State of California
Bid RFP2013-008
Solicitation RFP2013-008
Risk Management Information System (RMIS)
Bid designation: Public
State of California
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State of California
Bid RFP2013-008
Bid RFP2013-008 Risk Management Information System (RMIS) Bid Number
RFP2013-008
Bid Title
Risk Management Information System (RMIS)
Bid Start Date
Nov 13, 2013 1:27:07 PM PST
Bid End Date
Dec 19, 2013 2:00:00 PM PST
Question & Answer End Date
Nov 27, 2013 2:00:00 PM PST
Bid Contact
Karen M Bianchini Claims and Insurance Manager 916-376-5280
[email protected]
Standard Disclaimer The State of California advises that prospective bidders periodically check the websites, including but not limited to Bidsync, and/or other state department links for modifications to bid documents. The State of California is not responsible for a prospective bidder's misunderstanding of the bid solicitation or nonresponsive bid due to failure to check these websites for updates or amendments to bid documents, and/or other information regarding the bid solicitations. Failure to periodically check these websites will be at the bidder's sole risk. The information published and/or responded to on these websites is public information. Confidential questions/issues/concerns should be directed to the contact on the ad.
Description The Office of Risk and Insurance Management (ORIM) is seeking proposals for a vendor hosted commercial off-the-shelf (COTS) solution for its mulit-line claims handling and policy servicing needs.
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State of California
Bid RFP2013-008
REQUEST FOR PROPOSALS DGS RFP# 2013-008 for Risk Management Information System November 13, 2013
You are invited to review and respond to this Request For Proposal (RFP) for a Risk Management Information System (RMIS). This RFP will be awarded on a blended approach consisting of an evaluation of a written proposal and cost proposal as described in Section XII SELECTION OF CONTRACTOR. In submitting your RFP you must comply with the instructions found herein. The services required are delineated in Section X, SCOPE OF WORK. Please read the enclosed documentation carefully. To be considered, proposals in response to this RFP must be received at the address noted below no later than Thursday, December 19, 2013 at 2:00 p.m. (Response Due Date). Any proposal received after the response due date will not be considered. Mail or deliver your response to:
Hand Deliver* Department of General Services Office of Risk & Insurance Management Attn: Chris Verdin 707 Third Street, 1st Floor, Suite 1-435 West Sacramento, CA 95605
Mail/ UPS or FedEx* Department of General Services Office of Risk & Insurance Management Attn: Chris Verdin 707 Third Street, 1st Floor, Suite 1-435 West Sacramento, CA 95605
* If hand delivering, please make arrangements with contact listed below.
* If mailing, please clearly mark “Request for Proposal” – Do not Open”
Clarification of specifications is to be directed to: Chris Verdin, phone (916) 376-5425, email
[email protected]. NOTE: If submitting proposal by special delivery, proposals must be separately sealed before placing it in the delivery package. Proposals must provide straightforward, concise descriptions of the Bidder’s capability to satisfy all requirements of this RFP. All proposals are to be complete and accurate. Omissions, inaccuracies, or misstatements will be sufficient cause for rejection of any proposal.
Office of Risk and Insurance Management | State of California | California Government Operations Agency, 707 3rd Street, 1st Floor | West Sacramento, CA 95605 | t 916.376-5300 f 916.376-5277 11/13/2013 2:27 PM
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
Proposals shall be submitted in a sealed envelope as per the instructions in Section XI SUBMISSION REQUIREMENTS. Due to limited storage space, the proposal package should be prepared with the least expensive method (i.e., cover page with staple in upper left-hand corner, no fancy bindings). The envelopes must be plainly marked with the following information: Company Name Company Address RFP Title – Risk Management Information System Request for Proposal-Bid Proposal–Do Not Open Attachment 6-COST PROPOSAL Section XI - SUBMISSION REQUIREMENTS must be submitted in a separate sealed envelope in accordance with the instructions. . This envelope must be plainly marked with the above information. Notice to Prospective Bidders Sealed proposals will be received at the above address until the Response Due Date. Any proposals and/or modifications received after the Response Due Date will not be considered. All documents submitted in response to the RFP shall become the property of the State of California (“State”). Backup material will be returned only at the Bidder’s request and expense, and only after final execution of a contract. All written proposals will remain the property of the State in accordance with applicable laws and retention policies. All contracts with the State of California are public records. Any information provided by a Bidder may be subject to disclosure under the Public Records Act of the State of California. Therefore, all Bidders must refrain from submitting information that in their judgment may be a trade secret or proprietary. Additionally, no action on the part of the Bidder shall create any obligation of confidentiality on the part of the State, including, but not limited to, making a reference in the proposal to the statutes for trade secrets of the State of California. If the proposal is made under a fictitious name or business title, the actual legal name of Bidder must be provided. Proposals may be rejected if they show any alterations of form, additions not called for, conditional proposals, incomplete proposals, or erasures or irregularities of any kind, unless corrected and initialed. No oral agreements or understandings shall in any manner or degree, modify or change the terms of the written proposal, nor resulting agreement. If a proposal is accepted by the State, the Bidder agrees to enter into a written contract with the State in conformity with the provisions of this RFP and on form(s) furnished by the State. The State reserves the following rights in its sole and absolute discretion: (i) to reject any or all proposals (ii) to make an award as the Department of General Services (“DGS”), Office of Risk and Insurance Management (“ORIM”) determines to be in the best interest of the State (iii) to waive any immaterial, informal, or irregular deviations in proposals, and (iv) to amend or withdraw this RFP at any time prior to the final bid proposal submission due date or as otherwise permissible under the law.
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
RISK MANAGEMENT INFORMATION SYSTEM TABLE OF CONTENTS
Item Section I Section II Section III Section IV Section V Section VI Section VII Section VIII Section IX Section X Section XI Section XII Section XIII Section XIV Attachments Attachment 1 Attachment 2 Attachment 3 Attachment 4 Attachment 5 Attachment 6 Attachment 7 Attachment 8 Attachment 9 Attachment I0
Page Number General Information .................................................... 4 Background ................................................................ 4 Purpose ...................................................................... 6 Minimum Qualifications .............................................. 6 Period of Performance................................................ 7 Availability ................................................................. 8 Key Action Dates ........................................................ 8 Written Questions ....................................................... 8 State Preference Programs ........................................ 8 Scope of Work ............................................................ 8 Submission Requirements .......................................... 22 Selection of Contractor .............................................. 31 General Conditions ..................................................... 34 Protests of Award ....................................................... 34
Current Technical Environment .................................. 35 Written Proposal Evaluation Scoring Sheet ................ 37 Required Attachments Check List............................... 47 Proposal/Bidder Certification Sheet ............................ 48 Minimum Qualifications Checklist ............................... 50 Cost Proposal............................................................. 51 Bidder’s Public Entity Reference’s .............................. 52 Payee Data Record ................................................... 53 Bidder’s California Business License(s) ...................... 54 Sample Contract......................................................... 55 Exhibit A Scope of Work ............................................. 56 Exhibit B Budget Detail and Payment Provisions ........ 69 Exhibit C General Terms and Conditions .................... 70 Exhibit D Special Terms and Conditions ..................... 71 Exhibit E Confidentiality and Security ......................... 74 Requirements
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
I. GENERAL INFORMATION The ORIM is requesting sealed proposals from qualified bidders for a vendor hosted commercially available multi-line RMIS. This RFP includes a description of the insurance and self-insurance programs administered by ORIM and the bidders' responsibilities and requirements with respect to providing a comprehensive solution. II.
BACKROUND ORIM is a government entity under the State of California which was established for the purpose of providing centralized risk management services for State agencies. It is an office within the State Department of General Services (DGS). For over 50 years, ORIM has provided insurance procurement services, claims adjusting services, safety training, loss control, contract management and other risk management services for State agencies and, from time to time, other non State public agencies. Some of the more prominent programs are: i.
Insurance Services Program. Insurance Services Unit (ISU) approves the purchase of insurance for the State. Procurement of insurance is arranged for a multitude of State departments when the decision to purchase insurance has been made. There is more than $14 Million in written premium for approximately 50 policies and programs in force. Each policy or program has varying expiration dates throughout the year. Currently, the management and tracking of policies is done manually. Hundreds of emails are received daily, printed and stored in each individual file or put into an Outlook file created for that specific insurance policy. Reports are typically provided by a contracted insurance broker. Insurance policies and programs procured include property and general liability, fine arts, out of state workers’ compensation, builder’s risk, benefits and other various policies. Equipment maintenance insurance is also procured under the Equipment Maintenance Management Insurance Program (EMMP). This insurance program covers most types of electronic equipment and indemnifies the State for losses incurred including repair and maintenance. This program is in its infancy stage; however, it has grown significantly in the past 12 months.
ii.
Vehicle Liability Self Insurance Program (VELSIP). The State is self-insured for its fleet of approximately 48,000 motor vehicles. VELSIP was established July 1, 1977 to adjust vehicle liability claims made against the State, arising out of the (alleged) negligent operation of State-owned and operated vehicles. ORIM also pursues at-fault parties for the cost of damages sustained to State-owned vehicles and administers a small Automobile Physical Damage Program for several State agencies. State agencies are required to report all vehicle accidents involving State vehicles and State operations to ORIM via a paper form entitled the “State Vehicle Accident Report” Standard Form 270 (STD. 270). The STD. 270 is typically mailed, faxed or walked into ORIM. The accident information is manually entered into the RMIS. ORIM does not currently use a document imaging/management system to store or track digital images. The STD. 270 and all accident related correspondence are maintained in a physical
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
claim file. All VELSIP claims are fully tracked to resolution with the current RMIS. ORIM interfaces with Medicaid and Medicare Services (CMS) per the Mandatory Insurer Reporting Requirements under Section 111 of the MMSEA using the current RMIS. ORIM submits approximately 220 claims annually. ORIM manually submits claims information to the Insurance Services Office, Claim Search (ISO) for indexing and any information returned is manually processed. ORIM does not create payments directly. Vouchers are printed from the RMIS and manually submitted to another DGS control agency which generates the checks. ORIM manually inputs billing from State and contract attorneys. iii.
Foster Care Liability Claims Program (FCLIP) provides coverage for foster-care parents for certain general liability claims arising out of certain activities relating to the care of foster-care children. ORIM administers the program on behalf of the California State Department of Social Services (CDSS). All FCLIP claims are fully tracked to resolution with the current RMIS. ORIM manually submits claims information to ISO for indexing and any information returned is manually processed. ORIM does not create payments directly. Vouchers are printed from the RMIS and manually submitted to another DGS control agency which generates the checks. ORIM manually inputs billing information from State and contract attorneys.
iv.
DGS General Liability Claims Program responds to all non-auto liability claims brought against DGS. All DGS general liability claims are tracked to resolution with the current RMIS. ORIM manually submits claims information to ISO for indexing and any information returned is manually processed. ORIM does not create payments directly. Vouchers are printed from the RMIS and manually submitted to another DGS control agency which generates the checks.
v.
DGS Return-to-Work (RTW) Program facilitates the early return to work of injured DGS employees. The RMIS is used solely to track claims and work status of injured employees whose claims are handled by a third party workers’ compensation claims administrator.
ORIM currently uses AON’s iVOS (iVOS) solution as its RMIS. The system is maintained “in house” at DGS. The database back end and web server front end are installed on DGS servers and managed by DGS IT staff. System access is completely internal to DGS and not available to the internet. The iVOS system security and user management is administrated by ORIM staff. Upgrades and system issues that require interaction with the vendor are resolved by allowing vendor to access the system through Virtual Private Networking (VPN).
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
Currently iVOS maintains approximately 211,000 records that are broken down as follows:
Total Number of Records 49,880 75,920 14,328 4,802 1,818 3,150 812 961 59,194
Programs Vehicle Liability Claims Vehicle Incidents Reports Damage Recovery Claims DGS Claims DGS Incident Reports DGS Workers’ Compensation Claims Foster Care Claims Automobile Physical Damage Payment Records for All Claims III.
# Received Annually 1,772 2,295 785 102 13 350 14 3 2,333
PURPOSE ORIM is seeking a commercial off-the-shelf (COTS) solution and associated services for implementation and maintenance of a new RMIS. The primary goal is to successfully implement a “State of the Art” automated and fully integrated system, including claims management, insurance policy management, report management, document imaging and workflow management, on-line accident reporting, ISO indexing and CMS reporting. The new RMIS solution must be vendor hosted with an expected go-live date no later than May 30th 2014. ORIM is seeking an organization with a proven history of success within the RMIS industry. The chosen contractor will provide project management, develop functional and technical design specifications, perform software configuration and/or coding, complete data conversion from current RMIS, perform system testing, end-to-end testing, user acceptance testing, coordinate the cut over to the new system, training of end users, assistance with report generation and provide post go-live system support as outlined in this RFP. The solution must be compatible and fit within DGS’ “Current Technical Environment” (Attachment 1). The twenty-five primary users for the purposes of this contract shall be at the Department of General Services, Office of Risk and Insurance Management, 707 Third Street, West Sacramento, CA 95605. Online reporting should be limited only to traffic emanating from State agencies.
IV.
MINIMUM QUALIFICATIONS All proposals submitted in response to this RFP must satisfy all of the minimum qualifications listed in this Section (the “Minimum Qualifications”). Failure to satisfy all of the Minimum Qualifications at the time of bid submission will result in the immediate rejection of the proposal. The successful Bidder/Contractor must continue to satisfy the Minimum Qualifications throughout the term of the contract.
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
The Minimum Qualifications are: 1. The vendor must have one or more offices in California at the time the proposal submission is made and continue to maintain at least one office in California during the term of any contract awarded pursuant to this RFP. 2. The vendor and their respective RMIS must have been in business for a minimum of five (5) years. 3. The vendor must conduct business with their respective RMIS with at least three (3) public entities located within California. The RMIS must be fully established and in use with said public entities. 4. The vendor must identify the account manager for the RMIS program with a minimum of five (5) years’ experience of managing RMIS accounts. 5. The vendor must identify the designated project manager with a minimum of five (5 years) experience of overseeing RMIS implementation projects. 6. The vendor must have the appropriate business licenses to conduct business within the State of California. 7. The vendor must provide (three (3) public entities located in California) references for the firm as required on Attachment 7, “Bidder’s Public Entity References”. In addition to contacting the references to validate experience and performance, ORIM will select one of the three references to provide an off-site demonstration of the vendor’s RMIS. 8. The vendor must host the RMIS. The State will not be responsible to pay any costs incurred in submission preparation, presentation, demonstration or negotiation, nor does it commit to procure or contract for any services. All costs for the Proposed Cost submission, presentation, demonstration and negotiation shall be borne by the Bidder. V.
PERIOD OF PERFORMANCE The anticipated start date of the resulting contract is February 4, 2014 with an expected golive date no later than May 30, 2014 The contractor shall not be authorized to deliver or commence performance of services as described in this Scope of Work (SOW) until written approval has been obtained from all entities. No delivery or performance of service may commence prior to the execution of the contract. The contractor shall provide yearly maintenance and support services as described in the Scope of Work to ORIM.
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State of California
Bid RFP2013-008
State of California Department of General Services
VI.
DGS RFP 2013-008
AVAILABILITY The selected contractor and proposed candidates must be able to meet the requirements of this RFP. The anticipated contract start date is February 4, 2014, unless notified otherwise by ORIM.
