Download - TECHNICAL PROPOSAL PACKET SP-21-0039

TECHNICAL PROPOSAL PACKET

SP-21-0039

Technical Proposal Packet Bid No. SP-21-0039

SUBMISSION REQUIREMENTS CHECKLIST

Per the solicitation, the following items must be submitted with the Prospective Contractor’s proposal:

Proposal Signature Page

Proposed Subcontractors Form

Information for Evaluation

Exceptions Form, if applicable

Official Solicitation Price Sheet, sealed separately

It is strongly recommended that the following items are also included with the Prospective Contractor’s

proposal:

EO 98-04: Contract and Grant Disclosure Form

Copy of Prospective Contractor’s Equal Opportunity Policy

Voluntary Product Accessibility Template (VPAT), if applicable

Signed addenda, if applicable


Information for Evaluation Section Page 1 of 106

INFORMATION FOR EVALUATION

• Provide a response to each item/question in this section. Prospective Contractor may expand the space under each item/question to provide a complete response.

• Do not include additional information if not pertinent to the itemized request.

Maximum

RAW

Score

Available

E.1 MINIMUM QUALIFICATIONS 1. Describe your experience providing Case Management Systems and how your

company meets the minimum requirements set forth in Section 2.2 of the RFP. Include description of the Contractor’s experience as a whole, as well as the experience of any proposed key staff members who will be assigned to the contract.

The prospective contractor has over 25 years of experience in providing case

management systems of a similar size and scope as described in this RFP. For over 25

years, the prospective contractor has been focused solely on developing, delivering,

and supporting our proprietary Commercial-Off-the-Shelf (COTS) Case Management

software that is purpose-built for state-level human services agencies. Over 30 state-

level human services agencies use the prospective contractor’s products for statewide

case management of Medicaid, state, local, and federal grant-funded services and

programs. The prospective contractor delivers high-quality solutions to meet the

demands of complex workflows in demanding regulatory environments and many years

of experience integrating systems.

The prospective contractor is a company with 1,600+ dedicated team members and

over $300 million in revenue in 2019. The prospective contractor is a growing,

financially strong company with the resources available to meet ARS' needs and is a

reliable partner that is in this space for the long term. Over 4 million people are receiving

services and care as a direct result of the work done by the prospective contractor’s

work.

Within the prospective contractor 's Human and Social Service (HHS) division, the

breadth of experience includes contracts with state units on aging, the Administration for

Community Living, LongTerm Care Ombudsman programs, and state human service

agencies for the purpose of incident management, waiver management, adult protective

services, and vocational rehabilitation. HHS's sole focus has been on human service

programs for over 25 years, participating in national user groups and product specific

groups to drive innovation. Leveraging purpose-built technology, the prospective

contractor solution is highly configurable, yet embedded with best practice human

5 points



services workflows and functionality continually enhanced to be responsive to changing

needs.

The prospective contractor is uniquely qualified to help ARS achieve its goals for a user-

friendly Web-Based Case Management System for managing vocational rehabilitation

services. Prospective contractor staff have a deep understanding of specialized human

services programs; the average tenure implementing and supporting long-term services

and supports programs is over 10 years for Solution Architecture and Solution

Management teams and 6.5 years for Professional Services staff.

The prospective contractor’s HHS division serves hundreds of client agencies with

thousands of users serving millions of individuals across the country. In response to

Section E.1, #2 below, the prospective contractor is pleased to provide evidence of past

performance of three previous contracts for which the prospective contractor has

provided identical or similar work within the last five years.

2. Provide contract details for at a least three (3) public entities in the United States for whom you have successfully provided services of a similar size and scope as those described in this RFP in the last five (5) years. Government entities should be identified generically, for example, “State Government Agency”, “Federal Government Agency” “City Government”, etc.

Reference Implementation #1

Client State Government Agency

Contract and Project Description

Project Name: Vocational Rehabilitation Case Management System

Project Description: This State Agency is the designated State Unit for vocational rehabilitation. It determined that their legacy vocational rehabilitation case management system no longer fully satisfied their business requirements. Specifically, their legacy system had not provided accurate federal financial reporting for years, resulting in financial penalties. It also did not allow for the easy creation of operational or executive level reports and required expensive vendor involvement to perform minor system administration tasks (e.g., changing logos on letters). After re-evaluating the market, the Agency recognized the prospective contractor as a strategic technology partner to help enable its immediate and long-term objectives. The prospective contractor leveraged its robust and highly configurable software platform in use by over 25 state agencies, configured for a vocational rehabilitation workflow and augmented with required federal reports to address these issues.

5 points



The Agency’s new system from the prospective contractor includes intuitive and automated workflows that can be configured by the state’s system administrators as business needs change. It will also include a participant portal that will facilitate communication between participants and their vocational rehabilitation counselors and enables online form submissions and tracking. The entire system can be used for other programs (for example, the state funded Extended Employment program). The State Agency will further leverage integrations between the prospective contractor’s software and its other systems to simplify program management and streamline data entry. Some of these integrations include: SSO (Okta), Common Client Index, Document Management System, the state financial/payments system, and the state vendor management system.

Number of Users and Software Modules Implemented

The State Agency implemented the prospective contractor’s Vocational Rehabilitation Case Management Module, which includes a Client / Participant portal, financial and budgeting utilities and financial reports to enable the Agency to project future encumbrances, to comply with federal match requirements, and to track performance against the Agency budget. The initial implementation included 100 users, which were state staff only and focused only on the Vocational Rehabilitation program. The agency expects to expand the prospective contractor’s case management system to include its other programs in the future.

Total Dollar amount of contract/project

$1,350,000.00 (initial implementation and first year of Cloud Services)

Reference Implementation #2


Contract and Project Description

Project name: iConnect Project description: The State Government Agency is the designated State Agency for Persons with Disabilities serving more than 50,000 citizens with Intellectual, Developmental, and Physical disabilities through its Medicaid-funded Home and Community-based Services waiver programs. For this contract, the prospective contractor provides an integrated solution that (1) improves efficiency, (2) reduces errors, (3) lowers the risk of fraud and abuse, and (4) offers effective reporting and data analysis critical to track, measure, report, and provide quality improvement processes for 32 CMS



performance measures in order to ensure the program funding can continue. Because of the prospective contractor’s implementation, one solution now supports the lifecycle of consumer care for individuals with disabilities, including centralized intake, application review, eligibility determination, standardized wait list management, enrollments, assessments and reassessments, critical incident and mortality reporting, case closure, and quality assurance reporting. Sixteen interfaces to other state data systems send and receive provider and consumer information, including benefits and eligibility data, claims via an 837 file, claim status, and remittance information. Nightly data replication populates the Agency’s data warehouse to facilitate sharing and reporting of data.

