications, improvement/automation of M&O processes and leveraging Vendor best practices

Ensure the business objectives are met by establishing service level targets

Application Enhancements and Development Goals

Establish a methodology and measurements to verify Above Baseline cost estimates (establish a methodology to ensure cost of application development is within industry competitive pricing range)

Stop developing siloed/one-off solutions – migrate to Enterprise perspective/solutions; include some vendor ownership/accountability for this decision

Access to additional technical resources

Leverage the applications provider market (with newer technologies) and to drive the optimal balance of efficiency, effectiveness and innovation when developing new business applications

Leverage to the specialized market expertise such as; advanced analytics, benchmarking, strategy, architecture, application portfolio analysis, etc.

Mitigate risk associated with the current DIS and DHS IT capacity and skills limitation by establishing contract for optional IT infrastructure and security services

3.4 Information Support Services (ISS) Engagement Scope There are five areas of services (one optional) being procured through this RFP. These include:

1. Maintaining and operating DHS’ current applications portfolio

2. Performing projects primarily to enhance DHS’ current applications portfolio

3. Supporting DHS’ Business Intelligence and Reporting needs

4. Providing access to staff and/or project teams with the specialized skills required to address specific DHS needs ranging from staff augmentation to developing new applications on emerging technology

5. IT Operations Support - Maintaining, operating and managing maintenance and operations processes for DHS (e.g. change management, incident management), Help Desk, Application Operations Services and Security Planning (Optional)

Page 56 of 112


Each of these areas are described in the sections below.

As noted in Section 3.3 one of the primary objectives of this RFP includes improving the efficiency and effectiveness of applications support. DHS has structured the contract to encourage the Vendor to find opportunities to improve efficiencies and implementing these changes.

There are three elements to DHS’ vendor management approach:

1) DHS will establish Service Level Agreements (SLAs) to which the Vendor must perform. These are captured in Template T-6 — ISS Requirements and the Vendor must report performance against each SLA at the defined reporting period

2) DHS will benchmark application M&O and development efforts so the Vendor’s costs can be measured against industry peers

3) The Vendors will provide estimates of the complexity of any enhancement requests using a common approach that can be verified by DHS

These elements are further discussed in Section 3.5.2.

3.4.1 Application M&O Scope As discussed in Section 3.2.2, DHS currently has approximately 200 applications for which the Vendor will perform M&O services. The inventory of these applications and the applicable attributes are available in the Procurement Library. The services outlined in this section should be performed for all of the applications captured in the application inventory. As captured in section 3.5.2, DHS’ application portfolio could change over the course of the contract. The Vendor will be responsible for maintaining an inventory of all applications in the DHS portfolio (similar to the inventory provided in the Procurement Library. This inventory will capture any changes to the portfolio and will be captured on an annual basis by re-base-lining the portfolio and related M&O costs.

As discussed in section 3.2.2, DHS currently has approximately 200 applications in its portfolio, with 15 core applications. The Vendor will be responsible for maintaining and operating all of these applications and implementing enhancements (as requested via ABL agreements). The expectation is that the ISS Vendor, to align with the business goal of efficiently supporting the applications portfolio, will identify opportunities to streamline the development processes. In addition, DHS expects major new projects, like the IE-BM project will replace the legacy Integrated Eligibility Systems, will result in new integrations between the legacy application(s) and the new application (e.g. ANSWERS and the new IE-BM System), developing new interfaces to support a phased development approach and retiring applications that will be replaced by the new System. Below are the anticipated break down of roles and responsibilities between the ISS and the new System Vendor: Table 9. Application Retirement Roles and Responsibilities

ISS Vendor New System Vendor (i.e. IE-BM) Status Quo Standard Operating Procedure - Continue maintaining and operating the legacy applications including change/release management and issue management

Status Quo Standard Operating Procedure - Accountable for ensuring the integration between applications function correctly and no data related issues (e.g. duplicate records, data incompatibility) arise; responsible for triaging and resolving any integration related issues

Legacy Rationalization Requirements - Collaborating with the Modernization Vendor (i.e.

Legacy Rationalization Requirements - Developing detailed functional specifications and

Page 57 of 112


IE-BM) to help identify detailed functional specifications

developing the Above Baseline (ABL) Statement of Work for the ISS Vendor to respond to

Legacy Rationalization Execution - Building enhancements and testing to support the deployment of replacement solution, assist with data conversion, perform all tasks related to enabling the retirement of legacy system, including building of new tactical solutions on alternate platforms, and ensure the new solution can function as specified intended

Legacy Rationalization Execution - Responsible for ensuring that the ABL project to be performed by the ISS Vendor includes all activities required to retire the legacy application

Legacy Rationalization Execution - Responsible for making any modifications required to retire any legacy applications according to the agreed to ABL SOW

Legacy Rationalization Execution – Manage / coordinate all activities required to retire the application and be the single accountable entity that ensures the success of the overall rationalization effort, including successful retirements of the legacy system

The IE-BM project will, at a minimum, apply to ANSWERS, ACES and Access AR. DHS expects the vendors to perform these roles if another application is impacted or another Vendor is responsible for retiring a legacy application which the ISS Vendor is managing. The Application size and benchmarking results will be modified as these applications are retired.

3.4.1.1 Break Fix/Critical Fault/Corrective Maintenance The Vendor will be responsible for fixing failures (not functioning as designed) that cause a crash, hang-up, data loss or corruption, erroneous results or no work around for a major documented function. Includes associated analysis, design, coding, testing, communications, documentation, and implementation. Also includes issues encountered in the course of keeping purchased application packages up and running.

Examples include:

Program Abends

System is down

Data Records not processing as designed due to coding problems

Problems transmitting data between systems

System generating Incorrect or misleading data

Data download Failures

System Clocking (due to an Application problem)

Unacceptable user workarounds due to system bugs

Data contention abends/errors

3.4.1.2 Preventative and Perfective Maintenance The Vendor will be responsible for improving performance and maintainability and proactively addressing latent defects and to find and eliminate errors before they can impact the business and performance of an application. The expected result of this effort is to improve application speed, reliability and/or reduce the ongoing support costs.

Examples include:

Page 58 of 112


Addressing documented problems that would save enough analyst support time or have material impact on the business to justify making code changes

Reducing time spent looking for the root cause of problems - regardless of whether any action is taken

Code refactoring such as extracting one or more smaller sub-routines from a larger routine or removing duplicate routines and replacing with one shared function

Removing obsolete code or application modules that are no longer in use

Improving internal support-related processes

Making JCL changes to include table backups/reorganizations

This does not include work greater than 80 hours related to functional enhancements which is considered development.

3.4.1.3 Adaptive Maintenance The Vendor will be responsible for adapting the application to changes in the operating environment (e.g. required by infrastructure, operating system, Vendor, etc.). This includes associated communication and documentation. This does not include adding new business capabilities from a user’s perspective.

Examples Include:

Installation, configuration and testing of dot releases and patches of Vendor package/COTS software (including security patches)

Required upgrades to a new version of the application’s DBMS, language(s) and/or operating system

Testing the application following changes to the hardware environment such as server upgrades, virtualization, etc.

Forced Currency Code subroutine conversions

Accounting distribution edits subroutine conversions

Changes to support application security

Required modifications due to new Framework versions

Changing JCL due to changes in versions of software support tools

.Net, Java upgrades

Ensuring software is maintained within an N-1 revision level unless agreed upon by the State

This does not include major version upgrades to vendor package/COTS software which typically include a substantial amount of new or changed business functionality and require significant effort to implement. This effort would be captured in development.

3.4.1.4 User Documentation The Vendor will be responsible for maintaining existing user documentation. New documentation is part of project development.

Page 59 of 112


3.4.1.5 System Documentation The Vendor will be responsible for maintaining existing system documentation. New documentation is part of development.

This includes maintaining and setting up system documentation related websites.

3.4.1.6 Security The Vendor will be responsible for providing access and authorization to systems.

Examples Include:

Application specific access

Removing old IDs

Shutting off system authorizations

This does not include: Installation efforts that require code changes. These are handled as part of the development process.

3.4.1.7 Maintain Test Environment The Vendor will be responsible for maintaining a test environment

Examples Include:

Copying data from production to test

Refreshing test environments

Defining backups and restores

Does not include: Setting up test data to test a new system enhancement. This is part of the development project.

3.4.1.8 Maintain Business Rules The Vendor will be responsible for updating business rules

This includes:

Updating business rules stored in editable tables

Explanations of and assistance with setting up Supplemental Tables

This does not include: Changing of code due to a business change. These are enhancements done by the development team.

3.4.1.9 Disaster Recovery The Vendor will be responsible for supporting DHS during disaster recovery. DIS will be responsible for establishing the applications in the disaster recovery environment. The Vendor will be responsible for ensuring the disaster recovery environment is functioning.

This includes:

Assisting in developing Disaster Recovery Plans

Assisting in Disaster Recovery Testing

Assisting in the event of a disaster

Page 60 of 112


3.4.1.10 System Audits The Vendor will be responsible for supporting system audits.

3.4.1.11 Training (Staff) The Vendor will be responsible for providing staff to train other development and support staff on a given system, language or tool.

This includes:

Required formal and informal effort for development and support staff to both learn and train

Required effort required to switch to and learn a new package or tool that is directly related to an application (learning non-application specific packages should be recorded under admin)

3.4.1.12 Tier 2 Application Support Provide Tier 2 Support for in scope applications. Calls will be forwarded by DHS’ Service Desk. This includes both incident and problem management.

3.4.1.13 Training (Customer) The Vendor will be responsible for assistance in proper use of the application and formal system training. Customer training will be provided by the Vendor as part of the M&O process whenever system changes are delivered. The Vendor will need to update materials and train DHS’ training team on any system modifications that result from application M&O activities. The purpose of this requirement is not to require the establishment of a training department. Note: Any training related to system enhancements (Section 3.4.2) will be included in the cost estimates and are not within the Application M&O scope.

Examples Include:

Providing training over the phone on a system or piece of the system

Formal onsite training for a facility

One-on-one user training

Compiling training material for a visit

3.4.1.14 Data Discrepancies The Vendor will be responsible for assisting resolution of data issues where the data is the problem, not the associated code.

Examples Include:

End user misuse of system functionality that can cause undesired effects. DHS is then asked to "fix" the data.

Customers ask DHS to investigate data mismatches between two systems and it turns out not to be a system problem, but the way the user was looking at the data.

Physically manipulating production data caused by a customer’s inappropriate use of the system.

Page 61 of 112


3.4.1.15 Efficiency Improvements DHS expects the Vendor to drive M&O costs towards best-in-class through improvements in application M&O processes and automation. DHS also expects to launch strategic initiatives such as portfolio rationalization, application retirement, and cloud migration to achieve higher impact. These initiatives are considered to directly impact the scope of Applications M&O, though will be managed as projects, similar to projects covered by Implementing Enhancements (Application Development) scope. Annual adjustments will be used to re-align the costs and efforts based on any completed initiatives.

3.4.1.16 Out of Scope Services This section provides the description of the services that are out of scope for the Applications M&O Scope. Some of these services may be provisioned by DHS through the IT Operations Support scope (see Section 3.4.5). The out-of-scope services are provided as a shortlist but have to reflect the actual excluded services.

Out of scope of the Application M&O Services SOW are the activities related to:

Desktop Services — Activities required to provide, maintain, secure and support the User hardware and software workplace environments (desktop, laptop, mobile device) to access, deploy and apply the in-scope applications.

Data Center Services — Activities required for providing, maintaining, securing, scheduling, backup, recovering and supporting the Organization's computing environments.

Network Services — Activities required for providing, maintaining, securing and supporting the wide-area network (WAN) connectivity for the Organization, all Organization locations' local-area network (LAN) connectivity and Organization's IP telephony connectivity, including all connectivity hardware and software.

Infrastructure Management Services — The infrastructure (e.g. physical servers, virtualization software and storage) will be provided to the Vendor by DIS.

Support, maintenance and operation of DHS enterprise IT processes — This includes:

Incident Management

Problem Management and Root Cause Analysis

Change and Release Management

Configuration Management

Disaster Recovery

Help Desk Services — Activities required to perform level 0 and 1 User Support related to direct resolution of end user questions and calls, call dispatch, tracking and tracing, call escalation, and self-help. Level 0 support activities are performed by Key Users for in-scope applications.

Application Operations Support Services — Activities required to perform application monitoring and operational service activities as formalized in run books, inclusive of job scheduling and execution, backup and restore of the in-scope applications. Application Operations Services are addressed by the Data Center Service Provider.

Note: some of these services may be included in the IT Operations Support Scope (DHS Optional), Section 3.4.5 if DHS decides to purchase these services.

Page 62 of 112


3.4.1.17 Vendor and State Roles/Responsibilities The contract will be awarded to a Prime Vendor who will provide the services and staffing required to support the entire applications portfolio. Additionally, DHS requires the Prime Vendor, as part of their fixed fee contract, to continuously identify opportunities to improve how the services are provided and implement those enhancements to achieve the SLA targets and cost reduction goals. The table below captures the anticipated DHS and Vendor responsibilities. The table excludes the responsibilities and tasks that the Vendor will not be performing, not considering the optional services.

Table 10. State and Vendor Responsibilities

Areas Preliminary State of AR Responsibilities

Preliminary Vendor Responsibilities

Application M&O

Application Security Admin Provide approved list Administer users

System Performance/Monitoring

Perform monitoring in alignment with policies and procedures

Develop policies and procedures

Optional to perform monitoring (see Section 3.4.5)

Capacity Planning Lead process Infrastructure capacity

planning

Provide capacity estimates and usage forecast changes

Change/Release/Configuration Lead process Align with State standard

process Package releases

Incident/Problem Management Lead process Application Support, Tier 2, 3

Disaster Recovery Lead process (DIS/DHS) Application recovery, detailed

recovery procedures, assist with testing, remediation

System Audits Coordinate/lead audits

Assist with audits Manage security roles etc. Maintain documentation Review logs and report

anomalies

License management/provisioning Buy and manage Certificate management

Back-up and Recovery Provide infrastructure and perform back-ups

Design back-up using DIS architecture

Database administration N/A Primary responsibility

Remote access/VPN Provide as a service Comply with Security Policies

Middleware management (patching etc.)

Provide shared middleware (e.g. service bus, content management)

Primary responsibility for application related COTS (PowerBuilder IDE)

ETL management Integrate with State services

Page 63 of 112


Areas Preliminary State of AR Responsibilities

Preliminary Vendor Responsibilities

Infrastructure M&O

Infrastructure (storage, servers, Data Center etc.)

Provide hosting and infrastructure management Provide requirements to DIS

Other M&O Related activities

M&O process documentation and maintenance

Document reviews and approvals

Document maintenance procedures for all apps and anything unique to each application

Governance (tech) Primary responsibility;

establish expectations, forms, process etc.

Follow Process and Submit requests as appropriate

Cost allocations/chargeback Design, maintain and administer chargeback Provide usage information

Data Quality Primary responsibility Report on data quality issues, support improvement plans

Master Data Management Manage and oversee

ongoing governance and data clean-up

Support process, provide reports (e.g. list of duplicate clients)

Contract Reporting

SLAs Monitor against SLAs Report performance against SLAs

Budget Approve budget and changes for each project

Report budget against each ABL project

Bi-annual benchmarking Primary responsibility; update contacts Support data acquisition

3.4.2 Implement Enhancements (Application Development) In addition to providing maintenance and operations for the legacy applications, the Vendor must implement functional enhancements to the existing application portfolio or develop new functionality (Above Baseline – ABL Activities). The exact scope of these projects will be identified during the engagement as needs arise through a specific request from DHS. These projects will include activities which are not covered by the Applications M&O Scope (Section 3.4.1) or the Business Intelligence and Reporting scope (Section 3.4.3) and require more than 80 hours of effort. They include:

Implementing additional functionality within an existing application

Building new applications to support emerging requirements

Enhancing a solution/testing a solution to support other State of Arkansas initiatives (including the initiatives listed in section 3.2.5)

Implementing architectural changes to the solution to improve solution performance

The resulting functionality will be warrantied for a year after the completion of the project.

Page 64 of 112


Prior to initiating any DDI project DHS will provide a scoping document, with the ISS Vendor’s assistance, at enough detail for the vendor to provide a fixed fee bid. This fixed fee bid will include an explanation of the basis for the estimate (e.g. the number of function points). This estimating methodology must be agreed to beforehand by DHS and allow for a third party to validate the cost estimate.

In certain circumstances, especially when looking at newer technologies, DHS may request the Vendor to procure services from a vendor with specific skill sets. This type of scope of work is covered in Section 3.4.4.

The Vendor must provide status reports for each project throughout its life and must receive approval from DHS governance body whenever the scope, schedule or budget must be modified. At any point in the project DHS has the right to end the contract for convenience.

The focus of this work is any enhancements to the applications. This does not include initiatives to improve the efficiency of providing M&O or application development services as these are covered under other scopes of work. However, these projects may be managed in a similar manner

3.4.2.1 Efficiency Improvements The Vendor shall drive application development costs towards best-in-class through process enhancements such as implementing automated testing tools. The expectation is that these efforts will be implemented as part of enhancement projects and agreed to within Service Level Requirements and related targets.

3.4.2.2 Roles and Responsibilities The ISS Vendor shall be responsible for all design, development and implementation (DDI) projects that enhance the existing solution. The Vendor must manage these as fixed fee contracts based on the scope provided by DHS. Although the size and scope of these projects could vary significantly, the Vendor must be to able provide all the skillsets required to complete a complex project. The expectation is that the roles and responsibilities will vary by project, though the standard Vendor and State of Arkansas roles and responsibilities are captured in the table below: Table 11. Typical State of Arkansas and ISS Vendor DDI project roles

Areas State of AR Responsibilities Vendor Responsibilities

Applications Planning Provide scoping document and formal bid request

Application strategy, architecture and planning

Provide estimates

Requirements Develop requirements Facilitate requirements

validation and elaboration sessions

Project Management Dependent on the size of the

project; range from a single point of contact to full time PM

Primary management of the project

Provide SDLC and Project Mgmt methodologies (in alignment with DHS’ standards)

Detailed design Provide SMEs, solution architecture oversight

Security, functional and technical design

Architecture documentation

Page 65 of 112


Develop/Build

Build infrastructure Provide SMEs/input Expose data from interfaced

systems

Build application

Testing Use Acceptance Testing All other testing Management and support of

UAT

Change Management/Training Review and approve trainings Develop/update trainings, deliver

as requested/appropriate

Data Conversion

Extract data from existing system (if not ISS managed)

Data quality Testing

Extract data from existing system (if ISS managed)

Data conversion design Build ETL/interfaces Conversion plan execution

Roll-out Production/code migration oversight

Release packaging and deployment

Documentation Review/approve documentation Update of plans, design,

development and training materials

Infrastructure (storage, servers, Data Center etc.)

Provide storage infrastructure Provide requirements to DIS

Governing of projects and reporting

Select projects to evaluate Evaluate scope, schedule,

budget provided by the Vendor and approve whether to proceed

Make decisions on in-flight projects which are not proceeding as planned

Provide status reporting on all active projects with status against approved plan (scope, schedule, budget)

Architecture/technology governance

Lead architecture governance Review architecture to the re-

use of technology and alignment with State of Arkansas architecture

Guide architecture governance Review designs to ensure compliance with State standards

Ensure integration between apps continues to work

Cloud applications Provide input and approve designs

Integration, Infrastructure and all monitoring, security and operations

DHS will maintain a list of potential enhancements/projects. When DHS decides to evaluate a project, it will develop a scoping document with enough detail for the Vendor to provide a fixed fee estimate for the scope and a schedule and deliverables. The Vendor must collaborate with DHS during this time to ensure the application strategy (e.g. enhancing existing applications

Page 66 of 112


rather than building a new application with similar functionality) and architecture are in alignment with DHS’ standards and architecture guidelines. Additionally, during this timeframe the Vendor shall collaborate with DHS to define the preferred methodology (e.g. modified waterfall, Agile, etc.) and define milestones. Once the Vendor response has been provided DHS will assess the viability of the project (potentially including a third party review of the costing methodology) and either decide to proceed with the project, request a change to the approach, or not proceed.

DHS reserves the right to cancel any project at its discretion.

3.4.3 Business Intelligence and Reporting As outlined in Section 3.2.2, DHS has a data warehouse and business intelligence solution implemented, however, the business’ BI and reporting needs are always evolving. The Vendor will be responsible for:

Capturing and tracking the end-user’s business intelligence and reporting needs

Collaborating with the end-users to define/refine a solution to their business needs

Selecting the appropriate technology solution (e.g. parameter driven reports, analytics tool, ad-hoc query tool, etc.)

Developing a solution for their BI needs and migrating this solution into production

Documenting the functional and technical design of each solution

If required, migrating additional data into the data warehouse from the source systems

Training users on how to use the solution and providing any required training materials

DHS envisions an iterative approach will be required to interpret and fully understand the user’s needs. DHS envisions the Vendor will provide 12 full time staff members will be assigned to performing the tasks outlined above.

DHS expects the Vendor to propose to distribute the current BI and reporting portfolio into M&O (BL - Baseline) and Enhancement (ABL – Above Baseline) projects, and allocate appropriate resources to each set of activities. The Vendor should include a minimum set of resources for support of BI Power Users within the departments as a part of M&O Services.

As the State of Arkansas is developing a state-wide data warehouse and reporting solution the scope of this area may be increased or decreased during the annual review cycles.

3.4.3.1 Roles and Responsibilities The State will be responsible for prioritizing the business intelligence and reporting requests and providing input before and during the development cycle.

The Vendor will report all in flight reporting efforts with the associated costs on a monthly basis. DHS reserves the right to review the costs of any reporting effort.

3.4.4 Provision of Additional As-Needed Services Throughout the life of this contract DHS envisions requiring additional technical resources to address its IT needs. These additional IT related services may include but are not limited to:

Application development on emerging technologies (e.g. mobile platforms)

Strategic planning

Enterprise architecture

Integration expertise

Page 67 of 112


Benchmarking and function point analysis

HHS analytics and business benchmarking

Revenue optimization analytics

Oversight/IV&V/QA

Business process reengineering

Security (planning and oversight, vulnerability scanning, penetration testing, risk assessment, audits etc.)

Application development process consultants

ITIL process consulting

The request for these services will vary based on DHS’ specific needs but could range from a skillset required to augment DHS staff in fulfilling their responsibilities, a simple scope of work, or a set of high level requirements for a proof of concept.

The Vendor will need to provide these services either through internal resources, or, more frequently, or at AR DHS discretion, through procurement of sub-contractors who have the specific skills required. Any resulting work efforts will be administered by the Vendor through their contract with DHS.

DHS, in certain circumstances, especially when DHS is looking at newer technologies, may request the Vendor to conduct a market survey and obtain bids from outside vendors. The Vendor must establish a process for this activity that is transparent and encourages competition and acquisition of the outside vendors with the right skill set. The Vendor shall manage any sub-contractor and implementation of selected outside vendor.

3.4.4.1 Roles and Responsibilities DHS will:

Provide a request for services which outlines their expectations

Review qualified staff/project teams identified by the Vendor and select the preferred option

Review and approve all payment documentation (e.g. timecards, deliverables)

The ISS Vendor will:

Review the request for services and ensure all areas of ambiguity have been addressed

Identify qualified staff/project teams which can meet the needs outlined in the request for services. Typically, this will include sub-contractors.

Coordinate with candidate/project team

Administer all billing activities

Be responsible for the end-to-end solution (if a new solution integrates with applications being managed by the Vendor)

Report progress and/or costs of all additional services activities monthly

All requests will be approved by the DHS governance body. DHS reserves the right to cancel any additional services work at it discretion.

Page 68 of 112


3.4.4.2 As Needed Services Required at Engagement Initiation

As a part of the response to this RFP, the Vendor must propose an appropriate number of Senior Information Security Analysts / Subject Matter Experts with appropriate qualifications to assist DHS with its security related initiatives. This as-needed service will be required when the engagement commences and Vendors shall include this scope in their transition costs. The scope of these support activities are listed below.

Scope of “As Needed” Security Services

The Vendor’s proposed resources will be responsible for supporting DHS' Security related initiatives including but not limited to:

MARS-E 2.0, and IRS Compliance and Auditing

Multifactor (two-factor) authentication access for all internal and contracted staff who access FTI, PHI, PII

Addition of encryption (various, including data in motion) for systems storing, transmitting or receiving that data, including ANSWER.

Use of public key infrastructure for certificates

Position risk validation (HR categorization of all roles organizationally by the security risk of that role)

Securing and hardening Server operating systems (including ANSWER) requiring upgrades to an OS level capable of thwarting current attacks

Better controls around remote and role-based system access

Vendor Responsibilities and Activities The Vendor will work with the Department of Human Services (DHS) to establish, review, and update documentation pertaining to the assets of the DHS. Documentation updates include the use of Centers for Medicare and Medicaid Services (CMS) templates, DHS policies and procedures, and other documentation relevant to the Security of DHS Information Technology systems and network infrastructure. The reviews will include, but are not limited to:

All documents pertinent to Security Accreditation

Business Impact Assessment (BIA)

System Security Plan (SSP), System Security Report (SSR), Safeguard Procedures Report (SPR)

Information System Risk Assessment (ISRA)

Business Continuity Plan (BCP)

Plan of Actions and Milestones (POAM)

Privacy Impact Analysis (PIA)

Logs

Rule Sets

System and Network Configuration

The Vendor will work with the Department of Human Services (DHS) to establish target identification and analysis techniques pertaining to the assets of the DHS and include the use of CMS templates, DHS policies and procedures, and other techniques relevant to the Security of

Page 69 of 112


DHS Information Technology systems and network infrastructure. The techniques will include, but are not limited to:

Network Discovery

Network Port and Service Identification

Vulnerability Report Analysis

Wireless Scan Report Analysis

The Vendor will work with the Department of Human Services (DHS) to establish a plan for Security Assessment Planning pertaining to the assets of the DHS and include the use of Centers for Medical Services (CMS) templates, DHS policies and procedures, and other relevant practices to the Security of DHS Information Technology systems and network infrastructure. The techniques will include, but are not limited to:

Developing a Security Assessment Plan

Prioritizing and Scheduling Assessments

Selecting and Customizing Techniques

Assessment Logistics

Third Party Assessor Selection and Skills

Location Selection

Technical Tools and Resource Allocations

Assessment Plan Development

Legal Considerations

The Vendor will work with the Department of Human Services (DHS) to establish the execution of Security Assessments pertaining to the assets of the DHS and include the use of Centers for Medical Services (CMS) templates, DHS policies and procedures, and other relevant practices to the Security of DHS Information Technology systems and network infrastructure. Assessors performing application security assessments should have a specific baseline skill set that includes certifications, such as, CISSP, CE|H, CISA, or GIAC certifications. The minimum skill set includes knowledge of specific programming languages and protocols; knowledge of application development and secure coding practices; understanding of the vulnerabilities introduced by poor coding practices; the ability to use automated software code review and other application security test tools; and knowledge of common application vulnerabilities. The techniques will include, but are not limited to:

Coordination of Assessments

Assessments

Analysis

Mitigation Recommendations

Reporting

As a part of the implementation, assessment, and configuration strategy, the Vendor will continuously update the POA&M to identify activities that have been accomplished, partially accomplished, or are pending action by another individual or system. The Vendor shall ensure that the POA&M is integrated into the AR DHS’ configuration management process and facilitate centralized tracking and management of changes to systems, policies, processes,

Page 70 of 112


procedures, as well as provide an oversight mechanism that will address compliance requirements.

The resources will be provided for a minimum of 2 years, and the services will be renewed for appropriate number of required resources on a semi-annual basis at the conclusion of the initial term of service.

3.4.5 IT Operations Support Services (Optional) As noted in Section 3.2.5, the State of Arkansas has undertaken a lengthy process to move all departments onto infrastructure platforms and M&O processes operated and maintained by DIS. As part of this RFP DHS may request the ISS Vendor perform some of these activities until they migrate to the state-wide processes. As part of the Applications M&O scope, the Vendor will be responsible for ensuring the applications follow DHS’ M&O processes. This optional deliverable expands the Vendor’s responsibility to include Help Desk Services, DHS operations process support (supporting, operating, managing, maintaining and documenting the IT Operational processes) and application operations support.

An overview of these support activities are included in Section 3.2.4 and additional details are provided in the Procurement Library. They include:

Help Desk Services — Activities required to perform level 0 and 1 User Support related to direct resolution of end user questions and calls, call dispatch, tracking and tracing, call escalation, and self-help. Level 0 support activities are performed by Key Users for in-scope applications. Help Desk services are addressed in the Help Desk Services SOW.

DHS IT Operations process support (support, maintain and operate the Enterprise IT Processes within the DHS environment.) This includes, at a minimum:



Capacity Management

Performance Management

Disaster Recovery

Incident Management

Problem Management and Root Cause Analysis

Application Operations Services — Activities required to perform application monitoring and operational service activities as formalized in run books, inclusive of job scheduling and execution, backup and restore of the in-scope applications. Application Operations Services are addressed in the Data Center Services SOW.

As mentioned above, the State of Arkansas has a strategic initiative to migrate all infrastructure maintenance processes to DIS. This may occur at any time during the terms of this contract and the Vendor must assist with the transition.

3.4.5.1 Roles and Responsibilities DHS will:

Ensure all non-ISS Vendor managed applications follow the Vendor’s maintenance processes including submitting all requests, documentation and other information required

Page 71 of 112


Monitor monthly reports (provided by the Vendor) to evaluate performance and help address any issues identified

Review all documentation provided by the Vendor

Approve any changes to the maintenance and operations processes

Providing staffing for the Help Desk to provide Tier 1 support

Run all activities captured in the run books

The Vendor will be responsible for managing and operating DHS maintenance processes. This includes:

Transition existing maintenance processes and take ownership of managing these processes

Document the maintenance processes including defining any required templates, roles and responsibilities

Oversee the execution of the process and ensure the processes are performed

Identify opportunities to improve processes

Review the request for services and ensure all areas of ambiguity have been addressed

Provide monthly reporting including process volumes, risks, issues, and status of activities being performed to improve the IT operations support execution.

3.4.6 Non-Formalized Service Inclusion The Vendor understands and accepts that all activities that affect the Service Environment as defined in Section 3 including its subsections and the Procurement Library, will be within the scope of the engagement and the responsibility of the Vendor, except when explicitly assigned to DHS or a third party.

Where such activities are not formally defined in this RFP, the Vendor will perform these activities as if they were included in this RFP and initiate the required actions to remedy the gap.

3.5 Engagement Staffing and Management

3.5.1 Engagement Management and Governance To manage the contract resulting from this RFP DHS will establish a Governance Body(ies) and a Contract Manager.

The Governance Body(ies) will be responsible for:

Reviewing any changes to the contract (including changes to the scope)

Approving any projects (Applications M&O improvement projects, implement enhancement projects or additional services). No work will commence without governance body’s approval

Approving any changes to project scope, schedule or budget and/or cancelling projects

Managing any escalations

Approving any adjustments to the contract due to the benchmarking process

Reviewing proposed solution designs/architecture against DHS’ architecture standards to ensure compliance and re-use of technology wherever possible

The Contract Manager will be responsible for:

Page 72 of 112


Reviewing Monthly Performance Reports

Managing the Deliverables Approval Process

Administering Performance Measures against SLAs and penalties (if required)

Tracking progress of all projects approved by the governance body.

Escalating any in-flight projects which are projecting a scope, schedule or budget which is significantly different than the scope, schedule or budget approved by the governance body

Approving any invoices

Managing the benchmarking process

Managing the development of scoping documents and request for additional services

Validating the scope/cost of any projects

3.5.2 Vendor Management As outlined in Section 3.3, the objectives of this RFP includes reducing the cost of applications M&O and enhancements through task automation and improvements in application M&O and development processes. The Vendor will be held accountable for finding opportunities to improve efficiencies of M&O and implementing these changes.

Through this RFP DHS will establish metrics to ensure competitive pricing and continuous improvements towards best-in-class for both application maintenance and operations and enhancement development.

There are three elements to DHS’ vendor management approach:

1) DHS will establish Service Level Agreements (SLAs)

2) DHS will benchmark the Vendor’s application M&O efforts for the 15 core applications so the Vendor’s costs can be compared to peers and best-in-class.

3) DHS will evaluate enhancement request costs through industry standards methods of functional sizing and cost estimation validation techniques (e.g. Function Point Analysis and published industry benchmarks)

3.5.2.1 Service Levels DHS will establish Service Level Agreements (SLAs) which the vendor must perform to. These are captured in Template T-6 – ISS Requirements and the Vendor must report performance against each SLA at the defined reporting period.

Service Levels O9-3 through O9-6 (Application Availability and Performance) will not be administered against existing applications until the end of the first year. The Vendor must commence tracking and reporting system performance and availability at the end of the Transition period. For those applications that are determined not able to meet the SLRs, the Vendor must develop a plan to align with the required service levels. If this requires system modifications, the Vendor will develop Enhancement Requirements and Cost Estimates (see Section 3.6.2.4) capturing the modifications required to bring the application in alignment with the SLRs. If DHS decides not to proceed with the required enhancements the service levels for that application will be adjusted accordingly.

Page 73 of 112


3.5.2.2 Benchmarking The Vendor’s focus and objectives must be aligned with DHS’ goals. The Vendor should continually strive to improve its processes to reduce the Applications M&O costs through each year of the contract period. These cost savings will be measured and achieved by benchmarking the cost savings opportunities against similar organizations and applications portfolio. DHS will be responsible for the benchmarking. The goal is to approach best-in-class performance for providing the services at the service levels outlined in this RFP.

On a bi-annual (once every 2 years) basis, DHS will benchmark the applications M&O and enhancement efforts so the Vendor’s costs can be measured against best-in-class. As outlined in the ISS Engagement Scope Section (Section 3.4) DHS expects the Vendor to undertake activities to decrease the cost of supporting the 15 core applications in DHS’ portfolio and developing enhancements. The vendor is expected to submit a fixed bid for the Maintenance and Operations of the entire application portfolio in response to this RFP, and support a benchmark of the core 15 core applications within 60 days of the first anniversary of project start date. DHS expects the Vendor to decrease the gap between its M&O costs and best-in-class, top quartile, on an annual basis. The Vendor is expected to be within 20% of the Peer Average with the initial cost benchmark, and achieve cost performance levels within 10% of top quartile performance within 3 years, or demonstrate a 10% annual cost reduction until such time that the Vendor has achieved cost performance equal to or better than the top quartile peers. If the Vendor is not within the 20% of the peer average, AR DHS reserves the right to re-engage in cost negotiations with the Vendor to close the gap between the Vendor’s M&O costs for the 15 core applications and a range within 20% of peer cost benchmark. The following is a brief definition of the different peer performance groups:

Peer – Average: representing the average for the comparative group

Peer – Percentile_25 (top quartile): representing the lowest quartile (most efficient) for the comparative group

Peer – Percentile_75 (third quartile): representing the highest quartile (least efficient) for the comparative group

The Vendor must also understand the State of Arkansas is anticipating some of the core 15 applications maybe retired over time. If this occurs the benchmarking results will be adjusted for the change in scope. This benchmarking will be conducted by DHS.

3.5.2.3 Function Point Analysis DHS anticipates the use of Function Point Analysis as the preferred method to measure the functional size of each of the 15 core applications in its portfolio, and benchmark the performance of the Vendor with respect to Application M&O activities. The Vendor must fully cooperate with the DHS selected third party that will measure the Functional size of the 15 core applications for benchmarking purposes, and provide appropriate resources to assist with the initial count of Function Points, if requested.

DHS also expects to use Function Points to assess the functional size of new enhancement requests (Above Baseline initiatives) and the Vendor is expected to provide estimates of the Function Point size of any enhancements requests along with the fixed cost proposal. These estimates must be provided in a format that can be validated by a third party.

Page 74 of 112


3.5.3 Vendor and DHS Staffing

3.5.4 DHS Staffing Expectations DHS will provide the resources required to perform the DHS Responsibilities outlined in Section 3.4.1.17 and Section 3.4.2.2.

To manage the scope of this RFP, DHS plans to provide a skeleton staff. They will manage the ISS Vendor’s contract. This will include reviewing monthly status reports and performance against SLAs, approving and monitoring progress against the DDI projects and approving and monitoring Business Intelligence activities. Additional resources will be provided to support the ISS Vendor’s DDI activities as outlined in each scoping document.

3.5.5 Vendor Staffing Expectations The Vendor must provide a team to perform the scope outlined in Section 3.4 and complete the tasks and deliverables outlined in section 3.6. The Vendor will lead these activities and deliver the related services, and should not expect direct State or incumbent support resources to be available after the transition period. The Vendor’s team will have an ongoing on-site presence with core resources dedicated to performing the activities outlined in Template T-6 - ISS Requirements. The Vendor must also have the capability to add staff with deep knowledge of the implemented technology to support major enhancements/upgrades in a timely manner.

3.5.5.1 Vendor Key Personnel The term “Key Personnel”, for purposes of this procurement, means Vendor staff deemed as being both instrumental and essential to the Vendor’s satisfactory performance of all requirements contained in this RFP. Vendor Key Personnel must be the primary team that delivers the ISS Services. As these staff members are deemed critical to the success of this initiative, they must be full-time and dedicated solely to the DHS account (unless otherwise noted).

The Vendor should include names and resumes for proposed Key Personnel as part of its Proposal, using Response Template T-5 — Staff Experience, to clearly demonstrate the proposed Key Personnel’s ability to perform the role as described. The Vendor should ensure Key Personnel have, and maintain, relevant current license(s) and/or certification(s). The Vendor can provide alternative solutions though any changes must be approved by DHS. Changes to the proposed positions and responsibilities will only be allowed with prior written permission from DHS.

If the Vendor believes that an alternative organizational design could improve service levels and/or decrease costs, a discussion of these options and their benefits should be included in T-4 – Vendor Project Organization and Staffing Response Template of this RFP.

The Vendor shall seek and receive DHS approval before hiring or replacing any Key Personnel. The Vendor shall remove and replace Key Personnel, if requested by DHS, within two (2) weeks of the request for removal.

The Vendor must provide DHS with written notification of anticipated vacancies of Key Personnel within two (2) business days of receiving the individual’s resignation notice, the Vendor’s notice to terminate an individual, or the position otherwise becoming vacant. Replacements for Key Personnel shall have qualifications that meet or exceed those specified in this section and will be subject to approval by DHS. The Vendor shall provide DHS with status update reports every week on the progress of the replacement candidate recruiting process until a qualified candidate is hired. The Vendor shall have in place a qualified replacement within sixty (60) days of the last day of employment of the departing Key Personnel. During the

Page 75 of 112


recruitment and training period, the Vendor shall provide an interim replacement for all Key Personnel, subject to approval by DHS.

DHS requires these key resources to be members of the transition team to ensure continuity. The Vendor must ensure Key Personnel have, and maintain, relevant current license(s) and/or certification(s).

Table 12 provides Key Personnel positions for the Vendor team, corresponding roles and responsibilities for the engagement, and minimum qualifications for each. Table 12. Vendor’s Enterprise Platform Services Engagement Key Personnel Roles

Title Roles and Responsibilities Expected Qualifications Engagement Director / Executive

Serves as the primary point of contact with DHS leadership, governance bodies and other State Executive Sponsors for activities related to contract administration, overall engagement management and scheduling, correspondence between DHS and the Vendor, dispute resolution, and status reporting to DHS for the duration of the Contract

Is authorized to commit the resources of the Vendor in matters pertaining to the performance of the Contract

Is responsible for addressing any issues that cannot be resolved with the Vendor’s Engagement Manager

Is responsible for all subcontractor relationships

Minimum of five (5) years direct project oversight and authority over ongoing relationships with clients where its firm has implemented enterprise solutions

Previously managed ongoing M&O in a similar environment

(does not need to be dedicated 100% to the account)

Engagement Manager / Services Manager

Serves as the day-to-day liaison with DHS Is available and responsive to State

requests for consultation and assistance Is responsible for establishing and

maintaining a positive client relationship Provides timely and informed responses to

operational and administrative inquiries that arise

Manages staff assigned to all day-to-day M&O activities

Plays an active role in day-to-day management of the Account so as to be knowledgeable and aware of all issues, concerns and requirements

Meets with DHS staff or such other person DHS may designate on a regular basis to provide oral and written status reports and other information as required

Manages the relationships with subcontractors and partner vendors

Provides ongoing reporting of operation against SLAs

Ensures all activities are coordinated and follow the processes outlined in this RFP (e.g. enhancement development)

Five (5) years managing a M&O team for an enterprise solution within a public sector client

Page 76 of 112


3.5.6 Expected Work Environment

3.5.6.1 Shoulder-to-Shoulder Organization Structure and Knowledge Transfer The Vendor must propose a suitable engagement and partnership model with the DHS team to ensure proper knowledge transfer throughout the life of the contract. This will include “shoulder- to-shoulder” work (when required) with identified DHS resources so that knowledge about DHS’ systems and business can be transferred from DHS to the Vendor staff and knowledge about the system can be transferred from the Vendor to DHS staff. This is particularly important with regards to the DDI of system enhancements.