VII.
KEY ACTION DATES Listed below are key action dates and times which the action must be taken or completed. The key action dates and times represent the State’s best estimate of the schedule that shall be followed. Unless specified, the time of day for the following events shall be between 8:00 a.m. and 5:00 p.m., Pacific Standard Time. The State reserves the right in its sole discretion, to adjust this schedule as it deems necessary. Notification of any adjustment to the RFP KEY ACTION DATES/TIMES shall be provided to all vendors that timely submitted a proposal.
VIII.
Key Action Dates
Date
1. Release of DGS RFP 2013-008 2. Deadline for written questions by 2:00 PM 3. Department’s written response to questions 4. Deadline for submitting proposals (the response due date) by 2:00 PM 5. Opening of cost proposals 6. Posting of the Notice of Intent to Award 7. Last Day to Protest 8. Agreement Award
November 13, 2013 November 27, 2013 December 05, 2013 December 19, 2013 January 09, 2014 January 10, 2014 January 17, 2014 January 21, 2014
WRITTEN QUESTIONS All questions regarding the content of this RFP must be submitted electronically to Chris Verdin, DGS/ORIM, at
[email protected] with the subject line: “QUESTIONS RELATED TO THE DGS RFP 2013-008 THE RMIS.” All questions must be received by the key action date and time identified above. Questions not submitted in writing by the key action date for submission of written question shall be answered at the State’s option. When the State has completed its review of the questions, all questions and answers will be posted to the www.bidsync.com system.
IX.
STATE PERFERENCE/INCENTIVE PROGRAMS State Preference/Incentive Programs are not applicable to this RFP.
X.
SCOPE OF WORK A. OVERVIEW The ORIM requires a vendor hosted COTS solution and associated services for implementation and maintenance of a new RMIS to manage, track and store incident, claim and insurance policy information. The RMIS solution must also provide automated intake of initial incident information, capability to report on claim information using industry standard reports, custom reports and ad hoc reports as well as the ability to store and
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
retrieve associated documents and images. Within the scope of work the contractor is expected to provide project management, configure the system to meet technical and functional requirements, perform data conversion from old system to new system, verify data conversion, perform system testing, provide user training and provide ongoing system maintenance and support. The Contractor will work with ORIM to define, document, and validate detailed business / functional requirements based on current work flow and ORIM’s needs. B. PROJECT OBJECTIVE AND GOALS The objective of this RFP is to solicit proposals to host a comprehensive, commercially available RMIS, to fully implement and ensure long-term maintenance and support services for the system. It is the goal of this solicitation to identify, review and procure a vendor hosted software solution which would replace ORIM’s current RMIS and help ORIM achieve the following: 1. Improve internal efficiency and effectiveness for the claims and insurance policy management processes. 2. Improve access and tracking of claims and insurance policy information. 3. Improve data integration and exchange with other State agencies and entities. 4. Improve effective risk and claims management services. 5. Maintain data confidentiality Specific business and technical improvements to be achieved include: 1. 2. 3. 4. 5.
Improved report generating capability for claims and financial transactions. Expanded functionality and usage of the RMIS. Expanded incident and claim information captured and maintained. Improved data quality standards and best practice processes. Improved efficiency of capturing claim and incident information (on-line reporting and document imaging);
The following section lists requirements ranging from functional and non-functional requirements, business requirements and technical system requirements that the proposed solution must provide. C. FUNCTIONAL REQUIREMENTS I.
General: The system must have the ability to support a multi-line risk management operation providing: a) Comprehensive general liability (coverage for non-automobile related third-party losses).
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
b) Automobile liability (coverage for third-party losses arising out of the use of stateowned/ licensed/rented/leased vehicles used for state business ). c) Workers’ compensation (coverage for DGS employees who have been injured in the course and scope of their employment). d) Damage recovery/subrogation (pursuit of at-fault third parties for the cost to repair damages sustained to State-owned vehicles). e) Automobile physical damage (coverage for the damages sustained to state vehicles). f) Policy management (policy information tracking). g) Incident in-take. II.
Incident and Claims Management: The incident and claim management functions include all aspects of a claims management system, including incident and claim entry and tracking, payment, reserving, notes, and diaries. The RMIS shall have incident and claims management functions that include the: a) Ability to intake, store, track and report on all incident reports whether they are converted to a claim or not. b) Ability to populate city and state fields based on the entry of a zip code. c) Ability for State employees and agencies to report vehicle accidents on-line via a State web page with pre-defined fields needed to complete the initial accident entry. d) Ability for ORIM staff to manually input accident information from a non-electronic report. e) Ability to generate a claim number from initial entry of the claim triggered by one of the previously noted methods. If the information is incomplete, the claim shall have a status of ‘pending’ and shall generate an email to staff and/or supervisors on a configurable time basis until the claim status is changed. f) Ability to automatically generate a claim number that can be customized to match ORIM’s current format. g) Ability to assign a suffix number for each individual claimant appended to a claim number for a multi-party claim. h) Ability to send an automated e-mail to acknowledge the receipt of vehicle accident information and to provide a claim number to the submitter whenever an accident is reported on-line.
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
i)
Ability to create a future diary for the claims adjuster as a reminder to notify the State operator or agency in an event of a non-electronic report vehicle accident becomes a claim.
j)
Ability to automatically generate e-mails to the primary party’s e-mail address (when the claims adjuster has entered the address) on user-defined events.
k) Ability to support workflow management including supervisory access, on-line payment approval process, system rejection of unapproved / unauthorized transactions, exception reports of unapproved/unauthorized transactions that have been rejected, prioritization of tasks and easy reassignment as necessary. l)
Ability to create diary functions with user-customizable fields / triggers that also enable a manager or supervisor to assign tasks, monitor tasks and generate reports that identify open or overdue task.
m) Ability to maintain date triggers which specify the statute of limitations for the claim. Processes shall be created that generate a diary entry to the claims adjuster and emails the Claims Adjuster and Supervisor as the claim nears the statute of limitations date. n) Ability to track a user-defined task list of steps (workflow) that must be completed prior to a claim achieving an ‘open/active’ status. The RMIS shall mark all automated functions as complete requiring the user to check off any manual processes on their completion. The user shall have the ability to view the outstanding issues of this task list at any time. Once all items are completed, the claim shall be moved into an ‘open/active’ status. o) Ability to provide an on-line summary screen that provides overall information regarding the claim including reserves and payments. This screen shall provide the supervisors an opportunity to review the claim without requiring movement through multiple screens to view the information. The screen shall provide links to the detailed information in the event further information may be needed. p) Ability to track all pertinent information related to claims. The system must track, at a minimum, the following basic claim data for each type of claim as applicable: 1. Claim number 2. Assigned Adjuster code 3. Date Adjuster assigned 4. Cause/loss code 5. Organization/location code 6. Claim type code 7. Claim status code – pending, open, closed, etc. 8. Claim status dates pending, open, closed, etc. 9. Date Incident / Accident occurred 10. Date Incident / Accident reported 11. Date Incident / Accident recorded 12. Reserve amounts by category with dates 13. Payments 14. Vehicle Information 15. Drivers Licenses
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
q) Ability to capture data related to all vehicles involved in a multiple vehicle accident, as well as any property owner and property description of any movable or immovable property affected. r) Ability to accommodate State specific codes. s) Ability to record notes/comments to a specific claim or incident t)
Ability to set different reserve authorization levels for claim adjusters, supervisors and managers.
u) Ability to attach a wide variety of electronic formats to a specific claim; i.e. pictures (.jpg, .gif, etc.), documents (.doc, .txt, .pdf, etc.) spreadsheets and more. The functionality shall be flexible to all the electronic files so that they can be categorized by type and organized to the users’ needs. v) Ability to report claims information to and receive data from the Centers for Medicare and Medicaid Services in order to satisfy the Medicare Secondary Payer Mandatory Reporting requirements. w) Ability to interface with the anti-fraud claims indexing system, ISO. x) Include a “Recently Viewed” list of claims to quickly access a claim. y) Include a search feature to find and access a claim. III.
Workers’ Compensation/Return-to-Work The workers’ compensation function must have the ability to track the return-to-work activities and claim status of injured DGS employees. The RMIS shall have the ability to: a) Record notes/comments to a specific claim or incident b) Create diaries c) Ability to track and generate reports on the following information:
IV.
Job classification Organization code Light and limited duty dates/work status Date of injury Employee name Injury Adjuster name
Subrogation/Vehicle Damage Recovery The subrogation/vehicle damage recovery function must support activities to identify, manage, and recover the cost of damages sustained to State-owned vehicles. The function shall include the ability to:
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
a) Create demand letters and other template letters associated with subrogation activities. b) Set collection schedules for negotiated payment agreements. c) Perform periodic collection invoicing. d) Identify and track estimated recovery amounts. e) Identify and track actual recovered amounts. f) Set automatic reserves in accordance to user-defined rules. V.
Policy Management
The policy management function must support activities to capture pertinent policy and program data from all clients. This system shall have the ability to: a) Add and customize tabs within each policy page. b) Scan various policy related documents into the system. c) Export reports to other electronic formats such as:
Excel (specifically .xlsx) Comma Separated Values (.csv) Fixed field width PDF
d) Track the following information: VI.
Driver’s name Date of birth Driver’s license numbers Insured names Policy numbers Billing codes Insurance premiums Policy dates
Imaging/Document Management The RMIS shall have a fully integrated document imaging workflow and document management modules. The functions shall include the ability to: a) Scan, index, store, annotate and delete images. b) Recognize certain forms and letters to automatically classify them.
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
c) Read and store text on images of scanned forms and letters, Optical Character Recognition (OCR). d)
Fax or email images.
e) Route documents to individual work queues based on routing rules with alert and trigger capabilities. f) Search for images based on indexing. g) Track and save ORIM letters and forms. h) Create electronic signatures. VII.
Payments The State Controller’s Office and DGS Fiscal Office issue warrants/payments to claimants from vouchers generated by the RMIS. The RMIS shall have functions that include at minimum the following: a) Ability to track all pertinent information related to the claimant: 1. 2. 3. 4. 5. 6.
Claim number Voucher amount Date voucher processed Payee name and address Claimant name Payment type
b) Ability to generate vouchers. c) Ability to flag duplicates payment information. d) Ability to edit, void and reissue vouchers. e) Ability to view payment history. f) Ability to adjust the incurred amount as payment information is entered. g) Ability to flag the user when a payment exceeds reserves. h) Ability to process payments on an automated multi-level payment approval process based on amounts and authority levels (adjusters, supervisory and managerial).
VIII.
Litigation Management The RMIS shall have a litigation management module for tracking litigation activity that has the ability to track at minimum, the following data:
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State of California
Bid RFP2013-008
State of California Department of General Services
a) b) c) d) e) f) g) h) i) j) k) l) m) n) o) p) IX.
DGS RFP 2013-008
Claim number Suit date and description (may be multiple suits per claim) Attorneys (State attorney, defense attorney, contract attorney, plaintiff attorney) Defendants Witness Hearing and Deposition data Subpoena data Status of the case Pending / scheduled actions with dates Judicial district / Court division Docket number Judge assigned Offer / demand negotiation data Settlement award data Verdict / outcomes data Legal cost and fees
Reports The RMIS shall have an extensive reporting functionality that has the: a) Ability to create ad hoc reports based on all data fields in the system. b) Ability to schedule reports to process at various times. c) Ability to create and access reports based on user defined roles. d) Ability to export reports in a variety of electronic formats. e) Ability to distribute reports by email or by RMIS user work queues. f) Ability to create reports on an ‘as of’ basis. g) Ability to create reports of subrogation opportunities and financial recovery activities. h) Ability to create user defined graphs and/or charts. i)
Ability to create forecasting reports based on historical experience.
j)
Ability to develop a customized cost allocation report based upon incurreds and location data.
k) Ability to create fault/cause (frequency / severity) reports. l)
Ability to create standard loss runs reports.
m) Ability to create various adjuster activity reports.
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State of California
Bid RFP2013-008
State of California Department of General Services
DGS RFP 2013-008
n) Ability to create payment history reports. o) Ability to create reserve change history reports. p) Ability to create reports on collections status. q) Ability to create reports based on overdue or missed diaries. r) Ability to create customizable reports and save them in order to be available as a selectable report.
D. NON-FUNCTIONAL REQUIREMENTS I.
Review of ORIM’s Work Flow a) The contractor shall study and review ORIM’s current workflow in order to best integrate that workflow into the new RMIS.
II.
Training a) The contractor shall provide comprehensive training on the new RMIS for approximately 25 users consisting of administrative, managerial, analytical, clerical and claim users at all levels. b) The contractor shall provide onsite training at ORIM in West Sacramento as necessary for “train-the-trainer” and direct training of end users. c) The contractor shall provide electronic training manuals, user manuals and system administrator manual as required for each end user.
III.
Product Documentation Requirements a) On-Line Help -The solution must include context sensitive online help. b) Customizable online help. The solution shall include the ability to have ORIM specific help added to on-line help. c) Users Guide – The solution must include an electronic online User’s Guide. d) System Administrators Guide – The solution must include an electronic copy of the Application Administrator’s Guide.
IV.
System Administration and System Security 1. The RMIS shall contain rule based security which allows the ORIM system administrator(s) to define user groups and individual privileges. The system administrator shall have the ability to: a) b) c) d)
Record a user’s profile. Assign a group or rule(s) to the user, including read-only. Copy user profile to new users. Restrict entire groups and users from identified sections of the system.
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e) f) g) h) i) j) k) l)
DGS RFP 2013-008
Assign a department/location to a user profile. Assign a user’s reserve authority. Assign a user’s payment authority. Restrict users to a specific coverage(s). Restrict users to a specific department(s) or location(s). Customize functionality, code tables, and user access. Add user-defined tables and access rights to add, edit, and delete data from those tables accordingly. Manage the assignment / reset / deletion of usernames and password as well as the definition/modification/deletion of user profiles.
2. The RMIS shall have the: a) Ability to support on-line access controls and detection which limit or restricts access to specific data fields, records, screens, reports and system modules to support ORIM-defined access privileges and segregation of defined access privileges and segregation of duties. b) Ability to define all codes so that only drop downs of pre-defined codes are available to users. c) Ability to notify ORIM system administrator(s) when an authorized network intrusion has occurred. d) Ability to create unique user names e) Ability to enforce strong password. f) Ability to lock-out access after a certain number of unsuccessful attempts to login which requires an ORIM System Administrator to reset access and/or password. g) Ability to enforce password encryption within the data base. h) Ability to login using https/128 bit encryption. i)
Capability to provide and support a well-defined, retrievable audit trail on any data element identified by ORIM as requiring history. An audit trail shall include at minimum the user, date, time and actual data that is changed (from and to).
E. TECHNICAL REQUIREMENTS: I.
General a) The RMIS shall be available via an Application Service Provider (ASP) model with appropriate levels of redundancy to ensure maximum uptime. b) The RMIS shall have a Graphic User Interface (GUI) for all user interactions. c) The RMIS shall be based on industry standard three tier architecture with firewall separation between Web, Application and Database tiers.