Number of Users and Software Modules Implemented

With over 500 agency staff, 1500 Support Coordinators, and 40,000 service providers, the Agency needed a highly scalable solution with features to increase satisfaction for everyone in their care continuum. The Agency chose nine software modules from the prospective contractor, including Waiver Management, Financial Management for Medicaid and Non-Medicaid billing, Provider Management, Online Provider Application, Electronic Visit Verification, Incident Reporting, Advanced Reporting, Consumer/Caregiver Module, and Mobile Assessments. The implementation used multiple training and test environments and included single sign-on capabilities. Consumer demographics, diagnoses, wait list records, cost plans, and budgets, as well as provider demographics and service details were migrated from several legacy systems.

Total Dollar amount of contract/project

$3,862,000.00 (initial implementation and first year of Cloud Services)

Reference Implementation 3


Contract /Project Description

Project Name: Multi-Agency Incident Management System Project Description: The Agency is the designated State Medicaid Agency. The Agency had multiple outdated, fragmented systems to manage “Critical Incidents” for its consumers across Medicaid-funded Long-Term-Care programs: waiver recipients, nursing home residents, ICF/DD residents, as well as individuals served by the Statewide Adult Protective Services program. These critical incidents include falls, major injuries, major medication incidents, major behavioral incidents, involvement with law enforcement, victimization, and loss of home.



A lack of robust, consolidated, consistent reporting / analytics negatively impacted programmatic assessment, strategic planning, and compliance with Federal CMS assurances. A lack of real-time data sharing among agencies had an adverse effect on response times to incidents, further endangering health and safety of individuals. With the deployment of the prospective contractor’s Case Management software system, the Agency was able to retire four legacy incident reporting systems and now has a single incident management solution, allowing five of its Divisions and direct service providers, support coordinators, and nursing home and ICF/DD workers to use a single system for their incident management needs to report, track, and resolve adverse events involving Medicaid waiver recipients and persons living in Medicaid facilities. The prospective contractor’s case management system provides a collaborative, comprehensive management of a case from the time of the initial call through case maintenance for the duration of enrollment of persons in the Agency’s programs and facilitates comprehensive analytics and ongoing matching funds from CMS to support sustainability.

C. Total Dollar amount of contract/project

$1,813,983.00 (3-year base contract)

E.2 SYSTEM UPTIME & PERFORMANCE 1. Describe the proposed system’s ability to meet the system uptime and response times

laid out in Section 2.3 of the RFP. Include a description of how the system will meet these requirements without negatively impacting other ARS systems.

The prospective contractor's Software-as-a-Service (SaaS) delivery model will enable ARS and external users to harness the power, flexibility, and functionality of the prospective contractor solution without incurring the expense of managing underlying technology or investing in expensive security solutions. Prospective contractor's cloud services offering leverages a highly secure, scalable, state-of-the-art application hosting service, engineered to maximize system uptime, minimize downtime, and reduce demands on the ARS system architecture and resources. Prospective contractor's cloud offering is provided via an industry proven enterprise security architecture. Prospective contractor takes proactive measures to reduce risk, including configuration hardening and patching to assure security vulnerabilities are addressed. Further, the cloud environment is continuously monitored for security threats using a variety of detective and preventive tools and measures.

The infrastructure of the prospective contractor service is monitored 24 hours a day,

365 days a year. Operational standards enforced at all levels of the organization ensure

maximum security and system availability with virtually no unscheduled system

5 points



downtime or service interruption. Prospective contractor's SaaS operation is HIPAA-

compliant; has built-in redundancy features; and includes back-up, restore, and disaster

recovery activities.

The prospective contractor provides comprehensive monitoring of the overall security of

the SaaS environment, including provisioning and maintenance of the security

monitoring systems infrastructure, configuration of detection, alerting, and event

notification procedures. Prospective contractor feeds multiple event sources and

monitoring inputs into a centralized log correlation engine or Security Information and

Event Management (SIEM) system. This allows correlation of threat intelligence and

detection of anomalous or suspicious behavior. If an event is identified as a critical

emerging threat, prospective contractor implements well practiced incident management

procedures to contain, investigate, mitigate/reduce risk to ARS data, and as necessary,

implement recovery procedures.

The prospective contractor will adhere to recognized best practices during the execution

of the scope of work, including the latest version of the National Institute of Standards

(NIST) Special Publication (SP) 800-53 series (revision 4) moderate baseline controls at

a minimum, related to security, interconnection of systems, risk mitigation, security

planning, and cloud environments.

The prospective contractor provides application audit logs for each end user’s access or

modification of transactional data. The audit record identifies the user by unique system

identifier, time and date of action, and the transactional data values before and after

changes. This audit information is readily available for reporting by authorized users and

provides the necessary forensics to reconstruct data manipulation sequences over time

and identify the user(s) who performed the manipulation.

In addition to the application logs provided in the prospective contractor’s solution,

prospective contractor also monitors the production hosting environment for anomalies

and error detection and correction. Logging is accomplished through a variety of third-

party and native tools. Examples include, but are not limited to:

• Internet information server logs

• Custom application event logs

• Windows operating system event logs

• SharePoint logs

The prospective contractor’s system has an excellent uptime history, with minimal unplanned downtime, and there are many factors involved in page response times. As such, prospective contractor requests to negotiate specific system uptime and performance requirements.



The prospective client’s system runs entirely on hardware the prospective contractor provides, and is served to the user through a browser, over the internet. Dedicated bandwidth is not required, and bandwidth usage will be commensurate with the use of the system. Other than FTP traffic, which is entirely dependent on how much data ARS decides to download, the system will not impact any other ARS systems any more than any other similar web application. The prospective contractor currently hosts many other instances of the system and tens of thousands of users. One instance in particular is currently set up to handle 20,000 concurrent users, which can be expanded as needed to handle more.

2. Describe how scheduled downtime for maintenance will be handled outside of ARS’ normal business hours.

The prospective contractor schedules maintenance windows on Sunday evenings

between 6pm and 12am ET, which is outside of ARS normal business hours.