Vendors’ Key Personnel associated with the Legacy Applications M&O Engagements must work from Little Rock for the duration of the Contract. Vendors should propose a structure that will best meet this requirement. The final configuration of the Vendor’s organizational structure requirement will be defined during the transition phase of the engagement.

Technical Lead/Architect

Provides detailed applications knowledge in support of complex application issues/incidents

Reviews all potential System changes (e.g., configuration, warranty fixes, enhancements) from a technical perspective and provides technical design/assessments

Is available to DDI Project teams for consultation on future enhancements (e.g., changes to achieve strategic objectives, implement a new program)

Five (5) years of experience architecting/designing enterprise solutions

Two (2) years of experience with technology implemented at DHS

Security Expert Architects all changes to the Solution’s security

Maintains all security documentation Ensures the Solution meets all applicable

security regulations

CISSP or similar security certification

Five (5) years of experience implementing/managing security in enterprise solutions

Preference will be given to candidates with security experience with the software implemented at DHS in similar businesses (does not need to be dedicated to the account)

Operations Lead

Ensure all team members follow the approved processes

Identify opportunities for process improvement

Lead the process documentation and training of changes to the processes (if the optional IT Operations Support services are purchased

ITIL certified Five (5) years of experience

managing

Project Team Maintain and support DHS’ systems

A team member must have five (5) years of experience in each technologies being support (e.g. PowerBuilder, CICIS, mainframe).

Page 77 of 112


3.5.6.2 Facilities and Equipment/Location of Contracted Personnel DHS recognizes the importance of coordination between the Vendor’s staff and DHS’ staff. As such, the activities performed in response to this RFP must primarily be performed in Little Rock. The Vendor may perform services from a location outside of Little Rock only once approved by DHS. Shared services (staff support such as finance, billing, contracts) may work outside of Little Rock without approval by DHS. All work associated with this RFP must be performed at a location within the United States of America.

The Vendor must propose a facility with sufficient office and meeting space for the Vendor’s personnel and the capability to support up to twenty (20) DHS employees for short periods (e.g. phases of enhancement projects that require significant DHS input such as UAT). DHS strongly prefers this facility be in downtown Little Rock (either within walking distance or 5 miles of the DHS offices with complementary parking) and must provide adequate free parking for DHS staff. The Vendor is required to secure their own facility space aligned to DHS’ expectations. The Vendor shall be responsible for all telephones and furniture and will provide three (3) guest workstations for DHS employees.

DHS will coordinate with the Vendor to provide secure access to the DHS network though the Vendor will be responsible for the local network. DHS will provide the Vendor staff with the personal computers required to support and manage the DHS applications.

The Vendors’ staff shall be available to participate in services-related meetings as scheduled by DHS. On-site work shall be performed during normal State business hours, Monday through Friday 8:00 AM until 5:00 PM.

Vendors must establish appropriate protocols in alignment with Federal and State regulations, including but not limited to FIPS, HIPAA and IRS Publication 1075, to ensure the physical property/facility security and data security and confidentiality safeguards are maintained.

3.5.7 Deliverables Approval

3.5.7.1 Deliverables Approval Approach DHS will use a deliverables-based approach to determining progress and completion. DHS and the Vendor will establish specific expectations for deliverables using the Deliverables Expectation Document process described below. All deliverables will be reviewed and approved using a structured and controlled process. These processes, structures and tools will govern any work done for ISS Applications Support. The Vendor must agree to these processes, and any work done not in compliance with these is completely at risk by the Vendor.

The Vendor will further detail the processes, roles and templates to be used in the ISS Applications M&O and Deliverables approval process during the initial phase of their effort (in the Project Management Plan (PMP) and during transition phase for the Vendor’s and the Vendor’s ISS Applications M&O activities). The PMP must align with the guidelines set by the DHS’ operational processes.

3.5.7.2 Deliverables Expectations Document Vendors must develop Deliverables Expectations Documents (DEDs), in an approved DHS form and format, and Vendor deliverables must adhere to the information within the DED. The Vendor must not perform any work on any deliverable until the DED has been approved in writing by DHS. The Vendor must use a standard template for all DEDs that will include at least the following:

The purpose and a description of the deliverable

Page 78 of 112


An outline/table of contents for the deliverable including a description of the anticipated content

Identify the reviewers and approvers of the deliverable

Acceptance criteria

The approach to managing changes to the deliverable after the deliverable is approved

Interim steps the Vendor will perform and work products the Vendor will provide in completing the deliverable so DHS feedback can be incorporated early in the process and reduce the risk of delays when the final deliverable is produced

As each deliverable is submitted, the Vendor must include a copy of the associated DED.

3.5.7.3 Controlled Correspondence In order to track and document requests for decisions and/or information, and the subsequent response to those requests, DHS and the Vendor shall use Controlled Correspondence.

Each Controlled Correspondence document shall be signed by the DHS Project Manager (or designee) and the Vendor Project Manager (or designee). No Controlled Correspondence document shall be effective until the signatures of both are attached to the document.

The Controlled Correspondence process may be used to document mutually agreeable operational departures from the specifications and/or changes to the specifications. Controlled Correspondence may be used to document the cost impacts of proposed changes, but Controlled Correspondence shall not be used to change pricing.

Controlled Correspondence shall not be the basis of a claim for equitable adjustment of pricing. Any changes that involve a change in pricing must be by a Purchase Order Change Notice.

Controlled Correspondence documents will be maintained by both parties in ongoing logs and shall become part of the normal status reporting process.

3.5.7.4 Deliverable Acceptance All Vendor deliverables are subject to review by DHS prior to final approval, acceptance, and payment. Where appropriate, the Vendor will perform a walkthrough of a draft version of the deliverable with all appropriate DHS staff and solicit feedback prior to submitting the Deliverable for approval.

Acceptance of all Vendor deliverables will be completed via a Deliverables Acceptance Document (DAD) in a format approved by DHS, and drafted for each deliverable by the Vendor.

Review time will depend on the complexity of the deliverables. DHS shall have no less than ten (10) working days to complete its review of the deliverable. DHS will accept or reject the deliverables in writing using Controlled Correspondence and the DAD. In the event of the rejection of any deliverable, the Vendor shall be notified in writing via Controlled Correspondence, giving the specific reason(s) for rejection. Unless agreed by DHS due to complexity of the deliverable, Vendor shall have five (5) working days to correct the rejected deliverable and return it to DHS via Controlled Correspondence. Failure by DHS to complete activities within the timeframes noted does NOT constitute acceptance, approval or completion unless otherwise agreed upon by DHS and the Vendor.

All payment requests (e.g., invoices) must include copies of the relevant DADs signed by the DHS stakeholder authorized to approve the deliverable. Deliverables and submitted/approved DADs must be tracked by the Vendor in a tracking tool approved by DHS.

Page 79 of 112


3.6 Information System Support (ISS) Scope of Work Tasks and Deliverables

This section captures DHS’ expectations regarding the tasks and deliverables the ISS Vendor will perform. The Mandatory Response Templates allow the Vendor to more fully detail its Proposal in each of these areas.

3.6.1 Scope of Work Overview At a minimum the following deliverables (or equivalent) must be produced by the Vendor for DHS’ approval. These deliverables will be payment milestones and the Vendor shall not be paid until DHS has reviewed and approved each deliverable.

The following sections includes DHS’ expectations on the services and deliverables to be provided by the Vendor. The tasks include: Table 13. List of ISS Applications M&O Deliverables

Task # Deliverable Frequency

Task 1 – ISS Transition Planning ISS.1.1 ISS Applications M&O Transition Plan Once

Task 2 – ISS Transition Planning Transition Services

ISS.2.1 Transition Status Report Weekly during transition period

ISS.2.2 Assessment Report Annually

ISS.2.3 Applications M&O Plan Once

ISS.2.4 Completed Applications M&O Readiness Checklist Once

Task 3 – Provide M&O Services, Report Status and Assure Quality

ISS.3.1

Monthly Status Report and Service Level Agreement Reporting (15 Core Applications)

Monthly

ISS.3.2

Monthly Status Report and Service Level Agreement Reporting (Non-Core Applications)

Monthly

Task 4 – Implement Enhancements (Application Development)*

ISS.4.1 Enhancement Requirements and Cost Estimates Once per task order

ISS.4.2 Completed Enhancement Check-List Once per release

Task 5 – Support DHS’ Business Intelligence, Analytics and Reporting Needs

ISS.5.1 Business Intelligence and Reporting Support Monthly

Task 6 – Provisioning of Additional As-Needed Services ISS.6.1 Milestone Completion

Defined by Request for Additional Services

Task 7 – Turn-Over M&O Services ISS.7.1 M&O Turn-Over Plan Updated as needed or requested by DHS

Page 80 of 112



ISS.7.2 M&O Turn-Over Assessment Report

Monthly during turn-over activities

Task 8 – ISS IT Operations Processes (Optional Deliverable)

ISS.8.1 IT Operations Support Transition Plan Once

ISS.8.2 Completed IT Operations Support Checklist

Weekly during transition period

ISS.8.3 Monthly Status Report and Service Level Agreement Monthly

ISS.8.4 Help Desk Services Monthly

ISS.8.5 IT Operations Support Turn-Over Plan

Updated as needed or requested by DHS

ISS.8.6 IT Operations Support Turn-Over Assessment Report


*Enhancements are ABL Costs

3.6.2 Detailed Scope of Work The following sections define the services/tasks that the Vendor must perform to support the in-scope ISS applications.

3.6.2.1 Task 1: ISS Applications M&O Transition Planning The ISS M&O Transition Plan task includes all activities required to effectively and seamlessly migrate M&O activities of the ISS applications from the incumbent vendor to the Vendor’s M&O team, integrate with the DIS M&O processes and ensure a smooth transition of in-flight projects. Additionally, the Vendor will evaluate the current portfolio of applications and identify opportunities to improve IT Operations Support (e.g. identify dead code, identify opportunities for automation). DHS will provision support for the transition from the incumbent vendor. The incumbent vendor will provide assistance (e.g. knowledge transfer related to software, data, documentation, tools, processes, help desk operations) to the Vendor as the M&O activities are transitioned to them (see the Procurement Library for additional details). The ISS Applications M&O Transition Plan must be collaboratively developed with DHS and the incumbent vendor, and aligned with the incumbent vendor’s transition plan. Transition planning activities are anticipated to start approximately 6-9 months before the end of the incumbent vendor’s contract.

The Plan should outline all key elements required to take over management of the ISS applications (and perform all requirements outlined in Template T-6 — ISS Requirements) including, but not limited to:

Organization structure including roles and responsibilities and staffing levels for the M&O processes. This includes a facilities plan, staffing plan/onboarding plan and training plan for all the staff required to perform the activities identified in this SOW and Template T-6 — ISS Requirements

Transitioning administration and ownership of tools and data supporting the ISS Applications

Performing M&O related to the ISS components

Page 81 of 112


Identification of all relevant documentation (e.g., design, architecture, support processes) and transitioning maintenance of these documents

Updating M&O documentation with changes resulting from the migration to the Vendor’s M&O team

Rules of engagement with respect to the DHS/DIS’ role in maintaining and operating the infrastructure, as well as managing and coordinating a multi-vendor environment

Approach to ISS Applications M&O reporting including status reporting, SLR Performance Reporting and reporting mechanisms

Approach to security and confidentiality in alignment with all applicable Federal and State laws, policies and regulations

Approach to reducing cost of the Application M&O during the contract

Approach for introducing function points and metrics for tracking Vendor performance

In addition, at DHS’ discretion, the Vendor may need to include a transition plan for the M&O

DHS assumes the transition will not occur all at once but rather the Vendor will incrementally take responsibility for the ISS Applications M&O activities throughout the transition period.

The transition plan shall be completed by senior staff who will be responsible for the transition and for the ongoing ISS Applications M&O activities.

Deliverable ISS1.1 – ISS Applications M&O Transition Plan Required Delivery Submitted for approval no later than 9 months prior to the end of the incumbent

vendor’s contract Frequency Once

Page 82 of 112


Deliverable ISS1.1 – ISS Applications M&O Transition Plan Description The ISS M&O Transition Plan captures all of the activities the Vendor must

perform to establish the ISS IT Operations Support organization and migrate applications M&O and tools to the Vendor. The Plan must include a schedule to complete the tasks prior to the end of the incumbent vendor’s contract. Scope of this deliverable includes: Documentation of the Vendor’s proposed target state including: Proposed Vendor staff Roles and responsibilities of all partners related to the ISS IT Operations

Support Proposed list of activities and processes to support the activities Acquisition, transition and need for tools

Training plans to ensure staff gain the required knowledge in alignment with the incumbent vendor’s Requirement Statement outlining the technical resources and requisite knowledge, skills and experiences required to transition M&O activities

Plan for coordinating roles and responsibilities between the Vendor and the DHS/DIS Infrastructure support team

Approvals for plans by DHS and commitment to supply resources Staffing of target organizations and ongoing support through the duration of

the Contract Security and confidentiality plan Inventory and plan for all Solution hardware and software, documentation,

supplies, facilities and other resources within the Contract Plan for migrating all required documentation to the Vendor Plan to transition for all applicable development tools, processes and

procedures and management tools (e.g., security management, systems management)

This deliverable must include measureable progress milestones/check-points so DHS can quantify the transition risk. This deliverable should also include the assumed level of support required from DHS and the incumbent vendor. The ISS M&O Transition Plan must include a Readiness Checklist (Deliverable ISS-5) which captures all activities that must be completed prior to completing the transition of ISS Applications M&O activities from the incumbent vendor, grouped by service to allow for incremental transition.

References N/A

3.6.2.2 Task 2: ISS Applications M&O Transition Services The Vendor must execute the tasks and activities outlined in the ISS Applications M&O Transition Plan (defined in Task 1) – the activities required to seamlessly transition M&O services to the contracted Vendor. The Vendor’s M&O team must have a significant on-site presence to ensure adequate knowledge transfer occurs and expects the Vendor to lead these activities as a project, with a Project Manager to track progress against all tasks and highlight risks and issues that require DHS’ attention. DHS assumes it will be able to provide the State staff support outlined in the Plan and, as such, anticipates the Vendor will be able to complete the tasks on schedule.

During the transition period, the Vendor must track progress closely and accurately report progress to DHS. This includes weekly status meetings, Executive Steering Committee meetings and coordination with the IV&V vendor.

Page 83 of 112


Prior to transitioning any ISS Applications M&O activities, the Vendor must demonstrate that it is able to assume the responsibility for that activity. Proof that all required activities have been completed must be provided (and DHS’ approval received) along with a transfer or conversion plan for converting tools. A formal go/no-go decision process will be established to gain approval from DHS prior to transitioning the service.

For a period of time after the Vendor has taken ownership of and responsibility for performing the ISS Applications M&O activities, the incumbent vendor will maintain an advisory team as a contingency. This team will provide advice and recommend improvements. The Vendor must cooperate with the incumbent vendor and implement the recommendations which DHS approves.

Deliverable ISS.2.1 — Transition Status Report Required Delivery Submitted throughout the transition period (9 months prior to the end of the

incumbent vendor’s contract) through transition completion. Frequency Weekly Description This deliverable will document progress against the ISS Applications M&O

Transition Plan and capture tasks performed, planned tasks, risks and issues and track progress against the Readiness Assessment. If tasks are not performed in accordance with the ISS Applications M&O Transition Plan, the Vendor will provide a recovery plan with updated projected dates. This deliverable must include mitigation steps being taken against any identified risks and any contingency plans. This deliverable must also highlight upcoming activities that must be performed by DHS and risks/issues which require DHS’ involvement to resolve. This deliverable must include documentation confirming (and proof of DHS’ approval) activities have been effectively initiated and completed. This deliverable will track progress against the Readiness Checklist to ensure all required activities are completed (and DHS’ approval received) prior to transitioning ownership of any ISS Applications M&O activities.

References Deliverable ISS.1.1

Deliverable ISS.2.2 –Assessment Report Required Delivery The design assessment must be completed prior to transitioning IT Operations

Support and annually thereafter Frequency Annually Description This deliverable provides an assessment of the current applications and will

identify opportunities to improve application M&O effectiveness and efficiency (e.g. tool deployment, task automation, etc.). This will also include a roadmap of when the Vendor plans to implement the improvements. This deliverable will be deemed approved once it has been presented to State staff and they have agreed with the contents, recommendations and the roadmap

References Deliverables ISS.1.1

Deliverable ISS.2.3 — Applications M&O Plan Required Delivery The Applications M&O Plan must be completed prior to transitioning of IT

Operations Support is completed Frequency Once

Page 84 of 112


Deliverable ISS.2.3 — Applications M&O Plan Description This deliverable will include an overview of how the Vendor is providing M&O

services. This includes items such as processes, procedures, roles and responsibilities, hand-offs, tools, user guides and any additional information. This document will be maintained throughout the M&O period and will be accepted once it has been reviewed and accepted by DHS.


Deliverable ISS.2.4 – Completed Application M&O Readiness Checklist Required Delivery The completed and approved checklist must be submitted for approval no later

than the end of the incumbent vendor’s contract Frequency Once Description This deliverable documents that all activities required to transition ISS

Applications M&O services to the Vendor have been complete. This deliverable must be a completed version of the Transition Checklist included in the ISS Applications M&O Transition Plan (defined in Task 1) with documented proof that the activities have been completed. This deliverable must include documented proof that the ISS Vendor is trained to provide M&O services, documentation has been updated and processes have been transitioned including, but not limited to: Application M&O Management and operations of M&O tools Tools and documentation Break-Fix

This deliverable must include the completion of the ISS M&O Transition Plan. This deliverable is documentation to confirm that all ISS Applications M&O reporting activities and the implementation of reporting and reporting tools and processes are complete, as described in the ISS Applications M&O Transition Plan.

References Deliverables ISS.1.1, ISS.2.1, ISS.2.2, ISS.2.3

3.6.2.3 Task 3: Provide M&O Services, Report Status and Assure Quality For the duration of the M&O period, Vendor will perform the M&O activities in accordance with the Service Level Requirements (SLRs). To ensure these activities are performed and the SLRs are met, the Vendor shall:

Maintain and implement account management structure, planning and procedures according to the plan

Provide application service level reporting based on agreed upon SLR targets

Deliverable ISS.3.1 – Monthly Status Report and Service Level Agreement Reporting (15 Core Applications)

Required Delivery 7 days after month end Frequency Reports generated monthly (specific SLRs reported according to the SLR

reporting schedule)

Page 85 of 112


Deliverable ISS.3.1 – Monthly Status Report and Service Level Agreement Reporting (15 Core Applications)

Description Monthly report that captures the status of the Vendor’s M&O activities related to the core applications including: Periodic report that details at least the SLAs in scope for that reporting

period. This must include: A relevant history of the SLAs reported on in previous reporting periods All SLAs in scope for the current reporting period Progress on corrective action plans established in the last reporting

period or since that time Any new corrective action plans established due to the current reporting

period Activities performed and planned M&O activities Activities being performed to increase efficiency of the Application M&O

activities Operational changes and recommended changes Documentation status Hours spent by employee, broken down by warranty, M&O and

enhancements by application, task and/or project References N/A

Deliverable ISS.3.2 – Monthly Status Report and Service Level Agreement Reporting (Non-Core Applications)

Required Delivery 7 days after month end Frequency Reports generated monthly (specific SLRs reported according to the SLR

reporting schedule) Description Monthly report that captures the status of the Vendor’s M&O activities related to

the non-core applications including: Periodic report that details at least the SLAs in scope for that reporting



period Activities performed and planned M&O activities Activities being performed to increase efficiency of the Application M&O

activities Operational changes and recommended changes Documentation status Hours spent by employee, broken down by warranty, M&O and

enhancements by application, task and/or project References N/A

Page 86 of 112


3.6.2.4 Task 4: Implement Enhancements (Application Development) The ISS Vendor will implement new functionality, both modification of existing functionality and new functionality (and potentially new systems). The ISS Vendor should anticipate the staffing required to perform development will fluctuate based on needs but will average multiple resources. Each effort to implement enhancements will be treated as a fixed fee deliverable. Prior to developing any enhancements, the effort will be scoped and cost estimates developed. The ISS Vendor will be responsible for:

Attending service requests priority-setting meetings with DHS staff

Notifying DHS of any incorrect, incomplete, or ambiguous Solution or business requirements; this notification shall include recommendations for correcting the requirement to preserve correct and unambiguous requirements in the Requirements Repository

Developing a methodology for sizing application requests and pricing them based on function point analysis or equivalent

Collaborating with DHS to define the scope of a release based on the prioritization of the requested changes

Implementing submitted enhancement requests in a timeline that satisfies the SLRs defined in this RFP for this SOW, in a timeline that addresses DHS’ business needs

Completing modifications by the release date approved by DHS. The approved dates are established through a DHS prioritization process

Submitting all deliverables associated with the service requests and releases in a timeline to allow for the deliverable review and approval process described in this RFP

Enforcing coding standards. These standards include the use of comments and code reuse. The process for enforcing coding standards must:

Include validations to ensure that code comments and in-line code documentation are properly implemented

Utilize a combination of code peer reviews, custom tools and third-party tools including open source tools

Include the production of reports demonstrating code standards enforcement and coverage across code base

Include specific processes to ensure code reusability and enforcement of code reusability standards

Include support for the DHS quality assurance team to perform periodic or random audits and code reviews

Updating Training Materials and developing a Training Plan, if required, for end users and IT support staff

Deliverable ISS.4.1 – Enhancement Requirements and Cost Estimates Required Delivery Before commencing a DDI activities for the release Frequency Once per release

Page 87 of 112


Deliverable ISS.4.1 – Enhancement Requirements and Cost Estimates Description For each agreed upon release, the ISS Vendor shall produce the following

deliverables:

Release Requirements/Scope (incl. list of requested changes) Development Plan including: Documentation (e.g. updates to specification or new specs) Testing Plans Change Management/Training Plans Infrastructure impact Staffing plan

Acceptance Criteria Check-List including items such as: Testing results/Passed UAT Updated documentation Updated Operations Plan

Interim deliverables Function Point and Cost Estimates Release Check-List

References N/A

Deliverable ISS.4.2 –Completed Enhancement and Release Check-List Required Delivery Submitted once the release is completed Frequency Once per release Description For each agreed upon release, the ISS Vendor will produce the completed check

list (defined in Deliverable ISS..4.1) References Deliverable ISS.4.2

3.6.2.5 Task 5: Support DHS’ Business Intelligence, Analytics and Reporting Needs

This task includes all activities required to support DHS’ reporting and analytics needs.

There are currently 12 contractor staff supporting these activities. It is strongly recommended that the Vendor will assign at least 12 individuals to work with DHS staff to continually enhance access to data and reporting and evolve the business intelligence capabilities. The number of staff may be annually adjusted after each re-baselining.

The ISS Vendor will maintain a list of requests received from different DHS stakeholders. Based on prioritization by DHS governance committee, the Vendors will meet with specific stakeholders to understand their needs, identify the appropriate technology to support the need (e.g. parameter based reports, analytical tools, query tools) and build the solution. The Vendor will iterate on the solution, building mock-ups, proof of concept etc. until the needs are met prior to migrating the reports to production. This includes expanding the data warehouse or data marts if additional data elements are required.

Deliverable ISS.5.1 –Business Intelligence and Reporting Support Required Delivery 7 days after month end Frequency Once per month

Page 88 of 112


Deliverable ISS.5.1 –Business Intelligence and Reporting Support Description Monthly report that captures the business intelligence activities including:

Activities performed and planned Activities Activities being performed to enhance DHS’ business intelligence

strategy Changes and recommended changes

References N/A

3.6.2.6 Task 6: Provisioning of Additional As-Needed Services DHS envisions additional IT services may be required throughout the duration of this contact, many of which may not be the core competency of the ISS Vendor. These services are listed in Section 3.4.4.

When DHS requires additional resources they will provide the ISS Vendor with a formal Request for Additional Services to ISS Vendor. These requests will vary based on DHS’ specific needs but could range from a skill set required to augment DHS’ staff in fulfilling their responsibilities, a simple scope of work, or a set of high level requirements for a proof of concept. The request will also clarify whether the resource must be from a sub-contractor or if the ISS Vendor can recommend internal resources. Additionally, DHS will provide whether the submission should be managed as a fixed fee or time and materials statement of work, the milestones and acceptance criteria.

Upon receipt of a request for additional services (approved by DHS) the ISS Vendor will identify a resource or a team of resources which the ISS Vendor is confident can address the requirements outlined by DHS. The Vendor will be responsible for ensuring DHS’ request has sufficient detail to contact their network of sub-contractors to identify qualified personnel, identifying potential candidates/teams and providing their information to DHS.

The ISS Vendor will provide multiple qualified options, have their sub-contractors provide cost estimates (based on the ISS Vendor’s rate sheets and classifications) and additional documentation required for DHS to evaluate the different options.

The ISS Vendor will administer any work efforts that result from requests for additional services through their contract.

If these efforts result in a change to the DHS application architecture (e.g. a new mobile application) the ISS Vendor will be responsible for the end-to-end solution.

The expectation is the vendor will have relationships with a variety of sub-contractors who they can contact to fulfill the requests.

Deliverable ISS.6.1 – Milestone Completion Required Delivery Defined in Request for Additional Services (monthly for T&M requests, per

agreed upon schedule for fixed fee efforts) Frequency Submitted once per release as defined by DHS in the Request for Additional

Services Description ISS Vendor must provide evidence that the anticipated milestone have been

completed and acceptance criteria have been met. Typically this will include signed acceptance of the deliverable by the appropriate State representative.

References N/A

Page 89 of 112


3.6.2.7 Task 7: Turn-Over M&O Services Upon completion of the M&O period, or as decided by DHS, DHS may migrate the responsibilities for M&O services to in-house staff or to an alternate vendor. The ISS Vendor will provide the necessary effort to assist with this transition including development of transition plans and provision of ongoing transition assistance.

The ISS Vendor will provide the necessary effort to assist with this transition including development of transition plans and provision of ongoing transition assistance. The ISS Vendor must continue to perform M&O services at the level required in the Contract, maintain staffing to continue supporting the applications and provide the support required to smoothly transition M&O activities to the new party. They must be integral in the transition activities.

Deliverable ISS.7.1 - M&O Turn-Over Plan Required Delivery Nine (9) months prior to Contract expiration or transition date Frequency Updated as needed or requested by DHS Description The Plan will comprehensively detail at least the following:

The activities needed to transition services to another provider, including roles and responsibilities throughout the transition

The coordination means, tools and artifacts to be used by all providers The staffing transition plan including the methods for ensuring the ISS

Vendor will provide adequate staffing until the other provider is prepared to take ownership

Process for monthly ISS Vendor assessments of all activities critical to the M&O transition and completion of ISS Vendor M&O activities

References N/A

Deliverable ISS.7.2 - M&O Turn-Over Assessment Report Required Delivery Six (6) months prior to Contract expiration Frequency At least monthly during transition activities Description Reporting includes progress of transition activities by the ISS Vendor, DHS and

other providers, as appropriate References Deliverable ISS.7.1

3.6.2.8 Task 8: IT Operations Support (DHS Optional Deliverable) Currently the IT Operations processes (outlined in Section 3.2.4) are performed by the incumbent vendor. The State of Arkansas is in the process of transitioning to statewide processes. In the interim DHS may request the ISS Vendor perform these activities. This task will include operating and maintaining (updating/maintaining documentation, modifying processes as business requires).

These tasks include all of the activities required to transition the M&O processes to the Vendor, operate and maintain the processes and turn-over the M&O processes when requested by DHS. Additionally, this may include providing Help Desk Services and include operations services.

Deliverable ISS.8.1 – IT Operations Support Transition Plan (Optional Deliverable) Required Delivery Submitted for approval as part of Deliverable ISS-1 – ISS Applications M&O

Transition Plan no later than 6 months prior to the end of the incumbent vendor’s contract

Page 90 of 112


Deliverable ISS.8.1 – IT Operations Support Transition Plan (Optional Deliverable) Frequency Once Description The ISS IT Process Transition Plan captures all of the activities the Vendor must

perform to migrate the ownership and execution of IT processes. The Plan must include all of the components of Deliverable ISS-1 but focused on the activities required to effectively transition the IT processes to the Vendor including a check-list capturing all activities required to complete the transition and ensure all process documentation has been updated to address any changes due to the transition to the Vendor.


Deliverable ISS.8.2 – Completed IT Operations Support Process Readiness Checklist (Optional Deliverable)

Required Delivery The completed and approved checklist must be submitted for approval no later than the end of the incumbent vendor’s contract

Frequency Once Description This deliverable documents that all activities required to transition IT process

management and ownership to the Vendor have been complete. This deliverable must be a completed version of the Transition Checklist included in the IT Process Transition Plan (defined in Deliverable ISS-16) with documented proof that the activities have been completed.

References Deliverables ISS.1.1, ISS.2.4, ISS.8.1

Deliverable ISS.8.3 – Monthly Status Report and Service Level Agreement Reporting (Optional Deliverable)

Required Delivery 7 days after month end as part of Deliverable ISS-6 Frequency Reports generated monthly (specific SLRs reported according to the SLR

reporting schedule) Description This deliverable provides a status of the IT process activities performed by the

Vendor. Monthly report that captures the status of the Vendor’s IT process activities including: Periodic report that details at least the SLAs in scope for that reporting



period Activities performed and planned IT process activities Activities being performed to increase efficiency of the IT process

activities Operational changes and recommended changes Documentation status

References ISS.3.1, ISS.3.2

Page 91 of 112


Deliverable ISS.8.4 – Help Desk Services (Optional Deliverable) Required Delivery 7 days after month end Frequency Reports generated monthly (specific SLRs reported according to the SLR

reporting schedule) Description This deliverable will include metrics defined by DHS in collaboration with the ISS

Vendor including: Performance against SLAs Call volume metrics Required staffing levels Key issues and risks Status of initiatives to improve performance

References ISS.3.1, ISS.3.2, ISS.8.3

Deliverable ISS.8.5 - IT Operations Support Turn-Over Plan (Optional Deliverable) Required Delivery Within 4 weeks of DHS requesting IT process be turned over to another party

(e.g. DIS) Frequency Once Description The Plan will comprehensively detail at least the following:

The activities needed to transition services to another provider, including roles and responsibilities throughout the transition

Planned/anticipated training required The staffing transition plan including the methods for ensuring the Vendor

will provide adequate staffing until the other provider is prepared to take ownership

Process for monthly assessments of all activities critical to the IT process transition

References N/A

Deliverable ISS.8.6 - IT Operations Support Turn-Over Assessment Report (Optional Deliverable)

Required Delivery Once the transition of IT processes has been completed Frequency At least monthly during transition activities Description Reporting includes progress of transition activities by the Vendor, DHS and other

providers, as appropriate References ISS.8.5

3.7 Proposed Project Work Plan For ISS Applications Support, DHS is looking for one (1) three (3) year contract with four (4) one (1) year extensions. At the end of each year, DHS will work with the Vendor to re-baseline and adjust payment, as required. Starting on the first anniversary and on a bi-annual basis, a cost benchmark of the 15 core applications will be conducted. At the end of the Contract, the Vendor shall assist with transition if a new vendor is selected.

Table 14 outlines the estimated dates for the Engagements. Vendors should consider this schedule, its proposed phasing and release schedule, and propose what it believes to be an achievable and recommended schedule.

Page 92 of 112


Table 14. Proposed Schedule

Task Name Start Date/ Duration

(Calendar Days) ISS Project Start Date 7/1/2017

ISS Applications M&O Transition Planning Start Date +

30 Days

ISS Applications M&O Transition Start Date +

179 Days

ISS Application M&O Services (Total Project Duration) Start Date +

1093 Days

End of Year 1 re-baselining Start Date +

455 Days

End of Year 2 re-baselining Start Date +

820 Days

Turn-Over M&O Services End Date –

184 Days

The starting date for the ISS Applications M&O Services assumes that the Vendor has been awarded the Contract in a time frame that allows them to start as planned. Dates will be adjusted if the initial start date is delayed. The Transition Services will commence immediately after the contract is executed.

This schedule assumes the optional one year extensions are not be exercised. If they are exercised additional re-baselining tasks will be performed and the Turn-Over M&O Services (assisting DHS and/or another vendor prepared to perform the ISS services) will be shifted accordingly.

DHS does not envision a big-bang turn-over and anticipates that the Vendor will work with incumbent vendor for a period of 6-9 months to properly transition services. The Vendor must propose an approach to the transition activities that minimizes the transition time.

DHS anticipates that ISS Applications M&O will be dependent on the efforts of DHS/DIS to provide the support required for the Vendor to perform these tasks. The Vendor shall highlight the dependencies and assumptions to enable DHS to transition the work to the new vendor.

3.8 Performance Standards and Associated Remedies The failure by the Vendor to meet the performance standards and timelines set forth in this RFP will result in damages sustained by DHS and that it is difficult to quantify DHS’ actual damages sustained by reason of such failure. This RFP will establish the baseline measure for Vendor performance. DHS will require the Vendor to pay penalties for failure according to the following criteria to comply with agreed SLAs.

For failure by the Vendor to meet an SLR, DHS will require the Vendor to pay penalties, and the Vendor must agree to do so, until the SLR is met and accepted as corrected and approved by DHS. Penalties are not intended to be punitive, however DHS, at its sole discretion, may begin exercising the use of penalties at any point during the engagement (to encourage behavior aligned with the business objectives) during which the Vendor has failed to meet availability, performance, timeliness and any other performance standard (captured in the SLRs) regardless of any previous actions.

Page 93 of 112


The Vendor’s Proposal should include a response to the SLRs (captured in Template T-6 — — ISS Requirements).

State law requires that all contracts for services include Performance Standards for measuring the overall quality of services provided. Template T-6 — ISS Requirements identifies expected deliverables, performance measures, or outcomes; and defines the acceptable standards a vendor must meet in order to avoid assessment of damages.

The State may be open to negotiations of Performance Standards prior to contract award, prior to the commencement of services, or at times throughout the contract duration.

The State shall have the right to modify, add, or delete Performance Standards throughout the term of the contract, should the State determine it is in its best interest to do so. Any changes or additions to performance standards will be made in good faith following acceptable industry standards, and may include the input of the vendor so as to establish standards that are reasonably achievable.

All changes made to the Performance Standards shall become an official part of the contract.

Performance Standards shall continue throughout the term of the contract.

Failure to meet the minimum Performance Standards as specified shall result in the assessment of damages.

In the event a Performance Standard is not met, the vendor will have the opportunity to defend or respond to the insufficiency. The State shall have the right to waive damages if it determines there were extenuating factors beyond the control of the vendor that hindered the performance of services. In these instances, the State shall have final determination of the performance acceptability.

Should any compensation be owed to the agency due to the assessment of damages, vendor shall follow the direction of the agency regarding the required compensation process.

3.8.1 Liquidated Damages DHS and the Contractor agree that failure by the Contractor to meet the performance standards and timelines set forth will result in damages sustained by DHS and that it is difficult to quantify DHS’ actual damages sustained by reason of such failure. It is agreed by both parties that this RFP will establish the baseline schedule for measuring Contractor performance. It is therefore agreed that DHS may require the Contractor to pay liquidated damages for failure according to the following criteria.

1. For failure by the Contractor to meet a deliverable date, DHS may require the Contractor to pay liquidated damages per work day, for each and every day thereafter until such deliverable is completed and accepted as corrected and approved by DHS. The parties understand that liquidated damages are intended to be a last resort to expedite action on the part of Contractor and are not intended to be punitive. DHS, at its option, may begin default proceedings at any point during the period during which the Contractor has failed to meet timeliness, performance standard, documentation, work product, or deliverable date(s). DHS will not begin default proceedings prior to the beginning of the calendar month following the deliverable due date. The deliverable due dates will be defined in the final Schedule and Work Plan.

Page 94 of 112


2. Prior to exercising the option to impose liquidated damages, DHS and the Contractor shall attempt to resolve all issues through the course of normal business activities using applicable agreed “cure” periods to correct failures.

3. Written notification of failure to meet a performance standard, documentation, work product, or deliverable related to this contract may be given by DHS’ Contract Manager at any time a failure occurs. In the event of failure to meet a performance standard, documentation, work product, or deliverable, the Contractor must have up to fifteen (15) calendar days from the date of receipt of the written notification to correct the failure set forth in the written notification. If the failure is not resolved within the period and DHS deems that the Contractor has not acted in good faith, liquidated damages may be imposed retroactively to the date of expected delivery.

4. Contractor shall not be liable for liquidated damages which result from events that are directly caused by the failure of DHS or any State Agency to perform any required activity, force majeure, or any other cause that is not Contractor’s responsibility under this Contract. Additionally, Contractor shall be relieved of its commitments to the extent any delays or service interruptions are due to: action or inaction by DHS, its end-users, their employees, invitees, and third parties, including, but not limited to, changes in applications, protocols, or transmission parameters without prior coordination with the Contractor; breach of this Agreement by DHS; or any other cause beyond the control of the Contractor including, but not limited to Force Majeure or failure or unavailability of DHS’ data center or equipment not provided by the Contractor.

3.8.2 Deliverable Quality Consequences and Incentives Vendor must ensure that all Deliverable Expectation Documents related to each deliverable clearly and thoroughly outline the expected content and the level of detail required. The contract will include specific remedies and related consequences for quality issues encountered after the first round of DHS review and feedback. This can include penalties as well as vendor opportunities to “earn back” penalties through improvements in future deliverables that can be approved after first round reviews.

For example:

If a deliverable review and approval takes more than two (2) iterations, the State will deduct ten percent (10%) for each additional review and approval period from the total cost of the deliverable. The vendor can earn back each single deducted amount for each subsequent deliverable that achieves approval through a single submission, review and approval cycle.

The first deliverable requires four (4) submission, review and approval cycles. The total cost of this deliverable is $100. After the third review without an approval the cost of the deliverable is reduced by $10 to $90 and after the fourth review when approval is achieved the final deliverable payment is reduced by another $10 and the vendor is paid $80 for the deliverable.

The second deliverable is approved in only one review and approval cycle. This deliverable is $100. The payment to the vendor will be $110 - $100 for the deliverable and a payback incentive of $10 from the first deduction on deliverable one.

The third deliverable is approved in only one review and approval cycle. This deliverable is $100. The payment to the vendor will be $110 - $100 for the deliverable and a payback incentive of $10 from the second deduction on deliverable one.

Page 95 of 112


4.0 Proposal Evaluation The State will use a disciplined and objective evaluation process as illustrated in Figure 12 (State DHS Evaluation Process) to select the best value Vendor. The State will consider Vendor responsiveness, strengths, capabilities and advantages in meeting the State’s requirements and expectations as they are clearly described in the proposal and further articulated and clarified through Vendor oral presentations and reference checks completed by DHS. The State through DHS reserves the right to contact Vendor’s clients (individuals, entities, or organizations) that have had dealings with the Vendor or proposed staff, whether or not named as references or identified in the Proposal. Figure 12. State DHS Evaluation Process

4.1 Evaluation Criteria DHS will evaluate proposals based on the following best value Evaluation Criteria as displayed in Table 15 below: Table 15. Evaluation Criteria

Global Criteria Sub-Criteria

Vendor Experience Vendor Organization: Template 2: Section 1, 2 Financial Stability: Template 2: Section 3 Vendor References: Template 3: Section 1 *Includes main section and any subsections (i.e. Section 1.0, 1.1, 1.2, etc.)