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d) The RMIS shall be browser-based / Web-native and designed so that Microsoft’s Internet Explorer is the default client. e) The RMIS shall have the ability to transmit and receive electronic data files with the Centers for Medicare and Medicaid Services (CMS). f) The RMIS shall update data in real-time mode. g) The RMIS shall support the ability to import / export data in a variety of standard formats, including comma delimited format and Microsoft Excel formats. h) The RMIS shall be fully integrated, i.e.; data entered in one module must be accessible in related modules and navigation between modules shall be seamless. i)
The RMIS shall have the ability to transmit and receive data with the anti-fraud claims indexing system ISO.
j)
The RMIS shall have code fields that provide a list of possible entries with descriptions and support “auto-complete” entry of the codes.
k) The RMIS shall support multi-user access and provide for appropriate field and record-locking. l)
The RMIS shall provide technical documentation including a complete data element dictionary and a diagram of the table relationships.
m) The RMIS shall provide appropriate procedures for correcting data entry for errors through online prompts. n) The RMIS shall support the viewing / querying of data via a customizable user interface tailored to meet the individual needs of state agencies. o) The RMIS shall provide instructional screen prompts that assist the user in data entry, without the need to enter the help system. p) The RMIS shall be compatible with the DGS Network environment as listed in Attachment 1 where applicable. q) The RMIS shall be compatible with the DGS Server/Desktop environment as listed in Attachment 1 where applicable. II.
Help System a) The RMIS shall provide an on-screen context sensitive help feature. b) The RMIS shall provide online help features at all screen levels. c) The RMIS shall provide user-defined text help message.
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III.
DGS RFP 2013-008
Security a) The RMIS shall provide access via Transmission Control Protocol and Internet Protocol (TCP/IP) and will be protected at Layer 3 and Layer 4 by vendor’s firewall. b) The RMIS shall be protected from web based attacks by utilizing security devices such as firewalls and Intrusion Detection/Prevention devices. c) The RMIS shall support ORIM users only from DGS address space. d) The RMIS shall allow access to the claims intake from the address space of only State agencies.
IV.
Disaster Prevention a) The data stored in and the configuration states saved on the Web, Application and Database servers shall be routinely backed up following industry best practices to protect against data loss. b) The RMIS shall have a high level of built-in edits and validity checks to ensure data integrity. F. CONTRACTORS REQUIREMENTS:
I.
Data Conversion a) The Contractor shall perform data conversion of all data from the current RMIS to the new RMIS. b) The Contractor shall validate all data converted.
II.
Implementation 1. The Contractor shall be responsible for the implementation of the RMIS 2. The contractor shall identify a Project Manager responsible for the implementation of the RMIS.
III.
Upgrades and New Versions 1. The contactor shall provide to ORIM upgrades as follows: a) Release notes, updated documentation, updated online help. b) Information concerning legislative requirements. c) ORIM driven changes reflecting functional deficiencies identified by customers or new business requirements identified by ORIM. 2. The contractor shall provide computer based training, release notes, updates to manuals and online help updates for upgrades and new versions. Contractor shall provide advance notice of any upgrade or corrections.
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3. The contractor shall provide additional training resulting from upgrades as needed by ORIM. IV.
Long Term Support and Maintenance a) The contractor shall provide support and maintenance services throughout the life of the contract. This shall include warranties against “bugs”, functional deficiencies, performance issues and users and technical support. b) The contractor shall provide a dedicated Account Manager to whom all communications may be addressed and who has the authority to act on all aspects of the services for the term of the contract. c) The contractor shall provide a toll free support line staffed by business and technical professionals from 8:00 a.m. to 5:00 p.m., Pacific Time, Monday through Friday, excluding State observed holidays. d) The contractor shall respond to all problem requests received from ORIM according to the following timeframes:
V.
i.
An initial response shall be provided within 2 hours
ii.
Critical problems shall be addressed and resolved within 24 hours,
iii.
All other production problems shall be addressed and resolved within 48 hours.
iv.
If the need arises, the contractor shall have staff onsite at no additional cost to ORIM.
Software Escrow Requirement a) The contractor shall place a complete set of the Source Code for all contractor software provided to ORIM under this agreement in object form in escrow at their expense. Throughout the contract period, the Contractor will update the software escrow consistent with the most current release. The Source Code will be released to ORIM in the event of the Contractor’s material breach of this Agreement, the Contractor’s abandonment of support and maintenance of ORIM’s software to the extent that the ORIM’s operations are severely impaired, or the Contractor ceases to exist as a company. In the event that the Source Code is released to ORIM, ORIM agrees to use it exclusively for internal purposes, to maintain its confidentiality, and to otherwise be bound by all other terms and conditions of this agreement not inconsistent with its possession and use of the Source Code.
VI.
Records, Files, Transcripts, Tapes, Etc. a) All records, files, transcripts, computer tapes and any other material on ORIM’s policy and claims management activities are the property of ORIM. The property must be relinquished in good order and condition, and by program, upon request of
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ORIM or termination of the contract with the contractor without additional cost. Property must be returned to ORIM in a format usable by ORIM. VII.
Protection of Data a) Contractor shall develop and implement processes and procedures relating to the protection of ORIM’s electronic data, including a suitable security and back-up system for all stored data and a written policy with respect to disaster recovery, physical and electronic data security and electronic data retention
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State of California Department of General Services
XI.
DGS RFP 2013-008
SUBMISSION REQUIREMENTS a) Technical Proposal Format Requirements 1. Submissions are to be clear, concise and specific to the requirements of this RFP. The written submissions should not include publications of the Bidder such as published articles, directories or client lists. Submit only information that is pertinent to the RFP. 2. An original proposal marked “ORIGINAL COPY” and five (5) copies will be required for the technical proposal. 3. All pages of the technical proposal (including cover pages, table of contents, references and resumes) shall have the following header and page numbering format in the upper right-hand corner: Technical Proposal DGS RFP 2013-008 Page # of # 4. Brochures, tapes, drawings, etc. being submitted with technical proposals shall be clearly identified as to the name of the Bidder and the RFP number. Any materials submitted with your RFP will become the property of the State. 5. The technical proposal must contain a Table of Contents clearly identifying the location where the Bidder addressed or fulfilled each requirement listed below. 6. Preface the technical proposal with an executive summary of two (2) pages or less which provides a concise summation of the proposal. 7. Any costs, identified or stated in any manner in the Technical Proposal, may result in rejection of the proposal b) Technical Proposal Submission Each technical proposal shall be presented in the following order and reference the specific categories (1-16) proposal submission:
1. Business Organization Provide a brief description of your firm including: a. The names and backgrounds of principal owners, partners or officers including resumes detailing experience. b. The length and time the firm has been in the RMIS business. c. Any major (e.g., relocation of firm/consolidation, legal name change, etc.) planned for bidder and the parent corporation during the next twelve (12) months. d. The name, phone number, email address and fax number for your proposal contact.
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2. Proposed Team Organizational Chart Provide an organization chart that includes the name, title, role of all key personnel including the project manager and any subcontractor or consultant firms who will be assigned to this project. Back-up personnel assigned to the program should also be included. The Bidder must specifically designate:
a. The name of the program executive who will be fully responsible for all aspects of this project.
b. The name and title of the person authorized to negotiate contract terms and make binding decisions in all contract matters relative to the program.
3. Individual Experience and Qualifications of Proposed Team Members For each individual listed above and any other personnel including supervisory and management, who would be assigned to this project, provide a resume and/or summary of qualifications. The information should be structured to emphasize the relevant qualifications and experience of each team member
a. The position each individual currently occupies and is being proposed to occupy.
b. The education years and type of experience of each individual. c. The experience each individual has with implementing a RMIS. d. The experience each individual has with implementing the proposed RMIS. e. The last time each individual was involved with a successfully completion of a data conversion.
f. The length of time each individual has been with the firm. g. The number of successful data conversions overseen by project manager. 4. Firm Experience and Performance Provide previous experience with public entities as it would pertain to the implementation of a RMIS and associated services as outlined in the Scope of Work Exhibit A. The experience should include:
a. Experience converting data, specifying the number and complexity of data conversions successfully completed.
b. Experience with successful conversions of AON iVOS data to the proposed RMIS or experience with successful conversions from other RMIS data to AON iVOS RMIS.
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DGS RFP 2013-008
5. Responses from Bidder’s Customer/Client References ORIM will contact bidder’s public entity’s customer/client references to validate experience and performance. Bidders will be awarded points based on responses. a. Effectiveness of project of this magnitude and scope. 1. Was data from the prior RMIS successfully converted to the current RMIS? 2. Does the vendor provide adequate support? 3. Does the implementation of the current RMIS meet the public entity’s needs? 4. How effective is the on-line reporting? 5. How effective is document imaging and workflow management? b. Experience with technical aspects of the type of requirements described in the Scope of Work. 1. Describe how your data is secured? 2. Is online reporting fully integrated with the RMIS. 3. Is document imaging and workflow management fully integrated with the RMIS? c. Client satisfaction 1. Please describe your level of satisfaction with the RMIS and services provided by the vendor.
6. Implementation a. Describe your plan for accomplishing the required work. Provide a proposed implementation plan. Include items such as time-related displays, graphs and charts as necessary to show tasks, sub-tasks, milestones, decision points and logical breakpoints during which ORIM and the vendor shall assess the progress to date and prepare for the next phase. The plan may include but not be limited to the following:
1. Contract award date. 2. Detailed system design. 3. Install client components (as required). 4. Establishing all interfaces. 5. Performance of integration testing and optimization. 24 11/13/2013 2:27 PM
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6. Deliver system documentation. 7. Data conversion. 8. Training. 9. System acceptance testing. 10. Thirty-day stability test. 11. Final system acceptance. b. Describe the strategy, preparation and specification for converting data from the source system to the new system. Describe the overall approach and processes that will be used in the data conversion. Include an inventory and cross reference of source and target data elements; strategy for data quality assurance and control. c. Provide examples of potential challenges you anticipate during the implementation of the proposed RMIS. d. Provide your proposed solutions to the challenges.
7. System Features Provide an overview of all of the features contained within the proposed RMIS. Please note those features which meet the requirements included within the scope of work. Please emphasize how the following lines of business are supported by the features contained in the system.
a. Comprehensive general liability b. Automobile liability c. Workers’ compensation d. Damage recovery/subrogation e. Automobile physical damage f. Policy management g. Incident management 8. On Line Reporting/Vehicle Incident Intake a. Provide steps that are required to implement on-line reporting of vehicle accidents.
b. Explain how errors are handled. c. Explain if on-line reporting will allow individuals to save and re-access a partially completed report. If so explain how that will be done.
d. Describe the access auditing that will be available. For example, will ORIM be able to determine and track the source IP(s) of individual reporting the claim.
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State of California Department of General Services
DGS RFP 2013-008
e. Describe the management metrics that will be in place so that the effectiveness of the online reporting tool can be gauged and tracked.
f. Describe the security features implemented to protect access to the reporting screen.
g. Describe the online help that will be available to the individual reporting a claim.
9. Imaging/Document Management Describe the document, workflow and document management capabilities.
a. Ability and ease to index annotate and delete images. b. Ability to fax or email images on request. c. Ability to search contents d. Over- all effectiveness of the module to promote a paperless claim environment.
e. RMIS mail merge capabilities and written correspondence functions. f. The ease of sending, receiving and saving emails from the RMIS. 10. Reports a. Provide a list of all standard reports that your system provides. b. Describe how the same report can be used within different lines of coverage. c. Describe how custom reports can be created and saved within the system. d. Describe how the contractor will assist in the creation of custom reports. e. Describe how “as of” dates are used and stored to maintain reporting history. f. Describe how the system can create charts and graphs based on reports. g. Will user defined fields be available to include in reports. h. Will user defined fields be available to query reporting. i. Can reports be restricted to users based on their user roles? j.
Can Ad Hoc reports be created?
k. Can saved reports be automatically run and transmitted by email based on a pre-defined schedule?
l. Can reports be exported to other electronic formats? Please list the types of file formats supported.
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State of California Department of General Services
DGS RFP 2013-008
11. Data Exchange with External System a. Describe how the proposed system interacts with ISO for electronically submitting claims, retrieving responses and updating individual claims with those responses.
b. Describe how the proposed system interacts with CMS for submitting required information, retrieving responses and updating individual claims with those responses.
12. Training a. Describe your ability to satisfy ORIM’s training requirements on the new system for 25 DGS/ORIM users at all levels (management, technical, claim adjusters, analysts, clerical, and system administrators). Please include your recommended approach.
13. Support and Maintenance a. Describe your ability and your approach to provide long-term support and maintenance for the RMIS solution.
b. Describe how the RMIS is updated. Minimally include the following items: 1) Changes due to vendor feature enhancements 2) Changes due to legislative requirements 3) Changes to resolve system bugs 4) Customer-driven changes either reflecting functional deficiencies identified by ORIM or new business or reporting requirements 5) For system update, are release notes, updated documentation, updated online help provided 6) For any update, is additional training provided
c. Describe access to your support including phone and email support during normal business hours as well as off-hours/weekends/holidays.
d. Describe your capabilities to 1) Develop custom modules on an “as needed” basis. 2) Develop custom interfaces 3) Develop custom reports
e. Describe how your support will respond to and resolve issues. 14. Off- Site Evaluation ORIM will conduct an off-site review at one of the vendor’s three public entity references to view the RMIS in production. ORIM will request the vendor to provide a demonstration of the following:
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State of California Department of General Services
DGS RFP 2013-008
1. User interface
a. The look and feel of the user interface. b. The ease of entering data. c. The ease of searching and retrieving data. d. The organization of the user interface to minimize “bouncing around” to complete tasks.
e. Help screens associated to the user interface. 2. Reports
a. The ease of generating standard, ad hoc and customized reports b. The ability and ease of generating a report on an “as of” basis c. The ability and ease of the RMIS to export information to the current version of MS Excel, MS Word and Acrobat etc.
d. The ability and ease of the RMIS to develop graphs and/or charts e. The ability to change format, color, presentation or layout of graphs and charts 3. Document Imaging/Workflow
a. How it is used b. Volume of documents handled c. Effectiveness in creating a paperless environment. d. Ease of use. 4. Online reporting
a. Capture all information required. b. Reduce clerical staff time inputting data. c. Ease of use 5. Support
a. Satisfaction with support 15. Disaster Recovery
a. Describe how your firm would handle restoration of services in the event of a catastrophic loss of equipment or location.
b. Describe how your firm would handle recovery of data in the event of system failure or data corruption.
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DGS RFP 2013-008
16. Data Security and Confidentiality
a. Describe what steps your firm will take to ensure data security and confidentiality.
b. Describe how your firm would respond in the event it was discovered data security had been breached.