3. Describe how System Usage and Performance Reporting will be handled, and how the report will be delivered to ARS by the required deadline. Include a sample report.

In lieu of specific reports, prospective contractor proposes a monthly meeting to review performance obligations and system usage.

5 points

5 points

E.3 HOSTING 1. Describe in detail the hosting platform for the proposed System and how it meets the

requirements set forth in Section 2.4 of the RFP. Include details concerning the location of data centers and how the system will only be accessed from the continental United States.

The prospective contractor complements a robust and highly available design with

attentive monitoring and operational rigor. The prospective contractor maintains the

service levels of the prospective contractor cloud environment by carefully managing

the environment and paying critical attention to security, network infrastructure,

application response time, and performance. To ensure the highest degree of

availability of the application, the prospective contractor has rigorous change control

procedures that ensure controlled release of new application software versions and

maintenance releases into the production environment. Before changes are released

into to the production environment, each change is formally staged and evaluated for

readiness. This ensures high quality and predictable changes that maintain environment

and operational stability.

5 points



supported by prospective contractor as part of ARS’ annual subscription to the

solution.

• ARS will not need to plan outlay to stage and deploy hardware to support the

solution beyond browsers and internet access for users (which are already in

use by all users).

The prospective contractor provides the cloud services infrastructure for hundreds of

human services agencies and leverages shared hardware and infrastructure to support

customers. The prospective contractor cloud services infrastructure for ARS will

include:

• Network

o Redundant internet circuits

o Redundant routers

o Redundant firewalls

• Redundancy in the SAN fabric

o Each server connected to the iSCSI or fiber network will have dual port

Ethernet or fiber cards. The SAN switches shall be redundant as well,

configured for failover, such that there are enough ports to accommodate

all hosts if one switch fails.

• Web Server Farm

o The application servers will be load balanced across all web servers using

a load balancer with a virtual IP address, resolving to the public URL/Web

site for the ARS solution. The load balancer will handle SSL acceleration

and session affinity.

• SharePoint Farm

o The Prospective contractor’s advanced reporting solution will be

configured with two redundant SharePoint servers.

• Active Directory

o The Active Directory (AD) infrastructure has replication partners within the

primary site and at the secondary disaster recovery site. The backup

servers will act as the secondary AD servers at the production and

disaster recovery (DR) sites, respectively.

• Database Servers

o Microsoft SQL Servers with N+1 redundancy to ensure protection against

hardware failure.

▪ One active OLTP database instance will be dedicated to

transactional processing for the main application.



▪ One instance for the prospective contractor’s advanced reporting

solution (which is a reporting solution for advanced queries against

a nightly refreshed copy of the OLTP database and content

databases. These instances are isolated from OLTP database load

purposefully to maintain performance of the OLTP database. Note:

the deployment of the Advanced Reporting solution will occur in the

sandbox environment until go-live. Within 10 days post-go-live the

Sandbox Advanced Reporting environment will be

decommissioned. Custom reports will be migrated to production

environment prior to sandbox decommissioning.

▪ The architecture includes N+1 redundancy to prepare for database

server failures.

The prospective contractor’s Network Infrastructure Team responsibilities include:

• Managing, operating, and supporting network and server infrastructure

• Ensuring connectivity between all endpoints on the network

• Monitoring network performance and capacity

• Installing, upgrading, and maintaining performance—managing infrastructure and

software

• Provisioning, staging, configuration, installation, and upgrading of network

infrastructure

• Maintaining network structure to achieve optimal network connectivity and

efficiency

• Maintaining monitoring tools and processes to allow automated system

management of network services and servers

• Performing network operations functions, including:

o Production monitoring,

o Performance monitoring

o Load balancing

• Preparing designs for network modifications or upgrade to meet changes in

demand including those for capacity, performance, and modifications to provided

services

• Performing root-cause analyses on network-related problems and implementing

effective solutions to mitigate their effect and prevent recurrence

• Continuously monitoring performance of network traffic, infrastructure hardware

and software, and applying appropriate, effective remedial actions when alerts

are activated



• Continuously monitoring application availability and performance and applying

appropriate, effective actions when alerts are activated

• Monitoring all scheduled activities including data backups, detecting, and

correcting any failures within a specific timeframe

• On an ongoing basis, automating and streamlining the operational environment

to reduce errors and increase efficiency

• Managing and maintaining systems and infrastructure capacity as required to

ensure that the services are provided to the required levels of availability

• Forecasting capacity requirements as part of the prospective contractor’s normal

business planning cycle

• Performing scheduled, out-of-business-hours operating system and infrastructure

software patching is accordance with the patch management and system

maintenance processes

2. Describe how all hosting related software will be kept current and up to date.

As mentioned previously, the proposed prospective contractor offering is a cloud service

solution hosted in prospective contractor’s private cloud infrastructure. The prospective

contractor’s Network Infrastructure team will be responsible for designing and deploying

the technical infrastructure and hosting environment.

• All server and infrastructure hardware for application hosting, security,

performance monitoring, and disaster recovery is procured, maintained, and

supported by the prospective contractor as part of ARS’ annual subscription to

the solution, including:

o Installing, upgrading, and maintaining performance—managing

infrastructure and software

o Provisioning, staging, configuration, installation, and upgrading of network

infrastructure

o Preparing designs for network modifications or upgrade to meet changes

in demand including those for capacity, performance, and modifications to

provided services

o Monitoring all scheduled activities including data backups, detecting, and

correcting any failures within a specific timeframe

o Performing scheduled, out-of-business-hours operating system and

infrastructure software patching is accordance with the patch management

and system maintenance processes

5 points



The prospective contractor provides the cloud services infrastructure for hundreds of human services agencies and leverages shared hardware and infrastructure to support customers.

3. Provide an optional proposal for the State hosting of the proposed system. Include at

minimum the information required in Section 2.4.J. of the RFP. The prospective contractor proposes to deliver its vocational rehabilitation solution in a SaaS model as described and does not offer a State hosted system.

Not Scored

E.4 SYSTEM ACCESS 1. Describe how users will access the system in accordance with requirements set forth

in Section 2.5 of the RFP.