Project Staff and Project Organization

Project Organization: Template 4: Section 1,2,3,4,5,6) Staff Experience: Template 5: Section 1,2,3)

Step 1: Review, Analyze and Score

Scorers review and score assigned sections of Proposal

using individual proposal evaluation workbook

Reviewers review assigned sections or full Proposal as

required

Step 2: Scorer/Reviewer Team Meetings

Scorers and Reviewer meet to discuss specific areas of the

Proposal Scorers adjust individual scores as

needed

Step 3: Group Scoring Sessions

Scorers discuss and lock-down individual scoresIndividual scores are

consolidatedGroup score is documented

(Repeated for each Proposal)

RFP Response Opening• Separation of Cost

Proposal from Technical Proposal

Legal/Contractual Screening for

Minimum Mandatory Qualifications and

Major Ts&Cs Issues

Step 4: Vendor Reference Checks

Step 5: Competitive Range – Short List

Recommendation to Move to Orals

Step 6: Orals, Orals Report Out and Recommendations for Best

Value Vendor based on Rescoring

Step 7: Cost Proposal Detailed Evaluation

Step 8: Contract Negotiations and Final

Scope of Work

Page 96 of 112


Global Criteria Sub-Criteria

*Includes main section and any subsections (i.e. Section 1.0, 1.1, 1.2, etc.)

ISS Requirements Transition Services: Template 6: Tab O1, Template 7: Section 1

Applications M&O: Template 6: Tab O2, Template 7: Section 2

Modification and Enhancement: Template 6: Tab O3, Template 7: Section 3

Business Intelligence and Reporting: Template 6: Tab O4, Template 7: Section 4

Provision of Additional Services: Template 6: Tab O5, Template 7: Section 5,6

Account Management & QA: Template 6: Tab O7, Template 7: Section 7,8

M&O Turnover: Template 6: Tab O8, Template 7: Section 9

M&O SLR’s: Template 6: Tab O9 SOW, Value Add and Benefits: Template 7: Section

10,11 Work Plan: Template 8: Section 1 *Includes main section and any subsections (i.e. Section 1.0, 1.1, 1.2, etc.)

Cost Cost of proposed products/services (Seven year grand total on Table 1 of the Cost Summary Tab of C-1)

4.2 Initial Compliance Screening OSP will perform an initial screening of all proposals received. Unsigned proposals and proposals that do not include all required forms and sections are subject to rejection without further evaluation. OSP reserves the right to waive minor informalities in a proposal and award contracts that are in the best interest of the State of Arkansas.

Initial screening will check for compliance with various content requirements and minimum qualification requirements defined in the RFP. The State through OSP also reserves the right to request clarification from Vendors who fail to meet any initial compliance requirements prior to rejecting a proposal for material deviation from requirements or non-responsiveness.

4.3 Minimum Mandatory Qualifications The minimum mandatory requirements for this RFP are listed below. If the Vendor (Prime and/or Subcontractor) does not maintain these credentials or cannot demonstrate compliance with all of these requirements to the State, the Vendor proposal will be rejected.

The Vendor (Prime) must have at least five (5) years’ experience with three (3) engagements similar in size, complexity and scope to this procurement that include the delivery of information support services

The Vendor’s team (both Prime and Subcontractor) must have proven experience with projects of in the implementation of Business Intelligence and Reporting as defined in the RFP with at least three (3) implementations similar in size, complexity and scope in the past five (5) years

The Vendor (Prime) must at least have an annual revenue of $50 Million

Page 97 of 112


The Vendor is to demonstrate compliance with the above mandatory requirements in Template T-1 — Cover Letter and Executive Summary. If the Vendor’s Proposal meets the above mandatory requirements, the Vendor’s Proposal may be included in the next part of the technical evaluation phase of this RFP – the Competitive Field Determination (see Section 4.4.1).

4.4 Evaluation Scoring DHS’ Proposal Review Team (PRT) will evaluate the Proposals that successfully proceed through Compliance Screening and the Minimum Mandatory Requirements review and score each proposal based on the criteria outlined in the table below.

Table 16. Evaluation Scoring Grid

Information for Evaluation Sub-Sections

Maximum Raw

Points Possible

Sub-Section’s Weighted

Percentage

* Maximum Weighted

Score Possible

Minimum Mandatory Requirements Pass/Fail Pass/Fail Pass/Fail

E.1 Vendor Experience

E.1.A1. Vendor Organization 5 10% 80

E.1.A2. Vendor Experience/Understanding 5 5% 40

E.1.B1. D&B and Financial Capacity 5 2.5% 20

E.1.B2. Corporate References/Guarantee 5 2.5% 20

E.1.C1. Vendor References 5 5% 40

E.2 Project Organization and Staffing

E.2.A1. Organization and Staffing Plan 5 7.5% 60

E.2.A2. Vendor Key Personnel/Staff Mgmt. 5 7.5% 60

E.2.A3. Training, Staff Retention 5 3.75% 30

E.2.B1. Staff Experience/Resumes 5 15% 120

E.2.B2. Collaboration 5 3.75% 30

E.3 ISS Requirements

E.3.A1. Transition Services 5 5.625% 45

E.3.B1. Application M&O 5 5.625% 45

E.3.C1. Modifications and Enhancements 5 3.75% 30

E.3.D1. Business Intelligence and Reporting 5 1.875% 15

E.3.E1Provision of Additional Services 5 3.75% 30

E.3.F1. Account Management and QA 5 1.875% 15

E.3.G1. M&O Turnover 5 1.875% 15

Page 98 of 112


E.3.H1. M&O SLR’s 5 5.625% 45

E.3.I1. SOW/DED/Lessons Learned 5 5.625% 45

E.3.J1. Work Plan 5 1.875% 15

Totals 100 100.0% 800 *Sub-Section’s Percentage Weight x Total Weighted Score = Maximum Weighted Score Possible for the sub-section.

A. The Information for Evaluation section has been divided into sub-sections. 1. In each sub-section, items/questions have each been assigned a maximum point

value of five (5) points. The total point value for each sub-section is reflected in the table below as the Maximum Raw Score Possible.

2. The agency has assigned Weighted Percentages to each sub-section according to its significance.

B. The vendor’s weighted score for each sub-section will be determined using the following formula:

(A/B)*C =D

A = Actual Raw Points received for sub-section in evaluation

B = Maximum Raw Points possible for sub-section

C = Maximum Weighted Score possible for sub-section

D = Weighted Score received for sub-section

C. Vendor’s weighted scores for sub-sections will be added to determine the Total Technical Score for the Proposal.

An agency-appointed Evaluation Committee (the PRT) will evaluate and score qualifying Proposals. Evaluation will be based on vendor’s proposal. Other agencies, consultants, and experts may also examine documents at the discretion of the Agency. Members of the PRT will individually review and evaluate proposals and complete an individual score worksheet for each proposal. After initial individual evaluations are complete, the PRT members will meet to discuss their individual ratings. At this consensus scoring meeting, each member will be afforded an opportunity to discuss his or her rating for each evaluation criteria. After committee members have had an opportunity to discuss their individual scores with the group, the individual committee members will be given the opportunity to change their initial individual scores, if they feel that is appropriate. The final individual scores of the evaluators will be recorded on the consensus score sheets and averaged to determine the group or consensus score for each proposal.

This group or consensus score shall be used to determine which Vendors will be asked to participate in the Oral Presentations described in 4.5. The PRT shall meet again after Oral Presentations and may adjust the consensus score for each proposal based on the clarifications presented by the Vendors

4.4.1 Competitive Field Determinations DHS through the disciplined objective proposal review process will identify proposals that are within the field of competition for admission to orals. The field of competition consists of the technical proposals receiving 475 points or more.

Page 99 of 112


4.5 Oral Presentations The State will conduct Oral Presentations from Vendors admitted to the field of competition as described in 4.4.1. The key personnel as identified in the Vendor’s Proposal must be active participants in the Oral Presentations – the State is not interested in Corporate or Sales personnel being the primary participants in oral presentations. This event will focus on proposal clarifications, an understanding of the capabilities of the Vendor and importantly identified key personnel’s ability to perform consistent with the Vendor’s proposal in meeting the State’s requirements. The State will notify selected Vendors of the time and location for these activities, and supply agendas or topics for discussion. The State reserves the right to ask additional questions during oral presentations to clarify the scope and content of the written proposal.

The Vendor’s oral presentation must substantially represent material included in the original written proposal, and the State will not allow the introduction of new concepts or offers during the Orals.

4.6 Cost Score When pricing is opened for scoring, the maximum amount of cost points will be given to the vendor with the lowest seven year grand total as shown in Table 1 on the Cost Summary Tab on the Official Bid Price Sheet. (See Section 5.1.1 for maximum points possible for cost score.)

The amount of cost points given to the remaining vendors will be allocated by using the following formula:

(A/B)*(C) =D

A = Lowest Total Cost

B = Second (third, fourth, etc.) Lowest Total Cost

C = Maximum Points for Lowest Total Cost

D = Total Cost Points Received

5.0 Vendor Selection and Contract Award 5.1.1 Successful Vendor Selection The Grand Total Score for each vendor, after the Orals and re-scoring of the proposals, which shall be a sum of the Technical Score and Cost Score, shall be used to determine the ranking of proposals. If the State so chooses, it shall have the right to conduct negotiations with the highest ranking vendor. All negotiations shall be conducted at the sole discretion of the State. The State shall solely determine the items to be negotiated. If negotiations fail to result in a contract, the State may begin the negotiation process with the next highest ranking vendor. The negotiation process may be repeated until the anticipated successful Vendor has been determined, or until such time the State decides not to move forward with the procurement and an award.

Page 100 of 112


Evaluation Component Maximum

Points Possible

Technical Proposal 800

Cost 200

Maximum Possible Grand Total Score 1,000

5.1.2 Anticipation to Award Once the anticipated successful Vendor has been determined, the anticipated award will be posted on the OSP website at http://www.arkansas.gov/dfa/procurement/pro_intent.php.

The anticipated award will be posted for a period of fourteen (14) days prior to the issuance of a contract. Vendors and agencies are cautioned that these are preliminary results only, and a contract will not be issued prior to the end of the fourteen day posting period.

OSP shall have the right to waive the policy of Anticipation to Award when it is in the best interest of the State.

It is the Vendor’s responsibility to check the OSP website for the posting of an anticipated award.

5.1.3 Issuance of Contract Any resultant contract of this Bid Solicitation shall be subject to State approval processes which may include Legislative review and approval. The resultant Contract must also be reviewed and approved by the State’s Federal Partners.

A State Procurement Official will be responsible for award and administration of any resulting contract.

5.2 Availability of Funds If funding is delayed or reduced, or is not appropriated in full, DHS shall have the right to partially or fully terminate or suspend any contracts under this RFP. If DHS does not exercise the right to fully terminate or suspend, DHS shall determine which aspects of this RFP shall move forward and which services shall be performed.

5.3 Notice to Proceed Upon execution of the Contract, a Notice to Proceed will be issued that will indicate the date when Vendor’s work on the scope of services is to commence.

Any work performed by the successful Vendor prior to receipt of a “Notice to Proceed” letter and a fully executed copy of the Contract shall be at the Vendor's own risk and expense. The State and DHS are not and will not be liable for any work, contract costs, expenses, loss of profits or damages whatsoever incurred by the successful Vendor prior to the receipt of a fully executed Contract.

Page 101 of 112

http://www.arkansas.gov/dfa/procurement/pro_intent.php


5.4 Term of Contract This is a multi-term contract solicitation that has been deemed to be in the best interest of the State. The award will be represented by a fixed-price contract.

The Contract term is for an initial period of Thirty Six (36) months.

Unless terminated, the Vendor and the State may extend the term of the Contract for four (4) additional one-year periods (or parts thereof) for a total of Seven (7) years, which includes the initial Contract term of three (3) years, without the necessity of re-soliciting, upon mutual agreement in writing. If an option to extend is mutually agreed upon, the Vendor shall be required to execute a supplement to the Contract for the additional extension period.

Page 102 of 112


Appendix A – Glossary A AASIS Arkansas’ accounting system made up of different modules: AASIS Payment Interface, AASIS Employee Change SSIS Process, AASIS Repository

Above Baseline Contract Scope of Work that is outside the definition of the Firm Fixed Price Baseline Scope of Work.

Access AR Is the web based Consumer Portal which interacts with the ANSWER system to provide an entry point for all Participants.

Advanced Security Option (ASO) A product of Oracle, ASO provides important preventive controls to protect sensitive data at the source. Affordable Care Act (ACA) On March 23, 2010, President Obama signed the Affordable Care Act. The law puts in place comprehensive health insurance reforms that will roll out over four years and beyond.

American Recovery and Reinvestment Act A Federal Act passed in 2009, including any subsequent laws, rules, mandates, etc. derived from it, as interpreted by the State of Arkansas.

ARFinds Is a link within ANSWER that allows County Office workers to verify citizen information.

Arkansas Client Eligibility System (ACES) Medicaid and TEA eligibility system

Arkansas Networked System for Welfare, Eligibility, and Reporting (ANSWER) An eligibility front end system used by DHCS workers

AWARE is a Microsoft Windows based application created for the Arkansas Division of Services for the Blind (DSB). This program was created to automate documentation and allow easy access to client information. DSB receives state and federal funding each fiscal year that is allotted to each counselor to be used to grant services needed to clients. These services are rendered through the AWARE application in the form of authorizations and payments that are then downloaded once a week to the server and picked up in a batch process.

B Business Intelligence (BI) The capability of gathering information in the field of business; the process of turning data into information and then into knowledge.

Business Intelligence Publisher (BIP) Oracle reporting solution to author, manage, and deliver reports. Business Process Execution Language (BPEL) C Centers for Medicare and Medicaid Services (CMS) A Federal agency within the United States Department for Health and Human Services.

Central Time refers to common time during summer or winter months for Central US states as applicable.

Child Care Billing (CCB) Is a sub-system to the Child Care Suite Child Care Development Fund (CCDF) Provides child care assistance to eligible low-income working families and students, TEA clients and individuals transitioning from DEA. CCDF also provides support to child care and early childhood education providers through contracts and

Page 103 of 112


grants for training, resource and referral activities, printed materials and online resources that promote high quality.

Child Care Eligibility (CCE) Is a sub-system to the Child Care System Suite.

Child Care Licensing (CCL) Is a sub-system to the Child Care System Suite.

Child Care Reporting System (CHRIS) SACWIS front end used by DHS workers

Child Care System Suite (CCS) The sub-systems comprise of Child Care Licensing (CCL), Child Care Eligibility (CCE), Child Care Billing (CCB), Special Nutrition Program (SNP), Decision Support System (DSS), Exclusion and Rates

Children’s Health Insurance Program (CHIP) A medical coverage source for individuals under age 19 whose parents earn too much income to qualify for Medicaid, but not enough to pay for private coverage.

CICS Is the primary mainframe CICS COBOL architecture for Arkansas’ current system and is comprised of approximately 80 online programs and 300 batch programs

Client A Client is a person who is receiving services from the State. Coding Validation Tables (CVT) The AASIS Coding Validation Tables (CVT) is a web-based application that is potentially used by all DHS employees. The Cost Allocation/Research & Statistics Staff are the administrators of the data within the CVT.

The CVT is a comprehensive table of accounting and cost allocation coding information which serves multiple purposes. The major purpose of the CVT is to serve as a coding accuracy check for expenditure information used in cost allocation. Since AASIS does not have any coding accuracy monitoring tools, an additional validation method had to be developed outside of AASIS to identify coding errors.

Commercial Off-The-Shelf (COTS) Software or hardware that are ready-made and available for sale to the general public and they are often designed to be implemented easily into existing systems without the need for customization.

Contract The binding agreement between DHS and the awarded Vendor.

Contractor The company or individual that is contracted to perform work or provide supplies. It is referred to in this RFP as the Vendor.

D Database Management System (DBMS) Decision Support System (DSS) Is a sub-system to the Child Care System Suite

Deliverables Acceptance Document (DAD) A document approved by DHS, used to receive formal acceptance of a deliverable by DHS for each deliverable by the Vendor.

Deliverables Expectations Document (DED) A document approved by DHS to guide the development of deliverables created by the Vendor.

Department of Finance Administration (DFA) Provides information and assistance for state residents in complying with tax, child support, and licensing laws. DFA is responsible for State revenue management.

Department of Health and Human Services (HHS) The U.S. Department of Health and Human Services is the U.S. government’s principal agency for protecting the health of all Americans and providing essential human services, especially for those who are least able to

Page 104 of 112


help themselves. HHS is responsible for almost a quarter of all federal outlays and administers more grant dollars than all other federal agencies combined.

Department of Human Services (DHS) Is the largest department in the Arkansas State Government. Services are provided through Divisions that are coordinated from Central Offices in Little Rock (Pulaski County). The department is the largest payer of Medicare services in Arkansas with more than $5.1 billion in State and Federal Medicaid dollars being paid to approximately 12,000 providers across the State in fiscal year 2014.

Department of Information Systems (DIS) Provides information technology for the State of Arkansas. Their mission is to provide technology leadership and solutions to assist their customers in delivery of public services.

Department of Workforce Services (DWS) Maintains records on Unemployment Insurance, Employment Service, Workforce Investment activities, and Labor Market Information. The TANF division handles the TEA benefits.

Department of Finance Administration (DFA) Design, Development and Implementation (DDI) The common term for the project-based work to stand up technology and/or services.

Development Disabilities Services System (DDS) A system used by the Division of Developmental Disabilities Services.

DHS Enterprise Platform Is a suite of technology components that have been implemented by DHS. These currently provide support for the system and will provide the infrastructure and shared components for the System, and other future DHS systems.

DHS Enterprise Program (Program) A DHS-wide initiative that serves to coordinate IT and non-IT projects to support the vision of an Agency of One. Leverages the technology capabilities of the DHS Enterprise Platform to provide Department-wide information sharing and consistency in capabilities.

Division of Aging and Adult Services (DAAS) A division within DHS which serves as the focal point for all matters concerning older Arkansans and adults with disabilities. DAAS' mission is to promote the health, safety and independence of these populations.

Division of Behavioral Health Services (DBHS) A division within DHS which supports, certifies, licenses and funds mental health and substance abuse prevention, treatment and recovery services throughout the state.

Division of Child Care and Early Childhood Education (DCCECE) A division within DHS that licenses and investigates complaints against child care centers, child placement and adoption agencies; administers the Pre-K program, provides professional development for child care workers, oversees a Federal child care assistance program for low-income families and administers the child nutrition program.

Division of Children and Family Services (DCFS) A division within DHS that is responsible for the management of the child abuse hotline; conducting child maltreatment investigations; the safety, permanency and well-being of children in the foster care system and for those who can remain in their homes under DCFS’s guidance; and for ensuring timely permanency for all children served including adoptions.

Division of Community Service and Nonprofit Support (DCSNS) A division within DHS that provides assistance to build capacity in Arkansas’ nonprofits through training and technical assistance consultation.

Page 105 of 112


Division of County Operations (DCO) An Arkansas DHS Division that accepts and processes applications for nearly a dozen public assistance programs and enrolls consumers in the programs for which they have been approved.

Division of Development Disabilities Services (DDS) A division within DHS that provides community and facility-based care and services to thousands of Arkansans with developmental disabilities. DDS also refers to the system used by the division to perform their work.

Division of Medical Services (DMS) A DHS Division that oversees the Medicaid, ARKids First, CHIP, and Long-Term Care systems in AR including the licensing and inspection of nursing homes. DMS' mission is to ensure that high-quality and accessible health services are provided to citizens of AR who are eligible for Medicaid and nursing home care.

Division of Services for the Blind (DSB) A division within DHS that provides customized vocational rehabilitation services, independent living skills instruction, equipment, audio information and consultation services for people who are blind or severely visually impaired and those interested in employing them.

Division of Youth Services (DYS) A division within DHS that provides, in a manner consistent with public safety, a system of high-quality programs to address the needs of youth who come in contact with, or are at risk of coming in contact with, the juvenile justice system.

E Electronic Benefit Transfer (EBT) A method of benefit distribution in the form of a "credit card" TEA and SNAP use the same card and process. TEA and SNAP benefits are distributed to the client's card on different timelines. WIC program also uses an EBT card, but it is not the same physical card used for TEA and SNAP. WIC and TEA/SNAP do not use the same EBT vendor.

Eligibility and Enrollment Framework (EEF) Employment and Training (E&T) End-to-End (E2E) A design principle in computer systems. Rather than measuring a transaction within the component of the system, E2E measures the entire system performance.

Enrollment and Eligibility (E&E) Enterprise Data Warehouse (EDW) Enterprise Service Bus (ESB) A software construct found in a SOA that provides fundamental services via a messaging engine.

Extract, Transform, and Load (ETL) Refers to a process in database usage and especially in data warehousing that performs: Data extraction — extracts data from homogeneous or heterogeneous data sources.

F Firm Fixed Price (FFP) The amount of payment does not depend on the amount of resources or time expended.

Fiscal Year (FY) The State of Arkansas’s fiscal year Food and Consumer Services (FCS) Originally named the Food and Nutrition Service as established under Reorganization Plan No. 2 of 1953 by the Secretary of Agriculture. The Food and Nutrition Service was abolished by the Secretary’s Memorandum 1010-1 dated Oct. 20, 1994. The functions of which were assumed by Food and Consumer Service. In 1998, the Food and Consumer Service was again renamed the Food and Nutrition Service as per the regulation published in the Federal Register of Feb. 26, 1998 (63 FR 9721).These requirements encompass all federally certifiable criteria including the Food and Consumer Services (FCS)

Page 106 of 112

https://www.federalregister.gov/citation/63-FR-9721


Automation of Data Processing/Computerization of Information Systems (ADP/CIS) Model Plan Checklist Food and Nutrition Service (FNS) An agency of the United States Department of Agriculture (USDA), was established on August 8, 1969. The FNS is the federal agency responsible for administering the nation's domestic nutrition assistance programs. An agency of USDA’s Food, Nutrition, and Consumer Services. FNS works through the administration of 15 Federal nutrition assistance programs including WIC, Supplemental Nutrition Assistance Program (SNAP), and school meals.

Food Stamps System (FACTS) Is a mainframe system that comprises of 10 sub-systems serving approximately 106,000 clients. The system processes applications for Food Stamps from the ANSWER system, issues monthly benefits and provides reporting.

Firm Fixed Price (FFP) Function Point Analysis (FPA) Is a sizing measure of clear business significance. First made public by Allan Albrecht of IBM in 1979, the FPA technique quantifies the functions contained within software in terms that are meaningful to the software users. G H Health and Human Services (HHS) May refer to either the Federal agency of this name, or the domain of organizations involved in the delivery of healthcare and human services benefits and care to citizens. Health Insurance Portability and Accountability Act (HIPAA) HIPAA is the federal law enacted in 1996. The primary goal of the law is to make it easier for people to keep health insurance, protect the confidentiality and security of healthcare information ad help the healthcare industry control administrative costs.

Health Care Independence Program (HCIP) A program that pays for private health insurance for certain low-income adults in Arkansas. Low-income adults who need insurance can apply online at access.arkansas.gov, www.arhealthconnector.org, or at one of the Department of Human Services’ (DHS) county offices. Eligible adults will be offered a choice of private insurance plans that best meets their needs.

Home Energy Assistance Program (HEAP) System

Human Development Center (HDC) I IMS database An IMS database is a hierarchical database. Information is structured in records that are subdivided into a hierarchy of related segments. A record is a root segment and all of its dependent segments. Segments are further subdivided into fields.Independent Verification and Validation (IV&V) Third party vendor that oversees the Project to ensure quality and timely delivery.

Information Technology (IT) The application of computers and telecommunications equipment to store, retrieve, transmit and manipulate data, often in the context of a business or other enterprise. It is also used as a synonym for computers and computer networks and it also encompasses other information distribution technologies. Information Technology Infrastructure Library (ITIL) A set of practices for IT service management that focuses on aligning IT services with the needs of business.

Integrated Eligibility - Benefit Management (IE-BM) vendor The IE-BM vendor responsible for the DDI of the Eligibility and Benefits Management Solution.

Page 107 of 112


Internal Revenue Service (IRS) Tax agency for the federal government J Joint Application Development (JAD) A process for the development of requirements commonly used in systems development.

K KidCare An Arkansas system that manages the eligibility determination and authorization tracking for the subsidized Child Care program.

L Letter of Intent (LOI) A non-binding letter stating the Vendor’s intent to submit a Proposal in response to this RFP.

Life Cycle Management (LCM) Limited English Proficiency (LEP) Persons who are unable to communicate effectively in English because their primary language is not English and they have not developed fluency in the English language.

M Maintenance and Operations (M&O) A phase in the software development lifecycle where the operational system has been transitioned to the maintenance and support team to ensure that the system continues to perform according to specifications. The purpose of M&O is to perform routine maintenance, upgrades, enhancements and end user support to support the system’s operational effectiveness. Medicaid Management Information System (MMIS) Is an integrated group of procedures and computer processing operations (subsystems) developed at the general design level to meet principal objectives. For Title XIX purposes, "systems mechanization" and "mechanized claims processing and information retrieval systems" is identified in section 1903(a)(3) of the Act and defined in regulation at 42 CFR 433.111. The objectives of this system and its enhancements include the Title XIX program control and administrative costs; service to recipients, providers and inquiries; operations of claims control and computer capabilities; and management reporting for planning and control.

Modified Adjusted Gross Income (MAGI) The income figure used to determine an individual’s or family’s eligibility for premium tax credits and other savings for Marketplace health insurance plans and for Medicaid and the Children's Health Insurance Program (CHIP). For many people, it’s identical to or very close to adjusted gross income.

Modified adjusted gross income is adjusted gross income plus untaxed foreign income, non-taxable Social Security benefits, tax exempt interest. MAGI includes these income sources for all household members required to file a tax return. MAGI doesn’t include Supplemental Security Income (SSI). MAGI does not appear as a line on your tax return.

Multiple Virtual Storage (MVS) This is the most commonly used operating system on the System/370 and System/390 IBM mainframe computers. It was developed by IBM, but is unrelated to IBM's other mainframe operating systems, e.g., VSE, VM, TPF.

N Non-MAGI This refers to person classification group for Medicaid groups who exceed specified income levels but still qualify for pre-defined benefits. The details of non-MAGI qualification are defined by the Federal government.

Page 108 of 112


Medicaid provides a variety of medical services including health care coverage, long-term care, mental health services, hospice, orthotics, prescription drugs and various home-based and community-based services for certain eligible low-income and needy populations.

O Office of Child Support Enforcement (OCSE) A division within the Department of Finance and Administration, Revenue Division. OCSE works in partnership with the Federal Office of Child Support Enforcement and other State agencies. The actions of OCSE are based on federal and state law.

Office of Financial Administration (OFA) An office within DHS that manages the Department’s $6.2 billion budget and provides administrative and financial support to DHS’ 10 divisions and 6 support offices.

Office of Quality Assurance (OQA) An office within DHS that is responsible for planning and directing the Quality Assurance program for DHS.

Office of Policy and Legal Services (OPLS) An office within DHS responsible for advocate for court-ordered protection of abused and neglected children; review eligibility for Department of Human Services programs; issue legal opinions; represent DHS in administrative hearings and in-state and federal courts; review contracts, guide policy writing; and draft legislation.

Office of State Procurement (OSP) The Office of State Procurement (OSP) has primary responsibility and oversight for the State wide procurement of commodities, technical and professional services for all state agencies, boards and commissions and colleges and universities.

Office of Systems and Technology (OST) The Office of Systems Technology is responsible for the overall administration, planning, direction, management, development, implementation, and maintenance of all DHS technology (IT) and information systems processing for the Department of Human Services statewide. OIT provides project planning and management, business application systems development and maintenance, systems software and hardware management, telecommunications and network management and support, and technical training; and operates the Data Center including computing facilities management, data control, and technical help desk functions. Open Access Same-Time Information System (OASIS) The AR DHS accounting system used to manage overpayments

Optional Scope Refers to scope of work that is optional for the State to initiate or not at the sole discretion of the State. P Project Cost Resources (PCR) Point of Contact (POC) An individual that is responsible for all communication regarding the RFP. There is an OSP POC identified, and each Vendor must name a Vendor POC.

Pre Cost Allocation Transaction Review (PCATR) An application is a web-based application that used by division CFOs and the Cost Allocation/Research & Statistics Staff to support the DHS Cost Allocation process.

Prime Vendor The Prime Vendor is the single entity which the State shall enter into a contract negotiation with if identified to be the best value solution based on the proposal evaluation process. Once a contract is enacted, the Prime Vendor becomes the prime contractor responsible for the management and delivery of all subcontractors (if identified in the submitted proposal) involved in providing products and/or services under this procurement.

Page 109 of 112


Project See “Information System Support” Services.

Project Management Plan (PMP) A comprehensive plan for the execution of the Project; includes multiple sub-plans that address specific project management aspects.

Proposal The document submitted by interested Vendors that outlines their solutions to meet the needs of DHS as outlined in the RFP and the cost to do so.

Purchase of Services (POS) POS oversees contracts for an array of services for SSD that are provided by community agencies.

Q Quality Assurance (QA) This is a process-centered approach to ensuring that the organization is providing the best possible products or services.

R Recipient Overpayment and Accounting System (ROAS) ANSWER interfaces with ROAS to manage the overpayment process along with WORC which calculates the percentage of clients performing activities necessary. Request for Proposals (RFP) A solicitation made, often through a bidding process, by an agency or company interested in procurement of a commodity, service or valuable asset, to potential suppliers to submit business proposals.

S Scope of Work (SOW) The scope of the products and services requested through this procurement as outlined in the RFP.

Service-Level Agreement (SLA) An agreement between two parties of the level of service one will provide to the other.

Service-Level Requirement (SLR) DHS’ service expectations of a Vendor.

Service-Oriented Architecture (SOA) is a design paradigm and discipline that helps IT meet business demands. Some organizations realize significant benefits using SOA including faster time to market, lower costs, better application consistency and increased agility. SOA reduces redundancy and increases usability, maintainability and value. This produces interoperable, modular systems that are easier to use and maintain. SOA creates simpler and faster systems that increase agility and reduce total cost of ownership. Service Provider Service Provider is any third party service provider, program or entity who may provide services directly to a Client. Social Security Administration (SSA) delivers services through a nationwide network of over 1,400 offices that include regional offices, field offices, card centers, teleservice centers, processing centers, hearing offices, the Appeals Council, and our State and territorial partners. Social Security Number (SSN) A nine-digit number assigned to citizens, some temporary residents and permanent residents, in order to track their income and determine benefit entitlements. Special Nutrition Program (SNP) Is a sub-system to the Child Care System Suite.

SPIRIT The system that manages SNP supplemental nutrition program within the WIC program specifically. This is separate and distinct from the SNAP program that offers supplemental nutrition assistance to a wider population.

State of Arkansas (State) The State in which the issuing entity of this RFP, DHS, is located.

Statewide Automated Child Welfare Information System (SACWIS)

Page 110 of 112


Subject Matter Expert (SME) An expert in a specific subject area.

Supplemental Nutrition Assistance Program (SNAP) A program that provides a nutritional safety net for low-income children, families and adults. Recipients receive their benefits on an Electronic Benefits Transfer (EBT) card that works at most grocery stores, approved farmers markets, and some smaller stores that sell food. SNAP recipients cannot get cash back from the cards. More than $685.1 million in benefits were provided to 685,812 people during AR SFY'14.

Supplemental Security Income (SSI) Income that is not used in the calculation for MAGI. T Transition Employment Assistance (TEA) A program that provides time-limited cash assistance and employment-related services each month to low-income families with dependent children. There are 24,681 people receiving services in AR SFY'14.

Time Sharing Option (TSO) U User Acceptance Testing (UAT) A phase in software development in which the software is tested by the intended audience for functionality. UAT is conducted in order to obtain feedback from users to make any final adjustments before releasing to the public. Also called beta testing, application testing, and end-user testing. V Vendor A vendor interested in, proposing for, or award the Contract for the procurement in this RFP. This is inclusive of an actual or prospective or award winning Vendor.

Vendor POC This is the official point of contact for the Vendor with regard to this RFP and Contract.

W Women, Infants and Children (WIC) The Special Supplemental Nutrition Program for Women, Infants, and Children provides Federal grants to States for supplemental foods, health care referrals, and nutrition education for low-income pregnant, breastfeeding, and non-breastfeeding postpartum women, and to infants and children up to age five who are found to be at nutritional risk.

Work Incentive Service Eligibility (WISE) Work Breakdown Structure (WBS) A hierarchical and incremental decomposition of the project into phases, deliverables and work packages.

Worker Generated Notices (WGN) WGN is a tool built within the ANSWER System to create client notices.

Work Rate Calculation (WORC) Calculates the percentage of clients performing activities necessary. X Y Z

Page 111 of 112

AR ISS RFP - DHS Cost Workbook C-1Introduction 1 of 42

State of Arkansas Department of Human ServicesInformation Support ServicesRFP #: SP-17-0006Template C-1 - Cost Workbook

This Template provides a structured approach for proposing the costs associated with delivering the ISS requirements. The Vendor must fill out all applicable worksheets and cells as described by the Template and individual worksheet instructions. This Template is the formal Cost Proposal for the Vendor's Proposal. The Vendor warrants that all costs associated with the services as requested in this RFP are included in this Template. Failure to adequately represent all costs as requested in this RFP may be grounds for Proposal disqualification at the sole discretion of DHS.

Where costs are requested on an annual basis, the year refers to the appropriate year of the Contract (i.e. Year 1 refers to the first year of the Contract rather than calendar or Federal fiscal year). Vendors must complete the Cost Proposal with the expected cost rate based on the anticipated Contract start date as stated in the RFP. However, should the Contract start date shift for any reason, DHS expects Vendors to honor the costs as stated in their Cost Proposal. DHS understands that the Contract will likely begin in the middle of a fiscal or calendar year. The awarded Contract will be aligned to appropriate calendar and/or fiscal years during Contract negotiations. The total bid cost is a firm fixed price Proposal and the determination of the Contract start date will not affect the total bid price.

This workbook contains cost information required for submission of a Proposal for the ISS Services in this RFP. The worksheets within this Response Template are listed below. All worksheets must be completed. Any Proposals that do not provide complete cost information may be excluded from the competitive field.

> Cells requiring Vendor data entry are highlighted in light-green to clearly indicate which cells are available for data entry.> Cells that contain titles and formulas are marked in dark blue and gray highlight.> Cells that are not applicable are marked in black highlight.> Do NOT add, edit or adjust cells unless specifically requested to do so.> It is the Vendor's responsibility to validate the integrity of the Cost Workbook formulas and links.

Key Assumptions:* Vendors must abide by the deadlines detailed in the RFP.

Instructions: Do nothing on this sheet.

Introduction

AR ISS RFP - DHS Cost Workbook C-1Introduction 2 of 42

ID Section Title DescriptionIntroduction Cover Page, Instructions and Table of Contents

1. Cost Summary Summary of the total proposed services costs2. Labor Rates Worksheet for Vendor to itemize hourly rate structures for proposed Vendor/sub-contractor personnel3. ISS Applications M&O Transition Services Worksheet for Vendor to itemize transition services costs4 Provide M&O Services, Report Status and Assure Quality Worksheet for Vendor to capture the cost of providing M&O services

5. Implement Enhancements Worksheet for Vendor to itemize the cost of implementing enhancements6. Support DHS' Business Intelligence, Analytics and Reporting

NeedsWorksheet for Vendor to itemize BI/analytics/reporting support services

7. As-Needed Services Worksheet for Vendor to capture the costs of providing as-needed services8. Turn-Over Worksheet for Vendor to itemize Turn-Over costs9. IT Operations Support Services (DHS Optional) Worksheet for Vendor to provide help desk services, IT operations process support and applications operations support (DHS

optional)10. Assumptions Worksheet for Vendor to itemize all assumptions upon which its pricing is dependent

Table of Contents

AR ISS RFP - DHS Cost Workbook C-11.Cost Summary 3 of 42


Table 1. Total Cost Summary Ongoing Costs

Task # Description Year 1 Year 2 Year 3Year 4

(Optional)Year 5

(Optional)Year 6

(Optional)Year 7

(Optional)Total Ongoing

CostsProvide M&O Services, Report Status and Assure Quality (16 Core Apps Only) $0 $0 $0 $0 $0 $0 $0 $0Provide M&O Services, Report Status and Assure Quality (All Non-Core Apps) $0 $0 $0 $0 $0 $0 $0 $0Facilities Costs $0 $0 $0 $0 $0 $0 $0 $0

Task 4 Implement Enhancements $0 $0 $0 $0 $0 $0 $0 $0Task 5 Support DHS' Business Intelligence, Analytics and Reporting Needs $0 $0 $0 $0 $0 $0 $0 $0

Provisioning of Additional As-Needed Services $0 $0 $0 $0 $0 $0 $0 $0“As Needed” Security Services $0 $0 $0

Task 7 Turn-Over M&O Services $0 $0Total Costs $0 $0 $0 $0 $0 $0 $0 $0

Table 2. Total Cost Summary for Enhancements (DHS Optional) Ongoing Costs

Task # Description Year 1 Year 2 Year 3Year 4

(Optional)Year 5

(Optional)Year 6

(Optional)Year 7

(Optional)Total Ongoing

CostsTask 1 ISS Applications M&O Transition Planning $0 $0Task 2 ISS Applications M&O Transition Services $0 $0Task 8 IT Operations Support Services (Optional) $0 $0 $0 $0 $0 $0 $0 $0

Total Costs $0 $0 $0 $0 $0 $0 $0 $0

Cost SummaryThe costs on this worksheet will be automatically calculated using the information entered in the other worksheets. It is the Vendor's responsibility to ensure that costs on this sheet reflects the full Proposal cost for the services outlined in the RFP.

Note: Services that are at DHS' discretion to purchase are reflected in Table 2 and not captured in the Total Cost Summary in Table 1. DHS expects Vendors to honor the costs provided should DHS decide to purchase.

Instructions: Do not edit any cells on this sheet. Prior to submission, confirm all costs reflect the Proposal cost total.

Task 3

Task 6

AR ISS RFP - DHS Cost Workbook C-12.Labor Rates 4 of 42


Staff PositionComposite

Weight % (must equal 100%)

Hourly RateYear 1

Composite Rate

Year 1

Hourly RateYear 2

Composite Rate

Year 2

Hourly RateYear 3

Composite Rate

Year 3

Engagement Director/Executive $0 $0 $0

Engagement Manager/Services Manager $0 $0 $0

Technical Lead/Architect $0 $0 $0

Junior Developers/Programmer $0 $0 $0

Senior Developers/Programmer $0 $0 $0

Junior Tester $0 $0 $0

Test Lead/Manager/Senior Tester $0 $0 $0

Privacy/Security Specialist $0 $0 $0

Labor Rates

Table 1. Application M&O Hourly Rates - Used to calculate Tab 3 Transition Services, Tab 4 Application M&O and Tab 8 Turn-Over Costs

The Tables in this worksheet shall be used to provide Vendor/subcontractor hourly labor rates for the various classifications and grades of personnel.

The labor rates should be loaded costs. Applicable purchase, delivery, tax, services, safety, license, travel, per diem, Vendor’s staff training, and any other expenses as the delivery of the proposed items and must be included in the Vendor’s costs and fixed hourly rates. The only exception is facilities costs, which are captured on tab 4 M&O) for the entire effort. Use of the existing roles is appreciated, but not required with the exception of the As-Needed Services (table 5) which are required. If exist roles differ from those listed, the Vendor should attempt to map its roles to the listed categories to the extent possible and provide its mapping reference in the Cost A worksheet. The Vendor may include additional roles to accurately represent the classifications it uses for describing the various classifications and grades of its perso Needed Services (Table 5).

The total of the Composite Weight Percentage column must equal 100%. Individual and composite hourly rates shall not increase greater than 2% per year.

It is the responsibility of the Vendor to ensure spreadsheet calculations are correct.