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DGS RFP 2013-008
c) Cost Proposal The Bidder must include all cost to the State for the scope of work. The cost must be inclusive for all work described herein. Costs that are based on a per unit basis, or other basis, will be considered non-conforming and may disqualify the bid. The cost must be included on Attachment 6 - Cost Proposal and remitted in a separately sealed envelope. The proposed price must include any and all costs the contractor wishes to have included in the contractual arrangement with the State. Travel will not be reimbursed. d) Format and Copies 1. Responses to this RFP shall be submitted in two (2) separate sealed packages/envelopes: a. 1st sealed Package/Envelope: Technical Proposal & Preference Program Documents- Original, five (5) copies and electronic copy. b. 2nd sealed Package/Envelope: Cost Proposal- Original Cost Proposal and Proposal/Bidder Certification Sheet 2. Proposals must be submitted no later than 2:00 P.M., Thursday, December 19, 2013, and addressed as referenced on page one (1) of this RFP. Proposals received after this date and time will not be considered. The proposal package/envelope must be plainly marked with the RFP number and title, your firm name, address, and must be marked with "DO NOT OPEN", as shown in the following example: 1st sealed Package/Envelope Agency/Firm Name Address
2nd sealed Package/Envelope Agency/Firm Name Address
RFP Number DGS RFP 2013-008 RFP Title: Risk Management Information System
RFP Number DGS RFP 2013-008 RFP Title: Risk Management Information System
TECHNICAL PROPOSAL DO NOT OPEN
COST PROPOSAL DO NOT OPEN
Proposals not submitted under sealed cover and marked as indicated may be rejected. If the proposal is made under a fictitious name or business title, the actual legal name of Bidder must be provided. e) Proposal Due Date Submission must be received at the address below no later than the Response Due Date.
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State of California Department of General Services
DGS RFP 2013-008
Department of General Services Office of Risk and Insurance Management Claims Unit Room 1-435, MS 435 707 Third Street West Sacramento, CA 95605 f) Submission Except as specifically requested by the State, the submission or any portion thereof via facsimile transmission, electronic, or magnetic media is not acceptable and the State will not consider any submission material submitted in this manner. g) Modifications If, prior to the final filing date for the submission, a Bidder discovers an error or omission in a submission already forwarded to the State, the only method of correcting, modifying, or completing the submission is to withdraw it in its entirety prior to the final filing date and time by written notification to the State. A complete, corrected submission package may be resubmitted prior to the final date and time. Modification offered in any other manner, oral, written, or facsimile transmission, will not be considered. LATE SUBMISSIONS, IN WHOLE OR IN PART, WILL NOT BE ACCEPTED FOR ANY REASON. XII.
SELECTION OF CONTRACTOR a) Responsiveness 1. To be considered responsive, a submission must comply in all respects with the requirements of the RFP. Bidders shall not be permitted to deviate or take exception to any requirements or clauses in the RFP or its attachments. A submission that attempts to qualify the requirements of the solicitation documents in any way may be determined non-responsive and will be excluded from further consideration in the evaluation and award process. 2. The State reserves the right, at its sole discretion, to determine a deficiency is not substantive and waive the deficiency as immaterial. Waiver of an immaterial defect by the State shall in no way modify the RFP documents or relieve the Bidder from full compliance with contract requirements if the Bidder is awarded the contract. 3. The State reserves the right to reject any and all submissions, or any part thereof, or to accept any submission, or part thereof. The State reserves the right to re-issue or change this RFP, and to procure the services required by other means. 4. The Bidder must meet the minimum qualifications in order to have their written submission evaluated.
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DGS RFP 2013-008
b) Process The Minimum Qualifications and written submissions will be evaluated by committee. All scoring will be done on a consensus basis. In order for a Bidder’s cost proposal to be opened, Bidders must first meet the Minimum Qualifications. Should they pass the Minimum Qualifications; the written submission will be evaluated and scored. The Cost Proposals will then be opened. The appropriate score will be given to the cost proposal (see example below). The Bidder with the highest total points will be awarded the contract. c) Bidder Evaluation 1. Phase I: Minimum Qualifications – Pass/Fail The Bidder must submit the required information in the format as described in Attachment 5- Minimum Qualification Checklist. All of the information must be included. Missing or incomplete information will be cause for immediate rejection of the bid/proposal. If the Bidder passes this phase, the technical proposal will be evaluated and scored. As long as the Minimum Requirements are contained within the technical proposal, they need not be separately presented. 2. Phase II: Evaluation of the Written Submission (300 points) The technical proposal will be evaluated in accordance with Attachment 2-Written Proposal Evaluation Scoring Sheet. All technical proposals deemed responsive by the evaluation committee will have their cost proposals opened. Total points available for Phase II is 300 points or 75% of the total score 3. Phase III: Proposed Cost (100 Points) The bidder shall complete Attachment -6-COST PROPOSAL when submitting their cost proposal. The cost proposals will not be opened until all technical proposals are evaluated and scored. Total points available for Phase II is 100 points or 25% of the total score. 100 points is the total possible points that may be achieved/awarded for Phase III. The lowest cost proposal submitted will be awarded the full 100 points. The remaining cost proposals will be awarded cost points based on the cost proposal formula below Cost Proposal Formula: Lowest Bidder’s Cost = (factor) X maximum cost points = cost points for other bidders EXAMPLE: Lowest Cost Proposal =
$75,000
Other cost proposal = $100,000
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State of California Department of General Services
Total Points Available =
DGS RFP 2013-008
100 Points
(Lowest cost proposal/Other Cost Proposal = (Factor) X maximum cost points = cost points for other proposer) $75,000 = ¾ X 100 = 75 cost points awarded $100,000 Each subsequent cost proposal will be factored by the above formula. In event of a tie the contract award will be based on a coin toss or other methods determined by the ORIM Chief or designee, should there be more than two tying Bidders d) Contract Award a. If contract is awarded, the Bidder will be chosen as described in Section C-Bidder Evaluation, above to a responsible bidder whose bid complies with all the requirements of the RFP documents. Written notification of the State’s intent to award will be made to all bidders via www.Bidsync.com or email. b. Upon Notice of Intent to Award, the successful Bidder has 5 days to furnish evidence of insurance as shown below. All policies certified must be with companies with a Best’s Key Rating of “A” or better and coverage shall be maintained throughout the contract term. Insurance Requirements: i. Worker’s compensation and employer’s liability of $1,000,000 are required (or evidence of being a qualified self-insurer in California) ; ii. General liability and automobile liability with minimum limits of at least $1,000,000 per occurrence for each category. The State of California, Its officers, agents & employees must be included as additional insured but only with respect to work performed for the State of California under this contract; iii. Employee Dishonesty coverage with a limit of at least $1,000,000; iv. Professional errors and omissions liability insurance with a limit of liability of at least $1,000,000; c. The proposed contractor agrees to execute a contract with the State within 30 days of the award. If proposed contractor fails to execute a contract with the State within that time, the contract will be awarded to the qualified bidder with the next highest final combined score. d. If the contract is terminated or not renewed for any reason, the State shall have a continuing right to have access to all files maintained by Contractor pertinent in any way to the State’s account. Contractor shall fully cooperate and, at the State’s request, shall provide photocopies of any or all pertinent files or other documents, including but not limited to, policies audits, claim and accounting information and applications for existing policies. e. In the performance of this contract, the Contractor may see or receive information designated confidential. Contractor shall not disclose this information to any party without the express permission of the State.
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XIII.
DGS RFP 2013-008
GENERAL CONDITIONS a) The State reserves the right to accept or reject a proposal, or modify or withdraw, in part or in its entirety, this RFP. Changes will be announced by addenda and will be posted to the Bid Sync internet address: www.bidsync.com as noted under “Written Questions” of this RFP. Proposal received after the due date and time will be returned unopened to the proposing firm. b) Only one proposal from an individual, firm, partnership, corporation, or combination thereof, will be considered. Reasonable grounds for believing a Bidder has submitted multiple proposals under more than one name will be cause for rejection of all proposals in which the Bidder is interested. c) All submissions and all evaluation and scoring sheets that are retained as a permanent State record shall be made available for public inspection.
XIV.
PROTESTS OF AWARD If a Bidder chooses to protest the proposed award: 1. The protest must be filed with the Department of General Services (DGS) after the Notice of Intent to Award is made, but before the actual award of the Contract. 2. If any Bidder, prior to the award of agreement, files a protest with the Department of General Services, Office of Legal Services (OLS), on the grounds the protesting Bidder would have been awarded the contract had the committee correctly applied the evaluation standard in the RFP, or if the agency followed the evaluation and scoring methods in the RFP, the agreement shall not be awarded until either the protest has been withdrawn or the Department of General Services has decided the matter. It is suggested any protest be submitted by certified or registered mail to: Department of General Services Office of Legal Services Attention: Protest Coordinator 707 Third Street, 7th Floor West Sacramento, CA 95605 FAX: (916) 376-5088 3. Within five (5) working days after filing the initial protest, the protesting Bidder shall file with DGS/OLS, and a full and complete written statement specifying the grounds for the protest. It is suggested a complete written statement be submitted by certified or registered mail. Protestants should include their email address or fax numbers if they have one. 4. If no protest is filed with DGS within five (5) working days of the date the Notice of Intent to Award is posted, the Agreement shall be awarded to the proposed qualified Bidder.
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State of California Department of General Services
DGS RFP 2013-008
ATTACHMENT 1 CURRENT TECHNICAL ENVIRONMENT i.
The Office of Risk and Insurance Management (ORIM) resides inside the DGS Headquarters building located in West Sacramento. DGS has a 250MB connection to the California Department of Technology, which in turn has three 10GB connections to the internet via AT&T, TW Telecom and Integra.
ii. DGS Headquarters is protected from the internet by an enterprise level firewall. Internet bound traffic from ORIM is Port Address Translated. iii. DGS runs an all IPV4 based network. iv. DGS has established the following standards for software, including, operating systems, personal productivity, relational database applications, Web server software, and application development tools. These standards are:
Operating System Workstation O/S:
Microsoft Windows 7 Enterprise O/S, 32-bit
Alternate Workstation O/S: Excluded Workstation O/S:
Microsoft Windows 7 Enterprise O/S, 64-bit All other workstation operating systems are excluded from use and may only be approved with an exemption.
Applications Office Application Suite:
Anti-Virus Support: Enterprise and Workgroup Electronic Mail, Calendaring and Scheduling: Internet/Intranet Browser:
Microsoft Office/ 2010, Professional, Including: Word Processing - MS Word Electronic Spreadsheet- MS Excel Presentation Graphics MS Power Point McAfee Anti-Virus MS Outlook 2010, California Email System (Microsoft Exchange platform)
MS Internet Explorer v8.0 or above
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3270 Terminal Emulation:
Attachmate Xtra
Contact Mgmt. (individual): Contact Mgmt. (workgroup):
MS Outlook 2010
Database Management System: Languages for Database Applications and Internet/Intranet Applications for Workgroups: Project Management for Small Workgroups: Intranet/Internet Application Development: Internet/Intranet Web Design & Management Internet & Intranet Search Engines
Internet Streaming Media (audio & video) Internet & Intranet Server
MS Outlook 2010
MS SQL Server 2005 or above, Oracle 11 .Net, Visual Basic, VBA, VB Script, Java, JavaScript
MS Project 2010 .Net
MS FrontPage 2010, DotNetNuke Intranet – Mini Google, Internet – Custom Google
MS Media Server MS Internet Information Server 6.0 and above
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ATTACHMENT 2 WRITTEN PROPOSAL EVALUATION SCORING SHEET Maximum Points Possible Names, backgrounds and resumes provided ...............................1 point 1 Length and time in RMIS business provided ................................1 point 1 Future major plans confirmed ......................................................1 point 1 Contact information provided .......................................................1 point 1 Business Organization Subtotal of Points 4
Points Awarded
Maximum Points Possible Team Chart provided ...................................................................1 point 1 Key Personnel identified ..............................................................1 point 1 Proposed Team Organizational Chart Subtotal of Points 2
Points Awarded
Maximum Points Possible
Points Awarded
1. Business Organization. a b c d
2. Proposed Team Organizational Chart.
3. Individual Experience and Qualifications of Proposed Team Members. Number of Years with the Current Firm Program Executive. 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Firm Representative authorized to negotiate contract terms and sign contracts. 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Project Manager 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Account Manager 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Individual Experience and Qualifications of Proposed Team Members. Number of Years with the Current Firm Subtotal of Points
3
3
3
3
12
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3. Individual Experience and Qualifications of Proposed Team Members. Number of Years in Area of RMIS. Program Executive. 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Firm Representative authorized to negotiate contract terms and sign contracts. 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Project Manager -Exceeds 5 years minimum qualifications by: 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Account Manager-Exceeds 5 years minimum qualification by: 1-2 years .....................................................................................1 point 3-4 years .....................................................................................2 points 5 years and over ..........................................................................3 points Individual Experience and Qualifications of Proposed Team Members. Number of Years in the Area of RMIS Subtotal of Points
Maximum Points Possible
Points Awarded
3
3
3
3
12
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3. Individual Experience and Qualifications of Proposed Team Members Number of Successful Data Conversions Overseen to completion in the area of RMIS. Project Manager 1-5 conversions ...........................................................................1 point 5-10 conversions .........................................................................2 points More than 10 ...............................................................................3 points Individual Experience and Qualifications of Proposed Team Members Number of Successful Data Conversions Overseen to completion in the area of RMIS. Subtotal of Points
4. Experience and Qualifications of Firm with Public Entities Number of Successful Data Conversions for Public Entities Overseen to completion in the area of RMIS. 1-5 conversions ...........................................................................1 point 5-10 conversions .........................................................................2 points More than 10 ...............................................................................3 points
b
3
Maximum Points Possible
Experience and Qualifications of Firm with Public Entities Subtotal of Points
5
Effectiveness with projects of this magnitude and scope. Data Conversion ........................................................................... 1 point Adequate support ......................................................................... 1 point Implementation of the RMIS meet their needs .............................. 1 point Online Reporting ........................................................................... 1 point Document Imaging / Workflow ...................................................... 1 point Experience with technical aspects of the work described in the SOW. Fully implemented Network security ............................................. 3 point Fully integrated Document Imaging/ workflow ............................... 1 point Fully integrated online reporting .................................................... 1 point Client satisfaction. 1. Not Satisfied ............................................................................ 0 points 2. Somewhat Satisfied ................................................................. 1 point 3. Satisfied ................................................................................... 3 points 4. Extremely Satisfied .................................................................. 5 points REFERENCE #1 Subtotal of Points
Points Awarded
3
2
REFERENCE #1 ████████████████████████████████████
Points Awarded
3
Additional Points Possible-Specific experience converting data to or from an AON / iVOS RMIS ...................................................................2 points
5. Reponses from three (3) Bidder’s Customer/Client References.
a
Maximum Points Possible
Maximum Points Points Awarded Possible
5
5
5
15
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5. Reponses from three (3) Bidder’s Customer/Client References. REFERENCE #2 ████████████████████████████████████ a
b
Effectiveness 7with projects of this magnitude and scope. Data Conversion ........................................................................... 1 point Adequate support ......................................................................... 1 point Implementation of the RMIS meet their needs .............................. 1 point Online Reporting ........................................................................... 1 point Document Imaging / Workflow ...................................................... 1 point Experience with technical aspects of the work described in the SOW. Fully implemented Network security ............................................. 3 point Fully integrated Document Imaging/ workflow ............................... 1 point Fully integrated online reporting .................................................... 1 point Client satisfaction. 1. Not Satisfied ............................................................................ 0 points 2. Somewhat Satisfied ................................................................. 1 point 3. Satisfied ................................................................................... 3 points 4. Extremely Satisfied .................................................................. 5 points REFERENCE #2 Subtotal of Points
5. Reponses from three (3) Bidder’s Customer/Client References. REFERENCE #3 ████████████████████████████████████ a
b
Effectiveness with projects of this magnitude and scope. Data Conversion ........................................................................... 1 point Adequate support ......................................................................... 1 point Implementation of the RMIS meet their needs .............................. 1 point Online Reporting ........................................................................... 1 point Document Imaging / Workflow ...................................................... 1 point Experience with technical aspects of the work described in the SOW. Fully implemented Network security ............................................. 3 point Fully integrated Document Imaging/ workflow ............................... 1 point Fully integrated online reporting .................................................... 1 point Client satisfaction. 1. Not Satisfied ............................................................................ 0 points 2. Somewhat Satisfied ................................................................. 1 point 3. Satisfied ................................................................................... 3 points 4. Extremely Satisfied .................................................................. 5 points REFERENCE #3 Subtotal of Points
Maximum Points Points Awarded Possible
5
5
5
15 Maximum Points Points Awarded Possible
5
5
5
15
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6. Implementation Plan - Bidders will be awarded points based on their approach for completing the implementation activities and task. Bidder has provided overall methodology, functions activities and timelines that will be performed....................................................3 points Bidders timeline included important dates ....................................3 points Bidders timeline is able to meet requested go live date................3 points Bidder demonstrated/presented a viable solution.........................3 points Bidder provided a detailed data conversion plan ..........................3 points Bidder provided valid challenges to implementation of the RMIS that need to be surmounted .........................................................................3 points Bidder proposed viable solutions to the challenges......................3 points Implementation Plan - Subtotal of Points 7. Overview of System Features Bidders will be awarded points based on their ability to fully meet or exceed the required features as detailed within the Scope of Work.