Users access the prospective contractor’s solution through a secure web-based portal. The

solution is a fully integrated and comprehensive case management and financial system. The

solution features a modern graphical user interface, using familiar browser controls for

navigation, including buttons, tabs, hyperlinks, etc. Data entry screens use dropdown menus,

data lookups, calendar lookups, and field-level edits to promote speed of entry and data quality

and consistency. The prospective contractor’s product design approach works with user focus

groups to refine new features and functions to minimize clicks and improve ease-of-use, while

maintaining the familiar “look and feel” of the solution.

The majority of the prospective contractor’s functionality can be configured through user-friendly

utilities accessible through administrator roles. By having ARS resources shadow and review

configuration performed by the prospective contractor during implementation, ARS system

administrators gain the knowledge and skills to adjust or add new configuration post-go live.

Core administrative utilities include:

• Group Setup: presentation settings, including chapter, tab, page, and field labels and

visibility

• Role Setup: user security permissions and privileges

• Screen Designs: custom data entry forms (e.g., assessments)

• Workflow Wizards: workflow automation through triggers and ticklers for workflow-based

prompts and notifications

• Word Merges: output tools for notification letters and simple reports

• Lookup Codes: drop down list selection options

• Places: location data containing valid combinations of city, state, zip code, county, and

region to drive dynamic population of address information

• Services: lists of system service codes, services offered by providers, and other related

information to support service-dependent functionality

• ISO Codes: chart of accounts or funding source data

• Plan Codes: need, goal, objective, and intervention options for client plans

• Users: lists system users

5 points



One of these user-friendly utilities, the workflow wizard utility, addresses a common challenge in human services, which is the ability to ensure that all workers are following program-specific business processes. The prospective contractor addresses this need by allowing system administrators to configure workflow automation ("workflow wizards") that guides users through critical tasks and creates reminders ("ticklers") for unfinished tasks. Workflow automation also is used to automatically create reminders for future events, such as IPE annual reviews, manual or automated task assignment, tracking, notification, and routing. Common VR workflows automation used in the prospective contractor’s solution includes application process, eligibility determination, IPE due reminder, IPE approval, Pre-ETS age out alert, VR exit, and more. The prospective contractor’s implementation team will work closely with the ARS project team to define workflows unique to Arkansas based on program policy and procedures.

2. Describe how the proposed system is browser neutral and will be accessible and function accurately when accessed from various device types.

The prospective contractor’s solution is operating system and browser neutral, accessible

through all recent versions of Google Chrome, Internet Explorer, Microsoft Edge, Firefox, and

Safari. No additional browser plug-ins, add-ons, or helper applications are necessary to operate

the solution.

The prospective contractor’s mobile assessments solution optimizes data collection in the field.

It is compatible with all mobile devices, with or without an internet connection (online or full

offline mode), empowering workers to cover their entire service area without the need for paper

forms and duplicate data entry. Data collected while in offline mode is automatically synced and

transferred into prospective contractor’s solution when an internet connection becomes

available. The mobile assessment solution includes tools to easily navigate data collection

forms, especially with touch screens and on smaller mobile device screens.

3. Describe how the system will be accessible for end users with disabilities. The prospective contractor’s solution is accessible for end users with disabilities. The prospective contractor’s accessibility approach includes development and quality assurance testing using browser extensions such as WAVE; use of accessibility tools commonly employed by end users such as JAWS, ZoomText, Dragon Naturally Speaking; and review and confirmation of the end user’s experience by solution analysts, technical writers, and VR counselors. The prospective contractor has also conducted coordinated reviews with accessibility trainers and compliance officers in the human services industry. The prospective contractor acknowledges that the road to accessibility compliance never ends. All quarterly releases of the prospective contractor’s solution undergo thorough accessibility testing to ensure continued compliance. Please see prospective contractor’s VPAT, WCAG Edition, in Attachment 1

5 points

5 points

E.5 USER ROLES & ACCESS 1. Describe the system’s ability to restrict access by user roles as described in Section

2.6 of the RFP. Provide details concerning what user types are available out of the box, as well as the contractor’s ability to create custom user roles required by the State.

5 points



At the application level, the prospective contractor’s solution provides robust organizational- and role-level security that allows for granular security management. This configurable application security infrastructure controls which functions a user can access, as well as what data a user can access down to the field level.

The solution’s role-based security allows a system administrator to create groups that define the

chapters (like modules), pages, and fields that will be available to users in a specific division or

functional business area (e.g., finance) and roles that further refine the areas of the application

available to users with specific job functions, and their edit privileges (e.g., view, add, edit,

delete). Module and transaction level access are defined in the role. Menu options, individual

data fields, and screen level access are all set through the group that is assigned to a role.

During implementation, the prospective contractor’s team will work with the ARS team to

determine the correct system access level to grant users in each role.

• All access will grant users of that role the ability to see all clients opened to a division

defined in the role.

• Program access will grant users of that role the ability to only see clients enrolled in a

particular program, such as Pre-Employment Transition Services or Services for the

Deaf & Hard of Hearing.

• Provider access will grant users of that role the ability to only see clients that have

been referred to a particular provider.

These features allow an organization to define an unlimited number of roles to help ensure that users can access data appropriate to their line of business and job function. In a similar implementation, VR Counselor, Support Staff, Admin, Supervisor, and System Administrator were all defined roles in the solution. These roles will be fine-tuned during ARS’ implementation to meet Arkansas’ unique needs. The implementation team do the initial configuration of the groups and roles in the ARS solution, but trained ARS system administrators will have the ability to make changes after go-live, with no intervention by the prospective contractor.

2. Describe the proposed system’s ability to meet the password complexity, lockout, and

retrieval requirements set forth in Section 2.6 of the RFP. The prospective contractor‘s vocational rehabilitation solution requires a unique username and

password to access the solution. As the password is entered, it is masked. The prospective

contractor’s solution contains a password setup utility that allows an ARS system administrator

to enact password rules for the security of the data system. The solution will lock out users

after a configurable number of unsuccessful login attempts or after password expiration, as

defined as a configurable number of days, such as 120. The solution automatically logs any

accounts that are locked out and this data is available for reporting. Locked out accounts can

be reset by an ARS system administrator or unlocked when a user completes a forgot password

procedure, which includes email authentication and the correct answer to 1 of 3 security

questions defined by the user when the account is set up. The password setup utility allows

ARS system administrators to define password complexity rules including minimum length and

composition of the password, such as minimum number of uppercase, lowercase, numbers, and

special characters. The uniqueness of a password can be defined, including if and how quickly

a password can be reused. Users are notified when a password is about to expire.