Instructions: Enter the staff roles required for the tables below


Hourly RateYear 4

Composite Rate

Year 4

Hourly RateYear 5

Composite Rate

Year 5

Hourly RateYear 6

Composite Rate

Year 6

Hourly RateYear 7

Composite Rate

Year 7

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

ssociated with 4 (4 Appl

ting Vendor Assumptions

nnel except As-


Staff Position Sample Responsibilities Expected Skills/Qualifications

Engagement Director/ExecutiveCoordinate with DHS ExecutivesLead engagement team and resolve items that cannot be resolved by the engagement team

5+ years of oversight of engagements of similar size and scope

Engagement Manager/Services Manager Day-to-day liaison for DHS for all Application M&O activitiesLead and coordinate all activities related to Application M&O scope

5+ years of experience managing technology projectsExcellent communications skills

Technical Lead/ArchitectAnalyze complex architectures and identify potential architectural improvementsDevelop architecture of complex solutions

5+ years architecting solutions10+ years in experience developing IT solutions

Junior Developers/Programmer Translate functional designs into system code including design documents 1+ years of experience developing IT solutions of similar size and scope

Senior Developers/ProgrammerTranslate complex functional designs into system code including creating design documents

7+ years of experience developing IT solutions of similar size and scope

Junior TesterExecute testing routines with supervision from senior testersWrite test cases with supervision from senior testers 5+ years working in on development teams

Test Lead/Manager/Senior TesterLead vendor's testing effort and teamDefine testing approach including phases (e.g. integration testing, UAT etc.)Establish testing harness and lead effort to build automated test scripts

5+ years of testing experience2+ years leading testing efforts on development projects

Privacy/Security Specialist Analyze systems and/or processes from a security perspective and identify gaps and improvement opportunitiesAssist in implementing security solutions

Five (5) years of experience implementing/managing security in enterprise solutions CISSP or similar security certification

Table 8. Application M&O Responsibilities and Qualifications



Labor RatesIT Operations Lead $0 $0 $0

Mainframe System Analysts $0 $0 $0

Mainframe System Experts $0 $0 $0

Client Server Systems Analysts $0 $0 $0

Client Server Systems Experts $0 $0 $0

BI / Data warehousing Analysts $0 $0 $0

BI / Data warehousing Tool Experts $0 $0 $0

Other (specify - add rows as required) $0 $0 $0Composite Rate 0% $0 $0 $0

Table 2. Implement Enhancement Hourly Rates - Used to calculate Implement Tab 5 Enhancements Costs



Hourly RateYear 1

Composite Rate

Year 1

Hourly RateYear 2

Composite Rate

Year 2

Hourly RateYear 3

Composite Rate

Year 3


Project Manager/Scrum Master $0 $0 $0

Business Analyst/Funct. Lead $0 $0 $0


$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0$0 $0 $0 $0

Hourly RateYear 4

Composite Rate

Year 4

Hourly RateYear 5

Composite Rate

Year 5

Hourly RateYear 6

Composite Rate

Year 6

Hourly RateYear 7

Composite Rate

Year 7

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0


IT Operations LeadEnsure all team members follow processesIdentify opportunities for process improvementProvide training on operations processes

ITIL certifiedFive (5) years of experience managing IT operation environments

Mainframe System Analysts

Support the mainframe based applications implemented in DHS' environment (with support from client server experts)Triage issues that arise with the mainframe based applications (with support from the client server expert)

5+ years of experience supporting mainframe applications3+ years of experience supporting technologies implemented at DHS

Mainframe System ExpertsBecome expert on the mainframe based applications implemented in DHS' environmentTriage issues that arise with the mainframe based applications

10+ years of experience with mainframe systems5+ years of experience leading support of mainframe systems

Client Server Systems Analysts

Support the client server systems implemented in DHS' environment (with support from client server experts)Triage issues that arise with the client server systems (with support from the client server expert)

5+ years of experience supporting client server applications3+ years of experience supporting technologies implemented at DHS

Client Server Systems Experts Become expert on the client server systems implemented in DHS' environmentTriage issues that arise with the client server systems

10+ years of experience with client server systems5+ years of experience leading support of client server systems

BI / Data warehousing Analysts

Provide ongoing support and maintenance for the implemented data warehouse and business intelligence / reporting toolsAnalyze data loading patterns and data structure to identify performance improvement opportunitiesAnalyze BI tools to help ensure implementation is optimized

5+ years of experience with data warehousing and/or BI/Analytic/Reporting tools

BI / Data warehousing Tool Experts

Responsible for the maintenance and operations of the data warehouse and BI/Reporting tools

10+ years of experience with data warehousing technologies and/or data analytics tools3+ years of experience managing a complex reporting infrastructure


Engagement Director/Executive

Coordinate with DHS ExecutivesLead team that is implementing projects and resolve items that cannot be resolved by the project team Likely same individual as the Application M&O Engagement Director


Project Manager/Scrum MasterLead large development efforts performed under the M&O contract


Business Analyst/Funct. LeadLead effort to define the functionality required to deliver the anticipated business benefits 5+ years of experience performing analysis of similar scope

Table 9. Implement Enhancement Responsibilities and Qualifications



Labor RatesTechnical Lead/Architect $0 $0 $0

Developers/Programmer $0 $0 $0

Data Analyst $0 $0 $0

Privacy/Security Specialist $0 $0 $0

Technical Writer $0 $0 $0

Test Lead/Manager/Senior Tester $0 $0 $0

Tester $0 $0 $0

Training/Change Management Lead/Manager $0 $0 $0

Training Specialist $0 $0 $0

Other (specify - add rows as required) $0 $0 $0Composite Rate 0% $0 $0 $0

Table 3. Business Intelligence, Analytics and Reporting Services Hourly Rates - Used to drive Tab 6 BI and Reporting



Hourly RateYear 1

Composite Rate

Year 1

Hourly RateYear 2

Composite Rate

Year 2

Hourly RateYear 3

Composite Rate

Year 3

Analyst $0 $0 $0

Business Analyst/Funct. Lead $0 $0 $0

BI/Analytics/Reports developer $0 $0 $0


$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0$0 $0 $0 $0

Hourly RateYear 4

Composite Rate

Year 4

Hourly RateYear 5

Composite Rate

Year 5

Hourly RateYear 6

Composite Rate

Year 6

Hourly RateYear 7

Composite Rate

Year 7

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0


Technical Lead/ArchitectAnalyze complex architectures and define potential architectural improvementsDevelop architecture of complex solutions


Developers/Programmer Translate functional designs into system code including design documents 3+ years of experience developing IT solutions of similar size and scope

Data Analyst

Review large data sets and identify data errors such as duplicate data, syntax errors, data structure issuesDevelop ETLs for migrating data and/or integrating systemsAssist in maturing data management practices such as leading an effort to develop a data dictionary

3+ years of experience managing or analyzing data issues and implementing solutions to data problems



Technical WriterWrite documentation of existing systems (where documentation is missing) Write documentation in support of any projects enhancing the environment (e.g. systems documentation, process documentation) 5+ years of experience developing technical documentation

Test Lead/Manager/Senior TesterLead vendor's testing effort and teamDefine testing approach including phases (e.g. integration testing, UAT etc.)Establish testing harness and lead effort to build automated test scripts

5+ years of testing experience2+ years leading testing efforts on development projects

Tester Write test cases and execute testing routines 5+ years of implementing projects to improve quality

Training/Change Management Lead/ManagerLead training and/or change management activities including performing stakeholder analysis, developing training or change management plans and leading the implementation of these efforts

5+ years leading training or change management efforts in complex public sector environments10+ years of training or change management experience

Training SpecialistDevelop training and/or change management materialsFacilitate trainings, both on-line and/or classroom

5+ years developing training materials and/or change management materials and facilitating trainings


AnalystAnalyze a specific technical or business problem to identify potential solutions with guidance from DHS or other resourcesCoordinate with and present to managers and supervisors

5+ years of experience analyzing complex problems

Business Analyst/Funct. LeadAnalyze DHS' reporting needs and define functionality required to address reporting needsWork with technical team to identify best BI solution to address functional needs 5+ years of experience performing analysis of similar scope

BI/Analytics/Reports developerDevelop reports, analytical data sets and/or queries to address DHS' business needsWork with Business Analysts/Funct. Leads to select the best BI solution to address the user's needs

3+ years of experience with DHS' BI/reporting/analytical tools3+ years of building reporting/analytical solutions

Table 10. Business Intelligence, Analytics and Reporting Services Responsibilities and Qualifications



Labor Rates

BI/Analytics/Reporting expert/architect $0 $0 $0

Statistician $0 $0 $0

Tester $0 $0 $0Other (specify - add rows as required) $0 $0 $0

Composite Rate 0% $0 $0 $0

Table 5. Provision As-Needed Services Hourly Rates - Used to drive Tab 7 As-Needed Services



Hourly RateYear 1

Composite Rate

Year 1

Hourly RateYear 2

Composite Rate

Year 2

Hourly RateYear 3

Composite Rate

Year 3

Project Manager/Scrum Master 9% $0 $0 $0

Senior Business Analysts/Functional Lead/LEAN expe 7% $0 $0 $0

Business Analyst/Funct. Lead 3% $0 $0 $0

Technical Lead/Architect 6% $0 $0 $0

Senior Developer/Programmer 3% $0 $0 $0

Developers/Programmer 3% $0 $0 $0

Database Administrator 5% $0 $0 $0

Senior Data Analyst 7% $0 $0 $0

Data Analyst 3% $0 $0 $0


$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0$0 $0 $0 $0$0 $0 $0 $0

Hourly RateYear 4

Composite Rate

Year 4

Hourly RateYear 5

Composite Rate

Year 5

Hourly RateYear 6

Composite Rate

Year 6

Hourly RateYear 7

Composite Rate

Year 7

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0


BI/Analytics/Reporting expert/architect

Develop complex reports, analytical data sets and/or queries to address DHS' business needsWork with Business Analysts/Funct. Leads to select the best BI solution to address the user's needs

5+ years of experience with DHS' BI/reporting/analytical tools2+ years of experience architecting BI/reporting/analytical solutions

StatisticianPerform statistical analysis to address business needsDevelop statistical data sets and provide access to DHS users 3+ years of performing statistical analysis on large data sets



Project Manager/Scrum MasterLead development efforts including managing to scope, schedule and budget and manage project teams


Senior Business Analysts/Functional Lead/LEAN ex

Lead effort to define the functionality required to deliver the anticipated business benefits Lead a team of analysts

5+ years of experience performing analysis of similar scope/content as the requested work10+ years of experience analyzing processes and/or developing functional requirements/designs

Business Analyst/Funct. Lead

Analyze business processes and identify opportunities to improve process efficiency or effectivenessTranslate improvement opportunities into functional expectations of the IT system

5+ years of experience analyzing processes and converting opportunities into functional requirements/designs

Technical Lead/ArchitectAnalyze complex architectures and identify potential architectural improvementsDevelop architecture of complex solutions


Senior Developer/ProgrammerTranslate complex functional designs into system code including creating design documents

7+ years of experience developing IT solutions of similar size and scope

Developers/Programmer Translate functional designs into system code including design documents 3+ years of experience developing IT solutions of similar size and scope

Database AdministratorAdminister already installed databases including, but not limited to, monitoring, identifying performance optimization opportunities

3+ years of experience administering databases

Senior Data Analyst

Identify opportunities to enhance data management processes and proceduresLead large data analysis efforts including defining the methodology, identifying risks/issues and leading resources to address the high impact area


Data Analyst

Review large data sets and identify data errors such as duplicate data, syntax errors, data structure issuesDevelop ETLs for migrating data and/or integrating systemsAssist in maturing data management practices such as leading an effort to develop a data dictionary


Table 11. Provision As-Needed Services Responsibilities and Qualifications



Labor RatesPrivacy/Security Specialist 7% $0 $0 $0

IT Process Architect 7% $0 $0 $0

IT Process Analyst 3% $0 $0 $0

IT Operations Staff 3% $0 $0 $0

Technical Writer 3% $0 $0 $0

Quality Assurance Manager 7% $0 $0 $0

Tester 3% $0 $0 $0

Training/Change Management Lead/Manager 7% $0 $0 $0

Training Specialist 3% $0 $0 $0

Senior Analyst 7% $0 $0 $0

Analyst 2% $0 $0 $0

Other (specify - add rows as required) 2% $0 $0 $0Composite Rate 100% $0 $0 $0

Table 6. Help Desk Services Hourly Rates - used to drive Tab 9 (Help Desk Services)



Hourly RateYear 1

Composite Rate

Year 1

Hourly RateYear 2

Composite Rate

Year 2

Hourly RateYear 3

Composite Rate

Year 3

Help Desk Manager / Supervisor $0 $0 $0

Help Desk Staff $0 $0 $0


$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0$0 $0 $0 $0

Hourly RateYear 4

Composite Rate

Year 4

Hourly RateYear 5

Composite Rate

Year 5

Hourly RateYear 6

Composite Rate

Year 6

Hourly RateYear 7

Composite Rate

Year 7

$0 $0 $0 $0

$0 $0 $0 $0




IT Process Architect

Lead efforts to analyze processes and identify gaps, improvement opportunities and define future state process models with minimal directionDevelop architecture for IT processes such as software development processes and/or operational processesLead evaluation of tools that could assist in the execution of the IT processes

5+ years of experience designing processes in complex business environments, preferably with IT applications implications

IT Process AnalystAnalyze processes, identify gaps, improvement opportunities and future state process models with supervision from DHS or other staff

5+ years of experience performing process analysis

IT Operations Staff Perform tasks required to operate the existing applications 3+ years working in an IT operations environment


Quality Assurance Manager

Lead testing effort for any software development project including defining the plan and managing the testing effortAnalyze other non-development projects (e.g. BPR efforts) from a Quality perspective and identify potential quality issues

5+ years of experience leading quality efforts10+ years of experience implementing projects to improve quality


Training/Change Management Lead/ManagerLead training and/or change management activities including performing stakeholder analysis, developing training or change management plans and leading the implementation of these efforts

5+ years leading training or change management efforts in complex public sector environments10+ years of training or change management experience

Training SpecialistDevelop training and/or change management materialsFacilitate trainings, both on-line and/or classroom

5+ years developing training materials and/or change management materials and facilitating trainings

Senior AnalystLead analysis of technical or business problems to identify a potential solution with minimal or no guidance from DHS or other resourcesDevelop concise materials and present findings to Executives

5+ years leading analysis efforts for/within public sector organizations10+ years of experience analyzing complex problems

AnalystAnalyze a specific technical or business problem to identify potential solutions with guidance from DHS or other resourcesCoordinate with and present to managers and supervisors

5+ years of experience analyzing complex problems


Help Desk Manager / SupervisorManage help desk teamProvide Help Desk reportsResponsible for following process and help desk performance

2+ years managing an enterprise help desk5+ years working in a technology environment

Help Desk StaffAnswer calls/emails received from internal users, perform initial triage, log into ticketing system, resolve and escalate if needed 3+ years working in a technology environment

Table 12. Help Desk Services Responsibilities and Qualifications



Labor RatesOther (specify - add rows as required) $0 $0 $0


Table 7. IT Operations process support hourly rates - Used to drive Tab 9 Ops Support Services (excluding Help Desk)



Hourly RateYear 1

Composite Rate

Year 1

Hourly RateYear 2

Composite Rate

Year 2

Hourly RateYear 3

Composite Rate

Year 3


Engagement Manager/Operations Manager $0 $0 $0

IT Process Architect $0 $0 $0

IT Process Analyst $0 $0 $0

IT Operations Staff $0 $0 $0

Technical Writer $0 $0 $0


$0 $0 $0 $0$0 $0 $0 $0

Hourly RateYear 4

Composite Rate

Year 4

Hourly RateYear 5

Composite Rate

Year 5

Hourly RateYear 6

Composite Rate

Year 6

Hourly RateYear 7

Composite Rate

Year 7

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0

$0 $0 $0 $0



Engagement Director/ExecutiveCoordinate with DHS ExecutivesLead engagement team and resolve items that cannot be resolved by the engagement team


Engagement Manager/Operations ManagerDay-to-day liaison for DHS for operations support activitiesLead and coordinate all activities related to IT Operations scope


IT Process Architect

Lead efforts to analyze processes and identify gaps, improvement opportunities and define future state process models with minimal directionDevelop architecture for IT processes such as software development processes and/or operational processesLead evaluation of tools that could assist in the execution of the IT processes

5+ years of experience designing processes in complex business environments, preferably with IT applications implicationsITIL or similar certification

IT Process AnalystAnalyze processes, identify gaps, improvement opportunities and future state process models with supervision from DHS or other staff

5+ years of experience performing process analysis

IT Operations Staff Support Operations Lead in performing processes, training on processes and monitoring overall process performance

ITIL certifiedFive (5) years of experience managing it operations environments


Table 13. IT Operations process support Responsibilities and Qualifications



Labor RatesOther (specify - add rows as required) $0 $0 $0



$0 $0 $0 $0$0 $0 $0 $0

AR ISS RFP - DHS Cost Workbook C-13 Transition Services 25 of 42


Table 1. ISS Applications M&O Transition Services Costs Year 1 Summary

ID DescriptionHours per

Deliverable

Compo-siteRate

# of Deliverables

Total Task Total

Task 1 - ISS Applications M&O Transition PlanningISS.1.1 ISS Applications M&O Transition Plan $0 1 $0 $0ISS.1.X [Vendor may add additional deliverables here] $0 $0 $0

Task 1 Total $0Task 2 - ISS Applications M&O Transition ServicesISS.2.1 Transition Status Report $0 $0 $0ISS.2.2 Assessment Report $0 3 $0 $0ISS.2.3 Application M&O Plan $0 1 $0 $0ISS.2.4 Completed Application M&O Transition Readiness Checklist $0 1 $0 $0ISS.2.X [Vendor may add additional deliverables here] $0 $0 $0

Task 2 Total $0

Totals 0 $0Total Transition Costs

$0

ISS Applications M&O Transition ServicesThe Transition Task costs must include all tasks and deliverables required to manage the transition of the ISS Application and projects, as outlined in the RFP and associated templates, to the Vendor. All deliverable hours and costs must accurately reflect the level of effort required to complete that deliverable. All deliverable costs are subject to approval of the content of the deliverable. DHS expects the Transition Tasks to be completed within year 1 and all costs will be calculated based on the appropriate composite rate for that year.

It is the responsibility of the Vendor to ensure spreadsheet calculations are correct. All costs must be fully inclusive.

Instructions: Enter the hours required to complete the deliverables listed, including the number of deliverables where requested. Enter any additional tasks and deliverables as needed. Insert additional rows as necessary where noted.

AR ISS RFP - DHS Cost Workbook C-14 Appl M&O 26 of 42


Table 1. M&O Services, Report Status and Assure Quality Costs


Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

Total

Task 3- Provide M&O Services, Report Status and Assure Quality ISS.3.1 Monthly Status Report and Service Level Agreement Reporting (16 Core Apps) $0 12 $0 $0 12 $0ISS.3.X [Vendor may add additional deliverables here] $0 $0 $0 $0

Totals 0 $0 $0

Task 3- Provide M&O Services, Report Status and Assure QualityISS.3.2 Monthly Status Report and Service Level Agreement Reporting (Non-Core Apps) $0 12 $0 $0 12 $0ISS.3.X [Vendor may add additional deliverables here] $0 $0 $0 $0

Totals 0 $0 $0

Table 2. Facilities Costs Year 1 Year 2 ID Description Cost per ft2 Square Feet # of Months Total Cost per ft2 Square Feet # of Months Total

Task 3- Provide M&O Services, Report Status and Assure QualityISS.3.3 Facilities Costs $0 $0ISS.3.X [Vendor may add additional deliverables here] $0 $0

Totals 0 $0 $0

Provide M&O Services, Report Status and Assure Quality

Year 2Year 1

The M&O costs must include all tasks and deliverables required for ongoing M&O of the ISS Applications, as described in the RFP and documents contained in the Procurement Library. All deliverable hours and costs must accurately reflect the level of effort required to complete that deliverable. All costs will be calculated based on appropriate composite rate for that year.

The facilities costs must be inclusive of all facilities costs for the duration of the project. This cost must include all facilities related costs as outlined in the RFP.


Instructions: In Table 1, enter the hours required to complete the deliverables listed in support of the core applications and non-core applications). Enter any additional tasks and deliverables as needed. Insert additional rows as necessary where noted. In Table 2 enter the size of the facility and rental rate planned for the ISS team


Hours per Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

$0 12 $0 $0 12 $0 $0 12 $0 $0$0 $0 $0 $0 $0 $0 $0

$0 $0 $0

$0 12 $0 $0 12 $0 $0 12 $0 $0$0 $0 $0 $0 $0 $0 $0

$0 $0 $0

Year 3 Year 4 Year 5 Yea Cost per ft2 Square Feet # of Months Total Cost per ft2 Square Feet # of Months Total Cost per ft2 Square Feet # of Months Total Cost per ft2 Square Feet

$0 $0 $0$0 $0 $0

$0 $0 $0

Yea Year 5Year 4Year 3


Summary

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

Total Total

12 $0 $0 12 $0 $0$0 $0 $0 $0

$0 $0Total Core Apps M&O Costs

$0

12 $0 $0 12 $0 $0$0 $0 $0 $0

$0 $0Total Non-Core M&O Costs

$0

ar 6 Year 6 Summary# of Months Total Cost per ft2 Square Feet # of Months Total Total

$0 $0 $0$0 $0 $0

$0 $0Total Non-Core M&O Costs

$0

Year 7ar 6

AR ISS RFP - DHS Cost Workbook C-15 Implement Enhancements 29 of 42


Table 1. Implement Enhancements Costs Year 1 Year 2 Year 3


Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

Total

Task 4- Implement EnhancementsISS.4.2 Completed Enhancement Check-List 60,000 $0 $0 60,000 $0 $0 60,000 $0 $0

Totals 60000 $0 $0 $0

Implement EnhancementsDHS may require the Vendor to enhance the ISS Applications based on DHS' business needs. The Vendor should assume DHS will require the Vendor to provide 60,000 hours of support enhancing the ISS Applications each year.



AR ISS RFP - DHS Cost Workbook C-15 Implement Enhancements 30 of 42

Year 4 Year 5 Year 6 Year 7 Summary


Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

Total Task Total

60,000 $0 $0 60,000 $0 $0 60,000 $0 $0 60,000 $0 $0 $0

$0 $0 $0 $0Total Enhancements Costs

$0

AR ISS RFP - DHS Cost Workbook C-16 BI and Reporting 31 of 42


Table 1. BI, Analytics and Reporting Deliverables Costs Year 1 Year 2 Year 3


Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

Total

Task 5 - Support DHS' BI, Analytics and Reporting NeedsISS.5.1 Business Intelligence and Reporting Support 20000 $0 $0 20000 $0 $0 20000 $0 $0ISS.5.X [Vendor may add additional deliverables here] $0 $0 $0 $0 $0 $0

Totals 20000 $0 $0 $0

Support DHS’ Business Intelligence, Analytics and Reporting NeedsDHS requires the Vendor provide 10 staff to support DHS' staff in developing business intelligence, analytics and reporting solutions to DHS' business needs. The Vendor should assume DHS will require the Vendor to provide 20,000 hours per year of BI, Analytics and Reporting support.



AR ISS RFP - DHS Cost Workbook C-16 BI and Reporting 32 of 42



Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

Total Task Total

20000 $0 $0 20000 $0 $0 20000 $0 $0 20000 $0 $0 $0$0 $0 $0 $0 $0 $0 $0 $0 $0

$0 $0 $0 $0Total BI Costs

$0

AR ISS RFP - DHS Cost Workbook C-17 As-Needed Services 33 of 42


Year 1 Year 2 Year 3


Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

Total

Task 6 - Provisioning of Additional As-Needed Services ISS.6.1 Milestone Completion 10000 $0 $0 10000 $0 $0 10000 $0 $0

Totals 10000 $0 $0 $0

Table 1. Provisioning of Additional As-Needed Services Costs

Provisioning of Additional As-Needed Services DHS will expect the Vendor to provision additional services as DHS' needs dictate. For the purposes of proposal evaluation, the Vendor should assume DHS will require the Vendor provide 10,000 hours of labor effort, by the categories captured in the labor rates tab. Unlike other services, the composite weight has been set by DHS. This will allow for competitive assessment of the vendor proposals. Additionally the qualifications for each role are outlined below.


Instructions: No action required. The workbook will calculate the cost of Procuring As-Needed Services based on information provided by the Vendor on Tab 2, Labor Rates

AR ISS RFP - DHS Cost Workbook C-17 As-Needed Services 34 of 42

this page is intentionally blank



Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

TotalHours per

Deliverable

Compo-siteRate

Total Total

10000 $0 $0 10000 $0 $0 10000 $0 $0 10000 $0 $0 $0

$0 $0 $0 $0Total As-Needed SvsCosts

$0

AR ISS RFP - DHS Cost Workbook C-18 Turn-Over 35 of 42


Table 1. Turn-Over Services Costs Year 1 Year 2


Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

Total

Task 7 - Turn-Over M&O ServicesISS.7.1 M&O Turn-Over PlanISS.7.2 M&O Turn-Over Assessment ReportISS.7.X [Vendor may add additional deliverables here]

Totals 0 $0 0 $0

Turn-Over ServicesThe Turn-Over costs must include all Turn-Over tasks outlined in the RFP and associated templates. All deliverable hours and costs must accurately reflect the level of effort required to complete the associated tasks and deliverable. All deliverable costs are subject to approval of the content of the deliverable. All costs will be calculated based on appropriate composite rate for that year.

Deliverables in Task 7 will be performed prior to the conclusion of the Contract period. For evaluation purposes, this is assumed to be in the last optional extension year. All costs will be calculated based on appropriate composite rate for that year.


Instructions: Enter the hours required to complete the deliverables listed, including the number of deliverables. Enter any additional tasks and deliverables as needed. Insert additional rows as necessary where noted.




Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

0 $0 0 $0 0 $0 0


Year 6 Year 7 SummaryCompo-

siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

Total Task Total

$0 1 $0 $0$0 6 $0 $0$0 $0 $0

$0 0 $0Total Turn-Over Costs

$0

AR ISS RFP - DHS Cost Workbook C-19 Ops Support Svs 38 of 42


Table 1. IT Operations Support Services Costs Year 1 Year 2


Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

Total

Task 8 - IT Operations Support ServicesISS.8.1 IT Operations Support Transition Plan $0 1 $0

ISS.8.2 Completed IT Operations Support Readiness Checklist $0 1 $0

ISS.8.3 Monthly Status Report and Service Level Agreement $0 12 $0 $0 12 $0

ISS.8.4 Help Desk Services $0 $0 $0 $0ISS.8.5 IT Operations Support Turn-Over Plan

ISS.8.6 IT Operations Support Turn-Over Assessment Report

ISS.8.X [Vendor may add additional deliverables here] $0 $0 $0 $0

Totals 0 $0 $0

IT Operations Support Services (Optional)The M&O costs must include all tasks and deliverables required for ongoing M&O of the ISS Applications, as described in the RFP and documents contained in the Procurement Library. All deliverable hours and costs must accurately reflect the level of effort required to complete that deliverable. All costs will be calculated based on appropriate composite rate for that year.


Instructions: Enter the hours required to complete the deliverables listed, including the number of deliverables. Enter any additional tasks and deliverables as needed. Insert additional rows as necessary where noted.




Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

Total

$0 12 $0 $0 12 $0 $0 12 $0

$0 $0 $0 $0 $0 $0

$0 $0 $0 $0 $0 $0

$0 $0 $0


Year 6 Year 7 Summary


Compo-siteRate

# of Deliverables

TotalHours per

Deliverable

Compo-siteRate

# of Deliverables

Total Task Total

$0

$0

$0 12 $0 $0 12 $0 $0

$0 $0 $0 $0 $0$0 1 $0 $0 1 $0 $0

$0 6 $0 $0 6 $0 $0

$0 $0 $0 $0 $0

$0 $0Total Ops Support Svs Costs

$0

AR ISS RFP - DHS Cost Workbook C-110 Cost Assumptions 41 of 42


The Vendor must state all assumptions upon which its pricing is being determined. Assumptions shall not conflict with the Terms and Conditions or Mandatory Requirements of this RFP, and shall not change the requested scope of the RFP as described in this procurement. Assumptions that conflict with the requested products/services, mandatory requirements, Terms and Conditions or other language of the RFP or its supporting documents will be invalid and will be interpreted in favor of the RFP language. DHS may disqualify the Proposal if, in its discretion, it determines that assumptions stated here cause the Proposal to inaccurately represent the costs for scope described in the Vendor's Proposal, or meet the needs as described in this RFP. The Vendor must provide a clear understanding to DHS of the cost impact to DHS if any assumption is determined to be invalid; DHS may use these values in consideration of the Cost Proposal.

Instructions: Complete the Table below using as many rows as needed. Clearly describe the location of references to the RFP and/or Proposal, description of the assumption, rationale for the need of the assumption, and the cost impact to DHS should the assumption be invalid. Insert additional rows as needed.

Cost Assumptions

AR ISS RFP - DHS Cost Workbook C-110 Cost Assumptions 42 of 42


Cost AssumptionsTable 1. Cost Assumptions

Item #

Proposal Section, Page,

Paragraph, Tab Description Rationale

Cost Impact If The Assumption is

Invalid123456789

1011121314151617181920

Template O-1 Letter of Intent to Submit a Proposal

Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template O-1 – Letter of Intent to Submit a Proposal

2 of 4

Table of Contents

1.0 Letter of Intent to Submit a Proposal .................................................................. 3

2.0 Vendor Information ............................................................................................... 4


3 of 4

1.0 Letter of Intent to Submit a Proposal The Vendor must complete this section stating the Vendor’s intent to submit a Proposal in response to this RFP.

This section must be signed by an authorized Vendor representative. Instructions: Provide the following information regarding the person responsible for the completion of the Vendor response. This person should also be the person OSP and DHS should contact for questions and/or clarifications.

Name Phone

Address Fax

E-mail

Subject to acceptance by OSP and DHS, the Vendor acknowledges that by submitting this Letter of Intent to Submit a Proposal signed in the space indicated below, the Vendor intends to submit a formal offer to meet the requirements and intent of the RFP. The Vendor acknowledges that submission of a Proposal will contractually obligate them to comply with all items in this RFP, including included or referenced provisions, forms, documents, etc.

Failure to sign the Letter of Intent to Submit a Proposal or signing it with a false statement shall void the submitted Letter of Intent to Submit a Proposal, any formal offer, or any resulting Contract(s).

____________________________________________________ / _________________ Signature of individual authorized to represent the Company / Date

Name (typed or printed)

Title

Company name

Physical address

State of Incorporation

By signature hereon, the Vendor certifies that:

1. The Vendor will comply with all Federal and State laws, rules, and regulations that are in force currently or anytime during the term of any Contract arising from this RFP.

2. The Vendor is an authorized dealer in good standing of the products/services that will be included in its response to this RFP.

3. The Vendor and its principals are eligible to participate in this transaction and have not been subjected to suspension, debarment, or similar ineligibility determined by any


4 of 4

Federal, state or local governmental entity and that the Vendor is in compliance with the State of Arkansas statutes and rules relating to procurement and not listed on the Federal government's terrorism watch list as described in Executive Order 13224. Entities ineligible for federal procurement are listed at http://www.epls.gov.

2.0 Vendor Information Instructions: Complete the information in the following Table. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. Vendor Contact Information

COMPANY HEADQUARTERS INFORMATION: Company Name:

Address:

City, State & Zip Code:

Company Type (Check One): Private Public

Company Size: (Total Number of Employees)

Annual Revenue:

AR ISS RFP - DHS Template O-2 - Written Questions - final draft 1 of 1

State of Arkansas Department of Human ServicesInformation Support Services RFPRFP #: SP-17-0006Template O-2 - Written Questions

Question ID

RFP Reference (page number, section number, paragraph)

Specific RFP Language Question

Example Page 5, Paragraph 1, Section 1.1This Request for Proposals (RFP) is issued by the State of Arkansas (State) Department of Human Services (DHS)

Please confirm the issuing entity of this RFP is the Department of Human Services.

123456789

10

InstructionsThis Response Template must be used for submission of written questions. All questions should provide the requested information. Those that do not, may not be answered by DHS. The Vendor may add as many lines as needed. DHS would strongly prefer the Vendor to ask multi-part questions as individual questions on seperate lines.

Instructions: Complete all cells of each question asked in the Table below. Clearly identify the referenced section or text.

Template T-1 Cover Letter and Executive Summary

Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-1 – Cover Letter and Executive Summary

2 of 9

Table of Contents

1.0 Submission Cover Sheet ...................................................................................... 3

2.0 Submission Cover Letter ...................................................................................... 5

3.0 Table of Contents .................................................................................................. 6

4.0 Executive Summary .............................................................................................. 6

5.0 Vendor Contact Information ................................................................................. 7 5.1 Subcontractor Contact Information (If applicable) ..................................................... 8

6.0 Minimum Mandatory Qualifications ..................................................................... 9


3 of 9

1.0 Submission Cover Sheet The Vendor must include the following Cover Letter sheet provided in this section 1.0, and an individual authorized to legally bind the Vendor must sign the Cover Letter in ink and include it in the Proposal copy labeled “Original Proposal.”

This section 1.0 with the legally binding signature, only applies to the “Original Proposal” and not to the remaining copies of the proposal being submitted. However, all other sections in this Template T-1, from Section 2.0 to Section 6.0 must be provided both with the “Original Proposal” as well as with all other proposal copies.

Instructions: Provide the following information regarding the person responsible for the completion of the Vendor response. This person should also be the person OSP and DHS will contact for questions and/or clarifications.

Name: Phone:

Address: Fax:

E-mail:

Subject to acceptance by OSP and DHS, the Vendor acknowledges that by submitting a response AND signing in the space indicated below, the Vendor is submitting a formal offer to meet the requirements and intent of the RFP. In addition, should a Contract result from this RFP with said Vendor, the Vendor shall be contractually obligated to comply with all items in this RFP. While the Vendor is directed to list clarifications on appropriate templates, all such clarifications shall be subject to OSP’s and DHS’ acceptance and/or further negotiation. If no clarifications are noted, none will apply. The Vendor agrees that it will not later take clarification to any item agreed to by this signature. Failure to sign the Submission Cover Sheet or signing it with a false statement shall void the submitted response and any resulting Contract(s).

____________________________________________________ / _________________ Original signature of individual authorized to legally bind the Company / Date

Name (typed or printed):

Title:

Company name:

Physical address:

State of Incorporation:

By signature hereon, the Vendor certifies that:


4 of 9

1. All statements and information prepared and submitted in response to this RFP are current, complete and accurate.

2. The proposed Solution meets all the requirements of this RFP and the stated intentions of the Project.

3. The Vendor will comply with all Federal and State laws, rules, and regulations that are in force currently or anytime during the term of a resulting Contract.

4. The company or companies represented here is/are authorized dealer(s) in good standing of the products/services included in this response.

5. The Vendor and its principals are eligible to participate in this transaction and have not been subjected to suspension, debarment, or similar ineligibility determined by any Federal, State or local governmental entity and that the Vendor is in compliance with State of Arkansas statutes and rules relating to procurement, and that the Vendor is not listed on the Federal government's terrorism watch list as described in Executive Order 13224. Entities ineligible for Federal procurement are listed at http://www.epls.gov.


5 of 9

2.0 Submission Cover Letter The Vendor should also provide the following information as part of the Submission Cover Letter:

A statement regarding the Vendor's legal structure, Federal tax identification number, and principal place of business and attach applicable W-9 forms (http://www.irs.gov/pub/irs-pdf/fw9.pdf)

A list of the people who prepared the Vendor’s Proposal, including their titles

A list of all subcontractors, if any, that the Vendor will use on the Project, if DHS selects to contract with the Vendor

For each proposed subcontractor, the Vendor should attach a letter from the subcontractor, signed by an individual authorized to legally bind the subcontractor, with the following included in the letter:

─ The subcontractor’s legal status, tax identification number, and principal place of business address

─ The name, phone number, fax number, email address, and mailing address of a person who is authorized to legally bind the subcontractor to contractual obligations

─ A description of the work the subcontractor will do

─ A commitment by the subcontractor to do the work if the Vendor is selected

─ A statement that the subcontractor has read and understood the RFP and will comply with the requirements of the RFP

─ A statement that the subcontractor will maintain any permits, licenses and certifications required to perform its portion of the work

Instructions: Provide a Cover Letter that includes the information required above.

<Response>

http://www.irs.gov/pub/irs-pdf/fw9.pdf


6 of 9

3.0 Table of Contents Instructions: Provide a Table of Contents for the Proposal. This should include all parts of the Proposal, including response forms and attachments, and should be identified by volume and page number. The structure of the Proposal should match the structure of the Response Templates for ease of Proposal evaluation. The Table of Contents should identify all sections, figures, charts, graphs, etc.

<Response>

4.0 Executive Summary Instructions: Provide a brief (three [3] to five [5] page) summary of the key aspects of the Vendor’s Technical Proposal. The Executive Summary should include an overview of the Vendor’s qualifications, approach to deliver the services described in the RFP, time frame to deliver the services, proposed team and advantage of this Proposal to DHS.

<Response>


7 of 9

5.0 Vendor Contact Information Instructions: Complete the following information regarding the Vendor’s headquarters and primary contact for any questions pertaining to the Vendor’s responses to this RFP. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. Vendor Contact Information

COMPANY HEADQUARTERS INFORMATION: Company Name:

Address:




Annual Revenue:

PRIMARY CONTACT INFORMATION: Name: Title:

Address:


Phone: Fax:

E-mail: REGIONAL OR LOCAL OFFICE INFORMATION: Company Name:

Region Name:

Address:


Primary Contact:

Phone: Fax:

E-mail:


8 of 9

5.1 Subcontractor Contact Information (If applicable) Instructions: Complete the following information regarding the subcontractor’s contact information. If more than one subcontractor is proposed, add more Tables as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 2. Subcontractor Contact Information

COMPANY INFORMATION: Company Name:

Address:




Annual Revenue:

PRIMARY CONTACT INFORMATION: Name: Title:

Address:


Phone: Fax:

E-mail:


9 of 9

6.0 Minimum Mandatory Qualifications The Vendor must provide clear, compelling justification that it meets all of the Minimum Mandatory Qualifications. The Vendor is encouraged to provide ample references to information contained in the Proposal that supports its attestation. Vendors that fail to provide clear, sufficient evidence that they meet the Minimum Mandatory Qualifications may be subject to disqualification. OSP and DHS may ask for additional clarifications relating to the Minimum Mandatory Qualifications prior to determination of compliance.

Instructions: Complete the following information regarding the Vendor’s ability to meet the Minimum Mandatory Qualifications. Provide specific references to Proposal locations that support the Vendor’s assertions that it meets the Minimum Mandatory Qualifications. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 3. Minimum Mandatory Qualifications

# QUALIFICATION ITEM DOES THE

VENDOR MEET QUALIFICATION

ITEM?

REFERENCE TO PROPOSAL

RESPONSE SECTION

1

The Vendor (Prime) must have at least five (5) years’ experience with three (3) engagements similar in size, complexity and scope to this procurement that include the delivery of information support services. (Use Template T-3 to demonstrate this experience)

YES NO

2

The Vendor’s team (both Prime and Subcontractor) must have proven experience with projects of in the implementation of Business Intelligence and Reporting as defined in the RFP with at least three (3) implementations similar in size, complexity and scope in the past five (5) years (Use Template T-3 to demonstrate this experience)

YES NO

3 The Vendor (Prime) must have at least annual revenue of $50M YES NO

Template T-2 Vendor Experience

Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-2 – Vendor Experience

2 of 8

Table of Contents

1.0 Vendor Organization Overview ............................................................................ 3 1.1 Subcontractor Organization Overview (If applicable) ................................................ 4

2.0 Vendor Corporate Background and Experience ................................................ 5 2.1 Vendor’s Corporate Background .............................................................................. 5 2.2 Vendor’s Understanding of Human Services ............................................................ 5 2.3 Information Support Services Design, Development and Implementation

Projects Completed in the Last Five Years ............................................................... 5 2.4 Customers Served in the Human Services Space ..... Error! Bookmark not defined. 2.5 Vendor’s Work Locations ......................................................................................... 6 2.6 Existing Business Relationships with the State of Arkansas ..................................... 6 2.7 Business Disputes .................................................................................................... 6

3.0 Financial Stability .................................................................................................. 7 3.1 Dun & Bradstreet Ratings ......................................................................................... 7 3.2 Financial Capacity .................................................................................................... 7 3.3 Financial References ................................................................................................ 8 3.4 Corporate Guarantee ............................................................................................... 8

4.0 General Assumptions ........................................................................................... 8


3 of 8

1.0 Vendor Organization Overview The Vendor should include details of the Vendor’s Experience in this section. The details should include Vendor organization overview; corporate background; Vendor’s understanding of the relevant domain; and Vendor’s experience in the public sector.