a b c d e f g
Does Overview meet all requirements listed in SOW ...................25 points Comprehensive General Liability .................................................5 points Automobile Liability ......................................................................5 points Workers Compensation ...............................................................5 points Damage Recovery / Subrogation .................................................5 points Automobile Physical Damage ......................................................5 points Policy Management .....................................................................5 points Incident Management ..................................................................5 points Overview of System Features - Subtotal of Points
b c
d e f g
Does the Bidder provide steps to implement online reporting ....................................................................................................5 points Does Bidder explain how errors are handled ...............................1 points Does system allow saves and ability to re-access partially completed online report ...........................................................................................1 point Is Bidders explanation thorough...................................................1 point Bidder presented a viable solution ...............................................1 point Bidder provides auditing of online reporting .................................1 point Audits include source IP address .................................................1 point Does the bidder adequately describe management metrics as it pertains to online reporting ............................................................................1 point Bidder provided description about security used to protect access to online reporting ......................................................................................1 point Does Bidder provide online help for online reporting ....................1 point How relevant is online help ..........................................................1 point Online Reporting / Vehicle Incident Intake – Subtotal of Points
Points Awarded
3 3 3 3 3 3 3 21 Maximum Points Possible
Points Awarded
25 5 5 5 5 5 5 5 60 Maximum Points Possible
8. Online Reporting/Vehicle Incident Intake a
Maximum Points Possible
Points Awarded
5 1 3
2 1 1 2 15
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Maximum Points Possible
9. Imaging/Document Management Document Imaging System has ability to index images ..............................................1 point System has ability to search images ............................................1 point System has ability to search content on images ..........................1 point System has ability to annotate images .........................................1 point System has ability to delete images .............................................1 point System has ability to fax images on request ................................1 point System has ability to email images on request ............................1 point System is designed to promote a paperless environment ............1 point Document Workflow System allows for mail merge with existing documents ................1 point System allows sending and receiving of emails ...........................1 point Bidders description was comprehensive and thorough ................2 point Imaging/Document Management – Subtotal of Points
Points Awarded
8
2
2 12
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Maximum Points Possible
10. Report Capabilities a.
b c d e f g h i j k l
Are the following reports included with RMIS by default: Frequency and Severity Report ..................................................... 1 point Loss Run Report ............................................................................ 1 point Payment Detail Report ................................................................... 1 point Litigation Report ............................................................................ 1 point Payment Detail Report ................................................................... 1 point Adjuster Assignment Report .......................................................... 1 point Adjuster Activity Report.................................................................. 1 point Adjuster Diary Report .................................................................... 1 point Cause Report ................................................................................ 1 point Threshold Report ........................................................................... 1 point Subrogation Report........................................................................ 1 point Loss Triangle Report ..................................................................... 1 point Ability for different lines of coverage to use same report ................ 1point Ability to create custom reports ...................................................... 1 point Ability to save/reuse custom reports .............................................. 1 point Does Contractor assist in custom report building ........................... 2 points Ability to report on an “as of” basis................................................. 1 point Ability to save “as of” histories ....................................................... 1 point Ability to create Graphs, charts ...................................................... 1 point Ability to report on user defined fields ............................................ 1 point User defined fields can be used to query records .......................... 1 point Restriction of reports based on user role ....................................... 1 point Ability to run Ad Hoc Reports ......................................................... 1 point All fields available to Ad Hoc Reports ............................................ 1 point Ability to schedule reports .............................................................. 1 point Ability to automatically email scheduled reports ............................. 1 point Ability to export reports to other electronic formats Excel (specifically .xlsx) ................................................................. 1 point Comma Separated Values (.csv) ................................................... 1 point Fixed field width ............................................................................. 1 point PDF ............................................................................................... 1 point Report Capabilities – Subtotal of Points
a. b
12
1 2 2 2 1 1 1 1 2 2
4
31
Maximum Points Possible
11. Data Exchange with External Systems Does the System submit and receive information with ISO, where notes and data fields are updated automatically ....................................3 points Does the System submit and receive information with CMS, where notes and data fields are updated automatically ....................................3 points Data Exchange with External Systems – Subtotal of Points
Points Awarded
Points Awarded
3 3 6
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Maximum Points Possible Bidder’s training plan is comprehensive and thorough .................5 points 5 Training – Subtotal of Points 5
Points Awarded
Maximum Points Possible
Points Awarded
12. Training
13. Support and Maintenance a.
b.
c.
d e.
Does the Bidder provide a comprehensive approach to support and maintenance ................................................................................10 points Does support include system updates for vendor/legislative/industry driven enhancements .............................................................................1 point Does support include system updates for user driven enhancements ....................................................................................................1 point Does support include system updates for bug fixes .....................1 point Does support include release notes .............................................1 point Does support include updates to documentation .........................1 point Does support include updated online help ...................................1 point Does support include additional training ......................................1 point Does bidder adequately describe access to support ....................1 point Normal business hours 8AM to 5PM PST ....................................1 point Minimal Coverage provided during off hours/holidays ..................1 point Does bidder description of support capabilities meet or exceed ORIM’s requirements................................................................................2 points Does bidders description for response and resolution to issues meet or exceed ORIM’s requirements.......................................................2 points Support Maintenance – Subtotal of Points
10
7
3 2 2 24
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State of California Department of General Services
DGS RFP 2013-008
Maximum Points Possible
14. Off- Site Visit 1.
2.
3
4
5
User interface Overall appearance of user interface is easy to work with ............1 point Ease of entering data...................................................................1 point Ease of searching for and retrieving data .....................................1 point Efficient Layout and location of fields within a screen ..................1 point Help screens readily available (context sensitive) ........................1 point Reports Ease of report selection and data queries ....................................1 point Ease of creating customizable reports .........................................1 point Ease of producing ad hoc reports ................................................1 point Ease of running “as of” reports.....................................................1 point Ease of exporting data to Excel, Acrobat, Word, etc ....................1 point Ease of creating graphs and charts .............................................1 point Ease of modifying the layout of a report or graph .........................1 point Document Imaging/Workflow Fully integrated ............................................................................1 point Ability to handle a volume of documents similar in scope of ORIM’s programs.........................................................................1 point Overall effectiveness ...................................................................1 point Overall Ease of use .....................................................................1 point Online Reporting Overall Ease of use .....................................................................1 point Effectiveness of data captured .....................................................1 point Ability to reduce staff time required for inputting ..........................1 point Satisfaction with Support 1. Not Satisfied ...........................................................................0 points 2. Somewhat Satisfied ................................................................1 point 3. Satisfied ..................................................................................3 points 4. Extremely Satisfied .................................................................5 points Off Site Visit – Subtotal of Points
a b
5
7
4
3
5
24
Maximum Points Possible
15. Disaster Recovery Does the Bidder provide a comprehensive and thorough disaster recovery plan .............................................................................................2 point Does the Bidder provide a comprehensive and thorough data recovery plan ....................................................................................................2 point Disaster Recovery – Subtotal of Points
Points Awarded
Points Awarded
2 2 4
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Maximum Points Possible
16. Data Security and Confidentiality a
b
Does the Bidder provide a comprehensive and thorough plan to ensure data security ................................................................................5 point Does the Bidder provide a comprehensive plan to ensure data confidentiality ...............................................................................5 point Does Bidder description provide an appropriate response to a security breech .........................................................................................5 point Data Security and Confidentiality – Subtotal of Points
10
5 15
Maximum Points Possible
COMBINED POINT TOTAL Total Combined Points from all Sections
Points Awarded
Points Awarded
300
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State of California Department of General Services
DGS RFP 2013-008
ATTACHMENT 3 REQUIRED ATTACHMENTS CHECK LIST In order for the bid to be responsive, the following documents must be returned with this checklist. Failure to submit any of the documents on this checklist will result in rejection of bid: Attachment 3 – Required Attachments Check List Attachment 4 – Bid/Bidder Certification Sheet Attachment 5 – Minimum Qualifications Checklist Attachment 6 – Cost Proposal in a separate sealed envelope per instructions in Section XI. Submission Requirements, Subsection c and d, paragraphs 1 and 2 on page 3 Attachment 7 – Bidder’s Public Entity References Attachment 8 – Payee Data Record (204) Required Attachment 9 – Bidder’s license(s) to conduct business with the State of California
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ATTACHMENT 4 PROPOSAL/BIDDER CERTIFICATION SHEET This Proposal/Proposer Certification Sheet must be signed and returned along with all the "required attachments" as an entire package in duplicate with original signatures. The proposal must be transmitted in a sealed envelope in accordance with RFP instructions. A.
Place all required attachments behind this certification sheet.
B.
Our all-inclusive bid is as detailed in Attachment 6, Cost Proposal.
C.
The signature affixed hereon and dated certifies compliance with all the requirements of this proposal document. The signature below authorizes the verification of this certification.
1. Company Name
An Unsigned Proposal/Proposer Certification Sheet May Be Cause For Rejection 2. Telephone Number ( )
2a. Fax Number ( )
3. Address Indicate your organization type: 4. Sole Proprietorship
5.
Partnership
Indicate the applicable employee and/or corporation number: 7. Federal Employee ID No. (FEIN)
6.
Corporation
8. California Corporation No.
9. Indicate applicable license and/or certification information:
10. Proposer’s Name (Print)
11. Title
12. Signature
13. Date
14. Are you certified with the Department of General Services, Office of Small Business and Disabled Veteran Business Enterprise (OSDS) as: a. California Small Business Yes No b. Disabled Veteran Business Enterprise Yes No If yes, enter certification number: If yes, enter your service code below: NOTE: A copy of your Certification is required to be included if either of the above items is checked “Yes”. Date application was submitted to OSDS, if an application is pending:
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Completion Instructions for Proposal/Bidder Certification Sheet Complete the numbered items on the Proposal/Bidder Certification Sheet by following the instructions below. Item Numbers
Instructions
1, 2, 2a, 3
Must be completed. These items are self-explanatory.
4
Check if your firm is a sole proprietorship. A sole proprietorship is a form of business in which one person owns all the assets of the business in contrast to a partnership and corporation. The sole proprietor is solely liable for all the debts of the business.
5
Check if your firm is a partnership. A partnership is a voluntary agreement between two or more competent persons to place their money, effects, labor, and skill, or some or all of them in lawful commerce or business, with the understanding that there shall be a proportional sharing of the profits and losses between them. An association of two or more persons to carry on, as co-owners, a business for profit.
6
Check if your firm is a corporation. A corporation is an artificial person or legal entity created by or under the authority of the laws of a state or nation, composed, in some rare instances, of a single person and his successors, being the incumbents of a particular office, but ordinarily consisting of an association of numerous individuals.
7
Enter your federal employee tax identification number.
8
Enter your corporation number assigned by the California Secretary of State’s Office. This information is used for checking if a corporation is in good standing and qualified to conduct business in California.
9
10, 11, 12, 13
14
Complete, if applicable, by indicating the type of license and/or certification that your firm possesses and that is required for the type of services being procured. Must be completed. These items are self-explanatory. If certified as a California Small Business, place a check in the “yes” box, and enter your certification number on the line. If certified as a Disabled Veterans Business Enterprise, place a check in the “Yes” box and enter your service code on the line. If you are not certified to one or both, place a check in the “No” box. If your certification is pending, enter the date your application was submitted to OSDS.
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ATTACHMENT 5 MINIMUM QUALIFICATIONS CHECKLIST
Minimum Requirements 1. 2. 3.
4.
5
6
7
8
N/A
Yes
No
Does the Bidder have one or more offices in California and will maintain an office in California for the length of the contract? Has the bidder and their respective RMIS been established in business for at least five (5) years? Has the bidder conducted business with their respective RMIS with at least three (3) public entities within California and is the RMIS an established product in use with said (3) public entities? Has the vendor identified the account manager for the RMIS program with a minimum of five (5) years’ experience of managing RMIS’ accounts? Has the vendor identified the designated project manager with a minimum of five (5 years’) experience overseeing RMIS implementation projects. Does the vendor have the appropriate business licenses to conduct business within the State of California and has the vendor provided a copy of said license(s)? Has the vendor provided three (3) California public entity references as required on Attachment 7, “Bidder’s Public Entity References”? One of these references will provide an on-site demonstration for ORIM personnel on the RMIS. Is the vendor able to host the RMIS?
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Bid RFP2013-008
DGS RFP 2013-008
ATTACHMENT 6 COST PROPOSAL This section is prepared to meet the requirements of RFP Section XI – SUBMISSION REQUIREMENTS, Sub-section c) - Cost Proposal. Per Section XI – SUBMISSION REQUIREMENTS, Sub-section c) - Cost Proposal, this cost proposal is submitted separately from the Minimum Qualifications/ Technical Proposal sections. Please indicate the fee structure to support our “25“-in-house users. Initial Cost The initial one- time cost shall include all services and requirements outlined in the Scope of Work of this RFP. Cost shall include but not limited to lease/purchase of software, customization (if any), data conversion charges, Section 111 of the Medicare, Medicaid and SCHIP Extension Act reporting (CMS reporting), initial training, implementation, maintenance and support for year one. Annual Fees Annual ongoing fees shall include maintenance, upgrades, system support, and CMS reporting for year two through five. Cost Proposal shall detail only the cost proposed as required, and shall not detail any other rates, amounts, or information. It shall not detail any text that could be construed as a qualification of cost proposed. Firm Name:
___________________________________________________________: Description
Initial one-time cost and year one (1) support and maintenance and CMS reporting Year 2 maintenance and support, and CMS reporting Year 3 maintenance and support and CMS reporting Year 4 maintenance and support and CMS reporting Year 5 maintenance and support and CMS reporting Total
Cost $ $ $ $ $ $
Submitted By: _______________________________________________________________ (Please type name of individual authorized to represent bidding company) Authorized Signature: ______________________________________________________ Date: _________________________________________________________________ NOTE: DO NOT QUALIFY YOUR BID. ANY BIDDER WHO QUALIFIES THEIR BID WILL BE REJECTED.