5 points



3. Describe the proposed system’s User Management System and how it meets the requirements set forth in Section 2.6. of the RFP.

The prospective contractor will set up ARS system administrators in the solution prior to go-live.

As part of implementation, ARS system administrators will be trained on the solution’s system

administration utilities, including a user setup utility. This allows an ARS system administrator

to perform user management tasks as defined in section 2.6 of the RFP. ARS system

administrators will have the final authority to grant users access to the system, and the solution

allows for the instant deactivation of users by these designated staff. The prospective

contractor’s solution automatically logs out a user after extended periods of non-use. The

length of the timeout interval is configured by the prospective contractor according to ARS

policy. The solution shall be enhanced to ensure multiple sessions are not allowed by the same

username.

The prospective contractor supports using Security Assertion Markup Language (SAML) as the

method for integrating identity management and single sign on (SSO). This allows a single

"source of truth" (such as ARS’ Microsoft Active Directory) to be setup for user account

management in order to streamline access to prospective contractor’s solution. This method of

SSO has been used successfully by several of the prospective contractor’s existing clients.

Once the user is setup in prospective contractor’s solution, ARS system administrators assign

roles to that user in the user setup utility, granting them access to the appropriate areas of the

solution.

5 points

E.6 GENERAL TECHNICAL REQUIREMENTS 1. Describe how the proposed system is compliant and will remain compliant with

Federal and State requirements for the Vocational Rehab program and other Federally funded programs. Include details on how the system is customizable to meet additional needs identified by ARS.

The prospective contractor’s software solution for ARS is a web-based case management

solution designed to collect all data required by RSA, review data to ensure it is accurate and

complete, and submit the report with fewer staff hours required. The solution will help ARS

optimize its entire vocational rehabilitation program, including:

• Application & eligibility

• Case management

• IPE development and amendments

• Provider network management

• Quality management & analysis

• Client portal and communications

Powerful financial features will enable the management of state and federal matching funds. A

full array of budgeting tools and financial reports will enable ARS to project future

encumbrances, comply with federal match requirements, and track performance against budget.

This added visibility will help ARS maximize the number of clients it can serve.

Other advantages are:

5 points



• Continually Enhanced at No Cost: New features and capabilities are added to the

software at the request of prospective contractor’s large human services client base.

ARS can elect which features to accept. Further, prospective contractor will update the

software with all future federally required regulatory changes at no cost.

• Highly Configurable: The solution has powerful self-service configuration tools that

enable ARS system administrators to manage the configuration, customize fields, collect

new data elements, and much more, all without the need for custom development. This

empowers ARS to grow its programs, respond quickly to evolving data needs from the

legislature or constituents, and drive continuous quality improvement without having to

pay a vendor for customization. Data collection and workflows for VR, Pre-Employment

Transition Services (Pre-ETS) and Supported Employment are native to the solution.

The Independent Living Program and Services for the Deaf and Hard of Hearing

program are easily accommodated using the solution’s configuration tools.

With the prospective contractor’s solution, ARS has a flexible, comprehensive solution

that positions it for the future.

2. Describe how the system will identify, track, and compile data for reporting to the Rehabilitation Services Administration pursuant to the Rehabilitation Act of 1973, as amended by the Workforce Innovation and Opportunity Act of 2014.

The prospective contractor has a twenty-year history of success implementing case and

financial management solutions in program areas adjacent to vocational rehabilitation (e.g.,

Medicaid waiver management for aging & ID/DD, critical incident management, adult protective

services, etc.). The prospective contactor designed its "best-of-breed" solution in collaboration

with a consulting firm comprised of a former Vocational Rehabilitation state director and a

former federal Rehabilitation Services Administration Commissioner. Modeling the approach to

RSA reporting after the prospective contractor’s successful approach to NAPIS, NORS, NAMRS

and SHIP reporting, the solution is configured to capture RSA-required data in an intuitive

business workflow so that RSA reporting is a "push button" exercise. This "standard" vocational

rehabilitation configuration was validated and refined in collaboration with a peer state’s VR

agency.

The prospective contractor's vision for ARS is to deliver a national model for best practice

vocational rehabilitation technology. To help achieve this, the prospective contractor has

partnered with a consulting firm, whose team lead for ARS is the former Commissioner

of the Rehabilitation Services Administration (RSA) during the Obama administration.

This firm has a national presence in vocational rehabilitation as a subcontractor to enhance

solution's implementation. With more than 50 years of combined executive experience,

particularly in vocational rehabilitation (VR), this consulting firm was founded to help state VR

agencies and core partners develop and implement effective and high-performing workforce

development systems. As a subcontractor, this consulting firm will provide consultation and

subject matter expertise to the Project Steering Committee and will support the implementation

through configuration, testing, training, and documentation. The subcontractor’s consultation

incorporates a “field integration” approach to the prospective contractor’s implementation

methodology in order to align the configuration of the software with day-to-day ARS field

operations. This will help ensure that end users quickly adopt the new solution.

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3. Describe the system’s ability to create custom fields, build and add on forms,

automated narratives, and notifications. A Comprehensive Data Collection System Data collection for RSA reports are a powerful driver throughout ARS business processes. From

the initial application, eligibility determination, IPE development, planned services,

authorizations, documentation of service delivery, provider payment, closure, and post-exit

assessment, ARS has a significant need for comprehensive data collection. One of the

strongest features of the prospective contractor’s vocational rehabilitation solution is its ability to

easily create data collection forms and make those forms available electronically to specific user

groups. These forms may come from existing paper or electronic forms and can be created or

revised by ARS.

The prospective contractor’s vocational rehabilitation solution comes with a standard set of best

practice VR forms, developed after a review of VR programs across the country. Use of these

standard forms ensures collection of the required RSA-911 data elements, but they can also be

configured to meet ARS-specific program and local reporting needs.