Instructions: Provide all relevant information regarding the general profile of the Vendor. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. Vendor Organization Profile

VENDOR ORGANIZATION PROFILE Company Name Name of Parent Company Industry (NAICS) (North American Industry Classification System)

Type of Legal Entity Company Ownership (i.e., Private/Public, Joint Venture)

Arkansas Economic Development Commission Minority Business Certification Number (if applicable)

Minority Business Number (if applicable)

Number of Full Time Employees

Last Fiscal Year Company Revenue

Last Fiscal Year Company Net Income

% of Revenue from State and Local Government Clients in the United States

% of Revenue from IT Design/ Implementation, and Operations Support Services

Number of Years in Business Number of Years Vendor has been Providing the Type of Services Specified in the RFP

Number of Employees Providing the Type of Services Specified in the RFP


4 of 8

Headquarters in the USA Locations in the USA Office Servicing this Account

1.1 Subcontractor Organization Overview (only if applicable) The Vendor should only complete this section if proposing subcontractors as part of the Proposal.

Instructions: Provide all relevant information regarding the profile of each subcontractor. This section should be duplicated in its entirety for each subcontractor included. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 2. Subcontractor Organization Profile

SUBCONTRACTOR ORGANIZATION PROFILE Subcontractor Name Type of Legal Entity Company Ownership (i.e., Private/Public, Joint-Venture)

Headquarters Location Date Founded Number of Employees Last Fiscal Year Company Revenue

Last Fiscal Year Company Net Income

Services to be Provided Experience of Subcontractor in Performing the Services to be Provided

Brief Description and Number of Projects that Vendor has Partnered with this Subcontractor on

Locations Where Work is to be Performed


5 of 8

2.0 Vendor Corporate Background and Experience

2.1 Vendor’s Corporate Background The Vendor should describe its corporate background to provide context of the organization that will be providing the products and services in this RFP.

Instructions: Describe the Vendor’s corporate background as it relates to projects similar in scope and complexity to the project described in this RFP.

<Response>

2.2 Vendor’s Understanding of Human Services Instructions: Describe the Vendor’s understanding of Human Services. Discuss the Vendor's strategies and areas of focus related to this service. Discuss key trends affecting Human Services in the next three (3) to five (5) years with specific focus on how the Vendor will translate these trends in its solution to benefit DHS.

<Response>

2.3 Information Support Services Engagements Completed in the Public Sector in the Last Five Years

The Vendor should list all Information Support Services (ISS) engagements that were completed/finished or were active in the last 5 years in the Public Sector (in particular for Health and Human Services). This includes all engagements where the Vendor was providing M&O support services and/or providing services to implement application enhancements.

Instructions: Provide a listing and contact information for all support services contracts in the last five (5) years. Denote any that are pending litigation or have been terminated for cause or convenience. Provide the same information for each subcontractor, associated company, consultant and entity that will be involved in any phase of this engagement. Duplicate the table for each entity in the Proposal. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 3. ISS Engagements Completed in the Last Five (5) Years

REF #

ENGAGEMENT NAME

CUSTOMER NAME

CUSTOMER CONTACT

PROJECT DURATION

BUSINESS DISPUTE?

1 YES NO

2 YES NO

3 YES NO

4 YES NO

5 YES NO


6 of 8

2.4 Vendor’s Work Locations The Vendor Key Project Personnel associated with the ISS engagement must be available to participate in-person for project-related meetings as scheduled by DHS during normal business hours, Monday through Friday 8:00 a.m. to 5:00 p.m. CST, except Federal, State and local holidays.

At no time shall the Vendor maintain, use, transmit, or cause to be transmitted information governed by privacy laws and regulations outside of the United States and its territories.

Instructions: Describe the locations where the Vendor proposes performing work associated with this RFP. Indicate the site(s) from which the Vendor will perform the relevant tasks identified in this Proposal. If the site(s) for a specific task changes during the Contract term, provide a timeline reflecting where the task will be performed during each time period.

Specifically identify where the Key Project Personnel identified in the RFP will be physically located for the duration of the Contract.

For each of the deliverables identified in the RFP, provide the percentage of work to be done in the State.

<Response>

2.5 Existing Business Relationships with the State of Arkansas Instructions: Describe any existing or recent (within the last five (5) years) business relationships the Vendor or any of its affiliates and proposed subcontractors has with the State.

<Response>

2.6 Business Disputes Instructions: Provide details of any disciplinary actions and denote any that are pending litigation or Terminated for Cause or Convenience and associated reasons. Also denote any other administrative actions taken by any jurisdiction or person against the Vendor. List and summarize all judicial or administrative proceedings involving sourcing activities, claims of unlawful employment discrimination and anti-trust suits in which the Vendor has been a party within the last five (5) years. If the Vendor is a subsidiary, submit information for all parent companies. If the Vendor uses subcontractors, associated companies and consultants that will be involved in any phase of this engagement, provide the same information for each of these entities.

<Response>


7 of 8

3.0 Financial Stability

3.1 Dun & Bradstreet Ratings The Vendor should provide the industry standard Dun & Bradstreet (D&B) Ratings that indicates the firm’s financial strength and creditworthiness, assigned to most US and Canadian firms (and some firms of other nationalities) by the US firm D&B. These ratings are based on a firm's worth and composite credit appraisal. Additional information is given in credit reports (published by D&B) that contain the firm's financial statements and credit payment history. Additional information may be requested regarding financial stability for the Vendor and any subcontractors proposed.

Instructions: Provide a D&B Ratings report.

<Response>

3.2 Financial Capacity Vendors should submit an Independent Auditor’s Report and audited financial statements, including any management letters associated with the Auditor’s Report with the applicable notes, OMB A-133 Audit (if conducted) for the last three (3) fiscal years (an Audit Receipt Letter from Contract Support for each year is acceptable), balance sheet, statement of income and expense, statement of changes in financial position, cash flows and capital expenditures.

Most current financial statements (may be unaudited) should be provided on a separate USB Memory Stick, labeled “Financial Capacity Information Template T-2 – 3.2” to be provided as part of the Technical Proposal. If the Vendor has not had an audit conducted within the past three (3) fiscal years, then the Vendor should provide the following un-audited financial statements for the last three (3) fiscal years:

a) State of Financial Position (Balance Sheet)

b) Statement of Activities (Income Statement)

c) Statement of Cash Flows

If the Vendor is a corporation that is required to report to the Securities and Exchange Commission (SEC), it should submit its two (2) most recent SEC Forms 10K, Annual Reports. If any change in ownership is anticipated during the twelve (12) months following the Proposal due date, the Vendor should describe the circumstances of such change and indicate when the change is likely to occur.

Additional information may be requested regarding financial stability for the Vendor and any subcontractors proposed.

Instructions: Supply evidence of financial stability sufficient to demonstrate reasonable stability and solvency appropriate to the requirements of this procurement.

<Response>


8 of 8

3.3 Financial References The Vendor should provide references that can verify the standing of the Vendor.

Instructions: List credit references of the Vendor. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 4. Credit References

INSTITUTION ADDRESS PHONE NUMBER

3.4 Corporate Guarantee If the Vendor is substantially owned or controlled, in whole or in part, by one or more other legal entities, the Vendor should submit the information required under the “Financial Capacity” section above for each such entity, including the most recent financial statement for each such entity. The Vendor should also include a statement that the entity or entities will unconditionally guarantee performance by the Vendor for each and every obligation, warranty, covenant, term and condition of the Contract. If DHS determines that an entity does not have sufficient financial resources to guarantee the Vendor’s performance, DHS may require the Vendor to obtain another acceptable financial instrument or resource from such entity, or to obtain an acceptable guarantee from another entity with sufficient financial resources to guarantee performance.

Instructions: Provide any additional information requested, and the unconditional guarantee by the owning/controlling entities.

<Response>

4.0 General Assumptions Instructions: Document the assumptions related to this Response Template in the following Table. Add rows as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1 Vendor Experience Assumptions

ITEM #

REFERENCE (SECTION,

PAGE, PARAGRAPH)

DESCRIPTION RATIONALE

1.

2.

3.

Template T-3 Vendor References

Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-3 – Vendor References

2 of 14

Table of Contents

1.0 Vendor References ............................................................................................... 3 1.1 Subcontractor References (If applicable) .................................................................. 8


3 of 14

1.0 Vendor References To realize the objectives stated as part of the RFP, the State of Arkansas is issuing this RFP to contract with a Vendor who has experience managing complex applications portfolios for major organizations. As such, the State has established mandatory qualifications that must be met to submit a proposal as stated in Section 1.2.1 of the RFP.

To satisfy the mandatory qualifications, include at least three (3) references (for the Prime Vendor) of projects which are of similar size, complexity and scope to this engagement, that have either completed within the last five (5) years or are active projects. Each reference chosen should clearly demonstrate the Vendor’s ability to perform the Scope of Work described in the RFP.

Instructions: Provide the information requested in the Tables below. The Tables may be replicated if the Vendor would like to include more than three (3) references. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. Reference 1

VENDOR INFORMATION Vendor Name: Vendor Contact/Name: Project Dates: Vendor Contact Phone:

CUSTOMER INFORMATION

Customer Organization: Customer Contact Name:

Customer Phone:

Customer Address: Customer Email:

Customer Fax:

PROJECT INFORMATION

Total Vendor Staff:

Project Objectives:

Project Description:


4 of 14

Vendor’s Involvement (Role and Scope):

Project Benefits:

VENDOR KEY PERSONNEL ASSIGNED TO PROJECT Name: (Add more rows as needed) Role: (Add more rows as needed)

Name: (Add more rows as needed) Role: (Add more rows as needed)

PROJECT MEASUREMENTS Operating Budget of Organization: # of Employees and External Users:

Initial contract value: Actual contract value:

Reason(s) for Change in contract value:

Estimated Start & Completion Dates From: To: Actual Start & Completion Dates From: To: Reason(s) for Difference Between Estimated and Actual Dates:

If the Vendor performed the work as a subcontractor, the Vendor should describe the scope of subcontracted activities:

Describe the project’s billing and invoicing procedures and any special accommodations:


5 of 14





Customer Phone:


Customer Fax:

PROJECT INFORMATION

Total Vendor Staff:

Project Objectives:



Project Benefits:





6 of 14

Estimated One-time Costs: Actual One-time Costs:

Reason(s) for Change in One-time Cost:

Original Value of Vendor’s Contract: Actual Total Contract Value:

Reason(s) for Change in Value:

Estimated Start & Completion Dates: From: To: Actual Start & Completion Dates: From: To: Reason(s) for Difference Between Estimated and Actual Dates:




7 of 14





Customer Phone:


Customer Fax:

PROJECT INFORMATION

Total Vendor Staff:

Project Objectives:



Project Benefits:




Estimated One-time Costs: Actual One-time Costs:


8 of 14

Reason(s) for Change in One-time Cost:

Original Value of Vendor’s Contract: Actual Total Contract Value:





1.1 Subcontractor References (If applicable) If the Proposal includes the use of subcontractor(s), include at least three (3) references (for each subcontractor proposed) from scopes of work equivalent to the scope of work proposed of the subcontractor in the Proposal. Each reference chosen should clearly demonstrate the subcontractor’s ability to perform the relevant portion of work requested in the RFP (the State has established mandatory qualifications that must be met to submit a proposal as stated in Section 1.2.1 of the RFP), and proposed by the Vendor.

Instructions: Provide the information requested in the Tables below. Replicate the Table if more than three (3) references are desired. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 4. Subcontractor Reference 1

SUBCONTRACTOR INFORMATION Subcontractor Name: Subcontractor Contact/Name: Project Dates: Subcontractor Contact Phone:



9 of 14


Customer Phone:


Customer Fax:

PROJECT INFORMATION

Project Objectives:


Subcontractor’s Involvement (Role and Scope):

Project Benefits:

SUBCONTRACTOR KEY PERSONNEL ASSIGNED TO PROJECT Name: (Add more rows as needed) Role: (Add more rows as needed)



Estimated One-time costs: Actual One-time costs:

Reason(s) for Change in One-time cost:

Original Value of Subcontractor’s Contract: Actual Total Contract Value:


10 of 14




11 of 14





Customer Phone:


Customer Fax:

PROJECT INFORMATION

Project Objectives:



Project Benefits:






12 of 14






13 of 14





Customer Phone:


Customer Fax:

PROJECT INFORMATION

Project Objectives:



Project Benefits:






14 of 14





Template T-4 Vendor Engagement Organization and

Staffing Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-4 – Vendor Engagement Organization and Staffing

2 of 9

Table of Contents

1.0 Engagement Organization and Staffing Plan ...................................................... 3

2.0 Vendor Key Personnel .......................................................................................... 3 2.1 Subcontractor Key Personnel ................................................................................... 6

3.0 Qualifications of Additional Staff ......................................................................... 8

4.0 Staff Management ................................................................................................. 8

5.0 Training Policies and Procedures ....................................................................... 8

6.0 Staff Retention ....................................................................................................... 8

7.0 Engagement Organization and Staffing Assumptions ....................................... 9


3 of 9

1.0 Engagement Organization and Staffing Plan The Vendor should describe an integrated Project Organization and Staffing Plan required to execute the proposed approach and create the deliverables required for the Engagement. This section should include details of the Vendor’s team, proposed use of subcontractors, and the Vendor's expectations of DHS resources. This section should include a visual representation of the Vendor engagement including the reporting structure. The Vendor should also describe the required staffing of business and technical resources DHS will need to provide to support the delivery of the services and creation of all deliverables. The Plan should include the number of resources (both business and technical), anticipated role and responsibilities, level of participation and necessary capabilities/skills for both DHS and Vendor resources. The Staffing Plan should highlight the staff performed the roles required to deliver the 5 different services areas (outlined in Sections 3.4.1 through 3.4.5) and highlight the personnel associated with the DHS optional scope.

Key Project Personnel identified in the Proposal for the engagement are considered to be the core Vendor resources and are therefore expected to be the major participants in all procurement activities (e.g. Oral presentations) and services delivery activities. If the Vendor is selected, its Key Project Personnel cannot be replaced without prior DHS approval during the life cycle of the Project. If the Vendor’s Key Personnel includes the use of subcontractors, It is strongly preferred that the Prime Vendor complete a minimum of 60% of the work, as defined in this procurement.

Instructions: Provide a Staffing Plan and associated organization chart detailing the number of personnel, level, roles and responsibilities, team reporting relationships, and then identify the approach to providing “shoulder-to-shoulder” links for key staff roles between Vendor staff and DHS staff. Show proposed Vendor personnel hours by phase, by personnel level, and by role for the entire engagement. Identify all Key Project Personnel for the Vendor, personnel for DHS and their proposed roles. If the Vendor’s proposed engagement organization and staffing plan does not align with the guidance provided in the body of the RFP the Vendor should discuss the justification for recommending an alternative staffing organization.

<Response>

2.0 Vendor Key Personnel The Vendor should identify Key Personnel for the Engagement, as described in the RFP, including:

Name

Position in Vendor organization

Proposed role on Engagement

Focus of work effort

% of time for that work effort

Experience in the proposed role

Qualifications for the proposed role

Role in the last three (3) projects


4 of 9

Instructions: Complete the following Table detailing the Key Personnel identified for this Engagement. Add rows as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.


5 of 9

Table 1. Vendor Key Personnel

NAME POSITION IN ORGANIZATION

PROPOSED ROLE ON

ENGAGEMENT

FOCUS OF WORK EFFORT

% OF TIME FOR THAT WORK

EFFORT

EXPERIENCE IN PROPOSED

ROLE (YEARS)

QUALIFICATIONS FOR PROPOSED

ROLE

ROLE IN LAST 3

PROJECTS


6 of 9

2.1 Subcontractor Key Personnel The Vendor should identify the Subcontractor Key Personnel for the Engagement including:

Name

Position in subcontractor organization

Proposed role on Engagement

Focus of work effort

% of time for that work effort

Experience in the proposed role

Qualifications for the proposed role

Role in the last three (3) projects

This section should also detail the past work each listed person has had with the Vendor or their staff.

Instructions: Provide a listing of the Subcontractor Key Personnel. This Table should be replicated for each Subcontractor used. Add rows as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.


7 of 9

Table 2. Subcontractor Key Personnel

NAME POSITION IN ORGANIZATION

PROPOSED ROLE ON ENGAGEMENT

FOCUS OF

WORK EFFORT

% OF TIME FOR THAT WORK

EFFORT

EXPERIENCE IN PROPOSED

ROLE (YEARS) QUALIFICATIONS FOR

PROPOSED ROLE ROLE IN LAST 3

PROJECTS


8 of 9

3.0 Qualifications of Additional Staff The RFP requires the Vendor to provide additional staff throughout the Engagement to support implementing enhancements (Section 3.4.2 of the RFP), provision staff to support additional as-needed services (Section 3.4.4 of the RFP) and replace any staff that may leave the engagement.

Instructions: The Vendor should provide an overview of the internal staff qualifications and any sub-contractor relationships and ensure the internal and sub-contractors have the skills required to address the scope of this RFP, specifically, implementing enhancements (Section 3.4.2 of the RFP) and provisioning staff to support additional as-needed services (Section 3.4.4 of the RFP).

<Response>

4.0 Staff Management The Vendor should describe internal standards, policies and procedures regarding hiring, professional development and human resource management, including processes for ensuring that the Engagement will not be affected by fluctuations in Vendor staffing and other assignments. The response should also include a discussion of the Vendor’s management of subcontractor staffing.

Instructions: Provide descriptions of the Vendor’s Staff Management approach.

<Response>

5.0 Training Policies and Procedures The Vendor should describe its policies and procedures for providing education and training for its personnel, both initially and ongoing.

Instructions: Describe Vendor's approach for training and ongoing education of its personnel.

<Response>

6.0 Staff Retention The Vendor should provide assurances that it will retain the appropriate level of staff to complete the scope of this engagement throughout the contract period. The Vendor should describe its approach to staff retention, with specific attention to ensuring staff consistency throughout the duration of the Engagement. Instructions: Describe Vendor's process and methodology for retaining Vendor personnel and ensuring that Key Personnel are consistently engaged on this Engagement. The Vendor should also discuss steps they have/will take to minimize staff turn-over to avoid costly re-training of Engagement resources.


9 of 9

<Response>

7.0 Engagement Organization and Staffing Assumptions Instructions: Document all assumptions related to the response for Engagement Organization and Staffing in the following Table. Add rows to the Table as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 3. Engagement Organization and Staffing Assumptions

ITEM #

REFERENCE (SECTION,

PAGE, PARAGRAPH)


1.

2.

3.

Template T-5 Staff Experience Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-5 – Staff Experience

2 of 5

Table of Contents

1.0 Staff Experience .................................................................................................... 3

2.0 Resumes ................................................................................................................ 5

3.0 Collaboration ......................................................................................................... 5


3 of 5

1.0 Staff Experience The Vendor should provide a completed Staff Experience reference form (see Table 1) for each proposed Key Personnel as indicated in the RFP (includes both the Vendor and subcontractor staff).

Instructions: For each experience listed, indicate the client name and client contact information, whether the engagement was for a public sector agency, project name, start and end dates the team member performed the role, duration of the experience and an overview of the project scope, focused on how it relates to the scope of this RFP. Duplicate Table 1 in its entirety, once per Key Personnel. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. Staff Experience

Team Member Name: Description of Skill Sets and Experience

Proposed Project Role for RFP SP-17-0006 Subcontractor

(Y/N)?

Years’ Experience in Role: REFERENCES

REFERENCE 1 Client Name Client Point of Contact

Client Address

Client Phone Client Email

# of Employees Public Sector (Y/N)?

Project Name and Description

Date/Duration of Staff Involvement

Start (MM/YYYY) End (MM/YYYY)

Project Scope Staff Role on the Project


Client Address


4 of 5








Client Address







INDIVIDUAL QUALIFICATIONS Certifications (if applicable) PMI/PMP Member ID#: Earned Date: Expiration Date: Other Member ID#: Earned Date: Expiration Date:


5 of 5

2.0 Resumes The Vendor should attach professional resumes of all proposed Key Personnel to this section of the Proposal.

Each resume should demonstrate experience germane to the position proposed. The resume should include work on projects cited under the Vendor’s corporate experience, and the specific functions performed on such projects.

Instructions: Provide a resume for each proposed Key Personnel.

<Response>

3.0 Collaboration Instructions: Provide evidence that the Vendor’s proposed team (including subcontractor(s), if proposed) has a proven track record of successfully collaborating in a similar environment to the environment outlined in the RFP. This should include experiences working with a team to improve maintenance and operations efficiency and effectiveness. Describe how the Vendor (including subcontractor(s)) will ensure that the proposed team will achieve the required team dynamics.

<Response>

AR ISS RFP - DHS Template T-6Introduction 1 of 31

State of Arkansas Department of Human ServicesInformation Support ServicesRFP #: SP-17-0006Template T-6 - ISS Requirements Traceability Matrix

ID Section TitleO1 Transition ServicesO2 ISS Application Maintenance and Operations RequirementsO3 Implement EnhancementsO4 Business Intelligence and Reporting Support RequirementsO5 Procure Additional ServicesO6 IT Operations Support (DHS Optional)O7 Account Management and QAO8 M&O Turn-Over Services RequirementsO9 Service Level Requirements

IntroductionThis document captures the Requirements for the Vendor, supporting the State of Arkansas Department of Human Services application portfolio. This document should be read in conjunction with the ISS Engagement Scope section of the RFP (3.4) and the ISS Scope of Work Tasks and Deliverables section of the RFP (Section 3.6), which provides additional context. Together, these requirements and the supporting detail in the RFP and other supporting documents should be used to create cost and schedule proposals for the ongoing support of DHS' applications.

The M&O Requirements document contains the following sections:1) Instructions2) Defined Acronyms3) Service Desk Incident Priority4) ISS Requirements - Tabs O1 to O9

Within the ISS Requirements, the requirements are categorized by area as detailed below. Each category has its own tab in this workbook.

AR ISS RFP - DHS Template T-6Instructions 2 of 31


Field Definition / InstructionsReq. # Requirement Identification Number: This should be used to refer to requirements in correspondence.

DO NOT EDIT THIS FIELD.Requirement Requirement: The detailed description of requirement.

DO NOT EDIT THIS FIELD.Requirement Met Vendor response to whether the Requirement will be met by the Vendor

The Vendor will reply with a "Yes" to Indicate that the requirement, as currently written, will be met by the Vendor's Proposal without any modificationsThe Vendor will reply with a "Clarification" to indicate that the Vendor intends to propose a clarification and will clarify with proper justification

If "Clarification" is selected in "Requirement Met" Column, then clarify with proper justification

Provide suggested changes to improve requirement, or comments on the Vendor's response. (Optional)If the Response Code is set to "Clarification" the Vendor must provide clarifying comments with appropriate justification

To provide more detail regarding the approach for meeting a Requirement, use the Requirements Approach Template (AR DHS ISS RFP Template T-7 - Requirements Approach) and provide a reference to the appropriate RFP Req #(s) in this template

Proposed Penalties Amount For each Service Level Requirement in Tab O-9, provide a recommended Penalties amount per occurrence of SLR Measure Non-Compliance.

InstructionsThis workbook contains the ISS Requirements requested by DHS of the Vendor. It captures the tasks the Vendor will be responsible for performing.The response codes below should be used by the Vendor to indicate whether it agrees to perform the requirements exactly as stated by selecting "Yes" or whether it recommends changes to the tasks being required by selecting "Clarification" and providing appropriate justification.

This Template must be completed and submitted as an Microsoft Excel file as part of the Vendor's Proposal.

AR ISS RFP - DHS Template T-6Defined Acronyms 3 of 31


Defined TermAcronym (if used)

Description

Affordable Care Act ACA

The Patient Protection and Affordable Care Act (PPACA) – also known as the Affordable Care Act or ACA, and generally referred to as Obamacare – is the landmark health reform legislation passed by the 111th Congress and signed into law by President Barack Obama in March 2010

Configuration Management Database CMDB

A configuration management database (CMDB) is a repository that acts as a data warehouse for information technology (IT) installations. It holds data relating to a collection of IT assets (commonly referred to as configuration items (CI)), as well as to descriptive relationships between such assets.

Central Processing Unit CPU Sometimes referred to simply as the central processor, but more commonly called processor, the CPU is the brains of the computer where most calculations take place.

Design, Develop, and Implement DDI Phases 2, 3, and 4 of the 5 phases of the ADDIE model. Phase 1 is Analysis and phase 5 is Evaluation.

Department of Human Services DHSArkansas government's principal agency for protecting the health of all citizens and providing essential human services, especially for those who are least able to help themselves.

Department of Information Systems DIS

Department of Information Systems, the information technology solutions provider for the state of Arkansas. This Department provides services from telephony and data networking to technical consulting to the public entities that serve AR citizens.

Exchange to exchange E2EThis is the interaction between websites and the businesses that operate them. Certain kinds of transactions called "exchanges" between websites constitute what IT professionals could call an "exchange to exchange" operation.

Extract transform load ETLThis is the process of extraction, transformation and loading during database use, but particularly during data storage use. It includes the following sub-processes: Retrieving data from external data storage or transmission sources.

Health Insurance Portability and Accountability Act HIPAA

A US law designed to provide privacy standards to protect patients' medical records and other health information provided to health plans, doctors, hospitals and other health care providers.

Defined Terms

AR ISS RFP - DHS Template T-6Defined Acronyms 4 of 31

The Health Information Technology for Economic and Clinical Health (HITECH) Act

HITECH

The Health Information Technology for Economic and Clinical Health (HITECH) Act, enacted as part of the American Recovery and Reinvestment Act of 2009, was signed into law on February 17, 2009, to promote the adoption and meaningful use of health information technology.

Internal Revenue Service IRS Internal Revenue Service

Internet Service Provider ISP This is a company that provides individuals and other companies access to the Internet and other related services such as Web site building and virtual hosting.

Maintenance and Operation M&O Maintenance and operations (M&O) involves preventive maintenance, troubleshooting and fixing operational issues, as well as day to day operations for the ISS service.

National Institute of Standards & Technology NIST An organization that provide system and service standards in order to design and

measure performance.

Root cause analysis RCA This is a method of problem solving used for identifying the root causes of faults or problems.

Request for Information RFIRequest for Proposal RFP

Recovery Time Objective RTOThe recovery time objective (RTO) is the targeted duration of time and a service level within which a business process must be restored after a disaster (or disruption) in order to avoid unacceptable consequences associated with a break in business continuity.

Service Level Agreement SLAA service-level agreement (SLA) is a part of a standardized service contract where a service is formally defined. Particular aspects of the service – scope, quality, responsibilities – are agreed between the service provider and the service user.

Service Level Requirements SLR A Service Level Requirement (SLR) is a broad statement describing service expectations. These are minimum requirements.

Statement of Work SOW The Statement of Work (SOW) is detailed in Section 3 of the RFP for this work.Wide Area Network WAN Intended to mean the network within DHS supporting ISS

AR ISS RFP - DHS Template T-6Incident Priority 5 of 31


State-Wide Location Multiple Users* Single UserA full outage of multiple services or all services and/or noncompliance with regulations

Critical Critical High High

An issue completely affecting a service, no workaround available

Critical High High Medium

An issue affecting a service; workaround is available High Medium Medium MediumAn issue that has no impact to the availability of the affected service; redundancy is available

Medium Low Low Low

*For the purposes of service request priority, multiple users is defined as more than five (5)

Incident Priority for Service DeskThis grid below establishes the criteria which establish the criticality of Incidents. This should be referenced while responding to the Incident Resolution SLA on the Service Level Agreement Tab (O9 SLRs)

UrgencyImpact

AR ISS RFP - DHS Template T-6O1 Transition Services 6 of 31


Req. # Requirement Description Requirement Met


O1.1 Evaluate the current technical environment and in process projects to understand all activities required to ensure a seamless transition of M&O responsibilities from the incumbent vendor to the Vendor

O1.2 Understand the State of Arkansas' current M&O processes to understand what effort is required to integrate with these processes

O1.3 Understand the current support tools (e.g. document management, Help Desk ticketing, performance management, monitoring tools) to understand the effort required to transition ownership of these tools and documentation to the Vendor

O1.4 Understand the State of Arkansas' M&O activities (including M&O process development) and identify what the Vendor must do to integrate with these activities and processes

O1.5 Analyze staffing requirements (including a facilities requirement) to onboard and train staff required to provide M&O activities and support the activities required to transition M&O activities from the incumbent vendor to the Vendor

Transition Services

Transition Planning


O1.6 Develop a Transition Plan (as outlined in the SOW) which captures all activities required to seamlessly transition ISS activities from the incumbent vendor including but not limited to:a. Documentation of the Vendor’s proposed target state including: i. Proposed Vendor staff ii. Roles and responsibilities of all partners related to the ISS applications support and operations iii. Proposed list of activities and processes to support the activities iv. Acquisition, transition and need for toolsb. Training plans to ensure staff gain the required knowledge outlining the technical resources and requisite knowledge, skills and experiences required to transition ISS activities c. Plan for developing the Assessment Report (Deliverable ISS-3) capturing opportunities for improvementsd. Approvals for plans by DHS and commitment to supply resourcese. Staffing of target organizations and ongoing support through the duration of the Contractf. Inventory and plan for all hardware and software, documentation, supplies, facilities and other resources within the Contractg. Plan for migrating all required documentation to the Vendorh. Plan to transition all applicable development tools, processes and procedures and management tools (e.g., security management, systems management)i. Measureable progress milestones/check-points so DHS can quantify the transition riskj. Assumed level of support required from DHS and the incumbent vendork. Readiness Checklist which captures all activities that must be completed prior to completing the transition of ISS activities from the incumbent vendor, grouped by service to allow for incremental transition

O1.7 Update/develop ISS applications maintenance and operations documentation (e.g. contact information, updated procedures and responsibilities for the Vendor)

O1.8 Update, develop and document plan for maintaining all relevant ISS Applications M&O process documentation (e.g. operations procedures)

O1.9 Develop and document approach to engagement reporting including status reporting, SLR Performance reporting, project status reporting and reporting mechanisms

O1.10 Perform training and other related activities required to seamlessly transition ISS Applications and projects from the incumbent vendor to the Vendor

O1.11 Develop weekly transition status reports highlighting progress against plan and milestones; the report shall address risk, issues and tracks progress against the Transition Check List (as outlined in the SOW)

O1.12 Develop Assessment Report (as outlined in the SOW) and capture M&O improvement opportunities

O1.13 Develop a risk assessment, contingency plan and facilitate go/no-go meetings with the incumbent vendor and DHS to display proof that the Vendor has completed all tasks required to transition M&O tasks (or part of the M&O tasks) from the incumbent vendor to the Vendor

O1.14 Lead cut-over of M&O activities from the incumbent vendor to the Vendor

Transition Services

Post Cut-Over Activities


O1.15 Actively report any and all post cut-over issues/challenges to DHS so DHS and the incumbent vendor can work with the Vendor to expeditiously resolve issues

O1.16 Coordinate with the incumbent vendor to ensure issues are addressed in a timely mannerO1.17 Work with DHS and the incumbent vendor to implement agreed upon recommendations O1.18 Remediate and fix any issues which arise from the transition

AR ISS RFP - DHS Template T-6O2 ISS Application M&O 9 of 31




O2.1 Collaborate with DIS to integrate the Vendor's operational activities into DIS' standard processes and continuously identify opportunities to improve the processes

O2.2 Develop service requests whenever the Vendor requires changes to the infrastructure provided by DIS

O2.3 Collaborate with DHS to understand any business trends which could impact systems' capacity requirements, analyze historical trends and provide capacity forecast

O2.4 Participate in and adhere to DIS' capacity planning processes

O2.5 Identify and submit any ISS Application changes in compliance with DIS' Change/Release Management process

O2.6 Adhere to DIS' change/release processes O2.7 Provide required scripts and documentation regarding each ISS Application change/release

O2.8 Maintain ISS Application software configuration in the DIS configuration management tool

O2.9 Capture any ISS Application software configuration changes included in any change request

O2.10 Ensure up-to-date and accurate ISS Application configurations are captured in the configuration management tools; any errors should be reported to DHS immediately

O2.11 Maintain an inventory of all applications in the DHS environment (including all attributes captured on the application inventory provided in the procurement library)

O2.12 Participate in and complete all ISS Application related disaster recovery activities outlined in the Disaster Recovery Plan

O2.13 Participate in disaster recovery planning including developing/updating the disaster recovery plan, identifying required changes in the disaster recovery plan (e.g. a change in contact information)

ISS Application Maintenance and Operations Requirements

Software Configuration Management

This section captures the activities the Vendor needs to perform to support the ISS Applications. Additional details regarding the roles being performed by the Vendor are captured in Section 3.4.1 of the RFP. These requirements are written assuming DIS is administering the IT Operational processes for the entire State. If the IT Operational Process Support scope (optional) is procured by DHS, the Vendor will be performing these roles.

Capacity Management

Change/Release Management

Disaster Recovery






O2.14 Participate in and provide support for the disaster recovery testing including, but not limited to:a. Plan and schedule disaster recovery testingb. Recovery of the ISS Applicationc. Recover data and storage according to RTO requirementsd. Assist with/resolve remediation of recovery issues e. Establish WAN connectivity from data center to the State/DHS WAN

O2.15 Identify appropriate resources to support DHS' disaster recovery planning, testing and execution

O2.16 Perform tasks outlined in the Disaster Recovery Plan in the event DHS initiates a disaster

O2.17 Maintain Level 2 / 3 ISS Application support escalation proceduresO2.18 Provide Level 2 / 3 ISS Application Solution expertise and involvement for incident resolution

O2.19 Log updates into the ticket tracking system in a timely manner in alignment with the DHS' processes, polices and procedures

O2.20 Periodically review the status of open incidents and related problems and the progress being made in addressing problems related to the ISS Applications

O2.21 Conduct/participate in incident and problem management review sessions and provide status and problem impact categorization

O2.22 Provide expertise and be an active participant in the process to address the root cause of critical problems as required by DHS (e.g. participate in "all hands on deck" meetings until a permanent fix to the incident is developed)

O2.23 Develop/maintain procedures for performing Root Cause Analysis (RCA) that meet requirements and adhere to defined policies

O2.24 Conduct proactive trend analysis to identify recurring incidentsO2.25 Track and report recurring incidents or failures and provide associated consequences of repeating

incidents if there is a business impact to DHSO2.26 Recommend solutions to address recurring incidents or failuresO2.27 Provide status report detailing the root cause of and work around procedure for correcting

recurring incidents until closure through a permanent fix as determined by DHS

Security Administration

Help Desk and Incident Management (Level 2/3)

Problem Management Services and Root Cause Analysis






O2.28 Establish/maintain access profiles and policies for adding, changing, enabling/disabling and deleting Log-On access for DHS employees, agents and subcontractors

O2.29 Maintain/update ISS Application security plan based on The State of Arkansas and Federal application security requirements, standards, procedures, policies which includes, but is not limited to, procedures for security monitoring and log management functions, ISS Application vulnerability management

O2.30 Maintain physical and logical security plans consistent with DHS' security policies and industry standards

O2.31 Review all security patches relevant to the environment and classify the need and speed in which the security patches should be installed as defined by security policies

O2.32 Support DHS in performing security related activities such as report development, controls documentation, HIPAA compliance activities, IRS 1075 compliance activities, performing security audits, etc.

O2.33 Maintain all documentation required for ISS Application security audits and internal control and control testing

O2.34 Support the placement of systems with particularly sensitive data in controlled access areas. Only end-users with authorized access permission will be allowed to enter these areas (e.g., read access in logs, write access in some folders, etc.).

O2.35 Provide a documented set of controls that is used to ensure the protection of data and security information among customer applications

O2.36 Ensure all ISS Applications and tools provide adequate protection of data that is covered by regulatory or other compliance requirements — for example, those of the U.S. HIPAA, IRS 1075,

O2.37 Provide documented procedures to ensure background checks are performed on personnel with administrative or other privileged access to servers, applications or customer data

O2.38 Develop/maintain documented procedures for super user privilege management and database activity monitoring controls or the equivalent to detect inappropriate behavior by personnel with administrative access

O2.39 Report any security violations to DHS per DHS policies

O2.40 Develop/document/manage and maintain ISS Application user account maintenance procedures including, but not limited to:a. Configuration of new users, roles and responsibilities, credentials, etc.b. Users Refresh / Change / Updatesc. Users Deletion

User Account Management






O2.41 Provide assistance to DHS, as required, in administering ISS Application user accounts

O2.42 Design, build and test application fixesO2.43 Address failures that cause crashes, hang-ups, data loss or corruption, erroneous results or any

other ISS Application related issues which impact the business' ability to perform their work (excluding warranty fixes and design issues, which are addressed elsewhere)

O2.44 Support, maintain and leverage all tools included on the list of applications. DHS' preference is to continue using the same tools, however, is open to changing tools if the ISS Vendor can justify the migration.

O2.45 Identify the tools currently implemented which the Vendor will need to support (if not on the list of applications) and/or leverage:- call tracking- defect/requirements tracking- asset management- change management- deployment automation- code versioning- documentation repository (e.g. SharePoint)- batch job scheduling- documentation and presentation (e.g. MS Office)Additional requirements may need to be added to the ISS Application M&O and IT Operations support once these are understood and confirmed

O2.46 Maintain/enhance procedures for performing ISS Application specific administration that meet requirements and adhere to defined policies

O2.47 Prepare pre-production release software for production and pre-production testing O2.48 Continually monitor data quality and identify opportunities for improvement

Tool Usage

Break Fix

Application Operations Support

System Performance/Monitoring






O2.49 Maintain/enhance monitoring policies, procedures and standards for the ISS Applications including, but not limited to:a. Monitoring of buffers, database buffers, table space fragmentation, database space, unusual growth and propose solution in case of alertb. Monitoring of System logs, update error, database corruption, jobs, and propose solution in case of alertc. Monitoring of transaction and trace logs, network event logs and traces, garbage collector, memory and CPU utilization, indexes, etc., and propose a solution in case of an alert or resource issues d. Monitoring of middleware (e.g., workflows, in- and out-bound queues) and report to DHS according to agreed proceduree. Monitoring of E2E transaction response time to allow measurements against SLAsf. Monitoring of interfaces and batch and job scheduling

O2.50 Perform ISS Applications related database administration tasks

O2.51 Continually identify, and where appropriate, implement M&O improvement opportunities such as:a. Improving or automating support processesb. Removing "dead code"c. Identifying opportunities to retire legacy systemsd. Improving the quality of developed codee. Proactive elimination of recurring problemsf. Improve performance management g. Improve capacity management

M&O Improvements

AR ISS RFP - DHS Template T-6O3 Implement Enhancements 14 of 31




O3.1 Maintain log of all (active and historical) requestsO3.2 Support the annual planning for technology refresh in compliance with software vendor licensing

and specifications and upgradesO3.3 Attend request prioritization setting sessionsO3.4 Produce estimates based on DHS' scope definition document and software sizing methods such as

Function Point AnalysisO3.5 Collaborate with DHS to clarify any ambiguous requirements and/or to collect more information

required to produce a proposal for a specific scoping documentO3.6 Leverage an industry standard cost estimation model (which can be validated by a third party) to

develop the cost proposal for each requested scope documentO3.7 When requested, provide architectural design approach and cost estimation documentation and

justification to DHS and receive approval prior to commencing DDI activities on any scoping O3.8 Provide proposals which capture the projects scope, schedule, budget (including DHS resources),

testing plan, staffing plan, infrastructure impact training plans and milestones/deliverables and a release check-list

O3.9 Create conceptual and functional specificationsO3.10 Create design documents including architecture, security and technical designO3.11 Provide infrastructure requirements to DIS in DIS' required formatO3.12 Develop application changes including configuration changes/modifications and custom

developmentO3.13 Conduct walk-through review of configuration change/modification/developmentO3.14 Program, compile and document configuration changes/modifications/new code developed

O3.15 Develop integration strategy (with external applications) and provide functional specifications for any development required on external system

O3.16 Perform testing outlined in the proposal (e.g. unit testing, integration testing, regression testing) on all changes

O3.17 Manage User Acceptance Testing test cycleO3.18 Update user documentation and training materialsO3.19 Update all related technical architecture and design documentationO3.21 Create new user/training documentation for enhancementsO3.22 Maintain overall accountability for management of technical/System documentationO3.23 Maintain existing technical/System documentation as required to reflect System changes and/or

to enhance or improve quality of documentation

Implement Enhancement Requirements

This section captures the activities the Vendor needs to perform to modify and/or enhance any ISS Application.