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ATTACHMENT 7 BIDDER’S PUBLIC ENTITY REFERENCES Submission of this attachment is mandatory. Failure to complete and return this attachment with your proposal will cause your proposal to be rejected and deemed nonresponsive. List below three references of similar types of services performed by your firm within the last five years. If three references cannot be provided, please explain why on an attached sheet of paper. REFERENCE 1 Name of Firm Street Address Contact Person Dates of Service Brief Description of Service Provided
REFERENCE 2 Name of Firm Street Address Contact Person Dates of Service Brief Description of Service Provided
REFERENCE 3 Name of Firm Street Address Contact Person Dates of Service Brief Description of Service Provided
City
State Telephone Number Value or Cost of Service
Zip Code
City
State Telephone Number Value or Cost of Service
Zip Code
State Telephone Number Value or Cost of Service
Zip Code
City
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Bid RFP2013-008
DGS RFP 2013-008
ATTACHEMENT 8 PAYEE DATA RECORD
The successful bidder will be required to submit a Payee Data Record, STD. 204 Form listing their Taxpayer Identification Number. The form may be found at: http://www.documents.dgs.ca.gov/osp/pdf/std204.pdf
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ATTACHMENT 9 BIDDER‘S LICENSE(S) TO CONDUCT BUSINESS WITHIN THE STATE OF CALIFORNIA
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ATTACHMENT 10 STATE OF CALIFORNIA
STANDARD AGREEMENT STD 213 (Rev 06/03)
AGREEMENT NUMBER REGISTRATION NUMBER
1. This Agreement is entered into between the State Agency and the Contractor named below: STATE AGENCY'S NAME CONTRACTOR'S NAME
2.
The term of this Agreement is:
through
3. The maximum amount of this Agreement is:
$
4. The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a part of the Agreement. Exhibit A – Scope of Work
XX pages
Exhibit B – Budget Detail and Payment Provisions
XX pages
Exhibit C* – General Terms and Conditions Check mark one item below as Exhibit D: Exhibit - D Special Terms and Conditions (Attached hereto as part of this agreement) XX pages Exhibit - D* Special Terms and Conditions Exhibit E – Additional Provisions XX pages Items shown with an Asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at www.ols.dgs.ca.gov/Standard+Language IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto.
CONTRACTOR CONTRACTOR’S NAME (if other than an individual, state whether a corporation, partnership, etc.)
BY (Authorized Signature)
California Department of General Services Use Only
DATE SIGNED(Do not type)
PRINTED NAME AND TITLE OF PERSON SIGNING
ADDRESS
STATE OF CALIFORNIA AGENCY NAME
BY (Authorized Signature)
DATE SIGNED(Do not type)
PRINTED NAME AND TITLE OF PERSON SIGNING
ADDRESS
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Exempt per:
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DGS RFP 2013-008
CONTRACT EXHIBIT A SCOPE OF WORK A. OVERVIEW The Office of Risk and Insurance Management (ORIM) requires a vendor hosted, commercial off- the- shelf (COTS) solution and associated services for implementation and maintenance of a new Risk Management Information System (RMIS) to manage, track and store incident, claim and insurance policy information. The RMIS solution must also provide automated intake of initial incident information, capability to report on claim information using industry standard reports, custom reports and ad hoc reports as well as the ability to store and retrieve associated documents and images. Within the scope of work the contractor is expected to provide project management, configure the system to meet technical and functional requirements, perform data conversion from old system to new system, verify data conversion, perform system testing, provide user training and provide ongoing system maintenance and support. The Contractor will work with ORIM to define, document, and validate detailed business / functional requirements based on current work flow and ORIM’s needs.
B. PROJECT OBJECTIVE AND GOALS The objective of this RFP is to solicit proposals to host a comprehensive, commercially available RMIS, to fully implement and ensure long-term maintenance and support services for the system. It is the goal of this solicitation to identify, review and procure a hosted software solution which would replace ORIM’s current RMIS and help ORIM achieve the following: 1. Improve internal efficiency and effectiveness for the claims and insurance policy management processes. 2. Improve access and tracking of claims and insurance policy information. 3. Improve data integration and exchange with other State agencies and entities. 4. Improve effective risk and claims management services. Specific business and technical improvements to be achieved include: 1. 2. 3. 4. 5.
Improved report generating capability for claims and financial transactions. Expanded functionality and usage of the RMIS. Expanded incident and claim information captured and maintained. Improved data quality standards and best practice processes. Improved efficiency of capturing claim and incident information (online reporting and document imaging).
The following section lists requirements ranging from functional and non-functional requirements, business requirements and technical system requirements that the proposed solution must provide.
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State of California
State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
C. FUNCTIONAL REQUIREMENTS I.
General: The system must have the ability to support a multi-line risk management operation providing: a) Comprehensive general liability (coverage for non-automobile related third-party). b) Automobile liability (coverage for third-party losses arising out of the use of stateowned/licensed/rented/leased vehicles used for state business). c) Workers’ compensation (coverage for DGS employees who have been injured in the course and scope of their employment). d) Damage recovery/subrogation (pursuit of at-fault third parties for the cost to repair damages sustained to State-owned vehicles). e) Automobile physical damage (coverage for the damages sustained to state vehicles). f) Policy management (policy information tracking). g) Incident in-take (both automobile and non-automobile accidents)
II.
Incident and Claims Management: The incident and claim management functions include all aspects of a claims management system, including incident and claim entry and tracking, payment, reserving, notes, and diaries. The RMIS shall have incident and claims management functions that include the: a) Ability to intake, store, track and report on all incident reports whether they are converted to a claim or not. b) Ability to populate city and state fields based on the entry of a zip code. c) Ability for State employees and agencies to report vehicle accidents on-line via a State web page with pre-defined fields needed to complete the initial accident entry. d) Ability for ORIM staff to manually input accident information from a non-electronic report. e) Ability to generate a claim number from initial entry of the claim triggered by one of the previously noted methods. If the information is incomplete, the claim shall have a status of ‘pending’ and shall generate an email to staff and/or supervisors on a configurable time basis until the claim status is changed. f) Ability to automatically generate a claim number that can be customized to match ORIM’s current format.
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DGS RFP 2013-008
g) Ability to assign a suffix number for each individual claimant appended to a claim number for a multi-party claim. h) Ability to send an automated e-mail to acknowledge the receipt of vehicle accident information and to provide a claim number to the submitter whenever an accident is reported on-line. i)
Ability to create a future diary for the claims adjuster as a reminder to notify the State operator or agency in an event of a non-electronic report vehicle accident becomes a claim.
j)
Ability to automatically generate e-mails to the primary party’s e-mail address (when the claims adjuster has entered the address) on user-defined events.
k) Ability to support workflow management including supervisory access, on-line payment approval process, system rejection of unapproved / unauthorized transactions, exception reports of unapproved/unauthorized transactions that have been rejected, prioritization of tasks and easy reassignment as necessary. l)
Ability to create diary functions with user-customizable fields / triggers that also enable a manager or supervisor to assign tasks, monitor tasks and generate reports that identify open or overdue task.
m) Ability to maintain date triggers which specify the statute of limitations for the claim. Processes shall be created that generate a diary entry to the claims adjuster and e-mails the Claims Adjuster and Supervisor as the claim nears the statute of limitations date. n) Ability to track a user-defined task list of steps (workflow) that must be completed prior to a claim achieving an ‘open/active’ status. The RMIS shall mark all automated functions as complete requiring the user to check off any manual processes on their completion. The user shall have the ability to view the outstanding issues of this task list at any time. Once all items are completed, the claim shall be moved into an ‘open/active’ status. o) Ability to provide an on-line summary screen that provides overall information regarding the claim including reserves and payments. This screen shall provide the supervisors an opportunity to review the claim without requiring movement through multiple screens to view the information. The screen shall provide links to the detailed information in the event further information may be needed. p) Ability to track all pertinent information related to claims. The system must track, at a minimum, the following basic claim data for each type of claim as applicable: 1. 2. 3. 4. 5. 6. 7.
Claim number Assigned Adjuster code Date Adjuster assigned Cause/loss code Organization/location code Claim type code Claim status code – pending, open, closed, etc.
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Bid RFP2013-008
DGS RFP 2013-008
8. Claim status dates pending, open, closed, etc. 9. Date Incident / Accident occurred 10. Date Incident / Accident reported 11. Date Incident / Accident recorded 12. Reserve amounts by category with dates 13. Payments 14. Vehicle Information 15. Drivers Licenses q) Ability to capture data related to all vehicles involved in a multiple vehicle accident, as well as any property owner and property description of any movable or immovable property affected. r) Ability to accommodate State specific codes. s) Ability to record notes/comments to a specific claim or incident t)
Ability to set different reserve authorization levels for claim adjusters, supervisors and managers.
u) Ability to attach a wide variety of electronic formats to a specific claim; i.e. pictures (.jpg, .gif, etc.), documents (.doc, .txt, .pdf, etc.) spreadsheets and more. The functionality shall be flexible to all the electronic files so that they can be categorized by type and organized to the users’ needs. v) Ability to report claims information to and receive data from the Centers for Medicare and Medicaid Services in order to satisfy the Medicare Secondary Payer Mandatory Reporting requirements. w) Ability to interface with the anti-fraud claims indexing system, ISO. x) Include a “Recently Viewed” list of claims to quickly access a claim. y) Include a search feature to find and access a claim. III.
Workers’ Compensation/Return-to-Work The workers’ compensation function must have the ability to track the return-to-work activities and claim status of injured DGS employees. The RMIS shall have the ability to: a) Record notes/comments to a specific claim or incident b) Create diaries c) Ability to track and generate reports on the following information
Job classification Organization code Light and limited duty/work status Date of injury
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IV.
Bid RFP2013-008
DGS RFP 2013-008
Employee name Injury Adjuster name
Subrogation/Vehicle Damage Recovery The subrogation/vehicle damage recovery function must support activities to identify, manage, and recover the cost of damages sustained to State-owned vehicles. The function shall include the ability to: a) Create demand letters and other template letters associated with subrogation activities. b) Set collection schedules for negotiated payment agreements. c) Perform periodic collection invoicing. d) Identify and track estimated recovery amounts. e) Identify and track actual recovered amounts. f) Set automatic reserves in accordance to user-defined rules.
V.
Policy Management
The policy management function must support activities to capture pertinent policy and program data from all clients. This system shall have the ability to: a) Add and customize tabs within each policy page. b) Scan various policy related documents into the system. c) Export reports to other electronic formats such as:
Excel (specifically .xlsx) Comma Separated Values (.csv) Fixed field width PDF
d) Track the following information:
Driver’s name Date of birth Driver’s license numbers Insured names Policy numbers Billing codes Insurance premiums Policy dates
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VI.
Bid RFP2013-008
DGS RFP 2013-008
Imaging/Document Management The RMIS shall have a fully integrated document imaging workflow and document management modules. The functions shall include the ability to: a) Scan, index, store, annotate and delete images. b) Ability to recognize certain forms and letters to automatically classify them. c) Ability to read and store text on images of scanned forms and letters Optical Character Recognition (OCR). d)
Fax or email images.
e) Route documents to individual work queues based on routing rules with alert and trigger capabilities. f) Ability to search for images based on indexing. g) Ability to track and save ORIM letters and forms. h) Ability to create an electronic signature. VII.
Payments The State Controller’s Office and DGS Fiscal Office issue warrants/payments to claimants from vouchers generated by the RMIS. The RMIS shall have functions that include at minimum the following: a) Ability to track all pertinent information related to the claimant: 1. 2. 3. 4. 5. 6.
Claim number Voucher amount Date voucher processed Payee name and address Claimant name Payment type
b) Ability to generate vouchers. c) Ability to flag duplicates payment information. d) Ability to void and reissue vouchers. e) Ability to view payment history.
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Bid RFP2013-008
DGS RFP 2013-008
f) Ability to adjust the incurred amount as payment information is entered. g) Ability to flag the user when a payment exceeds reserves. h) Ability to process payments on an automated multi-level payment approval process based on amounts and authority levels (adjusters, supervisory and managerial).
VIII.
Litigation Management The RMIS shall have a litigation management module for tracking litigation activity that has the ability to track at minimum, the following data a) b) c) d) e) f) g) h) i) j) k) l) m) n) o) p)
IX.
Claim number Suit date and description (may be multiple suits per claim) Attorneys (State attorney, defense attorney, contract attorney, plaintiff attorney) Defendants Witness Hearing and Deposition data Subpoena data Status of the case Pending / scheduled actions with dates Judicial district / Court division Docket number Judge assigned Offer / demand negotiation data Settlement award data Verdict / outcomes data Legal cost and fees
Reports The RMIS shall have an extensive reporting functionality that has the: a) Ability to create ad hoc reports based on all data fields in the system. b) Ability to schedule reports to process at various times. c) Ability to create and access reports based on user defined roles. d) Ability to export reports in a variety of electronic formats. e) Ability to distribute reports by email or by RMIS user work queues. f) Ability to create reports on an ‘as of’ basis. g) Ability to create reports of subrogation opportunities and financial recovery activities.
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State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
h) Ability to create user defined graphs and/or charts. i)
Ability to create forecasting reports based on historical experience.
j)
Ability to develop a customized cost allocation report based upon incurreds and location data.
k) Ability to create fault/cause (frequency / severity) reports. l)
Ability to create standard loss runs reports.
m) Ability to create various adjuster activity reports. n) Ability to create payment history reports. o) Ability to create reserve change history reports. p) Ability to create reports on collections status. q) Ability to create reports based on overdue or missed diaries. r) Ability to create customizable reports and save them in order to be available as a selectable report.
D. NON-FUNCTIONAL REQUIREMENTS I.
Review of ORIM’s Work Flow a) The contractor shall study and review ORIM’s current workflow in order to best integrate that workflow into the new RMIS.
II.
Training a) The contractor shall provide comprehensive training on the new RMIS for approximately 25 users consisting of administrative, managerial, analytic, clerical, and claim users at all levels. b) The contractor shall provide onsite training hours at ORIM in West Sacramento which shall be a combination of “train-the-trainer” and direct training of users in small groups. c) The contractor shall provide electronic training manuals, user manuals and system administrator manual.
III.
Product Documentation Requirements a) Online Help -The solution must include context sensitive online help.
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State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
b) Customizable online help. The solution shall include the ability to have ORIM specific help added to on-line help. c) Users Guide – The solution must include an electronic online User’s Guide. d) System Administrators Guide – The solution must include an electronic copy of the Application Administrator’s Guide. IV.
System Administration and System Security 1. The RMIS shall contain rule based security which allows the ORIM system administrator(s) to define user groups and individual privileges. System Administrator shall have the ability to: a) b) c) d) e) f) g) h) i) j) k) l)
Record a user’s profile. Assign a group or rule(s) to the user, including read-only. Copy user profile to new users. Restrict entire groups and users from identified sections of the system. Assign a department/location to a user profile. Assign a user’s reserve authority. Assign a user’s payment authority. Restrict users to a specific coverage(s). Restrict users to a specific department(s) or location(s). Customize functionality, code tables, and user access. Add user-defined tables and access rights to add, edit, and delete data from those tables accordingly. Manage the assignment / reset / deletion of usernames and password as well as the definition/modification/deletion of user profiles.