Smart Forms

Not all forms are created equal. The prospective contractor has noted the trend in the last

decade toward large, universal assessment tools containing hundreds of questions intended to

collect as much data as possible. Unfortunately, an unintended consequence of this trend is that

the size of the forms can become a barrier to services. Individuals that may need services

become frustrated with the sheer volume of information they need to provide, especially when

they have provided it in the past. Moreover, counselors can become focused on the mechanics

of managing the data collection tool rather than conversation with the individual. The

prospective contractor takes a "smart form" approach, designed to integrate the application,

IPE, or other forms into a person-centered workflow rather than becoming its focal point. The

prospective contractor’s vocational rehabilitation solution supports forms that:

• Automatically populate responses where data already exists in the client's record and update the client record if responses change (e.g., new address)

• Include "skip logic" when questions do not need to be answered based on earlier responses

• Conditionally hide or show questions or groups of questions, as needed • Mark individual questions always or conditionally required • Provide in-line guidance or help text • Apply simple formulas and/or complex algorithmic driven calculations to suggest or

determine program eligibility in real-time • "Pull" responses from existing assessments • Display longitudinal history of a client's response to a question across multiple

assessments • Can be saved prior to completion but ignored by workflow triggers (e.g., sending an

assessment for supervisory review or forwarding to a support planner) cannot be initiated until all required data is collected

These features will allow ARS counselors to enjoy an intuitive data collection experience, in the

office and in the field, as they conduct assessments for all ARS programs and will reduce data

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entry time. Most importantly, the prospective contractor's form technology will empower

counselors to focus on the person and changes in their functional needs rather than the

mechanics of data collection.

Configuration Utilities

ARS system administrators will be trained before go-live to use the full array of configuration

utilities available in the solution. While the prospective contractor’s implementation team will do

the initial configuration of the solution, after go-live, ARS system administrators are empowered

to modify group setup or create new fields, forms, word merge templates, and workflow wizards.

Group setup utility, used in conjunction with the solution’s role-based security, allows ARS

system administrators a high degree of configuration. Group setup facilitates the configuration

of each page in the solution all the way down to the field level, showing and hiding functional

areas, pages within an area, and fields on each page. ARS system administrators may reveal

new fields, reorder fields on a page, change their labels, make them required, change column

orders, and default display parameters.

The screen design utility allows the creation of an unlimited number of data collection forms with

dozens of different field types (e.g., lookup, text, date, checkbox, etc.) through configuration by

a trained ARS system administrator, rather than through custom development by the

prospective contractor. Assessments or forms established through the screen design utility can

be associated with an intake, client, provider, or worker.

The word merge utility allows users to leverage word merge functionality to automatically pull in

client information or other details onto letters or documents, such as a certification of eligibility

or mailing labels. The resulting word documents can be automatically saved to the client record

for documentation purposes. These documents can be configured by ARS system

administrators so changes over time can be managed without requiring assistance from the

prospective contractor.

The workflow wizard utility addresses a common challenge in human services, which is the

ability to ensure that all workers are following program-specific business processes. The

prospective contractor addresses this need by allowing system administrators to configure

workflow automation ("workflow wizards") that guides users through critical tasks and creates

reminders ("ticklers") for unfinished tasks. Workflow automation also is used to automatically

create reminders for future events, such as IPE annual reviews, manual or automated task

assignment, tracking, notification, and routing. Common VR workflows automation used in the

prospective contractor’s solution includes application process, eligibility determination, IPE due

reminder, IPE approval, Pre-ETS age out alert, VR exit, and more. The prospective contractor’s

implementation team will work closely with the ARS project team to define workflows unique to

Arkansas based on program policy and procedures.

4. Describe the system’s ability to collect electronic signatures through the use of signature pads.

The prospective contractor currently recommends the use of Adobe Reader’s built-in electronic

signature capabilities to electronically sign reports and other outputs generated from the

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solution as a PDF. However, the prospective contractor’s solution is currently being enhanced

to include integrated electronic signature functionality, which is targeted to be ready before the

project go-live. The solution will include the ability for users and clients to apply their signatures

to data collection forms, such as the application or eligibility determination form.

5. Describe the system’s ability to create payment queues for authorizations to vendors,

as well as approve, reject, batch, and report vendor authorizations. The solution’s ability to create payment queues for authorizations to vendors can be met in a

variety of ways – authorization queues, plan validation, or a service delivery review process.

The prospective contractor welcomes the opportunity to discuss this requirement in more detail

to ensure the solution is configured to best meet ARS’ needs.

The prospective contractor’s solution includes authorization queues, which allows supervisors to

review requests for authorization for services set up by their staff. From the My Work

dashboard, supervisors can approve, deny, or terminate authorizations.

Depending on the business need for payment queues for authorizations to vendors, plan

validation functionality may better serve ARS. Plan validation determines if the planned

services set up as part of the IPE development process meets the requirements defined by the

State. Authorizations cannot be created until the plan is validated or an exception is granted by

a supervisor. The prospective contractor works with ARS to configure business rules to comply

with state or ARS program requirements, such as service unit cost caps, budget limits, or

service requirements. Plan validation provides a safeguard to overspending or errors.

Finally, if ARS is seeking the ability to review pending payments before they are made to

vendors, the prospective contractor’s solution can automate a two-step review process of

service delivery records through the use of workflow wizards. For example, support staff or a

provider enter the service delivery record in the solution, documenting a service delivered to a

VR client. The status of this service delivery record is set to “ready for review.” This status

triggers a workflow wizard, which will notify the appropriate user(s) to review the service delivery

record and set it to a “complete” status once approved. This “complete” status is the trigger for

the payment export interface with the AASIS.

The prospective contractor’s solution supports reporting by authorization and service delivery

through several standard reports, including Authorizations by Provider and Planned vs.

Authorizations vs. Delivered reports. Authorizations automatically keep track of services that

have been billed against it and prevent vendors from billing more services than have been

authorized for a client.

6. Describe the system’s ability to track the funding available to a given ARS counselor or region, as that funding is authorized and de-authorized throughout the State and Federal fiscal years

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The prospective contractor’s solution supports the ability to track funding available to a given

ARS counselor or region through the use of index subobject (ISO) codes and reporting. An ISO

code is assigned to a planned service or authorization, which carries through to the payment.



An ISO code is the combination of one index code and one subobject code. The combination

often represents a single funding source such as a waiver or grant. A financial budget is set at

the ISO combination level and can be broken out by region. Services can be restricted by

allowable ISO's, allowing a service to be configured so that it can only be paid from certain

funding sources, by fiscal year. Once all the data is defined in the solution, standard reports,

like the Planned vs. Authorized vs. Delivered report, can run by ISO code to reflect regional

authorizations.

The assigned ARS counselor is captured in the division tab of the client record. Custom or ad

hoc reporting allows funding to be tracked by counselor. Another alternative is to use plan

validation rules to impose limits on the amount of spending an ARS counselor can authorize.