AR ISS RFP - DHS Template T-6O3 Implement Enhancements 15 of 31




Implement Enhancement Requirements

O3.24 Establish coding standards and ensure all project teams conform to these standards. The process for enforcing coding standards must:a. Include validations to ensure that code comments and in-line code documentation is properly implementedb. Utilize a combination of code peer reviews, custom tools and third-party tools including open source toolsc. Include the production of reports demonstrating code standards enforcement and coverage across code based. Include specific processes to ensure code reusability and enforcement of code reusability standardse. Include support for the DHS quality assurance team to perform periodic or random audits and code reviews

O3.25 Continually identify and implement software development process improvement opportunities such as:a. Implementing automated regression testing, performance testing, etc.b. Implementing toolsc. Enhancements to methodologyd. Secure coding standards

AR ISS RFP - DHS Template T-6O4 Business Intelligence 16 of 31

State of Arkansas Department of Human ServicesInformation Support ServicesRFP #:SP-17-0006Template T-6 - ISS Requirements Traceability Matrix



O4.1 Maintain a log of all requests from State of Arkansas users to enhance their access to the information in DHS' systems. This includes extracts, reports, analytical tools, as well as broad new BI requirements.

O4.2 Analyze the business users' requests to gain a high level understanding of requirements and costs

O4.3 Coordinate with DHS to prioritize requestsO4.4 Work with requestor to fully understand their business needO4.5 Leverage multiple techniques to ensure their business needs are fully understood and addressed

including, but not limited to:a. Developing mock-upsb. Developing proof of conceptsc. Providing training/demosd. Leveraging an "agile-like" approach to development

O4.6 Ensure all reports are tested and pulling accurate data prior to migrating to productionO4.7 Provide documentation to the end users which captures the exact definition of the data included

in each report and simple end-user user guide/training materials. O4.8 Document the specifics of the data being included in the report/analytic tool (e.g. meta data

describing the definition, source of data or any formulas or calculations)

O4.9 Provide ongoing training to end-users until proficientO4.10 Refresh the report/tool as required (e.g. monthly reports must be updated monthly)O4.11 Provide super user support (as usability questions focused on the report) after the report/tool

goes into productionO4.12 Maintain an inventory of all reports that have been developed/produced and track usage of each

reportO4.13 Find opportunities to streamline reports provided including identifying opportunities to

consolidate reportsO4.14 Develop and maintain programs and interfaces (ETL) for extracting data from systems of records

O4.15 Maintain and document data warehouse/data mart schemas and tablesO4.16 Maintain data warehouse data dictionaries

Business Intelligence and Reporting Requirements

AR ISS RFP - DHS Template T-6O5 Provision Addt'l Services 17 of 31




O5.1 Collaborate with DHS to refine their request for services. Their request for services could include a simple scope of work, required skillset/qualifications or a high level set of requirements (service or functional)

O5.2 Within agreed upon turn around time evaluate staffing alternatives, both internal staff and sub-contractors to identify multiple viable options

O5.3 If requested by DHS, perform a market survey and/or Request for Information (RFI) to identify additional vendors who could address the scope of work

O5.4 If requested by DHS, obtain bids from outside vendors and evaluate bids through a transparent and competitive process which includes DHS' input, as requested

O5.5 Coordinate proposed staffing developing/providing supporting documentation required (e.g. statement of work defining deliverables, deliverables, payment milestones etc.)

O5.6 Support DHS in evaluating staffing alternatives as required (e.g. coordinate interviews, provide reference information)

O5.7 Responsible for performance of the agreed upon staff/team and meeting any SLAs/deliverables agreed to in the Request for Services

O5.8 Perform all contract administration tasks for any efforts that result from a Request for Additional Services, including, but not limited to:a. Ensure all deliverables/timesheets are approved on scheduleb. Coordinate all invoicing for any additional services requirements payments, whether deliverable based or time and material basedc. Ensure all staff adhere to all terms and conditions captured in the contract

O5.9 If requested by DHS, remove any staff associated with Additional Services Work EffortsO5.10 Responsible for the quality of the solution resulting from any work performed against a request

for additional servicesO5.11 Ensure any activities performed as a part of a Additional Services work effort align with and follow

DHS policies and processes and align with all standards (e.g. coding standards)

O5.12 Responsible for the end-to-end integration and performance of any resulting software that is implemented as part of an Additional Service work effort

O5.13 Responsible that any Additional Service Work Effort results in full documentation prior to the close out of the Work Effort

Additional Services Requirements

This section captures the activities the Vendor needs to perform in procuring additional services for DHS.

AR ISS RFP - DHS Template T-6O5 Provision Addt'l Services 18 of 31

O5.14 While the state is requesting maintenance and operations for existing applications as well as business intelligence products, there is also interest in developing new services with an agile delivery approach. The Vendor is encouraged to explore agile services that may qualify as above base line work, as and when desired by the state.

For additional requirements that are not yet determined, at the State's discretion, the Vendor will work with the State to define requirements and will submit a not to exceed bid that will incorporate an Agile framework for the tasks to be performed

AR ISS RFP - DHS Template T-6O6 IT Ops Support 19 of 31




O6.1 Staff and manage the DHS Help Desk which serves as a single point of contact for all DHS employees to submit system issues

O6.2 Provide the capabilities for DHS employees to contact the help desk through multiple channels including, but not limited to, email and phone

O6.3 Develop, manage and maintain knowledge base to improve self-service and help desk's capabilities to address user questions

O6.4 Answer all calls/emails received by the help desk (e.g. assist with password, user ID resets)

O6.5 Log all calls into the ticket tracking systemO6.6 Resolve as many calls as possible within the help deskO6.7 Triage, manage, track and report problems that users experience with desktop applications,

infrastructure, hardware and software O6.8 Escalate tickets to Level 2/3 support when additional application knowledge is required; manage,

track and report tickets through the processO6.9 Provide ongoing communication to end-user as to the status of issue and resolution O6.10 Maintain DHS' incident and problem polices, procedures, and standardsO6.11 Manage, maintain and support current ticket tracking system for all support inquiries received

related to the DHS Enterprise Platform and to support changes to the support processes

O6.12 Provide all vendors sharing providing support for DHS' systems with access to DHS' Incident and Problem Management tracking system to allow for incident and related problem updates, monitoring and ad hoc reporting

O6.13 Oversee the entire incident/problem lifecycle including detection, diagnosis, status reporting, repair and recovery

O6.14 Coordinate system incident management reporting, tracking, escalation and resolution activities with the end user and the business

O6.15 Manage/oversee efficient workflow of incidents including the involvement of third party providers (e.g., public carriers, ISP)

Capacity Management

IT Operations Support Requirements (DHS Optional)

This section captures the activities the Vendor needs to perform in providing support for IT operations. There are three areas of support DHS may procure - support, maintain and operate M&O processes, Help Desk Services and Application Operations Services. The requirements are group by these three areas.

Support, Maintain and Operate Enterprise IT Processes

Help Desk Services


O6.16 Develop/maintain and administer comprehensive DHS Capacity Management process, including, but not limited to:a. Developing capacity forecasts based on forecasted usage (e.g. adding users, adding functionality)b. Monitoring IT resources (e.g. applications, OS, servers, database, network, disks, desktops and laptops) usage to enable proactive identification of capacity and performance issues and recommend changesc. Identify areas where capacity levels can be increased while decreasing operating costs by changing the architecture/designd. Implement tools that allow for capacity monitoring/trending

O6.17 Provide capacity projections report for all DHS applications as required by DHSO6.18 Provide utilization and capacity reporting

O6.19 Develop/maintain/enhance and administer change and release management processes, procedures and standards to be followed to by all of DHS' applications

O6.20 Maintain standard procedures and methods for each type of change including application services, interfaces, hardware, operating systems, databases, storage, network, batch schedule changes, etc.

O6.21 Oversee, execute, manage and maintain overall accountability for DHS system change and release management processes

O6.22 Develop and maintain a schedule of planned changes and provide to DHS for review as required

O6.23 Manage and maintain the processes and procedures for production deployment (including roll-back planning)

O6.24 For each release, ensure the change request has developed a business contingency/back out plan

O6.25 Ensure all DHS vendors comply with change/release management policies and procedures and environment configurations remain synchronized. For this requirement, the ISS Vendor will only be responsible for identifying and escalating where necessary, for any lack of alignment with policies and procedures.

O6.26 Modify/update configuration database, asset management items, and service catalog (if applicable) to reflect any implemented changes

O6.27 Ensure master copies of new software versions in a secured software library and update configuration databases

O6.28 Develop/maintain/enhance configuration management processes, procedures and standards to support multiple vendors

O6.29 Develop/maintain process, polices and procedures for tracking configuration changesO6.30 Maintain configuration management tool to track the configuration of the appropriate

environmentsO6.31 Ensure all DHS vendors are using configuration management tools and comply with policies and

procedures and environment configurations remain synchronized. For this requirement, the ISS Vendor will only be responsible for identifying and escalating where necessary, for any lack of alignment with policies and procedures.




O6.32 Establish process for verifying the accuracy of configuration items, adherence to configuration management process and identifying process deficiencies

O6.33 Provide DHS with configuration management reports as required and defined by DHS

O6.34 Log updates into the current ticket tracking system in a timely manner in alignment with the DHS' processes, polices and procedures

O6.35 Periodically review the status of open incidents and related problems and the progress being made in addressing problems related to the ISS Applications

O6.36 Lead incident and problem management review sessions and provide status and problem impact categorization

O6.37 Lead process for resolving critical incidents (e.g. system outage)

O6.38 Staff and support the Problem Management role and associated responsibilities including, but not limited to:a. Receive and log incidents classified as Problems from Level 1/2 help desksb. Categorize and log problemsc. Determine problem analysis approach and resolution requirementsd. Identify problem characteristics and root causee. Notify DHS Staff and third party Service Provider as requiredf. Monitor problems until permanent resolutiong. Provide ongoing communication and reporting on the status of problem resolutionh. Communicate resolution status and provide closure notificationi. Provide analysis and trends of problems and report findings on a monthly basis

O6.39 Track and report recurring incidents or failures and provide associated consequences of repeating incidents if there is a business impact to DHS

O6.40 Track and analyze all potential modifications (e.g. problem/defects, enhancements, projects across infrastructure) for all Application DDI vendors and report to DHS for prioritization and approval to commence

O6.41 Establish a mechanism to ensure comprehensive and up-to-date policies and procedures to help governance activities related to access and identity management as well as information privacy and protection:a. Privacy Impact Assessmentb. System Security Plan and workbookc. Information Security Risk Assessmentd. Information protection governancee. Change managementf. Incident Responseg. NIST 8---53 R4 Compliance Matrixh. NIST 800 Controls Mapping

Security Administration

Incident Management

Problem Management Services and Root Cause Analysis


O6.42 Enhance and maintain security documentation (Security Plan, Security Architecture and Access Polices and procedures, information protection governance, incident response, risk assessment, PIA, SSP and Workbook and other related security documents) to support an enterprise approach to include multiple vendors and multiple divisions

O6.43 Develop and maintain all documentation required for security audits and internal control and control testing

O6.44 Provide a documented set of controls that is used to ensure the separation of data and security information among customer applications

O6.45 Provide documented procedures to perform background checks on personnel with administrative or other privileged access to servers, applications or customer data

O6.46 Provide documented procedures and establish procedures for vulnerability management, intrusion prevention, incident response, and incident escalation and investigation

O6.47 Provide documented identity management and help desk procedures for authenticating callers and resetting access controls, as well as for establishing and deleting accounts

O6.48 Ensure all security controls required to meet DHS' security polices are in place and followed

O6.49 Provide security monitoring and health checks on the dedicated and shared environment at the infrastructure level

O6.50 Monitor security to ensure compliance to Federal security regulations and approved ISS Application plans, processes and procedures

O6.51 Develop/maintain a documented process for evaluating security alerts from OS and applications vendors, shielding systems from attack until patched, and installing security patches and service packs

O6.52 Demonstrate that the security staff average more than four (4) years' experience in information security

O6.53 Demonstrate that more than 75% of the vendor’s security staff has security industry certification, such as from the Certified Information Systems Security Professional certification program (www.isc2.org), Global Information Assurance Certification or equivalent

O6.54 Coordinate administration of security access to the DHS Enterprise Platform and dedicated functionality

O6.55 Establish access profiles and policies for adding, changing, enabling/disabling and deleting log-on access of DHS employees, agents and subcontractors

O6.56 Perform log-on/security-level access changes at the OS and system software levels as detailed in profiles and policies

O6.57 Develop, document, manage and maintain user account maintenance procedures including, but not limited to:a. Configuration of new users, roles and responsibilities, credentials, etc.b. Users Refresh/Change/Updatesc. Users Deletion

User Account Management

Tool Usage


O6.58 Need to identify the tools currently implemented which the Vendor will need to support (if not on the list of applications) and/or leverage:- call tracking- defect/requirements tracking- asset management- change management- deployment automation- code versioning- documentation repository (e.g. SharePoint)- batch job scheduling- documentation and presentation (e.g. MS Office)Additional requirements will need to be added to the ISS Application M&O and IT Operations support once these are understood

O6.59 Develop, document and manage the processes and procedures for Interfaces and Batch Operations Architecture

O6.60 Define job scheduling requirements, application software interdependencies, and rerun requirements for all production jobs

O6.61 Utilize and manage scheduling tools for automating job execution (e.g., job workflow processes interdependencies, rerun requirements, file exchange functions, and print management)

O6.62 Maintain master job schedule and execute all batch jobs for the DHS Enterprise Program (e.g. any jobs provided by any vendor working on/with the DHS Enterprise Platform)

O6.63 Perform job monitoring and manage resolution of any failed jobsO6.64 Monitor all ISS Applications as agreed to in the documented monitoring policies, procedures and

standards. Identify and report ISS Application problems. This includes but is not limited to:a. Monitoring of buffers, database buffers, table space fragmentation, database space, unusual growth and propose solution in case of alertb. Monitoring of System logs, update error, database corruption, jobs, and propose solution in case of alertc. Monitoring of transaction and trace logs, network event logs and traces, garbage collector, memory and CPU utilization, indexes, etc., and propose a solution in case of an alert or resource issues d. Monitoring of middleware (e.g., workflows, in- and out-bound queues) and report to DHS according to agreed proceduree. Monitoring of E2E transaction response time to allow measurements against SLAsf. Monitoring of interfaces and batch and job scheduling

Application Operations Support

AR ISS RFP - DHS Template T-6O7 Account Mgmt and QA 24 of 31




O7.1 Propose Account Management structure, planning and proceduresO7.2 Provide team that meets all qualifications outlined in the RFP for the duration of the engagement

unless explicit approval is received by DHS in writingO7.3 Maintain and implement Account Management structure, planning and procedures accordingly.O7.4 Develop a service ordering process that clearly defines how to order change or delete services

O7.5 Provide monthly status reports capturing all elements outlined in the RFP, including but not limited to:a. Performance against SLAsb. Activities performed during reporting periodc. Activities planned in the next reporting periodc. Risks and Issuesd. Status of any active enhancement projects against agreed upon scope, schedule and budgete. Status of any active Additional Services Work Efforts

O7.6 Define and implement methods for monitoring Service Level Requirements which govern the relationships between internal and external service providers (vendors), including provisioning, time to respond to requests etc.

O7.7 Monitor and report performance against service level requirements to DHS

O7.8 Participate in operations and service management quality assurance and control program process and address any findings

O7.9 Provide hours worked by employee broken down by task as defined by DHSO7.10 Provide application service level reporting based on agreed upon SLR Targets

Account Management and Quality Assurance

Account Management and Quality Assurance Requirements (The word "Account Management" (as noted in this tab) and "Engagement Management" (as noted in RFP Main Document Section3.5) may be used interchangeably within context)

Application Quality Management

SLR Performance Management

AR ISS RFP - DHS Template T-6O8 M&O Turn-Over 25 of 31




O8.1 Create a detailed Turn-Over Plan that covers all activities and the efforts of all involved parties. This part of the plan should express this in time and budget requirements, action ownership and program governance.

O8.2 Complete inventory of all assets covered by the Contract and required to provide the services

O8.3 Ensure that the M&O Turn-Over Plan includes handing over the key assets in an agreed-to format. These assets include, but are not limited to:a. Customer and other records (including subcontractor agreements that are required to provision the services)b. Configuration informationc. Databasesd. Documentatione. Asset registersf. Programsg. Knowledge databasesh. Fault databasesi. Asset maintenance history and statusj. Manualsk. Process and procedure documentationl. Any other similar items that the ISS Vendor used or produced during the course of, or for the purpose of, provisioning the services or relating to the configuration control of the servicesm. Source coden. Development tools and procedureso. Architecture and design documents

O8.4 Hold briefings on the status and comprehensive nature of all items handed overO8.5 Complete knowledge transfer of the services to DHS or alternate service provider(s)O8.6 Define the means by which no interruption of the provision of the services, or reduction in service

levels, will occur during the handover period, and during transfer to DHS or the new service provider

M&O Turn-Over ServicesThis section includes general statements about the requirement and roles and responsibilities in case of termination of Contract or migration of the Application M&O Contract to an alternate vendor at the time the Contract expir es

M&O Turn-Over Services Requirements

AR ISS RFP - DHS Template T-6O8 M&O Turn-Over 26 of 31




M&O Turn-Over Services Requirements

O8.7 Arrange for the provisioning of a physical data room into which information shall be placed, for the organization and the new service provider to inspect and make copies for removal

O8.8 Manage the implementation of the Turn-Over Plan and the Disentanglement PlanO8.9 Manage regularly scheduled and ad hoc meetings, as well as other communications, to address

issues that may affect how involved parties perform their responsibilities in relation to the Turn-Over Plan and/or the Disentanglement Plan

O8.10 Arrange for the transfer of personnel, including communications, briefing and negotiation, applicable to such personnel who are required for the continuation of the involved services, and within the boundaries of applicable law

O8.11 Develop the final handover and acceptance criteriaO8.12 Introduce the new service provider to all relevant information and training to allow the service

provider to leverage the DHS Enterprise Platform, tools and services and operate within the multi-vendor environment, as required

AR ISS RFP - DHS Template T-6O9 SLRs 27 of 31


Account ManagementRequirement Met

Proposed PenaltiesIf "Clarification" is selected in "Requirement Met" Column,

then clarify with proper justification

SLR Description/ObjectiveCustomer (internal and external) satisfaction surveys provide insight into the usability of the solution

Target90% of all responses must have a satisfaction score of seven (7) out of ten (10) (or equivalent) or higher (10 being the highest score)

Measurement(# of respondents rating their satisfaction higher than or equal to 7) / (# of respondents received)

SLA Reporting Period Per survey

SLR Measurement of Non-Compliance % of surveys below 90% rating their satisfaction lower than seven (7) out of ten (10)

Transition Period Service Level Requirements

Requirement Met Proposed PenaltiesIf "Clarification" is selected in "Requirement Met" Column,


SLR Description/Objective

To avoid costly extensions of existing contracts and/or operational risk, the transition activities must stay on schedule to transition ISS Applications M&O services prior to the incumbent vendor’s contract expiring. This SLR will be measured against milestones defined in the Transition Plan.

Target 100% of all milestones are completed/approved on schedule

MeasurementDate milestones are completed – planned date milestone is completed (captured in the Transition Plan)

SLA Reporting Period Per MilestoneSLR Measurement of Non-Compliance Per day the transition milestone is delayed

ISS Application M&O Service Level Requirements (all applicable after 90 days of stable operations under Vendor's control)



SLR Description/ObjectiveAll ISS Applications classified with "critical" criticality must be available to all users of the System

Target 99.75%

Measurement(# of minutes of uptime during the reporting period) / (total planned uptime during the reporting period)

SLA Reporting Period Monthly

SLR Measurement of Non-ComplianceUptime percentage was below the target (per application); penalties would be multiplied if multiple applications do not meet their availability targets)



SLR Description/ObjectiveAll ISS Applications classified with "non critical" criticality must be available to all users of the System

Target 95.00%

Measurement(# of minutes of uptime during the reporting period) / (total planned uptime during the reporting period)

SLA Reporting Period Monthly

SLR Measurement of Non-ComplianceUptime percentage was below the target (per application); penalties would be multiplied if multiple applications do not meet their availability targets)

* Availability is defined as all components of the system are running and the end users can perform all task supported by the system. This excludes network downtime and interfaces to systems not managed by the ISS Vendor

Note: planned uptime is 24X7 excluding DHS approved maintenance windows (these windows are exluded from both the "# of minutes of update during the reporting period" and "total planned uptime during the reporting period")

* Availability is defined as all components of the system are running and the end users can perform all task supported by the system. This excludes network downtime and interfaces to systems not managed by the ISS Vendor

This SLA will apply to all new enhancements and solutions; for existing applications/solutions this will be administered starting at the end of year 1 (See 3.5.2.1)

O9-4 – Applications (Not Critical) Availability*

Services Level Requirements

O9-1 – Customer Satisfaction Survey - Usability

O9-2 – Transition Execution

O9-3 – Applications (Critical) Availability*



Services Level Requirements

Requirement Met Proposed Penalties If "Clarification" is selected in "Requirement Met" Column,

SLR Description/ObjectiveSystem performance must meet end-user expectations to deliver increased customer satisfaction and efficiency gains

Target99.5% of transactions complete (response time from entering command to receiving result) within 3 seconds and the remaining transactions complete with in a max response time of 5 seconds

Measurement (Transactions completed within required time) / (Total Transactions) by applicationSLA Reporting Period Monthly

SLR Measurement of Non-ComplianceTime difference between measured average response time and 2 seconds (per application); penalties would be multiplied if multiple applications do not meet their availability targets)

** Performance measurement is the end-to-end response time from the user perspective, excluding any delays introduced by the network outside the data center


SLR Description/ObjectiveSystem performance must meet end-user expectations to deliver increased customer satisfaction and efficiency gains

Target99% of transactions complete (response time from entering command to receiving result) within 3 seconds and the remaining transactions complete with in a max response time of 7 seconds

Measurement (Transactions completed within required time) / (Total Transactions) by applicationSLA Reporting Period Monthly

SLR Measurement of Non-ComplianceTime difference between measured average response time and 3 seconds (per application); penalties would be multiplied if multiple applications do not meet their availability targets)

** Performance measurement is the end-to-end response time from the user perspective, excluding any delays introduced by the network outside the data center

Requirement Met Proposed Penalties If "Clarification" is selected in "Requirement Met" Column, then clarify with proper justification

SLR Description/ObjectiveThe total cost of M&O for the core 16 ISS Applications must compare favorably against a comparable peer group as determined by a third party benchmark, and improve annually until cost performance is within a reasonable range of best in class.

Target

The total cost of M&O for the core 16 ISS Applications must be within 20% of "peer average" costs determined by benchmarking, and be within 10% of the "top quartile" cost performance within 3 years, or alternatively, reduce costs by 10% every year until the costs are within 10% of "top quartile" cost performance.

Measurement Total M&O cost of core 16 applications

SLA Reporting PeriodBi-annually, starting at the first anniversary of Vendor via third party cost and quality benchmarking

SLR Measurement of Non-Compliance

If the cost targets are not within the desired range, DHS and Vendor will re-enter negotiations to achieve the desired range of costs compared to peers, and cost reduction goals are automatically applied on an annual basis until within the desired range of best in class cost performance.


SLR Description/ObjectiveCritical incidents must be addressed quickly to minimize the business impact of the incident (critical incident is defined as any high severity application issue for which no work around is available and users cannot perform their task)

O9-6 – Performance - Average Response Time for Non-Critical ISS Applications**

Note: planned uptime is 24X7 excluding DHS approved maintenance windows (these windows are exluded from both the "# of minutes of update during the reporting period" and "total planned uptime during the reporting period")

O9-5– Performance - Average Response Time for Critical ISS Applications**

O9-8 – Critical Incident Restoring of Service (break/fix)***



O9-7– Core 15 Applications M&O Cost (Applicable 12 months after the completion of the first cost benchmark on Vendor's first anniversary)




Services Level RequirementsTarget 95% of high severity incidents fixed within 24 hours

Measurement(number of high severity incidents fixed within 24 hours) / (total number of high severity incidents)

SLA Reporting Period MonthlySLR Measurement of Non-Compliance Per incident not fixed within 24 hours*** See the "Incident Priority" Tab for the prioritization criteria

Requirement MetProposed Penalties


SLR Description/Objective DHS needs to be aware of any security incidents as quickly as possible

TargetAll of notifications completed in less than 1 hours(all notifications shall occur as soon as possible)

Measurement Number of incidents not reported within 1 hourSLA Reporting Period MonthlySLR Measurement of Non-Compliance Per incident not reported within 1 hour



SLR Description/ObjectiveWhen changes are introduced to the system (e.g. new software is deployed) or processes (e.g. personnel changes involved in Disaster Recovery) the documentation (e.g. configuration management process, architecture) must be updated

Target 2 weeks

Measurement(Time the change is introduced) - (Time documentation is updated and updates approved)

SLA Reporting Period Per incidentSLR Measurement of Non-Compliance By day greater than target


SLR Description/ObjectiveThe ISS Applications leverages 3rd party software and when the vendor releases patches/fixes, the Vendor needs to apply these patches/fixes to the environment

TargetApply the patches to the production environment (aligned with DHS' release process) within 30 days of the vendor's release

Measurement(Date patch/fix is released to production) - (Date the vendor releases the patch/fix (unless prior approval))

SLA Reporting Period Per releaseSLR Measurement of Non-Compliance Days late



SLR Description/ObjectiveThe ISS Applications leverages 3rd party software and when the vendor releases critical patches/fixes, the Vendor needs to quickly apply critical patches/fixes to the environment

TargetApply the critical patches to the production environment (aligned with DHS' release process) within 5 days of the vendor's release

Measurement(Date critical patch/fix is released to production) - (Date the vendor releases the critical patch/fix (unless prior approval)

SLA Reporting Period Per releaseSLR Measurement of Non-Compliance Days late

Implement Enhancement Service Level Requirements


SLR Description/ObjectiveAfter DHS decides to enhance an ISS Application the Vendor must respond in a timely manner

O9-10 – Documentation Updates

O9-9 – Security Incidents Response Time

O9-11 – Response to Patches and Fixes

O9-12 – Response to Patches and Fixes - Critical Security Patches

O9-14 – DHS Enhancement Request Response Time



Services Level RequirementsTarget

Proposals/responses (including requirements, cost estimate and schedule) must be received within 15 working days

Measurement(Time DHS requests enhancements) - (time proposal is provided to DHS), unless pre-approved by DHS due to the scope

SLA Reporting Period Per requestSLR Measurement of Non-Compliance Days greater than target



SLR Description/ObjectiveTo avoid scheduling issues and potential end-user issues, all enhancements must be completed in alignment with proposed schedule

Target Enhancements deployed into production on schedule

Measurement (Date approved) - (planned production deployment date (captured in the proposal))

SLA Reporting Period per enhancement DDI effort

SLR Measurement of Non-Compliance per day the enhancement is deployed to production after the planned date

Procure Additional Services Service Level RequirementsRequirement Met

Proposed PenaltiesIf "Clarification" is selected in "Requirement Met" Column,


SLR Description/ObjectiveTo avoid costly delays the Vendor must provide quality staffing/team alternatives quickly

TargetStaffing/team alternatives that DHS deems qualified must be received within 10 days (unless formally agreed to by DHS)

Measurement(Time DHS approves additional services request) - (time alternatives are provided to DHS), unless pre-approved by DHS due to the scope

SLA Reporting Period per additional services request

SLR Measurement of Non-Compliance Days greater than target



SLR Description/Objective

DHS expects the Vendor to identify quality staff and teams to provide the additional services. DHS will incur significant costs if the proposed staff/team do/does not have the qualifications/skills required and/or they need to change the staff/team due to quality issues

Target No staff need to be replaced for the duration of the additional service request

Measurement Staff change required

SLA Reporting Period Per staff change

SLR Measurement of Non-Compliance # of staff changes required

IT Operations Support Service Level Requirements (DHS Optional)



SLR Description/ObjectiveCritical requests must be addressed quickly to minimize the business impact of the incident

Target 95% of requests are responded to within 2 hours

Measurement(number of critical requests responded to within 2 hours) / (total number of critical requests)

SLA Reporting Period MonthlySLR Measurement of Non-Compliance Percentage of transactions below target** See the "Incident Priority" Tab for the prioritization criteria



O9-16 – Response Timeliness

O9-17 – Quality of Services Provided

O9-19 – Service Desk Response Time - High Priority***

O9-18 – Service Desk Response Time - Critical Priority***

O9-15 – Delivery of Enhancements



Services Level RequirementsSLR Description/Objective

High priority incidents must be addressed quickly to minimize the business impact of the incident


Measurement(number of high priority requests responded to within 4 hours) / (total number of high priority requests)

SLA Reporting Period MonthlySLR Measurement of Non-Compliance Percentage of transactions below target** See the "Incident Priority" Tab for the prioritization criteria



SLR Description/ObjectiveMedium priority incidents must be addressed quickly to minimize the business impact of the incident


Measurement(number of medium priority requests responded to within 6 hours) / (total number of high priority requests)

SLA Reporting Period MonthlySLR Measurement of Non-Compliance Percentage of transactions below target*** See the "Incident Priority" Tab for the prioritization criteria



SLR Description/ObjectiveLow priority incidents must be addressed to ensure stakeholders are aware the incident is being addressed


Measurement(number of low priority requests responded to within 24 hours) / (total number of high priority requests)

SLA Reporting Period MonthlySLR Measurement of Non-Compliance Percentage of transactions below target*** See the "Incident Priority" Tab for the prioritization criteria



SLR Description/ObjectiveWhen changes are introduced to processes (e.g. personnel changes involved in Disaster Recovery) the documentation (e.g. configuration management process, DR Plan) must be updated

Target 2 weeks

Measurement(Time the change is introduced) - (Time documentation is updated and updates approved)

SLA Reporting Period Per incidentSLR Measurement of Non-Compliance By day greater than target

O9-20 – Service Desk Response Time - Medium Priority***

O9-21 – Service Desk Response Time - Low Priority***

O9-22 – Documentation Updates

Template T-7 ISS Requirements Approach

Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-7 – ISS Requirements Approach

- Confidential - 2 of 11

Table of Contents

1.0 Approach to Transitioning ISS Applications M&O ............................................. 3

2.0 Approach to Application Maintenance and Operations ..................................... 3

3.0 Approach to Modifications/Enhancements ......................................................... 4 3.1 Alignment with CMS’ Software Development Lifecycle ............................................. 4

4.0 Business Intelligence and Reporting Support Approach .................................. 5

5.0 Approach to Identify Additional Required Staff ................................................. 5

6.0 Approach to Continuous Improvement ............................................................... 5

7.0 Approach to Coordinating with DIS and other Vendors .................................... 6

8.0 Approach to Engagement Management and Quality Assurance ...................... 6

9.0 Approach to Information System Services Turn-Over ....................................... 7

10.0 Statement of Work................................................................................................. 7 10.1 ISS Deliverables ....................................................................................................... 7 10.2 Deliverables Expectations Document ....................................................................... 9

11.0 Value Added Services and Benefits .................................................................. 10 11.1 Lessons Learned .................................................................................................... 11 11.2 Issues, Challenges and Potential Risks .................................................................. 11

12.0 ISS Requirements Approach Assumptions ...................................................... 11



1.0 Approach to Transitioning ISS Applications M&O

<Response>

2.0 Approach to Application Maintenance and Operations

The ISS Applications are currently in production. During the initial phase of the Vendor’s engagement with DHS, the Vendor must take responsibility for the maintenance and operations of DHS from the incumbent vendor. This includes migrating the M&O of the ISS Applications and any projects that are in process and potentially transitioning elements of IT operations (e.g. Help Desk, IT process management and operations and ISS Applications operations). During this phase, the Vendor must onboard its required staff, perform all logistical activities to ensure the staff is productive (e.g. establishing an office, establishing connectivity to DHS’ systems, etc.), train staff on the DHS’ Applications and tools along with other activities to ensure a smooth transition from the incumbent vendor. The incumbent vendor will provide support and training to the Vendor and its team.

Instructions: Describe how the Vendor will perform the required transition responsibilities. The response should discuss the planned structure, staffing requirements (DHS, incumbent vendor and the Vendor by labor category and estimated hours), approach and the anticipated tasks required to ensure the transition occurs smoothly. For each task describe the type of resource required/skills, resourcing level/effort and include a justification for the staffing level. This is required to assist the State in understanding the vendor’s approach and level of effort for the transition.

The Vendor shall be responsible for the M&O of the ISS Applications supporting DHS’ business while DIS will be providing the infrastructure and will be maintaining, supporting and operating IT operational processes (assume DHS does not provision IT Operations Support from the Vendor).

Instructions: Describe how the Vendor will perform these tasks and coordinate with the DIS to ensure the application meets DHS’ SLRs. This should include a discussion of each of the following areas, and the challenges and approaches to overcome these challenges:

Capacity management

Performance management and system monitoring

Service desk, incident and problem management

User account administration

Security

Change and release management

Configuration management

Disaster recovery

Break-fix

Status/SLR reporting



<Response>

3.0 Approach to Modifications/Enhancements

<Response>

3.1 Alignment with CMS’ Software Development Lifecycle

<Response>

DHS anticipates modifications and/or enhancements will be required to the ISS Applications. These could range in priority and size. The Vendor will be responsible for managing the entire implementation lifecycle for these changes from receiving the request through successful deployment into the production environment (and training, if required).

Instructions: Describe the entire process required to convert a request into a deployed enhancement. Include a discussion regarding how the Vendor plans to schedule/bundle enhancements, how the process may change based on the size/complexity of any changes, staffing approach to support the potential for variable demand, touch points with DIS, any challenges envisioned and how the Vendor proposes overcoming these challenges. The response should include a description of the approach for the following:

Estimating costs

Defining/documenting the requirements

Detailed design

Configuration and development

Documentation management

Testing

Training

Deployment

Recently CMS has published a framework for systems development work, focused on Agile-like implementations (https://www.cms.gov/Research-Statistics-Data-and-Systems/CMS-Information-Technology/XLC/). DHS is not prescribing the Vendor follow an agile or waterfall methodology and recognizes both have advantages and disadvantages. This engagement, like all engagements has unique challenges. DHS expects the Vendor propose a methodology that will be effective at addressing these challenges.

Instructions: Describe how the Vendor’s methodology differs from CMS’ XLC system development lifecycle and explain how their methodology will be effective at addressing the unique challenges of this project.



4.0 Business Intelligence and Reporting Support Approach

<Response>

5.0 Approach to Identify Additional Required Staff The Vendor must provide additional staff throughout the Engagement to support implementing enhancements (Section 3.4.2 of the RFP), provision staff to support additional as-needed services (Section 3.4.4 of the RFP) and replace any staff that may leave the engagement.

Instructions: The Vendor should provide a description of its approach to identifying qualified resources to address specific Engagement staffing needs. This must include the entire process from engaging with DHS to understand the needs to the staff being integrated into the Vendor’s Engagement team. This must include the approach to identifying internal and sub-contractor resources. The Vendor’s answer should also discuss their approach to meeting the security services required at engagement initiation (Section 3.4.4.2)

<Response>

6.0 Approach to Continuous Improvement The Vendor must improve the efficiency and effectiveness of how M&O services and enhancements are delivered.

Instructions: The Vendor should provide a description of its approach to identifying opportunities for improvement and implementing these improvements.

<Response>

The Vendor must support the end users in developing reports, ad-hoc query tools and other data analytics solution alternatives

Instructions: Describe the approach the Vendor shall take to understand the business need and identify the best alternative to addressing the business need. This should include the approach to business analysis, defining the best solution and developing a solution that best meets the business users’ needs.

Additionally, the State is seeking business intelligence services utilizing an agile approach. This requires the Vendor to conduct problem solving, display user centered design approaches, demonstrate agile competencies and identify typical agile staffing roles that may be helpful to the State. The Vendor should provide a detailed description of how agile services will be handled for all requirements that are not yet fully defined.



7.0 Approach to Coordinating with DIS and other Vendors

<Response>

8.0 Approach to Engagement Management and Quality Assurance

<Response>

The Vendor shall be performing M&O on the ISS Applications while other vendors are developing applications which will integrate with the ISS Applications (e.g. MMIS and IE-BM vendors). In addition, DIS will be providing services on which the Vendor is dependent.

Instructions: Describe how the Vendor will coordinate with DIS and other vendors. Include an overview from multiple perspectives including infrastructure support, applications/software support and software enhancements. Include a discussion regarding the key touch points, team structure and management, maintenance of operational processes and processes required to establish support accountability. Include a discussion of the following subjects in the response:

Interfaces between applications

Architecture coordination

Documentation standards

System Performance and Monitoring

Operating system, application and database backup

The ISS Engagement SOW in the RFP (Section 3.6) captures the expectations regarding the Vendor. The Vendor must provide a team which has the skills required to perform the services outlined in Section 3.7 and to effectively manage the relationship.

Instructions: Describe the Vendor’s approach to managing the engagement to ensure quality services are provided and the SLRs are met. At a minimum, this should include a discussion of:

The Vendor’s approach to client management including any processes, tools and documentation

The Vendor’s approach to managing its customers, whether IT (e.g. other vendors, DHS IT) or non-IT end-users (DHS users and Clients)

The proposed M&O team structure and roles and responsibilities of each team member

Any previous experience with similar clients, the challenges faced and how these were overcome



9.0 Approach to Information System Services Turn-Over

<Response>

10.0 Statement of Work

10.1 ISS Deliverables The awarded Vendor must provide a Statement of Work that details the approach and activities to be performed to provide the services outlined in the RFP. The narrative for the Statement of Work must include a detailed description for each task/phase. The Statement of Work must also clearly define the intent, approach and provide assumptions on which the Statement of Work was developed.

For each deliverable, the Vendor must provide the following information:

Deliverable Description – Provide an overview of the deliverable and approach for successfully completing the Deliverable

Vendor Responsibilities – Provide a clear and concise narrative of Vendor responsibilities to perform the work for this deliverable

State Responsibilities – Provide a clear and concise narrative of what the Vendor expects from DHS to perform the work for this deliverable

Deliverable Timeline – Please include start and end dates

Instructions: Provide a Statement of Work including each of the Deliverables in Table 1, and any additional Vendor-proposed deliverables. Each deliverable should include at least the template in the Deliverable Response Template (Table 2). The Vendor must NOT include any pricing or pricing assumptions in this section. Replicate the template for each deliverable. Change only the cells containing “<Insert>”. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. List of Deliverables


Task 1 – ISS Transition Planning ISS-1 ISS Applications M&O Transition Plan Once

At the end of the contract, or before, ISS Applications M&O will need to be transitioned to another service provider or to DHS. The Vendor must provide assistance in this transition. The expectation is that the Vendor will provide all of the support required to transition the services they are performing to the new support organization without any adverse impacts to DHS stakeholders due to the transition.

Instructions: Describe the Vendor’s approach and critical success factors for providing turn-over support including planning activities, roles required, approach to communicating/interacting with the new support organization and DHS stakeholders, the inherent challenges and how the Vendor has overcome these challenges in the past.




Task 2 – ISS Transition Planning Transition Services

ISS-2 Transition Status Report Weekly during transition period

ISS-3 Assessment Report Annually

ISS-4 Applications M&O Plan Once

ISS-5 Completed Applications M&O Readiness Checklist Once

Task 3 – Provide M&O Services, Report Status and Assure Quality ISS-6

Monthly Status Report and Service Level Agreement Reporting

Monthly

Task 4 – Implement Enhancements (Application Development)

ISS-7 Enhancement Requirements and Cost Estimates Once per task order

ISS-8 Completed Enhancement Check-List Once per release

Task 5 – Support DHS’ Business Intelligence, Analytics and Reporting Needs

ISS-9 Business Intelligence and Reporting Support Once per month

Task 6 – Provisioning of Additional As-Needed Services ISS-10 Milestone Completion

Defined by Request for Additional Services

Task 7 – Turn-Over M&O Services

ISS-11 M&O Turn-Over Plan Updated as needed or requested by DHS

ISS-12 M&O Turn-Over Assessment Report


Task 8 – ISS IT Processes (Optional Deliverable)

ISS-13 IT Processes Transition Plan Once

ISS-14 Completed IT Process Readiness Checklist

Weekly during transition period

ISS-15 Monthly Status Report and Service Level Agreement Monthly

ISS-16 IT Process Turn-Over Plan Updated as needed or requested by DHS

ISS-17 IT Process Turn-Over Assessment Report


Table 2. Deliverable Response Template

ID – ISS-1 ISS Applications M&O Transition Plan Deliverable Description <Insert> Vendor Responsibilities <Insert>



Expectations for the State’s Responsibilities

<Insert>

Start End Timeline <Insert> <Insert> Duration <Insert> WBS ID#(s) <Insert> Reference (Section, Page Paragraph)

<Insert>

<Response>

10.2 Deliverables Expectations Document The Vendor will be required to prepare all deliverables based on a DED that will be written by the Vendor and approved by DHS prior to the Vendor starting any work on the deliverable. Once approved by DHS, the DED will be a tool used to monitor the Vendor’s work on the deliverable and to discuss the Vendor’s successful delivery of the deliverable as defined by the deliverable acceptance criteria.