2. The RMIS shall have the: a) Ability to support on-line access controls and detection which limit or restricts access to specific data fields, records, screens, reports and system modules to support ORIMdefined access privileges and segregation of defined access privileges and segregation of duties. b) Ability to define all codes so that only drop downs of pre-defined codes are available to users. c) Ability to notify ORIM system administrator(s) when an authorized network intrusion has occurred. d) Ability to create unique user names e) Ability to enforce strong password. f) Ability to lock-out access after a certain number of unsuccessful attempts to login which requires an ORIM System Administrator to reset access and/or password. g) Ability to enforce password encryption within the data base.
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Bid RFP2013-008
DGS RFP 2013-008
h) Ability to login using https/128 bit encryption. i)
Capability to provide and support a well-defined, retrievable audit trail on any data element identified by ORIM as requiring history. An audit trail shall include at minimum the user, date, time and actual data that is changed (from and to).
E. TECHNICAL REQUIREMNTS I.
General a) The RMIS shall be available via an Application Service Provider (ASP) model with appropriate levels of redundancy to ensure maximum uptime. b) The RMIS shall have a Graphic user Interface (GUI) interface for all user interaction. c) The RMIS shall be based on industry standard three tier architecture with firewall separation between Web, Application and Database tiers. d) The RMIS shall be browser-based / Web-native and designed so that Microsoft’s Internet Explorer is the default client. e) The RMIS shall have the ability to transmit and receive electronic data files with the Centers for Medicare and Medicaid Services (CMS). f) The RMIS shall update data in real-time mode. g) The RMIS shall support the ability to import / export data in a variety of standard formats, including comma delimited format and Microsoft Excel formats. h) The RMIS shall be fully integrated, i.e.; data entered in one module must be accessible in related modules and navigation between modules shall be seamless. i)
The RMIS shall have the ability to transmit and receive data with the anti-fraud claims indexing system ISO.
j)
The RMIS shall have code fields that provide a list of possible entries with descriptions and support “auto-complete” entry of the codes.
k) The RMIS shall support multi-user access and provide for appropriate field and recordlocking. l)
The RMIS shall provide technical documentation including a complete data element dictionary and a diagram of the table relationships.
m) The RMIS shall provide appropriate procedures for correcting data entry for errors through online prompts. n) The RMIS shall support the viewing / querying of data via a customizable user interface tailored to meet the individual needs of state agencies.
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State of California
State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
o) The RMIS shall provide instructional screen prompts that assist the user in data entry, without the need to enter the help system. p) The RMIS shall be compatible with the DGS Network environment as listed in Attachment 1 where applicable. q) The RMIS shall be compatible with the DGS Server/Desktop environment as listed in Attachment 1 where applicable. II.
Help System a) The RMIS shall provide an on-screen context sensitive help feature. b) The RMIS shall provide online help features at all screen levels. c) The RMIS shall provide user-defined text help message.
III.
Security a) The RMIS shall provide access via Transmission Control Protocol and Internet Protocol (TCP/IP) and will be protected at Layer 3 and Layer 4 by vendor’s firewall. b) The RMIS shall be protected from web based attacks by utilizing security devices such as firewalls and Intrusion Detection/Prevention devices. c) The RMIS shall support ORIM users only from DGS address space. d) The RMIS shall allow access to the claims intake from the address space of only State agencies.
IV.
Disaster Prevention a) The data stored in and the configuration states saved on the Web, Application and Database servers shall be routinely backed up following industry best practices to protect against data loss. b) The RMIS shall have a high level of built-in edits and validity checks to ensure data integrity.
F. CONTRACTOR’S REQUIREMENTS: I.
Data Conversion a) The Contractor shall perform data conversion of all data from the current RMIS to the new RMIS. b) The Contractor shall validate all data converted.
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II.
Bid RFP2013-008
DGS RFP 2013-008
Implementation 1. The Contractor shall be responsible for the implementation of the RMIS 2. The contractor shall identify a Project Manager responsible for the implementation of the RMIS.
III.
Upgrades and New Versions a) The contactor shall provide to ORIM upgrades as follows: 1. Release notes, updated documentation, updated online help. 2. Information concerning legislative requirements. 3. ORIM driven changes reflecting functional deficiencies identified by customers or new business requirements identified by ORIM. b) The contractor shall provide Computer Based Training, release notes, updates to manuals and online help updates for upgrades and new versions. Contractor shall provide advance notice of any upgrade or corrections. c) The contractor shall provide additional training resulting from upgrades as needed by ORIM.
IV.
Long Term Support and Maintenance a) The contractor shall provide long-term support and maintenance services. This shall include warranties against “bugs”, functional deficiencies, performance issues and users and technical support. b) The contractor shall provide a dedicated Account Manager to whom all communications may be addressed and who has the authority to act on all aspects of the services for the term of the contract. c) The contractor shall provide a toll free support line staffed by business and technical professionals from 8:00 a.m. to 5:00 p.m., Pacific Time, Monday through Friday, excluding State observed holidays. d) The contractor shall respond to all problem requests received from ORIM according to the following timeframes: I.
An initial response shall be provided within 2 hours
II.
Critical problems shall be addressed and resolved within 24 hours,
III.
All other production problems shall be addressed and resolved within 48 hours.
IV.
If the need arises, the contractor shall have staff onsite at no additional cost to ORIM.
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V.
Bid RFP2013-008
DGS RFP 2013-008
Software Escrow Requirement b) The contractor shall place a complete set of the Source Code for all contractor software provided to ORIM under this agreement in object form in escrow at their expense. Throughout the contract period, the Contractor will update the software escrow consistent with the most current release. The Source Code will be released to ORIM in the event of the Contractor’s material breach of this Agreement, the Contractor’s abandonment of support and maintenance of ORIM’s software to the extent that the ORIM’s operations are severely impaired, or the Contractor ceases to exist as a company. In the event that the Source Code is released to ORIM, ORIM agrees to use it exclusively for internal purposes, to maintain its confidentiality, and to otherwise be bound by all other terms and conditions of this agreement not inconsistent with its possession and use of the Source Code.
VI.
Records, Files, Transcripts, Tapes, Etc. b) All records, files, transcripts, computer tapes and any other material on ORIM’s policy and claims management activities are the property of ORIM and must be relinquished in good order and condition, and by program, upon termination of the contract with the contractor without additional cost.
VIII.
Protection of Data b) Contractor shall develop and implement processes and procedures relating to the protection of ORIM’s electronic data, including a suitable security and back-up system for all stored data and a written policy with respect to disaster recovery, physical and electronic data security and electronic data retention
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State of California
State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
CONTRACT EXHIBIT B BUDGET DETAIL AND PAYMENT PROVISIONS RISK MANAGEMENT INFORMATION SYSTEM
1. Invoicing A. The contractor’s service invoices shall include the Agreement Number and shall be submitted in triplicate to: Chris Verdin, Staff Risk Manager – Claims Unit Office of Risk and Insurance Management 707 3rd Street, Suite 1-435 West Sacramento, CA 95605 2. Payment A. The payment schedule for the Implementation of the Risk Management Information System is as follow: 1. Initial upfront payment of 25% of the first year fee will be paid upon the execution of contract. 2. Upon the completion of data conversion, 50% of the first year fee will be paid. 3. Upon completion of implementation the remaining 25% of the first year fee will be paid.
3. Budget Contingency Clause A. It is mutually agreed that if the Budget Act of the current year and/or any subsequent years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall be of no further force and effect. In this event, the State shall have no liability to pay any funds whatsoever to Contractor or to furnish any other considerations under this Agreement and Contractor shall not be obligated to perform any provisions of this Agreement. B. If funding for any fiscal year is reduced or deleted by the Budget Act for purposes of this program, the State shall have the option to either cancel this Agreement with no liability occurring to the State, or offer an agreement amendment to Contractor to reflect the reduced amount
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State of California
State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
CONTRACT EXHIBIT C GENERAL TERMS AND CONDITIONS Please Note: Under the standard state contracting process, “Exhibit C” is not included as a paper copy in the standard agreement. As indicated on the STD 213 face sheet, the General Terms and Conditions will be included in the agreement by reference to Internet site: www.ols.dgs.ca.gov/Standard+Language, select GTC 610
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State of California
State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
CONTRACT EXHIBIT D SPECIAL TERMS AND CONDITIONS 1. REFERENCE NOTE: For purposes of this contract, the terms “Contractor” and “BOR” shall be used interchangeably. 2. EXCISE TAX: The State of California is exempt from Federal Excise Taxes, and no payment will be made for any taxes levied on employees' wages. The State will pay for any applicable State of California or local sales or use taxes on the services rendered or equipment or parts supplied pursuant to this agreement. California may pay any applicable sales or use tax imposed by another State. 3. SETTLEMENT OF DISPUTES: In the event of a dispute, Contractor shall file a “notice of dispute” with Department of General Services, Director or designee, within ten (10) days of discovery of the problem. Within ten (10) days the Director or a designee shall meet with the Contractor and Project Manager for purposes of resolving the dispute. The decision of the Director or designee shall be final. In the event of a dispute, the language contained within this agreement shall prevail over any other language including the bid proposal.
4. EVALUATION OF CONTRACTOR: Performance of the Contractor under this agreement will be evaluated and shall be performed by the Contract Manager. The evaluation shall be prepared on Contract/Contractor Evaluation Sheet, Std. 4 and maintained in the Agreement file for consultant agreements, a copy of the evaluation will be sent to the Department of General Services, Office of Legal Services, if it is negative and over $5,000.00. 5. AGENCY LIABILITY: The Contractor warrants by execution of this Agreement, that no person or selling agency has been employed or retained to solicit or secure this Agreement upon agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by the Contractor for the purpose of securing business. For breach or violation of this warranty, the State shall, in addition to other remedies provided by law, have the right to annul this Agreement without liability, paying only for the value of the work actually performed, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee. 6. POTENTIAL SUBCONTRACTORS: Nothing contained in this Agreement or otherwise shall create any contractual relation between the State and any subcontractors, and no subcontract shall relieve the Contractor of its responsibilities and obligations hereunder. The Contractor agrees to be as fully responsible to the State for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Contractor.
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State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
The Contractor's obligation to pay its subcontractors is an independent obligation from the State’s obligation to make payments to the Contractor. As a result, the State shall have no obligation to pay or enforce the payment of any moneys to any subcontractor. 7. INSURANCE REQUIREMENTS a. Upon notice of intent to award, the successful Bidder shall have 5 business days to furnish to the State an original certificate(s) of insurance evidencing that the contractor has met all the requirements listed on page 33 of the RFP. b. The certificates of insurance must contain all of the following provisions: 1) Name of the insurance company, policy number, and beginning and ending dates of the policy. 2) With respect to general liability; the State of California, its officers, agents, employees are included as additional insured on the policy, but only insofar as the operations under this contract. 3) Contractor agrees that any insurance herein provided shall be in effect at all times during the term of the contract. In the event said insurance coverage expires at any time or times during the term of this contract, Contractor agrees to provide at least thirty (30) days prior to said expiration date, a new certificate of insurance evidencing insurance coverage as provided for herein for not less than the remainder of the term of the contract, or for a period of not less than one (1) year. New certificates of insurance are subject to the approval of the Department of General Services, and contractor agrees that no work or services shall be performed prior to the giving of such approval. In the event contractor fails to keep in effect at all times insurance coverage herein provided, the State may, in addition to any other remedies it may have, terminate the contract upon the occurrence of such event, subject to the provisions of the contract. 4) Contractor shall notify the State within five (5) days if any insurance coverage identified in the contract is altered in any way.
9. RIGHT TO TERMINATE a. The State reserves the right to terminate this agreement subject to 120 days written notice to the Contractor. Contractor may submit a written request to terminate this agreement only if the State should substantially fail to perform its responsibilities as provided herein. b. However, the agreement can be immediately terminated for cause. The term “for cause” shall mean that the Contractor fails to meet the terms, conditions, and/or responsibilities of the contract. In this instance, the contract termination shall be effective as of the date indicated on the State’s notification to the Contractor.
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State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
c. This agreement may be suspended or cancelled without notice, at the option of the Contractor, if the Contractor or State’s premises or equipment are destroyed by fire or other catastrophe, or so substantially damaged that it is impractical to continue service, or in the event the Contractor is unable to render service as a result of any action by any governmental authority. 10. FORCE MAJEURE Neither party shall be liable to the other for any delay in or failure of performance, nor shall any such delay in or failures of performance constitute default, if such delay or failure is caused by “Force Majeure.” As used in this section, “Force Majeure” is defined as follows: Acts of war and acts of god such as earthquakes, floods, and other natural disasters such that performance is impossible. 11. FORCED, CONVICT, AND INDENTURED LABOR “No foreign-made equipment, materials, or supplies furnished to the State pursuant to this contract may be produced in whole or in part by forced labor, convict labor, or indentured labor. By submitting a bid to the State or accepting a purchase order, the Contractor agrees to comply with this provision of the contract.” 12. LICENSES AND PERMITS The Contractor shall be an individual or firm licensed to do business in California and shall obtain at his/her expense all license(s) and permit(s) required by law for accomplishing any work required in connection with this contract. In the event, any license(s) and/or permit(s) expire at any time during the term of this contract, Contractor agrees to provide agency a copy of the renewed license(s) and/or permit(s) within 30 days following the expiration date. In the event the Contractor fails to keep in effect at all times all required license(s) and permit(s), the State may, in addition to any other remedies it may have, terminate this contract upon occurrence of such event. 13. STATE’S RIGHT OF ACCESS TO INFORMATION If the contract is terminated or not renewed for any reason, the State shall have a continuing right to have access to all files maintained by Contractor pertinent in any way to the State’s account. Contractor shall fully cooperate and, at the State’s request, shall provide photocopies of any or all pertinent files or other documents, including but not limited to, policies audits, claim and accounting information and applications for existing policies. 14. CONFIDENTIALITY OF STATE INFORMATION In the performance of the contract, the Contractor may see or receive information designated confidential. The Contractor shall not disclose this information to any party without the express permission of the State. 15. RESPONSIBILITY FOR SUBCONTRACTOR ACTS The Contractor is contractually liable for all acts and/or omissions of subcontractors who will perform any work described in this contract.
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State of California
State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
CONTRACT EXHIBIT E California Department of General Services (DGS) Confidentiality and Security Requirements for Vendors Contracts/Memoranda of Understanding (MOU)/Agreements I.
GENERAL REQUIREMENTS These requirements provide a framework for maintaining the confidentiality and security of Confidential Data compiled for the DGS. Definitions of commonly used terms relating to confidentiality and security of data are provided. In addition to any other contract provisions, contractors shall be responsible for maintaining the confidentiality and security of DGS confidential and sensitive data. No exceptions from these policies shall be permitted without the explicit, prior, written approval of DGS. All information security requirements, as stated in this attachment, shall be enforced and implemented immediately upon effective date of this Agreement, and continue throughout the term of the Agreement.
II.
DEFINITIONS For the purposes of these requirements, the stated terms are defined as noted: Audit Trail: Systems information identifying source/location of access, date and time, user- identification, targeted service and activity performed. The audit trail shall identify all accesses to the source file, success or failure of the access, the completion status of the access (e.g., failed or successful authentication, or user terminated) and the record and field modified. Confidential Data: Information, the disclosure of which is restricted or prohibited by any provision of law. Some examples of "confidential information" for the Foster Care Liability Program, but are not limited to, public social services client information described in California Welfare and Institutions Code section 10850, and "personal information" about individuals as defined in California Civil Code section 1798.3 of the Information Practices Act (IPA) if the disclosure of the "personal information" is not otherwise allowed by the IPA. Confidential data include personal identifiers. De-Identification: Removal of personal identifiers. Personal information does not include publicly available information that is lawfully made available to the general public.