For example, a plan validation rule fails if a counselor creates a plan with services exceeding

$1000. A supervisor can override the validation rule if approved.

E.7 VOCATIONAL REHABILITATION REQUIREMENTS 1. Describe how the proposed system will meet the Vocational Rehabilitation Requirements

set forth in Section 2.8. of the RFP. The discussion may include appropriate screen shots and other descriptive materials in order to fully explain the product.

My Work Dashboard The My Work dashboard of the prospective contractor’s solution serves as the daily console for VR counselors, supervisors, and support staff to determine the next task to tackle and the fastest way in the solution to navigate there. All items on the dashboard are hyperlinks directly to the client record, tickler, note, or queue needing action. The My Program Enrollments area provides the VR Counselor a view of exactly where their clients are in the VR Workflow. One click on a status, such as “IPE-Career Services,” opens a list of all clients in that status and allows further navigation straight to the desired client record. The Notes area provides quick access to all Notes that have been sent to the VR Counselor. The My Management area features working queues to help VR Counselors prioritize their work. For example, Ticklers Due lists all outstanding tasks for a VR Counselor, with due dates. For a manager logged into the solution, this same queue would also show the ticklers assigned to each VR Counselor they supervise. As with in all areas of prospective contractor’s solution, the visibility, order, and labels on the My Work dashboard are configurable by VR to best match preferred program terminology.

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plan version number and make all necessary changes. Once the amended IPE is finalized, a

snapshot will be taken of the IPE and saved to a history table to allow for comparison reports

between plan versions. A standard workflow wizard for the IPE Amendment process is included in

the solution and can be tweaked to meet ARS’ unique needs.

Service Status

Approval workflows

ARS seeks a solution that provides notifications to a counselor’s supervisor or approving party, as

needed, and notification of decisions from the supervisor. The prospective contractor’s solution

establishes approval rights in three ways. By default, approval rights are granted to the user's

supervisor, as defined in the user's worker record. Alternatively, approval queues can be set up

by role, allowing groups of designated users to provide approvals. An IPE Approval Queue is a

standard My Management feature of the My Work dashboard. Finally, approval responsibility can

be manually reassigned, as in the case of a tickler, when the tickler is configured to allow

reassignment.

Once an IPE is approved, notification of the decision can be accomplished in a few different ways.

The supervisor can flip the status of the IPE to “Approved,” which can trigger a message or email

tickler to automatically notify the assigned VR counselor. If more details need to be included in the

approval message, the supervisor can create a plan note record and add the VR counselor as a

note recipient. The VR counselor will be notified on their Ticklers Due queue on their My Work

dashboard of the new note needing attention.

Supported Employment

The prospective contractor’s solution includes a case type and workflows dedicated to Supported

Employment. The documentation of milestones for supported employment services can be

tracked a few different ways, so prospective contractor will work with ARS to determine the best

way to accomplish in the solution.

File Closure & Exit

The prospective contractor’s solution provides users with the ability to capture unlimited free-form

text notes within the client record, at the time of closure, as part of established workflows or as

needed. Each note contains a large narrative text field for free text entry and can be classified by

type, subtype, date, program/provider, etc., and can have one or more attachments. Notes can be

created and added to task-specific areas (e.g., plan notes, form notes) or at the main client note

tab(s).

Access to notes is controlled by a user's access role based on note types. Note status is used to

further determine who/how a note can be edited. When notes are in a "draft" status, the large note

field displays as a single text field and is editable by the author and their supervisor(s). If another

user opens the draft note record, the note field is non-editable. If status is "pending," this field can

be configured so any user can make edits directly into the note box or via the append note box.

The Append Text to Note feature is a configuration point that only allows notes to be added to and

not edited. Appended text is marked with the User ID, date, and time the new comment is added.



E.8 PRE-EMPLOYMENT TRANSITION SERVICES 1. Describe how the proposed system will meet the Pre-Employment Transition Services

requirements set forth in Section 2.9. of the RFP. The discussion may include appropriate screen shots and other descriptive materials in order to fully explain the product.

ARS seeks a system where Pre-ETS activities are in a separate module from VR. The solution’s role-based security accomplishes this by allowing a system administrator to create groups that define the chapters, pages, and fields that will be available to users in a specific division or program and roles that further refine the areas of the application available to users with specific job functions, and their edit privileges (e.g., view, add, edit, delete). The prospective contractor recommends the use of program level access to grant users of that role the ability to only see clients enrolled in a particular program, like Pre-ETS. Further, role(s) for Pre-ETS can be configured with its own look and feel, hiding areas of the solution, fields, forms, and note types that are not relevant to this case type. Fields labels can even be renamed, and different fields can be made required, as compared to groups/roles dedicated to VR workflows. This high degree of configurability of the prospective contractor’s solution ensures that much of the functionality described in section E.7 Vocational Rehabilitation Requirements also satisfies the requirements for Pre-ETS.

• Group set up utility ensures Pre-ETS specific data elements are collected in the student record, like disability type. These fields can be made required in order to move through the Pre-ETS workflow.

• Forms to collect data specific to Pre-ETS are configured using the screen design utility, like a student referral form or a version of the IPE that is specific to Pre-ETS students.

• Workflow wizards and ticklers are configured to assist Pre-ETS workers with tracking important due dates, such quarterly contacts to school representatives or age out warning when a student is nearing age 22.

• Pre-ETS services are assigned Pre-ETS ISO codes (chart of accounts codes) to ensure planned, authorized and delivered Pre-ETS services are separate from VR services. All Pre-ETS services are tracked with start and end dates.

Service tracking The prospective contractor’s solution includes real-time tracking of services delivered by providers through the submission of an activity (e.g., invoice) in the client record. This can be done by internal ARS staff or ARS may choose to grant providers access to the solution in order to submit their own activity information. Data captured on the activity record includes the provider, time and/or units delivered, and cost. For providers, like schools, who deliver the same service for a group of students each month, activity rosters streamline the activity data entry process. Activity rosters is a feature that allows providers or ARS staff to search for and group clients receiving the same service from the same provider, such workplace readiness training, and create activities for the selected clients. This feature saves time when creating the same activity for multiple clients. Below is an example of the activity roster where a high school has filtered to find all clients in the system associated with their school and eligible for workplace readiness training. “Get Matching Consumers” presents all the students eligible for this service. The provider can quickly scroll or tab through the fields to enter the number of units delivered for each student.