No work may be performed on any deliverable until the associated DED has been approved in writing by DHS. As each deliverable is submitted, the Vendor must include a copy of the DED as the cover sheet.

Submission of DEDs for these deliverables will be evaluated as part of the Vendor’s Proposal but submission with a Proposal, or issuance of a Contract does not constitute acceptance of the DED.

Instructions: Provide DEDs for the following deliverables (see the RFP document for additional details), using the DED Template (Table 4). Replicate the template for each DED submitted. Change only the cells containing “<Insert>”. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 3. Deliverables for which the Vendor should complete a DED within the Proposal

Deliverable # Name of Deliverable

ISS-1 ISS Applications M&O Transition Plan

ISS-6 Monthly Status Report and Service Level Agreement Reporting

ISS-7 Enhancement Requirements and Cost Estimates Table 4. DED Template

Deliverable Expectations Document (DED) Deliverable Number: Title of Deliverable:

<Insert> <Insert>

Proposal Reference: Contract Reference: <Insert> <Leave Blank>



Frequency: Draft Submission Due: <Insert> <Leave Blank> State’s Draft Review and Comment Period: Final Submission Due:

<Leave Blank> <Leave Blank> Approval Required: Distribution: <Leave Blank> <Leave Blank> Vendor: Prepared by: Date Submitted: <Leave Blank> <Leave Blank> Date Submitted 2: Date Submitted 3: <Leave Bank> <Leave Blank> Phone Number: FAX: <Leave Blank> <Leave Blank> E-mail: <Leave Blank> Deliverable Acceptance Criteria – To be reviewed by DHS and Approved by the Project Director <Insert Proposed Format and Content Description for Each Required DED>

Department of Human Services Approval/Comments Approved by:

Date:

<Leave Blank> <Leave Blank> Signature: <Leave Blank> Comments: <Leave Blank>

11.0 Value Added Services and Benefits

<Response>

The Vendor may describe any services or deliverables that are not required by the RFP, and thus at no additional cost to DHS, but that the Vendor proposes to provide that will add value and further differentiate the Vendor from other bidders. The Vendor is not required to propose value-added benefits, but inclusion of such services may impact the Vendor’s overall evaluation.

Instructions: Please describe any value added services or deliverables the Vendor is including as part of its Proposal that is at no additional cost to DHS.



11.1 Lessons Learned

<Response>

11.2 Issues, Challenges and Potential Risks

<Response>

12.0 ISS Requirements Approach Assumptions Instructions: Document all assumptions related to this Response Template in Table 5. Add rows as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 5. ISS Requirements Approach Assumptions

ITEM #

REFERENCE (SECTION,

PAGE, PARAGRAPH)


1.

2.

3.

DHS learns from the experiences of others. The Vendor should describe what it sees as the success factors and primary challenges in managing and operating similar solutions.

Instructions: Please describe any “lessons learned” from the Vendor’s relevant experience and how those lessons learned will impact the Vendor’s approach to this engagement.

DHS is interested in any information that may help to identify issues, clarify the requirements, reduce risk of the procurement, and identify issues and challenges of managing and implementing the proposed Solution.

Instructions: Describe the primary concerns, risks, issues and recommendations for DHS as it proceeds with this SOW.

Template T-8 Work Plan

Response Template

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-8 – Work Plan

i

Table of Contents

1.0 ISS Application Transition Work Plan ................................................................. 1

2.0 Assumptions ......................................................................................................... 1


1

1.0 ISS Application Transition Work Plan The Vendor should submit a Work Plan to transition the maintenance and operations and enhancement development services from the incumbent vendor to the Vendor. This Work Plan will demonstrate that the Vendor has a thorough understanding of all activities required to seamlessly migrate the ISS Applications from the incumbent vendor to the Platform Vendor. DHS requires that the Vendor provide a schedule with the shortest duration while providing enough time to perform the knowledge transfer and other activities required to transition the services smoothly and without interruption to business operations.

The Work Plan should show all key elements including details with responsibilities, timelines, durations, milestone dates, deliverables, and Vendor personnel hours by deliverables during the Transition phase, State personnel hours, and all critical dependencies for the milestones and deliverables. The Work Plan may be an attachment to the Vendor’s Technical Proposal and tabbed as such in the submission as well as an electronic soft copy (Microsoft Project ® or equivalent and Adobe ® PDF) version in the Vendor’s electronic submission of the Technical Proposal.

All content should be formatted for effective viewing in hard and soft copy.

Instructions: Provide a Work Plan including at least:

High level Transition schedule (Microsoft Project® preferred and Adobe ® PDF) including all deliverables and milestones, and timeline for phased approach

A listing of what staff is assigned responsibility for each deliverable within the WBS to the level at which control will be exercised (i.e., DHS, incumbent vendor and Vendor staff)

Major milestones and target date(s) for each Transition milestone

Definition of the review processes for each milestone and deliverable and a description of how the parties will conduct communication and status review

Include or attach associated artifacts such as Gantt charts and flowcharts as appropriate.

<Response>

2.0 Assumptions Instructions: Document all assumptions related to this Response Template in the following Table. Add rows as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

ITEM #

REFERENCE (SECTION,

PAGE, PARAGRAPH)


1.

2.

3.


2

Template T-9 State of Arkansas Terms & Conditions of this RFP and

Any Resulting Contract Including Response Template

Instructions

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #:SP-17-0006 Template T-9 – Terms & Conditions of this RFP and Any Resulting Contract

i

Table of Contents

1.0 Instructions ............................................................................................................ 1

2.0 General Contractual Requirements ..................................................................... 1 2.1 General Information.................................................................................................. 1 2.2 Conditions of the Contract ........................................................................................ 2 2.3 Statement of Liability ................................................................................................ 2 2.4 Record Retention ..................................................................................................... 3 2.5 Price Escalation ....................................................................................................... 3 2.6 Confidentiality........................................................................................................... 3 2.7 Contract Interpretation .............................................................................................. 4 2.8 Cancellation ............................................................................................................. 4 2.9 Severability .............................................................................................................. 4 2.10 Background Checks ................................................................................................. 4 2.11 Vendor’s Acknowledgement of General Contractual Requirements .......................... 5

3.0 Standard Terms and Conditions .......................................................................... 6 3.1 Vendor’s Acknowledgement of Standard Terms and Conditions ............................ 13

4.0 Forms Required ................................................................................................... 14 4.1 Mandatory Forms Due at Proposal Submission ...................................................... 14 4.2 Mandatory Forms Due Prior to Contract Award ...................................................... 14

4.2.1 Vendor’s Commitment to Submit Forms Requirements ............................. 14

5.0 Clarifications ....................................................................................................... 15


1

1.0 Instructions The Vendor must review and sign Template T-9, “Terms & Conditions of this RFP and Any Resulting Contract” in multiple sections in order to note the Vendor’s acknowledgement of Mandatory Terms and Conditions and acknowledgement, intent of compliance

All signatures in this template are required to be wet signatures.

2.0 General Contractual Requirements Payment and Invoice Provisions

All invoices shall be forwarded to:

Arkansas Department of Human Services

Division of Medical Services

Financial Activities

PO Box 1437 Slot S416

Little Rock, AR 72203

Payment will be made in accordance with applicable State of Arkansas accounting procedures upon acceptance goods and services by the agency.

The State shall not be invoiced in advance of delivery and acceptance of any goods or services.

Payment will be made only after the vendor has successfully satisfied the agency as to the reliability and effectiveness of the goods or services purchased as a whole.

The vendor should invoice the agency by an itemized list of charges. The agency’s Purchase Order Number and/or the Contract Number should be referenced on each invoice.

Other sections of this Bid Solicitation may contain additional Requirements for invoicing.

Selected vendor must be registered to receive payment and future Bid Solicitation notifications. Vendors may register on-line at https://www.ark.org/vendor/index.html.

2.1 General Information The State shall not lease any equipment or software for a period of time which

continues past the end of a fiscal year unless the contract allows for cancellation by the State Procurement Official upon a 30 day written notice to the vendor/lessor in the event funds are not appropriated.

The State shall not contract with another party to indemnify and defend that party for any liability and damages.

The State shall not pay damages, legal expenses or other costs and expenses of any other party.

The State shall not continue a contract once any equipment has been repossessed.

Any litigation involving the State must take place in Pulaski County, Arkansas.

https://www.ark.org/vendor/index.html


2

The State shall not agree to any provision of a contract which violates the laws or constitution of the State of Arkansas.

The State shall not enter a contract which grants to another party any remedies other than the following:

The right to possession.

The right to accrued payments.

The right to expenses of deinstallation.

The right to expenses of repair to return the equipment to normal working order, normal wear and tear excluded.

The right to recover only amounts due at the time of repossession and any unamortized nonrecurring cost as allowed by Arkansas Law.

The laws of the State of Arkansas shall govern this contract.

A contract shall not be effective prior to award being made by a State Procurement Official.

In a contract with another party, the State will accept the risk of loss of the equipment or software and pay for any destruction, loss or damage of the equipment or software while the State has such risk, when:

The extent of liability for such risk is based upon the purchase price of the equipment or software at the time of any loss, and

The contract has required the State to carry insurance for such risk.

2.2 Conditions of the Contract The vendor shall at all times observe and comply with federal and State of Arkansas

laws, local laws, ordinances, orders, and regulations existing at the time of, or enacted subsequent to the execution of a resulting contract which in any manner affect the completion of the work.

The vendor shall indemnify and save harmless the agency and all its officers, representatives, agents, and employees against any claim or liability arising from or based upon the violation of any such law, ordinance, regulation, order or decree by an employee, representative, or subcontractor of the vendor.

2.3 Statement of Liability The State will demonstrate reasonable care but will not be liable in the event of loss,

destruction or theft of vendor-owned equipment or software and technical and business or operations literature to be delivered or to be used in the installation of deliverables and services. The vendor shall retain total liability for equipment, software and technical and business or operations literature. The State shall not at any time be responsible for or accept liability for any vendor-owned items.

The vendor’s liability for damages to the State shall be limited to the value of the Contract or $5,000,000, whichever is higher. The foregoing limitation of liability shall not apply to claims for infringement of United States patent, copyright, trademarks or trade secrets; to claims for personal injury or damage to property caused by the gross


3

negligence or willful misconduct of the vendor; to claims covered by other specific provisions of the Contract calling for damages; or to court costs or attorney’s fees awarded by a court in addition to damages after litigation based on the Contract. The vendor and the State shall not be liable to each other, regardless of the form of action, for consequential, incidental, indirect, or special damages. This limitation of liability shall not apply to claims for infringement of United States patent, copyright, trademark or trade secrets; to claims for personal injury or damage to property caused by the gross negligence or willful misconduct of the vendor; to claims covered by other specific provisions of the Contract calling for damages; or to court costs or attorney’s fees awarded by a court in addition to damages after litigation based on the Contract.

Language in these terms and conditions shall not be construed or deemed as the State’s waiver of its right of sovereign immunity. The vendor agrees that any claims against the State, whether sounding in tort or in contract, shall be brought before the Arkansas Claims Commission as provided by Arkansas law, and shall be governed accordingly.

2.4 Record Retention The vendor shall maintain all pertinent financial and accounting records and evidence

pertaining to the contract in accordance with generally accepted principles of accounting and as specified by the State of Arkansas Law. Upon request, access shall be granted to State or Federal Government entities or any of their duly authorized representatives.

Financial and accounting records shall be made available, upon request, to the State of Arkansas's designee(s) at any time during the contract period and any extension thereof, and for five (5) years from expiration date and final payment on the contract or extension thereof.

Other sections of this Bid Solicitation may contain additional Requirements regarding record retention.

2.5 Price Escalation Price increases will be considered at the time of contract renewal.

The vendor must provide to OSP a written request for the price increase. The request must include supporting documentation demonstrating that the increase in contract price is based on an increase in market price. OSP shall have the right to require additional information pertaining to the requested increase.

Increases shall not be considered to increase profit or margins.

OSP shall have the right to approve or deny the request.

2.6 Confidentiality The vendor, vendor’s subsidiaries, and vendor’s employees shall be bound to all laws

and to all Requirements set forth in this Bid Solicitation concerning the confidentiality and secure handling of information of which they may become aware of during the course of providing services under a resulting contract.

Consistent and/or uncorrected breaches of confidentiality may constitute grounds for cancellation of a resulting contract, and the State shall have the right to cancel the contract on these grounds.


4

Previous sections of this Bid Solicitation may contain additional confidentiality Requirements.

2.7 Contract Interpretation Should the State and vendor interpret specifications differently, either party may request

clarification. However if an agreement cannot be reached, the determination of the State shall be final and controlling.

2.8 Cancellation In the event the State no longer needs the service or commodity specified in the contract

or purchase order due to program changes, changes in laws, rules, or regulations, relocation of offices, or lack of appropriated funding. The State shall give the vendor written notice of cancellation, specifying the terms and the effective date of contact termination. The effective date of termination shall be 30 days from the date of notification, unless a longer timeframe is specified in the notification.

Upon default of a vendor, the State shall agree to pay only sums due for goods and services received and accepted up to cancellation of the contract.

2.9 Severability If any provision of the contract, including items incorporated by reference, is declared or

found to be illegal, unenforceable, or void, then both the agency and the vendor shall be relieved of all obligations arising under such provision. If the remainder of the contract is capable of performance, it shall not be affected by such declaration or finding and shall be fully performed.

2.10 Background Checks Because Supplier will have physical or logical access to DHS federal background check

information, Supplier agrees to enter into an Outsourcing Agreement found in the U.S. Department of Justice Criminal Justice Information Services (CJIS) Security Policy Section 5.1.1.7. This agreement will require Supplier to undergo training, implement certain policies and procedures, submit to periodic review by DHS, and maintain proper documentation.

Supplier shall supply background investigations conducted during the process of evaluating whether an individual is an appropriate candidate for a role that requires access to internal DHS IT systems. Background investigations are an important part of IT personnel security. Verifying the backgrounds of these individuals who will have access to DHS internal IT systems and data through background investigations increases the likelihood that these individuals will adhere to the agency’s IT security policies, standards, and procedures. This likelihood, in turn, facilitates the protection of agency IT systems and data commensurate with sensitivity and risk. The nature and scope of these background investigations will vary from role to role, within DHS.

Supplier further agrees to comply with all provisions of the relevant Authorized User’s then-current security procedures as are pertinent to Supplier’s operation and which have


5

been supplied to the Supplier by such Authorized User. Supplier Shall also comply with Ark. Code Ann. §§ 4-110-101 et esq. and all applicable federal, state and local laws and regulations. For any individual Authorized User location, security procedures may include but not be limited to: background checks, records verification, photographing, and fingerprinting of Suppliers’ employees or agents. Supplier may, at any time, be required to execute and complete, for each individual Supplier employee or agent, additional forms which may include non-disclosure agreements to be signed by Supplier’s employees or agents acknowledging that all Authorized User information with which such employees and agents come into contact while at the Authorized User site which confidential and proprietary. Any unauthorized release of proprietary or Personal inform by the supplier or an employee or agent of Supplier shall constitute a breach of its obligation under this Section and the Contract.

Supplier shall immediately notify DHS and Authorized User, if applicable, of any Breach of Unencrypted and Unredacted Personal Information, as those terms in Ark. Code Ann. § 4-110-101 and other personal identifying information such as insurance data or date of birth, provided by DHS or Authorized User to Supplier. Supplier shall provide DHS the opportunity to participate in the investigation of the Breach and to exercise control over reporting the unauthorized disclosure, to the extent permitted by law.

Because Supplier will have physical or logical access to DHS federal background check information, Supplier agrees to enter into an Outsourcing Agreement found in the U.S. Department of Justice Criminal Justice Information Services (CJIS) Security Policy Section 5.1.1.7. This agreement will require Supplier to undergo training, implement certain policies and procedures, submit to periodic review by DHS, and maintain proper documentation

2.11 Vendor’s Acknowledgement of General Contractual Requirements

Please provide a signature stipulating the Vendor’s acknowledgement of these General Contractual Requirements.

Print Name/Signature of Authorized Personnel Date


6

3.0 Standard Terms and Conditions GENERAL: Any special terms and conditions included in this solicitation shall override

these Standard Terms and Conditions. The Standard Terms and Conditions and any special terms and conditions shall become part of any contract entered into if any or all parts of the bid are accepted by the State of Arkansas.

ACCEPTANCE AND REJECTION: The State shall have the right to accept or reject all or any part of a bid or any and all bids, to waive minor technicalities, and to award the bid to best serve the interest of the State.

BID SUBMISSION: Original Proposal Packets must be submitted to the Office of State Procurement on or before the date and time specified for bid opening. The Proposal Packet must contain all documents, information, and attachments as specifically and expressly required in the Bid Solicitation. The bid must be typed or printed in ink. The signature must be in ink. Unsigned bids shall be disqualified. The person signing the bid should show title or authority to bind his firm in a contract. Multiple proposals must be placed in separate packages and should be completely and properly identified. Late bids shall not be considered under any circumstances.

PRICES: Bid unit price F.O.B. destination. In case of errors in extension, unit prices shall govern. Prices shall be firm and shall not be subject to escalation unless otherwise specified in the Bid Solicitation. Unless otherwise specified, the bid must be firm for acceptance for thirty days from the bid opening date. "Discount from list" bids are not acceptable unless requested in the Bid Solicitation.

QUANTITIES: Quantities stated in a Bid Solicitation for term contracts are estimates only, and are not guaranteed. Vendor must bid unit price on the estimated quantity and unit of measure specified. The State may order more or less than the estimated quantity on term contracts. Quantities stated on firm contracts are actual Requirements of the ordering agency.

BRAND NAME REFERENCES: Unless otherwise specified in the Bid Solicitation, any catalog brand name or manufacturer reference used in the Bid Solicitation is descriptive only, not restrictive, and used to indicate the type and quality desired. Bids on brands of like nature and quality will be considered. If bidding on other than referenced specifications, the bid must show the manufacturer, brand or trade name, and other descriptions, and should include the manufacturer's illustrations and complete descriptions of the product offered. The State shall have the right to determine whether a substitute offered is equivalent to and meets the standards of the item specified, and the State may require the vendor to supply additional descriptive material. The vendor shall guarantee that the product offered will meet or exceed specifications identified in this Bid Solicitation. Vendors not bidding an alternate to the referenced brand name or manufacturer shall be required to furnish the product according to brand names, numbers, etc., as specified in the solicitation.

GUARANTY: All items bid shall be newly manufactured, in first-class condition, latest model and design, including, where applicable, containers suitable for shipment and storage, unless otherwise indicated in the Bid Solicitation. The vendor hereby guarantees that everything furnished hereunder shall be free from defects in design, workmanship and material, that if sold by drawing, sample or specification, it shall


7

conform thereto and shall serve the function for which it was furnished. The vendor shall further guarantee that if the items furnished hereunder are to be installed by the vendor, such items shall function properly when installed. The vendor shall guarantee that all applicable laws have been complied with relating to construction, packaging, labeling and registration. The vendor's obligations under this paragraph shall survive for a period of one year from the date of delivery, unless otherwise specified herein.

SAMPLES: Samples or demonstrators, when requested, must be furnished free of expense to the State. Each sample should be marked with the vendor's name and address, bid or contract number and item number. If requested, samples that are not destroyed during reasonable examination will be returned at vendor's expense. After reasonable examination, all demonstrators will be returned at vendor’s expense.

TESTING PROCEDURES FOR SPECIFICATIONS COMPLIANCE: Tests may be performed on samples or demonstrators submitted with the bid or on samples taken from the regular shipment. In the event products tested fail to meet or exceed all conditions and Requirements of the specifications, the cost of the sample used and the reasonable cost of the testing shall be borne by the vendor.

AMENDMENTS: Vendor’s proposals cannot be altered or amended after the bid opening except as permitted by regulation.

TAXES AND TRADE DISCOUNTS: Do not include State or local sales taxes in the bid price. Trade discounts should be deducted from the unit price and the net price should be shown in the bid.

AWARD: Term Contract: A contract award will be issued to the successful vendor. It results in a binding obligation without further action by either party. This award does not authorize shipment. Shipment is authorized by the receipt of a purchase order from the ordering agency. Firm Contract: A written State purchase order authorizing shipment will be furnished to the successful vendor.

DELIVERY ON FIRM CONTRACTS: This solicitation shows the number of days to place a commodity in the ordering agency's designated location under normal conditions. If the vendor cannot meet the stated delivery, alternate delivery schedules may become a factor in an award. The Office of State Procurement shall have the right to extend delivery if reasons appear valid. If the date is not acceptable, the agency may buy elsewhere and any additional cost shall be borne by the vendor.

DELIVERY REQUIREMENTS: No substitutions or cancellations are permitted without written approval of the Office of State Procurement. Delivery shall be made during agency work hours only 8:00 a.m. to 4:30 p.m. Central Time, unless prior approval for other delivery has been obtained from the agency. Packing memoranda shall be enclosed with each shipment.

STORAGE: The ordering agency is responsible for storage if the contractor delivers within the time required and the agency cannot accept delivery.

DEFAULT: All commodities furnished shall be subject to inspection and acceptance of the ordering agency after delivery. Back orders, default in promised delivery, or failure to meet specifications shall authorize the Office of State Procurement to cancel this contract or any portion of it and reasonably purchase commodities elsewhere and charge full increase, if any, in cost and handling to the defaulting contractor. The contractor must give written notice to the Office of State Procurement and ordering agency of the reason and the expected delivery date. Consistent failure to meet delivery


8

without a valid reason may cause removal from the vendors list or suspension of eligibility for award.

VARIATION IN QUANTITY: The State assumes no liability for commodities produced, processed or shipped in excess of the amount specified on the agency's purchase order.

INVOICING: The contractor shall be paid upon the completion of all of the following: (1) submission of an original and the specified number of copies of a properly itemized invoice showing the bid and purchase order numbers, where itemized in the Bid Solicitation, (2) delivery and acceptance of the commodities and (3) proper and legal processing of the invoice by all necessary State agencies. Invoices must be sent to the "Invoice To" point shown on the purchase order.

STATE PROPERTY: Any specifications, drawings, technical information, dies, cuts, negatives, positives, data or any other commodity furnished to the contractor hereunder or in contemplation hereof or developed by the contractor for use hereunder shall remain property of the State, shall be kept confidential, shall be used only as expressly authorized, and shall be returned at the contractor's expense to the F.O.B. point provided by the agency or by OSP. Vendor shall properly identify items being returned.

PATENTS OR COPYRIGHTS: The contractor shall indemnify and hold the State harmless from all claims, damages and costs including attorneys' fees, arising from infringement of patents or copyrights.

ASSIGNMENT: Any contract entered into pursuant to this solicitation shall not be assignable nor the duties thereunder delegable by either party without the written consent of the other party of the contract.

CLAIMS: Any claims the Contractor may assert under this Agreement shall be brought before the Arkansas State Claims Commission (“Commission”), which shall have exclusive jurisdiction over any and all claims that the Contactor may have arising from or in connection with this Agreement. Unless the Contractor’s obligations to perform are terminated by the State, the Contractor shall continue to provide the Services under this Agreement even in the event that the Contractor has a claim pending before the Commission.

CANCELLATION: In the event the State no longer needs the commodities or services specified for any reason, (e.g., program changes; changes in laws, rules or regulations; relocation of offices; lack of appropriated funding, etc.), the State shall have the right to cancel the contract or purchase order by giving the vendor written notice of such cancellation thirty (30) days prior to the date of cancellation.

Any delivered but unpaid for goods will be returned in normal condition to the contractor by the State. If the State is unable to return the commodities in normal condition and there are no funds legally available to pay for the goods, the contractor may file a claim with the Arkansas Claims Commission under the laws and regulations governing the filing of such claims. If upon cancellation the contractor has provided services which the State has accepted, the contractor may file a claim. NOTHING IN THIS CONTRACT SHALL BE DEEMED A WAIVER OF THE STATE’S RIGHT TO SOVEREIGN IMMUNITY.

DISCRIMINATION: In order to comply with the provision of Act 954 of 1977, relating to unfair employment practices, the vendor agrees that: (a) the vendor shall not discriminate against any employee or applicant for employment because of race, sex, color, age, religion, handicap, or national origin; (b) in all solicitations or advertisements


9

for employees, the vendor shall state that all qualified applicants shall receive consideration without regard to race, color, sex, age, religion, handicap, or national origin; (c) the vendor will furnish such relevant information and reports as requested by the Human Resources Commission for the purpose of determining compliance with the statute; (d) failure of the vendor to comply with the statute, the rules and regulations promulgated thereunder and this nondiscrimination clause shall be deemed a breach of contract and it may be cancelled, terminated or suspended in whole or in part; (e) the vendor shall include the provisions of above items (a) through (d) in every subcontract so that such provisions shall be binding upon such subcontractor or vendor.

CONTINGENT FEE: The vendor guarantees that he has not retained a person to solicit or secure this contract upon an agreement or understanding for a commission, percentage, brokerage or contingent fee, except for retention of bona fide employees or bona fide established commercial selling agencies maintained by the vendor for the purpose of securing business.

ANTITRUST ASSIGNMENT: As part of the consideration for entering into any contract pursuant to this solicitation, the vendor named on the Submission Cover Sheet (Template T-1, Cover Letter and Executive Summary) for this solicitation, acting herein by the authorized individual or its duly authorized agent, hereby assigns, sells and transfers to the State of Arkansas all rights, title and interest in and to all causes of action it may have under the antitrust laws of the United States or this State for price fixing, which causes of action have accrued prior to the date of this assignment and which relate solely to the particular goods or services purchased or produced by this State pursuant to this contract.

DISCLOSURE: Failure to make any disclosure required by Governor's Executive Order 98-04, or any violation of any rule, regulation, or policy adopted pursuant to that order, shall be a material breach of the terms of this contract. Any contractor, whether an individual or entity, who fails to make the required disclosure or who violates any rule, regulation, or policy shall be subject to all legal remedies available to the agency.

SOFTWARE AND OWNERSHIP RIGHTS: The State of Arkansas will have all ownership rights in any completed system including all software or modifications thereof and associated materials, work products, data, models, forms, source code, procedures, manuals, system descriptions, workflows, and other Intellectual Property developed by the Vendor(s) under this RFP and any resulting contract, with the exception of proprietary operating/vendor software packages which are provided at established catalog or market prices and sold or leased to the general public. All agencies of the federal government shall have a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use and to authorize others to use for Federal Government purposes, such software, modifications, and documentation in accordance with 45 CFR 95.617 and 45 CFR 95 Subpart F.

The State of Arkansas reserves the right to use any and all ideas presented in a proposal unless the respondent presents a valid legal case that such ideas are trade secret or confidential information, and identifies the information as such in its proposal. A respondent may not object to the use of ideas that are not the respondent‘s intellectual property and so designated in the proposal that: (1) were known to State of Arkansas before the submission of the proposal, (2) were in the public domain through no fault of State of Arkansas, or (3) became properly known to State of Arkansas after proposal submission through other sources or through acceptance of the proposal


10

FNS REQUIRED FEDERAL PROVISIONS: The Implementation contractor must comply with the following Federal provisions:

1. Executive Order 11246, entitled “Equal Employment Opportunity,” as amended by Executive Order 11375, and as supplemented by the Department of Labor Regulations (41 CFR Part 60): The Executive Order prohibits federal contractors and federally-assisted construction contractors and subcontractors who do over $10,000 in Government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, or national origin. The Executive Order also requires Government contractors to take affirmative action to ensure that equal opportunity is provided in all aspects of their employment.

2. The Clean Air Act, Section 306:

a. No Federal agency may enter into any contract with any person who is convicted of any offense under section 113(c) for the procurement of goods, materials, and services to perform such contract at any facility at which the violation which gave rise to such conviction occurred if such facility is owned, leased, or supervised by such person. The prohibition in the preceding sentence shall continue until the Administrator certifies that the condition giving rise to such a conviction has been corrected. For convictions arising under section 113(c)(2), the condition giving rise to the conviction also shall be considered to include any substantive violation of this Act associated with the violation of 113(c)(2). The Administrator may extend this prohibition to other facilities owned or operated by the convicted person.

b. The Administrator shall establish procedures to provide all Federal agencies with the notification necessary for the purposes of subsection (a).

c. In order to implement the purposes and policy of this Act to protect and enhance the quality of the Nation's air, the President shall, not more than 180 days after enactment of the Clean Air Amendments of 1970 cause to be issued an order (1) requiring each Federal agency authorized to enter into contracts and each Federal agency which is empowered to extend Federal assistance by way of grant, loan, or contract to effectuate the purpose and policy of this Act in such contracting or assistance activities, and (2) setting forth procedures, sanctions, penalties, and such other provisions, as the President determines necessary to carry out such requirement.

d. The President may exempt any contract, loan, or grant from all or part of the provisions of this section where he determines such exemption is necessary in the paramount interest of the United States and he shall notify the Congress of such exemption.

e. The President shall annually report to the Congress on measures taken toward implementing the purpose and intent of this section, including but not limited to the progress and problems associated with implementation of this section. [42 U.S.C. 7606]

3. The Clean Water Act:

a. No Federal agency may enter into any contract with any person who has been convicted of any offense under Section 309(c) of this Act for the procurement of goods, materials, and services if such contract is to be performed at any facility


11

at which the violation which gave rise to such conviction occurred, and if such facility is owned, leased, or supervised by such person. The prohibition in preceding sentence shall continue until the Administrator certifies that the condition giving rise to such conviction has been corrected.

b. The Administrator shall establish procedures to provide all Federal agencies with the notification necessary for the purposes of subsection (a) of this section.

c. In order to implement the purposes and policy of this Act to protect and enhance the quality of the Nation’s water, the President shall, not more than 180 days after the enactment of this Act, cause to be issued an order:

(1) requiring each Federal agency authorized to enter into contracts and each Federal agency which is empowered to extend Federal assistance by way of grant, loan, or contract to effectuate the purpose and policy of this Act in such contracting or assistance activities, and

(2) setting forth procedures, sanctions, penalties, and such other provisions, as the President determines necessary to carry out such requirement.

d. The President may exempt any contract, loan, or grant from all or part of the provisions of this section where he determines such exemption is necessary in the paramount interest of the United States and he shall notify the Congress of such exemption.

e. The President shall annually report to the Congress on measures taken in compliance with the purpose and intent of this section, including, but not limited to, the progress and problems associated with such compliance.

f. (1) No certification by a contractor, and no contract clause, may be required in the case of a contract for the acquisition of commercial items in order to implement a prohibition or requirement of this section or a prohibition or requirement issued in the implementation of this section.

(2) In paragraph (1), the term “commercial item” has the meaning given such term in section 4(12) of the Office of Federal Procurement Policy Act (41 U.S.C. 403(12)).

4. The Anti-Lobbying Act: This Act prohibits the recipients of federal contracts, grants, and loans from using appropriated funds for lobbying the Executive or Legislative Branches of the federal government in connection with a specific contract, grant, or loan. As required by Section 1352, Title 31 of the U.S. Code and implemented at 34 CFR Part 82 for persons entering into a grant or cooperative agreement over $100,000, as defined at 34 CFR Part 82, Section 82.105 and 82.110, the applicant certifies that:

a. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the making of any federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal grant or cooperative agreement;


12

b. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Confess in connection with this federal grantor o cooperative agreement, the undersigned shall complete and submit Standard Form – LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions;

c. The undersigned shall require that the language of this certification be include in the award documents for all sub-awards at all tiers (including sub-grants, contracts under grants and cooperative agreements, and subcontracts) and that all sub-recipients shall certify and disclose accordingly.

5. Americans with Disabilities Act: This Act (28 CFR Part 35, Title II, Subtitle A) prohibits discrimination on the basis of disability in all services, programs, and activities provided to the public by State and local governments, except public transportation services.

6. Drug Free Workplace Statement: The Federal government implemented the Drug Free Workplace Act of 1988 in an attempt to address the problems of drug abuse on the job. It is a fact that employees who use drugs have less productivity, a lower quality of work, and a higher absenteeism, and are more likely to misappropriate funds or services. From this perspective, the drug abuser may endanger other employees, the public at large, or themselves. Damage to property, whether owned by this entity or not, could result from drug abuse on the job. All these actions might undermine public confidence in the services this entity provides. Therefore, in order to remain a responsible source for government contracts, the following guidelines have been adopted:

a. The unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited in the work place.

b. Violators may be terminated or requested to seek counseling from an approved rehabilitation service.

c. Employees must notify their employer of any conviction of a criminal drug statue no later than five days after such conviction.

d. Although alcohol is not a controlled substance, it is nonetheless a drug. It is the policy of the Arkansas Department of Health WIC Program that abuse of this drug will also not be tolerated in the workplace.

e. Contractors of federal agencies are required to certify that they will provide drug-free workplaces for their employees.

7. Debarment, suspension, and other responsibility matters: As required by Executive Order 12549, Debarment and Suspension, and implemented at 34 CFR Part 85, for prospective participants in primary covered transactions, as defined at 34 CFR Part 85, Sections 85.105 and 85.110.

a. The applicant certifies that it and its principals:

(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency;


13

(2) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

(3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and

(4) Have not within a three-year period preceding this application had one or more public transactions (federal, state, or local) terminated for cause or default.

b. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.

8. The federal government reserves a royalty-free, non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use, for federal government purposes, the copyright in any work developed under a grant, sub-grant, or contract under a grant or sub-grant or any rights of copyright to which a contractor purchases ownership.

3.1 Vendor’s Acknowledgement of Standard Terms and Conditions

Please provide a signature stipulating the Vendor’s acknowledgement of these Terms & Conditions. Print Name/Signature of Authorized Personnel Date


14

4.0 Forms Required The below listed forms which the Vendor must submit as part of the Proposal and the Contract award process. The actual Forms are available in the Procurement Library in an editable format.

4.1 Mandatory Forms Due at Proposal Submission The Mandatory forms due at proposal submission must completed and included as part of the Vendor’s proposal. The table below lists all of the mandatory forms which must be submitted as part of the Vendor’s proposal. The Vendor must complete each of the forms and provide a copy below the table.

The Vendor must complete submitted as directed with wet signatures.

FORM ID FORM NAME COMMENTS

Proposed Subcontractor’s Form

See Section 2.3.2 of the RFP. The form is located in the Procurement Library and on the OSP Website

EO-98-04 Disclosure Form

See Section 2.5.17 of the RFP. The form is located in the Procurement Library and on the OSP Website.

Copy of Vendor’s Equal Opportunity Policy

See Section 2.5.9 of the RFP.

Voluntary Product Accessibility Template (VPAT)

See Section 2.5.12 of the RFP.

<Vendors to provide images of each required form>

4.2 Mandatory Forms Due Prior to Contract Award The table below lists the forms which will be required after proposal submission but before contract award.

FORM ID FORM NAME COMMENTS

Illegal Immigrant’s Certification

See Section 2.5.10 of the RFP. The Vendor must certify online at www.arkansas.gov/dfa/procurement

Vendor Registration

In order to receive payment under any contract award, Vendor must register with DFA online at https://www.ark.org/vendor/index.html

4.2.1 Vendor’s Commitment to Submit Forms Requirements

Please provide a signature stipulating the Vendor’s commits to submit all required Forms listed in Section 4.2. Print Name/Signature of Authorized Personnel Date

http://www.arkansas.gov/dfa/procurement

https://www.ark.org/vendor/index.html


15

5.0 Clarifications The Vendor may provide in the Table clarifications to requirements or terms in this RFP or may state “No Clarifications.” If no Proposal Clarifications Summary Form is included, the Vendor is indicating that it provided no clarification to any item in this RFP document. If clarifications are not noted in the RFP but raised during contract negotiations, OSP and DHS reserve the right to cancel the negotiation. OSP and DHS reserve the right to reject any Proposals, including those with clarifications, prior to and at any time during negotiations.

1. Unless specifically disallowed on any specification herein, the Vendor may provide clarification to any point within Section 3 of the main RFP or Template 6, including a specification denoted as mandatory, as long as the following are true:

a. The specification is not a matter of State law;

b. The Proposal still meets the intent of the RFP;

c. A Proposal Clarifications Summary Form is included with Vendor’s Proposal; and

d. The clarification is clearly explained, along with any alternative or substitution the Vendor proposes to address the intent of the specification on the Proposal Clarifications Summary Form. Clarifications shall not be allowed for any other section or template corresponding to this RFP.

2. The Vendor has no obligation to provide items to which a clarification has been taken. OSP and DHS have no obligation to accept any clarification. During the proposal evaluation and/or contract negotiation process, the Vendor and OSP and DHS will discuss each clarification and take one (1) of the following actions:

a. The Vendor will withdraw the clarification and meet the specification in the manner prescribed;

b. OSP and DHS will determine that the clarification neither poses significant risk to the Engagement nor undermines the intent of the RFP and will accept the clarification;

c. OSP, DHS and the Vendor will agree on compromise language dealing with the clarification and will insert same into the Contract; or,

d. None of the above actions is possible, and OSP and DHS either disqualifies the Vendor’s Proposal or withdraws the award and proceeds to the next ranked Vendor.

3. Should OSP, DHS and the Vendor reach a successful agreement, DHS will sign adjacent to each clarification which is being accepted or submit a formal written response to the Proposal Clarifications Summary responding to each of the Vendor’s clarification. The Proposal Clarifications Summary, with those clarifications approved by DHS, will become a part of any Contract on acquisitions made under this RFP.

4. A clarification will be accepted or rejected at the sole discretion of OSP and DHS.

5. OSP and DHS desire to award this RFP to a Vendor with whom there is a high probability of establishing a mutually agreeable Contract. As such, Vendors whose Proposals reflect a substantial number of material clarifications to this RFP may place


16

themselves at a comparative disadvantage in the evaluation process or risk disqualification of their proposals.

Instructions: In the following table, list and clearly explain any exceptions for all RFP Sections, Supplements and Exhibits. Add rows as appropriate. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. Proposal Clarifications Summary Form

RFP REFERENCE VENDOR PROPOSAL REFERENCE

BRIEF EXPLANATION OF CLARIFICATION

(Reference specific point to which clarification is needed)

(Page, section, items in Vendor’s Proposal where clarification is explained)

(Short description of clarification being made)

1. 2.

Template T-10 RFP Response Checklist

RFP #: SP-17-0006

State of Arkansas Department of Human Services Information Support Services RFP #: SP-17-0006 Template T-10 – RFP Response Checklist

i

Table of Contents

1.0 Vendor Response Checklist ................................................................................. 1

2.0 Vendor Attachments ............................................................................................. 2

List of Tables Table 1. Vendor General Requirements............................................................................... 1

Table 2. Vendor Package 1 Checklist .................................................................................. 1

Table 3. Vendor Package 2 Checklist .................................................................................. 2

Table 4. Vendor Attachment Checklist ................................................................................. 2


1

1.0 Vendor Response Checklist The Vendor should complete the following Tables to verify that all the RFP response requirements have been completed as instructed. The Vendor should provide specific references to Proposal locations (e.g., section and page numbers) for each Template included. During the evaluation process, OSP will perform an initial review of the Proposals to confirm these are included. If the items identified in this checklist are not included, the Proposal may be disqualified.

Instructions: Complete the following Table. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 1. Vendor General Requirements

PROPOSAL RESPONSE ITEM COMPLETED AND

PROVIDED AS INSTRUCTED?

Vendor’s Proposal’s stamped date meets date and time specified in the RFP YES NO

Proposal is sealed YES NO Technical Proposal and Cost Proposal are sealed in separate envelopes or boxes within the “Sealed Bid.” Each Proposal should be clearly marked “Technical Proposal” or “Cost Proposal”

YES NO

Minimum Mandatory Requirements – The Vendor has documented proof that it meets the minimum mandatory requirements outlined in the RFP. YES NO

Table 2. Vendor Package 1 Checklist

SECTION / TEMPLATE PROPOSAL RESPONSE ITEM

COMPLETED AND PROVIDED AS INSTRUCTED?