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State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
Information Assets: Information assets include anything used to process or store information, including (but not limited to) records, files, networks, and databases; information technology facilities, equipment (including personal computer systems), and software (owned or leased). Information Security Incidents: Information Security incidents include, but are not limited to, the following; any event (intentional or unintentional) that causes the loss, damage to, destruction, or unauthorized disclosure of DGS information assets. Personal Identifiers: Are specific personal identifiers such as name, social security number, address, date of birth, driver's license numbers, and account numbers with access codes. Risk: The likelihood or probability that a loss of information assets or breach of security will occur. Ill.
DATA SECURITY A. Access to DGS Data 1. Request and Re-disclosure: All contractors seeking access to confidential DGS data files shall request access from DGS. The contractor shall not re-disclose or re- release DGS confidential data. 2. Referral for Request: The contractor shall refer any persons not affiliated with the contractor, nor included under this contract with DGS, to DGS to request access to the confidential data. B. Data Security Requirements 1. Contractor Responsibility: The contractor and its subcontractors, if any, are responsible for security of the DGS confidential data. 2. Protection of Data: The contractors and its subcontractor, if any, shall ensure that electronic media that contains confidential or sensitive data is protected. 3. General Requirements: The contractor and its subcontractors, if any, shall: a. Confirm the identity of any individual who has requested confidential or sensitive data. b. When there is a business need to discuss confidential DGS information within the office, discuss the information in an enclosed room, if possible. c. Not allow dial-up communication or Internet access to confidential data prior to de-identification of the data. Any use of dial-up or Internet access after deidentification of the data shall include, but not be limited to the following protections; (1) auditing usage of dial-up communications and Internet access for security violations, (2) periodically changing dial-up access telephone
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numbers, and (3) responding to losses, misuse or improper dissemination of information. Refer to Information Security Incidents for notification required in response. d. Not use or store DGS confidential data on portable or wireless devices. For purposes of this requirement, portable devices include, without limitation, notebook computers, personal digital assistants, and wireless devices including cellular phones with data storage capability. 4. Data Transmission a. General Requirement: The contractor shall ensure the confidentiality of DGS data transmission b. Data transferred via tape, optical media, or cartridge: Confidential data that is transferred on tapes, optical media, or cartridges shall be encrypted. The contractor shall place the transferred data in separate files with identifiers and an index on one file. On another file place the index and remaining data. These files shall be transported separately. Additionally, the tapes, optical media and cartridges shall be transferred by bonded mail service (i.e., accountable mail using restricted delivery). All packages must be double packed with a sealed envelope and a sealed outer envelope or locked box. c. Data transferred electronically: All File Transport Protocol (FTP) accounts that transfer confidential data with personal identifiers shall be highly restricted in access by the contractor. These accounts shall maintain an audit trail. Their accounts are to be accessible to a limited number of contractor and/or subcontractor staff. No other accounts on contractor's computers may have access to this account. The contractor's and/or subcontractor are to maintain a current listing of the personnel who have access to the FTP account. All DGS confidential data transferred from contractor machines shall be encrypted. The contractor may not transfer DGS confidential data via FTP without the approval of DGS. d. Data transferred via paper copy: Paper copies of confidential data shall be mailed using a secure, bonded mail service, such as Federal Express or by registered U.S. Mail (i.e., accountable mail using restricted delivery). All packages must be double packed with a sealed envelope and a sealed outer envelope or locked box. e. Data transferred via fax: DGS confidential data may not be transmitted by fax. DGS non-confidential information may be transmitted by fax, provided that the contractor confirms the recipient fax number before sending, takes precautions to ensure that the fax was appropriately received, maintains procedures to notify recipients if the contractor's fax number changes, and maintains fax machines in a secure area.
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Bid RFP2013-008
DGS RFP 2013-008
5. Physical Security a. The contractor shall provide for the management and control of physical access to information assets (including personal computer systems and computer terminals) used in performance of this contract, the prevention, detection, and suppression of fires, and the prevention, detection, and minimization of water damage. The physical security measures taken shall include, but not be limited to: b. Implementing security measures to physically protect data, systems and workstations from unauthorized access and malicious activity. c. Logging the identity of persons having access to restricted facilities and the date and time of access. d. Restricting the removal of DGS confidential data from the work location. e. Placement of devices used to access DGS confidential data in areas not open to the public. For purposes of this requirement, "devices" shall include, but not be limited to, dumb terminals, personal computers and printers. 6. Storage DGS confidential data shall be stored in a place physically secure from access, use, modification, disclosure, or destruction by an unauthorized person. All media containing confidential information shall be stored in a secured area (a locked room or locked file cabinet). Keys to these locks shall be held by a limited number of contractor organization personnel. Confidential information in electronic format, such as magnetic tapes or discs, shall be stored and processed in such a way that an unauthorized person cannot retrieve the information by computer, remote terminal or other means the information by computer, remote terminal or other means. 7. Encryption The contractor shall encrypt DGS confidential data, whether for transmission or in storage, using non-proprietary, secure generally-available encryption software. Proprietary encryption algorithms shall not be acceptable. Passwords or biometrics templates used for user authentication shall be encrypted using data encryption standard, or better, one-way only encryption. Data encryption shall meet the National Institute of Standards and Technology Advanced Encryption Standard. Data encryption shall equal or exceed 128-bit key encryption. A documented security plan is required for encryption key management. 8. De-Identification of Data
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Bid RFP2013-008
DGS RFP 2013-008
a. Assignment of Unique Identifier: The contractor shall remove personal identifiers from DGS confidential data and substitute unique identifiers, within 30 days of receipt of the DGS confidential data. b. No connection before de-identification: DGS confidential data that includes personal identifiers shall not be used or stored in a device connected to the Internet or to a local area network, or dial-up communication until the personal identifiers have been removed from the data. c. Return or destruction of confidential data upon de-identification: DGS confidential data shall be returned to DGS upon completion of deidentification or destroyed in accordance with this Agreement, no more than 30 days after completion of de-identification. C. Network Security Requirements
The contractor shall provide the following electronic access measures at a minimum: 1. A notification at initial logon that unauthorized access is prohibited by law. 2. An audit trail. 3. A method for verification of the identity of an individual accessing the system, such as user identification, PIN, fingerprint, voiceprint, retinal print, or other appropriate verification method. 4. A limited access to data to those authorized employees of the contractor who have a functional requirement to use the data. 5. The revoking of access from a user after three unsuccessful access attempts. 6. A security manual or package, which shall adequately protect against loss or unauthorized (accidental or intentional) access, use, disclosure, modification, or destruction of data. All proposed changes to programs, network systems, connectivity and storage of DGS data shall be provided to DGS for review prior to implementation. 7. User access authentication shall be disabled (revoked) immediately upon termination of employment or after no more than 60 days of non-use. 8. User verification which is unique to each individual and not assigned to groups or job location. These measures shall include, but not necessarily be limited to, the development of passwords and access controls to protect the security of data from any individual who is not authorized to access the data. 9. An automated log-off or time-out from all networked systems that contain confidential DGS information when the user leaves the work area for a tenminute period of time.
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Bid RFP2013-008
DGS RFP 2013-008
D. Ownership and Destruction of Confidential Data 1. Ownership and Return or Destruction: All data used, compiled, developed, processed, stored or created under this contract is the property of DGS. All such data shall either be returned to DGS in an agreed upon format within 30 days of termination of the contract or destroyed. If the data is returned, the contractor shall provide DGS with the media and an inventory of the data and files returned. 2. Methods of Destruction: The contractor shall destroy all confidential data not returned when the use authorized ends in accordance with approved methods of confidential destruction (via shredding, burning, certified or witnessed destruction, or degaussing of magnetic media). All computer sets containing personal identifiers shall be destroyed. The contractor shall use wipe software on all the hard drive surfaces of computers used to process or store DGS confidential data when the computer is withdrawn from use in processing or storing such data. Destruction shall occur before the effective date of termination of this contract and a letter of confirmation shall be provided to DGS detailing when, how, and what DGS data was destroyed. E. Contractor Staff 1. Former Employees: The contractor shall ensure that confidential data are not accessible to former employees of the contractor. 2. Employee Authorization: The contractor shall maintain a record of the access authorization for each individual employee that has access to the confidential data. The contractor's security systems administrator designated pursuant to this Agreement shall maintain an appointment/separation checklist for each employee which documents how access authorization was modified when any employee terminates employment or changes duties. F. Information Security Incidents 1. Notification: The contractor shall notify the DGS or its designated agent of any actual or attempted information security incidents, as defined above, immediately upon detection. Information security incidents shall be reported by telephone to: Micheal Van Meter Information Security Officer Department of General Services 707 3rd Street, 3rd Floor Rm. 3-403 West Sacramento, CA 95605 916-376-3943
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Bid RFP2013-008
DGS RFP 2013-008
2. Cooperation: The contractor shall cooperate in any investigations of information security incidents. 3. Isolation of system or device: The system or device affected by an information security incident, and containing DGS confidential data, shall be removed from operation immediately. It shall remain removed from operation until correction and mitigation measures have been applied. The affected system or device, containing DGS confidential data, shall not be returned to operation until DGS gives its approval. G. Confidentiality Statements 1. Requirement: All staff of the contractor with actual or potential access to DGS confidential data shall read and sign a Confidentiality Agreement. (See section IV.). 2. Supervisory Review: The supervisor of the employee shall review the signed 3. Confidentiality Agreement with the employee and document this review. 4. Submission: The signed original Confidentiality Agreements shall be submitted to the DGS Project representative. The contractor shall notify DGS immediately of the appointment or separation of an employee who has been authorized access to CDSS confidential data. 5. Annual Notification: The contractor shall provide to DGS, in January of each calendar year, a current list of authorized users and newly signed Confidentiality Agreements for all authorized users. H. Security Systems Administrator Duties 1. Designation: The contractor shall designate a single person as the security systems administrator. The name of the individual so designated shall be supplied to DGS. 2. Access Control: The security systems administrator shall have the ability to change or remove any computer access authorization of an individual having access to the system at any time. 3. Employee Verification: The contractor shall verify that the employee who performs the duties of the security systems administrator is a trusted person who has demonstrated in past jobs a capability to perform in this role. Additionally, these security clearance procedures shall ascertain if the employee who performs the duties of security systems administrator has any past criminal or employment background which would call into question their ability to perform this role successfully. 4. Vulnerability Assessments and Mitigation Validation: The security systems administrator shall assess system security vulnerabilities and validate mitigation actions performed and shall disable all applications, components, and services that are not required for performance of the contract with DGS. This assessment shall be
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Bid RFP2013-008
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provided in writing to the contract administrator along with a description of corrective actions. 5. Security Patches and Upgrades: The security systems administrator shall ensure that security patches and upgrades released by the respective manufacturers of the components of the information assets used to process DGS confidential data are promptly applied to the components. Patches and upgrades downloaded from public networks shall be applied only if digitally signed by the source and only after the security systems analyst has reviewed the integrity of the patch or upgrade. I.
Risk Analysis/Contingency Plans 1. The contractor shall carry out a risk analysis with sufficient regularity to identify and assess vulnerabilities associated with all information assets owned, maintained, or used by the contractor that are used to process or store DGS confidential data, and shall define a cost-effective approach to manage such risks. Specific risks that shall be addressed include, but are not limited to, those associated with accidental and deliberate acts on the part of employees and outsiders; fire, flooding, and electrical disturbances and loss of data communications capabilities. The contractor shall advise the DGS or its designated agent of any vulnerability that may present a threat to DGS confidential data and of the specific safeguards used for protecting DGS confidential data. The contractor shall take the necessary steps to protect DGS confidential data. 2. Contingency plans shall be established and implemented in order to assure that operations can be back to normal in minimum time after natural or man-made disasters, unintentional accidents, or intentional acts such as sabotage. These plans shall include, but are not limited to, the regular backup of automated files and databases, secure storage, recovery, and restarting planning procedures.
J. Rules of Aggregation 1. Requirement: "Aggregated," as used in this subsection, refers to a data output report that does not allow identification of an individual. All reports developed by the contractor shall contain DGS confidential data only in aggregated form. Personal identifiers should be removed, geographic identifiers should be specified only in large areas, and as needed, variables should be recorded in order to protect confidentiality. No disaggregate data identifying individuals shall be released to outside parties or to the public. 2. Pre-Release Edits: The data system of the contractor shall have prerelease edits, which shall not allow the production of data cells that do not comply with the requirements of this section. 3. Minimum Data Cell Size: The minimum data cell size or derivation thereof shall be five participants for any data table released to outside parties or to the public. K. Security Plans
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State of California Department of General Services
Bid RFP2013-008
DGS RFP 2013-008
1. Submission: When required, the contractor shall submit a written security plan to DGS prior to receipt of DGS confidential data. The security plan shall address the methods and processes the contractor will use to meet the security and confidentially requirements of this Agreement. DGS will not release DGS confidential data to the contractor before DGS approval of the contractor's security plan. 2. Maintenance/Signature: The contractor shall maintain continuous compliance with its approved security plan. The contractor shall secure prior DGS approval for any changes to its approved security plan. DGS may require the contractor to amend its security plan as a condition of continued receipt or use of DGS confidential data. The security plans shall be signed by the contractor and person(s) responsible for the contractor's system administration.
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IV.
DGS RFP 2013-008
CONFIDENTIALITY AGREEMENT
I (please print), ______________________________________ an employee of (please print) ________________________________hereby acknowledge that the California Department of General Services (DGS) and the California Department of Social Services, Foster Care Liability Program public assistance records and documents are subject to strict confidentiality requirements imposed by State and federal law including California Welfare and Institutions Code sections 10850 California Penal Code section 11167.5, 45 Code of Federal Regulations 205.50, and 1798.24 of the Civil Code relating to research. I (initial) acknowledge that my supervisor, or the data librarian, has reviewed with me the appropriate provisions of both State and federal laws including the penalties for breaches of confidentiality. I (initial) acknowledge that my supervisor or the data librarian has reviewed with me the confidentiality and security policies of the DGS. I (initial) acknowledge that my supervisor or the data librarian has reviewed with me the policies of confidentiality and security of our organization. I (initial) acknowledge that unauthorized use, dissemination or distribution of DGS confidential information is a crime. I (initial) hereby agree that I will not use, disseminate or otherwise distribute confidential records or said documents or information either on paper or by electronic means other than in the performance of the specific research I am conducting. I (initial) also agree that unauthorized use, dissemination or distribution is grounds for immediate termination of my organization's Contract/Memorandum of Understanding/Agreements with the DGS and may subject me to penalties both civil and criminal.
_____________________________
__________________
Signed
Date
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Question and Answers for Bid #RFP2013-008 - Risk Management Information System (RMIS)
OVERALL BID QUESTIONS There are no questions associated with this bid. If you would like to submit a question, please click on the "Create New Question" button below.
Question Deadline: Nov 27, 2013 2:00:00 PM PST
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