REFERENCE TO

PROPOSAL RESPONSE SECTION

T-1 Cover Letter and Executive Summary YES NO

T-2 Vendor Experience YES NO

T-3 Vendor References YES NO

T-4 Vendor Project Organization and Staffing YES NO

T-5 Staff Experience YES NO

T-6 ISS Requirements YES NO

T-7 ISS Requirements Approach YES NO

T-8 Work Plan YES NO

T-9 Terms and Conditions YES NO

T-9 Proposed Subcontractor’s Form YES NO

T-9 Disclosure Form YES NO


2



REFERENCE TO


T-9 EEO Policy YES NO

T-9 VPAT YES NO

T-10 RFP Response Checklist YES NO

Table 3. Vendor Package 2 Checklist



REFERENCE TO


C-1 Cost Workbook YES NO

2.0 Vendor Attachments The Vendor should identify all attachments that are part of the Technical or Cost Proposals. The Vendor should provide specific references to Proposal locations (e.g., section and page numbers) for each attachment included. All attachments must be included in both soft and hard Proposal copies.

Instructions: Complete the following Table with any attachments to the Technical or Cost Proposals. Add rows as necessary. Do not change any of the completed cells. Any changes to the completed cells could lead to the disqualification of the Proposal.

Table 4. Vendor Attachment Checklist

ATTACHMENT ID ATTACHMENT NAME ATTACHMENT

PROVIDED?

REFERENCE TO


YES NO

YES NO

YES NO

YES NO

YES NO

YES NO

SP-17-0006 Procurement Library The DHS Procurement Library can be found here: http://humanservices.arkansas.gov/Pages/procurementDetails.aspx?show=513

http://humanservices.arkansas.gov/Pages/procurementDetails.aspx?show=513

of 2 STATE OF ARKANSAS

OFFICE OF STATE PROCUREMENT 1509 West 7th Street, Room 300 Little Rock, Arkansas 72201-4222

ADDENDUM 1 TO: Vendors Addressed FROM: Stephanie Cellers, Buyer DATE: 01/11/2017 SUBJECT: SP-17-0006 Information Support Services

The following change(s) to the above-referenced RFP have been made as designated below:

x Change of specification(s) Additional specification(s) Change of bid opening time and date Cancellation of bid Other

LOI AND BID OPENING DATE AND TIME

• Deadline for interested vendors to submit a non-binding Letter of Intent (LOI) to submit a proposal has changed to

January 18, 2017.

• Bid opening date and time shall remain unchanged.

CHANGE OF SPECIFICATIONS • Delete Table 1 and replace with the following:

Table 1. Milestones and Due Dates Milestone Date Notice of Intent to Release the RFP Nov. 1, 2016 Pre-Proposal Conference Nov. 7, 2016 Questions Due Nov. 21, 2016 State’s Responses to Vendor Questions (anticipated) Jan. 3, 2017 Release of the Final RFP (anticipated) Jan. 3, 2017 Letter of Intent to Submit a Proposal Due Jan. 18, 2017 Proposals Due (Date / Time) Feb. 2, 2017 Oral Presentations (anticipated) Mar.6, 2017 Notice of Award (anticipated) Apr. 17, 2017 Contract Start Date (anticipated) Jul 1, 2017

SP-17-0006 ADDENDUM 1 Page 2 of 2

• Delete Figure 5 and replace with the following:

Figure 5. Current Northrop Grumman Team Structure

The specifications by virtue of this addendum become a permanent addition to the above referenced RFP. Failure to return this signed addendum may result in rejection of your proposal. If you have any questions please contact Stephanie Cellers at [email protected] or (501) 371-6065. Company: Signature: Date:






BID OPENING DATE AND TIME • Bid opening date and time shall remain unchanged.

CHANGE OF SPECIFICATIONS • Delete 5.1.3 Issuance of Contract and replace with the following:

Any resultant contract of this Bid Solicitation shall be subject to State approval processes which may include Legislative review. The resultant Contract must also be reviewed and approved by the State’s Federal Partners. A State Procurement Official will be responsible for award and administration of any resulting contract.

The specifications by virtue of this addendum become a permanent addition to the above referenced RFP. Failure to return this signed addendum may result in rejection of your proposal. If you have any questions please contact Stephanie Cellers at [email protected] or (501) 371-6065. Company: Signature: Date:







BID OPENING DATE AND TIME • Bid opening date and time shall remain unchanged.

CHANGE OF SPECIFICATIONS • Delete 1.1 Introduction and replace with the following:

This Request for Proposal (RFP) is issued by the Arkansas Office of State Procurement (OSP) for the Department of Human Services (DHS) to obtain bids for Information Support Services (ISS). Arkansas DHS serves over 1.2 million citizens with an annual operating budget of $8 billion. The department is the largest payer of Medicaid services in Arkansas with more than $5.1 billion in State and Federal Medicaid dollars being paid to approximately 12,000 providers across the State in fiscal year 2014. The current DHS Information Support Services (ISS) contract with Northrop Grumman Corporation Information Technology is a fixed price and fixed rate deliverables-based professional services contract that will conclude its term in June 30, 2017. The new contract will encompass the following areas: Application Maintenance and Operations (M&O) for approximately 200 legacy applications

Application enhancements and development to increase efficiency and effectiveness for the supported programs

Management of the Enterprise Data Warehouse (EDW) technology platform currently in place and related BI solution development, as needed

Provision of resources with specialized skills required to address specific DHS needs ranging from staff augmentation to developing new applications on emerging technology

In addition, this contract includes a component for DHS to optionally contract for various IT infrastructure services (ITIL services) including help desk, change and release managements, network managements, performance managements, etc. to complement the current DIS services while they are strengthening the capacity and skills.

SP-17-0006 ADDENDUM 3 Page 2 of 2 The specifications by virtue of this addendum become a permanent addition to the above referenced RFP. Failure to return this signed addendum may result in rejection of your proposal. If you have any questions please contact Stephanie Cellers at [email protected] or (501) 371-6065. Company: Signature: Date:


Final Q&A SP-17-0006 1 of 19

State of Arkansas Department of Human Services

Information Support Services RFP

RFP #: SP-17-0006

Question ID

RFP Reference (page number, section number, paragraph) Specific RFP Language Question Response to Vendor

1Page 6, Section 1.1Page 57, Section 3.4.1

Page 7, Section 1.1The new contract will encompass the following areas:1. Application Maintenance and Operations (M&O) for the 300-350 legacy applicationsPage 58, Section 3.4.1As discussed in Section 3.2.2, DHS currently has approximately 200 applications for which the Vendor will perform M&O services.

As per Section 3.4.1(Application M&O Scope), it is mentioned that DHS currently has approximately 200 applications for which the Vendor will perform M&O services. However, in Section 1.1, the RFP mentions that there are 300-350 applications for which M&O is required.Request the State to clarify how many applications are required to be supported for this RFP "200" or "300-350"?

The number of applications required to support within the scope of the RFP are approximately 200 applications. This update has been reflected in the RFP text in Section 1.1 and 3.1.1.

2Page 8, Table 1. Milestones and Due Dates, Section 1.4 Procurement Schedule

The RFP states that the Contract Start Date is anticipated to be June 15, 2017.

A June 15, 2017 contract start date would only allow for a 2-week transition to a new vendor. Projects of similar size and complexity typically require at least a 6 month transition period. As such, we respectfully request a 6 month transition period be incorporated into the final RFP schedule. Currently, only the incumbent would be capable of transitioning to a new program within two weeks.

Existing contractor is obligated in every possible way to insure no interruption or reduction in data processing functions of DHS business or operations that are the subject of this contract and transition to DHS of the DHS properties will cause no harm to the business of DHS. DHS will negotiate any needed contract extension to meet the needed transition period upon awarding the contract. An update has been made to the RFP text in Table 14.

3 Page 11, Section 1.5.1.1.

In State fiscal year 2014, OST employed 37 State employees to directly manage the major outsourcing ISS contract, supporting various areas including development, support, and maintenance as well as project and vendor management.

Please provide a copy of the current Northrup Grumman ISS contract including amendments to the contract.

This information is not necessary for Vendors to submit a proposal. All relevant information regarding the scope are part of the RFP and procurement library

Final Q&A SP-17-0006 2 of 19

Question ID


4 Page 15, Section 2.1.2Vendors who do not attend the Pre-Proposal Conference will be disqualified from submitting a Proposal

Please provide a list of all companies that attended the pre-proposal conference. Please find this information in the updated Procurement Library.

5 Page 17, Section 2.3.2The sub-contractor form is further described in Template T-9. A fillable PDF is located in the procurement library and on the OSP website.

Fillable PDF is not available in Template T-9 and/or procurement library. Could the State please recheck and provide the requisite sub-contractor form?

An update has been made in the RFP text in Section 2.3.2 and Section 4.1 of T-9. The information is available in the Procurement Library.

6 Page 17, Section 2.3.2.1

If the Vendor’s Key Personnel includes the use of subcontractors, it is strongly preferred that the Prime Vendor complete a minimum of 60% of the work, as defined in this procurement.

In the best interest of DHS, we believe that more than one sub-contractors could be added to the engagement to utilize their expertise; however, that might lead to the situation that the prime vendor performs less than 60% of the total work. Will DHS be comfortable in having a prime vendor owning less than 60% of the work? Please confirm Yes or No.

This is a Preferred requirement and not a mandatory requirement. However, the vendor should provide compelling justification for doing so. Vendors should utilize T-4 for this justification.


The Vendor’s Technical Proposal must include at least three (3) references from projects performed within the last five (5) years that demonstrate the Vendor’s ability to perform the functions described in the SOW of this RFP. Refer to section 1.2.1 for minimum mandatory qualifications. If the Proposal includes the use of subcontractor(s), the Vendor must provide three (3) references for each. DHS has a strong preference for references that demonstrate where the Prime and subcontractor(s) have worked together in the past.

In addition to three(3) references from the vendor(including prime and sub-contractor), does the State require three(3) additional references for each subcontractor as well? Please confirm(Yes/No).For example, if we employ 2 sub-contractors, then does the State require total of 9 referencesa) 3 references from vendor(Prime + Sub-contractors)b) 3 references from Sub-contractor 1c) 3 references from Sub-contractor 2

Yes, an update has been made to the RFP text in Section 2.4.2.1 and T-3: Section 1.0 and 1.1.

Final Q&A SP-17-0006 3 of 19

Question ID


8 Page 25, Section 2.5.12

ACCORDINGLY, THE VENDOR EXPRESSLY REPRESENTS AND WARRANTS to the State of Arkansas through the procurement process by submission of a Voluntary Product Accessibility Template (VPAT) for 36 C.F.R. § 1194.21

This RFP is for M&O, other application enhancements and does not necessarily require creation of products. As such, we feel that VPAT may not be relevant for the kind of services sought as part of this RFP. Could the State please re-confirm if VPAT is mandatory or not(Yes/No)?

The VPAT is required as specified in Section 2.5.12 and T-9: Section 4.1


Disclosure under Arkansas LawOSP is required to have a copy of E0-98-04 disclosure form on file for the selected Vendor. Vendor must submit the disclosure form with its proposal. A fillable PDF is published on the OSP website at http://www.dfa.arkansas.gov/offices/procurement/Pages/default.aspx and is also located in the procurement library.

Procurement Library has the following forms:a) Lobbying Activities disclosure formb) Business Associates agreementHowever, the link (http://www.dfa.arkansas.gov/offices/procurement/Pages/default.aspx) provided contains multiple forms and EO-98-04 form does not seem to be located here.

Request the State to provide the exact link via which the EO-98-04 form can be downloaded.

An update has been made to the RFP text in Section 2.5.17. The document is available in the Procurement Library.

10 Page 26, Section 2.5.14 Visa FeesWould DHS please confirm the Contractor will not incur any additional fees as a result of accepting payment through the State's VISA Procurement Card?

See Section 2.5.14, “VISA is not the exclusive method of payment”. If payment is processed using DHS VISA procurement card, normal processing fees would be the vendor's responsibly.

11 Page 26, Section 2.5.14 Visa FeesIf Vendors will incur fees as a result of accepting the State's VISA Procurement Card, will DHS please specify the amount of such fee?

See Section 2.5.14, “VISA is not the exclusive method of payment”. If payment is processed using DHS VISA procurement card, normal processing fees would be the vendor's responsibly.

12 Page 26, Section 2.5.14 Visa Procurement Card Would DHS consider utilizing Electronic Funds Transfer (EFT) rather than a Visa Procurement Card payment for purposes of this work?

See Section 2.5.14, “VISA is not the exclusive method of payment” Yes, Electronic Funds Transfer would be an acceptable payment method.

Final Q&A SP-17-0006 4 of 19

Question ID


13 Page 29, Above The Baseline Bullet 1, Section 3.2.1The Draft RFP states that there were "24 Task Orders"

We request DHS to provide more details on these Task Orders including Level of Effort, Duration, and Cost for each of these Task Orders.

This information is provided only as background information of the existing contract. Additional details are not required to respond to the scope of this RFP.

14 Page 29, Above The Baseline Bullet 2, Section 3.2.1A significant amount (approximately $10M) of this work is M&O work and this will be shifted to the baseline/Applications M&O Scope

Considering the DHS intent to shift a significant amount of work from ABL to BL category and scope of work defined in Section 3.4, is it expected to increase the staffing of BL category (currently 38 staff) to accommodate the increase in scope?

It is the State's expectation that the Vendor will propose staffing levels for ABL and BL.

15 Page 30, Figure 5 Current Northrop Grumman Team Structure Please provide the list of subcontracting companies. This information is not required to respond to the scope of this RFP.


The MMIS function will be outside the scope of this procurement, although the ISS Contractor must coordinate, cooperate and interface with the MMIS vendor or other vendors as required.

Can the State elaborate on the typical set of activities that the vendor is expected perform as part of coordinating, cooperating and interfacing with the MMIS vendor?

The typical set of activities is outlined in the Monthly Status Reports found in the Procurement Library.

17 Page 30, Section 3.2.1The ISS contractor must coordinate, cooperate and interface with the EBPS vendor.

Can the State elaborate on the typical set of activities that the vendor is expected perform as part of coordinating, cooperating and interfacing with the EBPS vendor?

The typical set of activities is outlined in the Monthly Status Reports found in the Procurement Library.

18 Page 36, Section 3.2.2.1.3The business intelligence reports range from dashboards, geospatial coded maps, and custom reports.

What type of tool/tools are currently used to create the geospatial coded maps?

The EDW team has standardized on the Microsoft BI toolset utilizing tools such as MS SQL Server, SQL Server Reporting Services (SSRS), SWL Server Analysis Services (SSAS), as well as SAS for specialized analytics and some Oracle Relational Database Management System.

Final Q&A SP-17-0006 5 of 19

Question ID


19Page 49, Paragraph 2, Section 3.2.2.2.3 Enterprise Data Warehouse (EDW) and Business Intelligence

The RFP states "The incumbent currently provides a team of 15 FTEs to meet the reporting and analytics…". However, on Page 88, Paragraph 2, Section 3.6.2.5, Task 5: Support DHS' Business Intelligence, Analytics, and Reporting Needs, the RFP states "There are currently 12 contractor staff supporting these activities".

Please state whether there are currently 12 FTEs or 15 FTEs supporting this effort.

There are currently 15 FTEs currently providing M&O support for EDW/BI tools and BI reporting support. 3 of these are performing M&O support for EDW/BI tools and 12 are performing enhancements. The scope defined in Section 3.4.3 are focused on performing enhancements.

20Page 55, Paragraph 1, Section 3.2.5.1 Integrated Eligibility and Benefit Management (IE-BM)

The RFP states "The strategic goal of the organization is to migrate all core eligibility solutions applications to the IE-BM enterprise platform over a period of time".

It is respectfully requested that a timeline with distinct activities be provided in order to appropriately estimate migration. Currently there is not enough information for Vendors to adequately price this aspect.

A summary level timeline (forecasted) of the IE-BM activities have been included in Section 3.2.5.1.

Final Q&A SP-17-0006 6 of 19

Question ID


21Page 56, Paragraph 1, Section 3.2.5.4 DIS' Enterprise Systems Operations Effort

The RFP states "There is also a Statewide initiative to centralize applications operations activities including: - Help Desk Services (e.g. Service Desk) - IT Operations process support (e.g. incident management, change/release/configuration management) - Applications Operations Services (e.g. job scheduling)

The Vendor will be responsible for coordinating with DIS and assisting with the transition. Once this transition is completed, there will be no need for the Vendor to provide IT Operations Support Services (Optional deliverable, see Section 3.4.5)

It is respectfully requested that a timeline with distinct activities be provided in order to appropriately estimate centralization. Currently there is not enough information for Vendors to adequately price this aspect.

DIS cannot definitively answer the timeline questions at this point in time. There are still procurements that need to be done and details to work out before the first test migration can be completed.

Final Q&A SP-17-0006 7 of 19

Question ID


22Page 56, Paragraph 1, Section 3.2.5.4 DIS' Enterprise Systems Operations Effort

The RFP states "There is also a Statewide initiative to centralize applications operations activities including: - Help Desk Services (e.g. Service Desk) - IT Operations process support (e.g. incident management, change/release/configuration management) - Applications Operations Services (e.g. job scheduling)

The Vendor will be responsible for coordinating with DIS and assisting with the transition. Once this transition is completed, there will be no need for the Vendor to provide IT Operations Support Services (Optional deliverable, see Section 3.4.5)

Would DHS please provide periods of performances for each of the optional services so Vendor's can price them accordingly?

DIS cannot definitively answer the timeline questions at this point in time. There are still procurements that need to be done and details to work out before the first test migration can be completed.


The Vendor will be responsible for providing access and authorization to systems.Examples Include: Application specific access

Removing old IDs



We assume that all the relevant tools are provided by the State for providing access and authorization services to systems. Please confirm.

Yes, please see 3.2.4.3.

Final Q&A SP-17-0006 8 of 19

Question ID


24 Page 61, Section 3.4.1.13 - Training (Customer)The Vendor will be responsible for assistance in proper use of the application and formal system training

In order for us to estimate the effort required to perform this task, we are requesting more details on frequency, mode and scope of these trainings. Historical data on these trainings will also help us in estimating the effort.

There is no detailed reporting for this function. No dedicated NG staff is assigned to customer training. Typically customer training is provided as part of the M&O process by NG staff when system changes are delivered. Training for system enhancements not covered by M & O would be provided by NG staff and should be included as part of the enhancement scope/cost. It is not intended for the vendor to establish a training department, but that lead developer or business analyst should include training as part of the job duties. An update has been made to the RFP text in Section 3.4.1.13.

25 Page 61, Section 3.4.1.13 - Training (Customer)The Vendor will be responsible for assistance in proper use of the application and formal system training

Who from the Northrup Grumman organization is responsible for the training? The team structure in Figure 5 does not have any training staff.

There is no detailed reporting for this function. No dedicated NG staff is assigned to customer training. Typically customer training is provided as part of the M&O process by NG staff when system changes are delivered. Training for system enhancements not covered by M & O would be provided by NG staff and should be included as part of the ABL cost. It is not intended for the vendor to establish a training department, but that lead developer or business analyst should include training as part of the job duties. An update has been made to the RFP text in Section 3.4.1.13.

26Page 61, Paragraph 1, Section 3.4.1.13 Training (Customer)

The RFP indicates that Formal onsite training will be required.

In order to price appropriately, will DHS please provide the number of onsite training sessions anticipated, the length of each session, and the number of attendees anticipated?

There is no detailed reporting for this function. No dedicated NG staff is assigned to customer training. Typically customer training is provided as part of the M&O process by NG staff when system changes are delivered. Training for system enhancements not covered by M & O would be provided by NG staff and should be included as part of the ABL cost. It is not intended for the vendor to establish a training department, but that lead developer or business analyst should include training as part of the job duties. An update has been made to the RFP text in Section 3.4.1.13.

27 Page 62, Section 3.4.1.14 - Data DiscrepanciesThe Vendor will be responsible for assisting resolution of data issues where the data is the problem, not the associated code.

We request historical data on average number of data discrepancies reported and records updated every week.

There were 19 Change Management requests for data fixes in the last 12 months.(11/30/2015 to 11/30/2016) There is no data available on the actual numbers of records updated.

Final Q&A SP-17-0006 9 of 19

Question ID


28 Page 64, Section 3.4.1.17License management/provisioningPreliminary Vendor Responsibilities - Certificate management

We believe vendor is not expected to propose any products and their licensing costs are already in place by the State. Please confirm.

Yes. Please see 3.2.4.3.


DHS, in certain circumstances, especially when DHS is looking at newer technologies, may request the Vendor to conduct a market survey and obtain bids from outside vendors. The Vendor must establish a process for this activity that is transparent and encourages competition and acquisition of the outside vendors with the right skill set. The Vendor shall manage any sub-contractor and implementation of selected outside vendor.

Is the ISS vendor not allowed to bid for projects requiring newer technologies? Please confirm.

At State's own discretion, if the State decides to go to market to procure additional services, the ISS Vendor will not be allowed to bid and will support the State going to market.

30Page 69, Section 3.4.4.2 As-Needed Services Requirements at Engagement Initiation

The RFP does not discuss as needed security services related to encryption of data at rest.

Would DHS please confirm that encryption of data at rest is not required?

DHS DOES require data at rest encryption for Personal Health Information(PHI)/Personally Identifiable Information(PII) and protected data. This encryption is currently being handled at the storage level and not part of the current vendor responsibilities anticipated under this procurement.

31Page 77, Table 12, Section 3.5.5.1 Vendor Key Personnel

The RFP has "Project Team" listed as the last group of Key Personnel.

Please confirm that all Project Team members are not considered to be key personnel.Yes. Key personnel are only those staff who are identified as such for specific roles.

Final Q&A SP-17-0006 10 of 19

Question ID


32Page 77, Paragraph 1, Section 3.5.6.2 (Facilities and Equipment/Location of Contracted Personnel)

The RFP indicates that services can be performed outside of Little Rock only once approved by DHS.

Would DHS please confirm that vendor's are not required to seek approval to perform outside of Little Rock for the utilization of "shared service" (overhead) staff support, which can include finance, billing, contracts…etc.

DHS will allow central office staff or “shared services” to be located outside of Little Rock. An update has been made to the RFP text in Section 3.5.6.2.


Task 4 – Implement Enhancements (Application Development)ISS.4.1 - Enhancement Requirements and Cost Estimates - Once per task orderISS.4.2 - Completed Enhancement Check-List - Once per release

On page 81 of the RFP document, under Task 4, there are two subtasks ISS 4.1 and ISS 4.2 mentioned as part of Enhancements but in Cost workbook, ISS 4.1 is not mentioned in "Implement Enhancements" worksheet. Could the State please confirm if ISS 4.1 is a deliverable or not?

ISS.4.1 and ISS.4.2 are not sub-tasks. They are deliverables that will be produced with the task. ISS.4.1 (Enhancement Requirements and Cost Estimates) is a required deliverable for each enhancement request so DHS can decide whether to invest ABL funds in the enhancement (see section 3.6.2.4 and 3.5.2.3 for more details). The Cost Workbook simply assumes a certain number of hours for enhancements. All costs for enhancements are associated with the development of the enhancements. Deliverable ISS.4.1 will be required for each enhancement. An update has been made to the RFP text in Table 13.

34 Page 81, Paragraph 1, Section 3.6.2.1Transition planning activities are anticipated to start approximately 6-9 months before the end of the incumbent vendor’s contract.

Is DHS open to shorter time for Transition planning? Yes

Final Q&A SP-17-0006 11 of 19

Question ID


35 Page 81, Section 3.6.2.1Transition planning activities are anticipated to start approximately 6-9 months before the end of the incumbent vendor’s contract.

What is the duration of transition out/turnover services defined in the current Northrup Grumman contract? What is their contractual obligation for providing resources during this period? What are the cost of these services?

Existing contractor is obligated in every possible way to insure no interruption or reduction in data processing functions of DHS business or operations that are the subject of this contract and transition to DHS of the DHS properties will cause no harm to the business of DHS. DHS will negotiate any needed contract extension to meet the needed transition per upon awarding the contract.

36 Page 85 Deliverable ISS.3.1 Monthly Status Report and Service Level Agreement Reporting (15 Core Applications)

We request incumbent's SLA compliance reports for the past twelve months. Previous contract did not have SLAs for 15 core systems. Monthly status reports are included in the procurement library.

37 RFP: Page 93, 3.7; Page 8, 1.4 Proposed Contract Start DateRFP Section 1.4 states that the contract start date is expected to be June 15, 2017. However, RFP Section 3.7 states that contract start date is expected to be July 1, 2017. Can the State clarify the anticipated contract start date?

The RFP has been updated to reflect the current anticipated start date of July 1, 2017. An update has been made to the RFP text in Section 1.4 and Table 14.

38 RFP: Page 93, 3.7; Page 8, 1.4Transition Period

RFP Section 3.7 states that the Transition Planning period is expected to begin January 1, 2017, followed by the actual transition period of February 1 - June 30, 2017. These dates overlap with the procurement dates set forth in Section 1.4. Can the State clarify DHS' expectations regarding the expected Transition Start/End dates?

Existing contractor is obligated in every possible way to insure no interruption or reduction in data processing functions of DHS business or operations that are the subject of this contract and transition to DHS of the DHS properties will cause no harm to the business of DHS. DHS will negotiate any needed contract extension to meet the needed transition period upon awarding the contract. An update has been made to the RFP text in Table 14.

Final Q&A SP-17-0006 12 of 19

Question ID


39Page 93, Section 3.8 Performance Standards and Associated Penalties

The RFP does not define a maximum amount of penalties a vendor may incur for the duration of the contract.

Would DHS be willing to include a cap on the SLA penalties in the final RFP? In the event a cap is not provided, perspective Offerors may inflate pricing in order to account for associated risk, which would increase costs to the state. Conversely, has DHS considered introducing financial incentives versus damages in order to motivate positive performance?

The RFP has been updated with contractual terms around liquidated damages and incentives for earn back. See updated Section 3.8, 3.8.1 and 3.8.2.

40 Page 95, Section 4.1 Evaluation Criteria Evaluation of Optional Services is not clear.Could DHS please elaborate how optional services will be evaluated from a technical and pricing perspective?

Optional services are not included in the proposal evaluation process.

41 Page 96, Section 4.4, Table 16 Cost of proposed products and/or services

The current evaluation cost scoring model does not support a fair competition given that the State has a current incumbent contractor. We recommend that the State consider other State best practices associated with transition costs with an incumbent contractor. Nationally, States have allowed a certain percentage of total bid costs to not be included within the cost evaluation scoring model with non-incumbent Vendors.

Transition costs will be excluded as part of the cost evaluation and scoring framework. However, a transition plan should be provided for the State to gain an understanding of the overall magnitude of effort. The RFP text has been updated in 2.4.2.2, T-7, and the cost workbook.

Final Q&A SP-17-0006 13 of 19

Question ID


42 RFP: Page 58, Table 9

Legacy Rationalization Requirements - Collaborating with the Modernization Vendor (i.e. IE-BM) to help identify detailed functional specifications

Legacy Rationalization Execution - Building enhancements and testing to support the deployment of replacement solution, assist with data conversion, perform all tasks related to enabling the retirement of legacy system, including building of new tactical solutions on alternate platforms, and ensure the new solution can function as specified intended

Legacy Rationalization Execution - Responsible for making any modifications required to retire any legacy applications according to the agreed to ABL SOW

Please confirm that the Legacy Rationalization Requirements described in Table 9, Application Retirement Roles and Responsibilities will either be handled under the Application Development task area rather than the Application M&O task area or will be handled as a modification to the Application M&O scope of work, as they involve potential new scope that cannot adequately be defined at this time.

Yes.

Final Q&A SP-17-0006 14 of 19

Question ID


43 RFP: Page 60, 3.4.1.6, 3.4.1.17

3.4.1.6 SecurityThe Vendor will be responsible for providing access and authorization to systems.Examples Include: Application specific access

Removing old IDs



3.4.1.7 Maintain Test EnvironmentThe Vendor will be responsible for maintaining a test environmentExamples Include: Copying data from production to test

Refreshing test environments

Defining backups and restores

Does not include: Setting up test data to test a new system enhancement. This is part of the development project.

NIST 800-100 Section 8.2.3 indicates that the Information Owner is the one who authorizes access to the information system and determines types of privileges or access rights. With respect to sections 3.4.1.6 Security and 3.4.1.17 Vendor and State Roles/Responsibilities, we assume DHS’s intent is to retain the business function of data/application access. Is this correct?

The business owner will identify who has access to the information and the M&O Vendor will be responsible for executing required security changes.

44 RFP page 69, 3.4.4.2, As-Needed Service Requirements at Engagement Initiation

As part of the response to this RFP, the Vendor must propose an appropriate number of Senior Information Security Analysts / Subject Matter Experts with appropriate qualifications to assist DHS with its security related initiatives.

Can the State clarify how DHS expects vendors to respond to this requirement within the Technical Volume and the Cost Volume, as none of the provided Technical Volume Templates or the Cost Workbook provide a location or mechanism to propose and price these services?

The requirement is intended to gauge the strength of security practice. Any cost for these service are above baseline. An update has been made to the RFP text in Section 3.4.4.2, Section 5.0 of T-7, and the Cost Workbook.

45 GeneralThe RFP does not cite a changes provision in a resulting contract.

In light of the anticipated changes in Government that are likely to impact health related efforts, the parties would benefit from the inclusion of a Changes provision in a resulting contract award. The changes provision would be utilized in the event a change to federal or state legislation, policies, statutes, ordinances, rules and regulations results in a scope/cost impact to the program. Consequently, inclusion of such a provision should be incorporated for the effort.

The State does not execute contracts with clauses providing for pre-approved amendments. If business requirements change the agreed scope significantly, a contract amendment may need to be negotiated at that time.

Final Q&A SP-17-0006 15 of 19

Question ID


46 RFP No. SP-17-0006 Vendor Questions.

Failure by DHS to complete activities within the timeframes noted does NOT constitute acceptance, approval or completion unless otherwise agreed upon by DHS and the Vendor.

Would DHS please confirm that deliverables can be considered accepted after the lapse of 30 calendar days from deliverable submission? As payment is tied to deliverable acceptance, it is important for Vendors to be able to quantify payment timelines.

Acceptance of deliverables must be positively confirmed with a State sign-off before considered complete. DHS will not unduly withhold payment or sign-off.

47 Template 2, 3.4, Corporate Guarantee

If the Vendor is substantially owned or controlled, in whole or in part, by one or more other legal entities, the Vendor should submit the information required under the “Financial Capacity” section above for each such entity, including the most recent financial statement for each such entity. The Vendor should also include a statement that the entity or entities will unconditionally guarantee performance by the Vendor for each and every obligation, warranty, covenant, term and condition of the Contract. If DHS determines that an entity does not have sufficient financial resources to guarantee the Vendor’s performance, DHS may require the Vendor to obtain another acceptable financial instrument or resource from such entity, or to obtain an acceptable guarantee from another entity with sufficient financial resources to guarantee performance.Instructions: Provide any additional information requested, and the unconditional guarantee by the owning/controlling entities.

Would the State consider deleting the Corporate Guarantee Statement requirement in Template 2, Vendor Experience Section 3.4 and replace with a Performance Bond?

No, if DHS finds the vendors Corporate Guarantee to be insufficient it could require a Performance Bond.

Final Q&A SP-17-0006 16 of 19

Question ID


48Template 3, Vendor Reference Tables, Project Information

Project Information/Vendor Involvement What does the State mean by Vendor’s Involvement?

Vendor's involvement in this context means "What is/was the Vendor's scope and role in the project". An update to the RFP text has been made in Table 1 of T-3.

49 Template 4/1.0, para. 3 (Instructions)Show proposed Vendor personnel hours by phase, by personnel level, and by role for the entire engagement.

We assume the State expects vendors to show staffing levels for the following phases: Transition In, Delivery, and Transition Out (Turn-Over). Is this assumption correct? Yes, that assumption is correct.

50Template 6/Tab 3, O3.18Template 6/Tab 3, O3.20

Update user documentation and training materialsUpdate existing user/training documentation Can the State clarify the difference between requirements O3.18 and O3.20 in Template 6, Tab 3?. The duplicate requirement has been removed from T-6 O3.

51Template 6/Tab 6, O6.25Template 6/Tab 6, O6.31

Ensure all DHS vendors comply with change/release management policies and procedures and environment configurations remain synchronizedEnsure all DHS vendors are using configuration management tools and comply with policies and procedures and environment configurations remain synchronized

Since the ISS vendor will have no contractual connection with or ability to manage other DHS vendors, please confirm that ISS vendor is only responsible for compliance of ISS vendor and subcontractor staff with DHS change/release management policies and procedures and tool usage and for making DHS aware of circumstances where other DHS vendors may be non-compliant.

Yes. The requirement has been updated in T-6 O6 to reflect that the ISS Vendor will be responsible for identifying and escalating, where necessary, any lack of alignment with policies and procedures.

52 Template 6/Tab 7, O7.1Propose Account Management structure, planning and procedures

We assume account management is the same as engagement management. Is this assumption correct? Yes.

53 Template 6/Tab 9, O9.10, O9.13 Documentation Updates Can the State clarify the difference between requirements O9.10 and O9.13 in Template 6, Tab 9?. The duplicate requirement has been removed from T-6 O9.

Final Q&A SP-17-0006 17 of 19

Question ID


54 Template 6/Tab 9, O9.18, O9.19, O9.20, O9.21 Time durationsWe assume the time thresholds cited in each of these requirements apply to normal working hours. Is this correct?

The State will not guarantee any particular schedule of working hours, as the nature of IT tasks vary and the ISS vendor may find it effective to provide a variety of work schedules for their staff.

55Template 6/Tab 9, O9.05Template 6/Tab 9, 09.06

99.5% of transactions complete (response time from entering command to receiving result) within 2 seconds and the remaining transactions complete with in a max response time of 5 seconds99% of transactions complete (response time from entering command to receiving result) within 3 seconds and the remaining transactions complete with in a max response time of 7 seconds

Many applications are not designed to be completed in near real-time. For example, with the ISS portfolio, the EDW reports are not designed to complete within seconds. Could the State please provide a list of the relevant applications where these response times apply?

DHS has updated their approach to availability and performance SLAs. This will be applied to all new applications once in production and all existing application after a year. Section 3.5.2.1 and Template T-6, Tab – O9 SLRs have been updated to reflect this change.

For O9.5 "99.5% of transactions complete (response time from entering command to receiving result) within 2 seconds…" has been updated to "99.5% of transactions complete (response time from entering command to receiving result) within 3 seconds..."

56 Template 6/Tab 2, O2.29

“Maintain/update ISS Application security plan based on The State of Arkansas and Federal application security requirements , standards, procedures, policies which includes, but is not limited to , procedures for security monitoring and log management functions, ISS Application vulnerability management.”

Is this requirement in support of IRS Safeguard Activity Reporting and CMS System Security Plan reporting? Yes and others, as applicable.

57 Template 6/Tab 8, O8.1

Create a detailed Turn-Over Plan and the Disentanglement Plan that covers all activities and the efforts of all involved parties. This part of the plan should express this in time and budget requirements, action ownership and program governance.

How does the State distinguish between the M&O Turn-Over Plan (Deliverable ISS 7.1) and the Disentanglement Plan?

The reference to Disentanglement Plan has been removed from the RFP text in T-6 O8.

Final Q&A SP-17-0006 18 of 19

Question ID


58Page 1, SP170006T9 Terms & Conditions, Section 2.0

Vendors must strictly adhere to the Mandatory Terms and Conditions of this RFP. Failure to follow any instruction within this RFP may, at the State’s sole discretion, result in the disqualification of the Vendor’s Proposal. Rejection of the Terms and Conditions, in whole or in part may be cause for the State’s rejection of a bidder’s proposal.

As per Section 2.0 of T-9 (Terms and Conditions), it seems that vendor has to agree to all the terms and conditions mentioned in Section 2.0(General Contractual agreements); however, Section 5 of T-9 allows Clarifications/exceptions to terms and conditions. Q1.) Could the State please clarify whether exceptions to Terms and Conditions are allowed or not?Q2.)If Yes, then are exceptions allowed for both General Contractual agreements and Standard Terms and Conditions?

Exceptions to Terms and Conditions are not allowed. Please see RFP Section 2.3.1 and T-9

59Page 2, SP170006T9 Terms & Conditions, Section 2.2

The vendor shall indemnify and save harmless the agency and all its officers, representatives, agents, and employees against any claim or liability arising from or based upon the violation of any such law, ordinance, regulation, order or decree by an employee, representative, or subcontractor of the vendor.

Our understanding is that the clause listed puts no limit on the amount of liability for Contractor i.e. it signifies unlimited liability. Would State be open to cap the limits of liability of Contractor for this project?

Exceptions to Terms and Conditions are not allowed. Please see RFP Section 2.3.1 and T-9

60 Procurement Library, Monthly Status Report Service Requests by monthWe request a final disposition status of these Service Requests if they required a code change, training write-up, converted to enhancements, duplicate, data-fix etc. Do enhancements for policy changes tracked through a Service request?

Detailed Service Request data is not available for all service requests and changes related to policy changes are not specifically tracked.

61 Procurement Library AR DHS ISS Application Inventory - Ancillary Application Tab

How many of these systems are actively used in Production?Of the ones that are currently Active in Production, how many have been modified during last 12 months?

All systems listed in the inventory provided have been determined to be currently active. No data is available to identify all applications that have been modified in the last 12 months.

Final Q&A SP-17-0006 19 of 19

Question ID


62 Cost Workbook, Tabs 3, 4, 5, 6, and 9

Can the State provide job descriptions and experience requirements for all labor categories used by Cost Workbook Tabs 3, 4, 5, 6, and 9 - as DHS has done on Tab 7, As Needed Services - to ensure that vendors develop rates reflective of the appropriate skills and experience for all labor categories?

Sample responsibilities and expected qualifications have been added to Cost Workbook Tab 2. Labor Rates for every staff position; they have been removed from Tab 7 As Needed Services.

63 Cost Workbook, Tab 2, Labor Rates

Can the State clarify the presence of "BI/Data Warehousing Analysts" and "BI/Data Warehousing Tool Experts" in Table 1 (Application M&O Hourly Rates) and the omission of these labor categories from Table 3 (Business Intelligence, Analytics, and Reporting Services Hourly Rates), as these labor categories seem to only be applicable to Table 3 based on the defined RFP scope of work?

EDW M&O is included in Task 1. As such, it is appropriate to include in Table 1.

Table 3 have been updated to better reflect the required labor categories

64 Cost Workbook, Tab 4, Appl M&O Table 2, Facilities CostIs it DHS' expectation that all facility costs (facility transition cost as well as leasing, maintenance, utilities, furniture, etc.)should be included within the direct charge line item in Table 2, Facilities Cost (as opposed to factoring facility costs into individual labor rates)?

Yes

65 Cost Workbook, Tab 4, Appl M&O Table 2, Facilities CostPlease verify that it is DHS' expectation that the facility costs for staff supporting all task areas, not just Application M&O, shall be provided in Table 2, Facilities Cost.

Yes, facility costs on Table 2 should be costs for resources supporting all tasks.

66Cost Workbook, Tab 6, BI and ReportingRFP 3.4.3

DHS envisions an iterative approach will be required to interpret and fully understand the user’s needs. DHS envisions the Vendor will provide 12 full time staff members will be assigned to performing the tasks outlined above.

RFP Section 3.4.3, Business Intelligence and Reporting, indicates that DHS envisions 12 FTEs to perform the required BI and Reporting services and further indicates that DHS expects vendor to propose to distribute the current BI and reporting portfolio into M&O and Enhancement projects. However, Tab 6 of the Cost Workbook simply includes a single plug of 20,000 hours. Can the State clarify how vendors are expected to propose pricing for FTEs envisioned to support BI and reporting, as well as how DHS intends to utilize the plug of 20,000 hours?

Refer to item #19 for the clarification on # of FTEs for M&O vs Enhancements.

On the question regarding Tab 6, this is strictly for 12 FTEs working a total of 20,000 hours on enhancements with the expectation that the Vendor inputs the blended hourly rate for the State to determine the total cost for this line item.