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The prospective contractor’s solution supports a variety of waitlist scenarios, ranging from simple

“first-on/first off” waitlists to complex, algorithm-driven wait lists that dynamically assign waitlist

priority based on most-recently assessed criticality of need based on ARS’ preferred business

logic. The waitlist can be managed at the program, provider, or service level. The waitlist can be

sorted/filtered by referral date, priority, region, city, or country.

Besides the addition of data elements, forms, word merge documents, and workflow automation

specific to the Independent Living Services program, the solution is also configurable to include

ISO codes (chart of accounts or funding source data), service codes and providers that are

dedicated to this program. Plan validation rules can be customized to enforce ARS’ business

logic around the Independent Living Services program. The prospective contractor’s vocational

rehabilitation solution is extensible to adjacent programs through the use of robust configuration

utilities.

Once the Independent Living Services program is defined through configuration, ARS can create

self-service ad hoc reports in the prospective contactor’s reporting solution specific to this case

type. An easy-to-use drag and drop user interface allows program staff with only basic knowledge

about relational databases and SQL to write custom reports. The reporting solution includes

“wizards” to guide novice report writers while allowing experts to work unimpeded. Reports created

in the reporting solution can be moved into the prospective contractor’s solution, if so desired.

Every single data element within the prospective contractor’s VR solution is available for reporting

within the reporting solution.

E.10 SERVICES FOR THE DEAF & HARD OF HEARING 1. Describe how the proposed system will meet the Services for the Deaf & Hard of

Hearing requirements set forth in Section 2.11. of the RFP. The discussion may include appropriate screen shots and other descriptive materials in order to fully explain the product.

The high degree of configurability of the prospective contractor’s solution ensures that the

Services for the Deaf & Hard of Hearing requirements are satisfied. New case types are added to

the solution in a matter of seconds. After implementation, ARS system administrators can modify

and add case types on their own. The solution’s configuration utilities modify the system to collect

data specific to Services for the Deaf & Hard of Hearing. Important fields, like the participant’s age

at application status, are collected as part of unique workflows based on the Services for the Deaf

& Hard of Hearing case type, so nothing is missed in the provision of services to these clients.

ARS has a need to collect and analyze financial information about potential recipients of Services

for the Deaf & Hard of Hearing. Financial forms are a perfect example of where the prospective

contractor’s “smart forms” approach to data collection really shines. Responses to questions can

be collected through over 30 different types of fields such as free text, single-select or multi select,

as well as specifically formatted fields such as for dates, phone numbers, and currency. These

forms can be configured to automatically populate responses where data already exists in the

client's record and update the client record if responses change (e.g., new address) and "pull"

responses from existing forms. Indicator controls apply simple formulas and/or complex

algorithmic driven calculations to provide real-time analysis of potential client’s financial needs. By

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project go-live, prospective contractor aims to include the ability for users and clients to apply

electronic signatures to data collection forms, such as the application.

Besides the addition of data elements, forms, word merge documents, and workflow automation

specific to Services for the Deaf & Hard of Hearing, the solution is also configurable to include ISO

codes (chart of accounts or funding source data), service codes, and providers that are dedicated

to this program. Plan validation rules can be customized to enforce ARS’ business logic around

Services for the Deaf & Hard of Hearing. The prospective contractor’s vocational rehabilitation

solution is extensible to adjacent programs through the use of robust configuration utilities.

Once Services for the Deaf & Hard of Hearing is defined through configuration, ARS can create

self-service ad hoc reports in prospective contactor’s reporting solution specific to this distinct case

type. An easy-to-use drag and drop user interface allows program staff with only basic knowledge

about relational databases and SQL to write custom reports. The reporting solution includes

“wizards” to guide novice report writers while allowing experts to work unimpeded. Reports created

in the reporting solution can be moved into the prospective contractor’s solution, if so desired.

Every single data element within prospective contractor’s VR solution are available for reporting

within the reporting solution.

The prospective contractor’s solution provides robust organizational- and role-level security that

allows for very granular security management. This configurable application security infrastructure

controls which functions a user can access, as well as what data a user can access down to the

field level.

ARS seeks a system where Services for the Deaf & Hard of Hearing case type is in a separate

module. The solution’s role-based security accomplishes this by allowing a system administrator

to create groups that define the chapters, pages and fields that will be available to users in a

specific division or program and roles that further refine the areas of the application available to

users with specific job functions, and their edit privileges (e.g., view, add, edit, delete).

The prospective contractor recommends the use of program level access to grant users of that role the ability to only see clients enrolled in a particular program, like Services for the Deaf & Hard of Hearing. Further, role(s) for the Services for the Deaf & Hard of Hearing can be configured with its own look and feel, hiding areas of the solution, fields, forms, and note types that are not relevant to this case type. Fields labels can even be renamed, and different fields can be made required, as compared to groups/roles dedicated to VR or Pre-ETS workflows.

E.11 SOCIAL SECURITY ADMINISTRATION – TICKET TO WORK 1. Describe how the proposed system will meet Social Security Administration – Ticket to

Work requirements set forth in Section 2.12. of the RFP. The discussion may include appropriate screen shots and other descriptive materials in order to fully explain the product.

The prospective contractor’s standard reporting package includes two export files for consumption by Morrow Consulting’s Ticket Tracker software program to support Social Security Ticket to Work benefit reimbursements. The reporting package will be expanded to include an assignment/unassigned report and cost reimbursement export report, both in formats specified by

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the SSA. The prospective contractor’s solution will support a standard import file from the SSA to receive data such as status of claims, payment amount and the date payment was made.

E.12 DATA VALIDATION & REPORTING

1. Describe how the system will satisfy all Federal and State reporting requirements as described in Section 2.13 of the RFP. Include details on how reporting functions will be kept up to date with changing Federal and State requirements.

Federal Reporting Expertise

The prospective contractor has deep experience with a variety of extensive federal reporting

requirements, including the National Aging Program Information System (NAPIS) for Older

Americans Act funded aging programs, the National Ombudsman Reporting System (NORS) for

LTC Ombudsman programs, and the Treatment Episode Data Set (TEDS) for substance abuse

programs.

The prospective contractor was closely involved with development of Administration for

Community Living's (ACL) National Adult Maltreatment Reporting System (NAMRS) initiative.

When ACL was initially developing the NAMRS dataset, a state adult protective services (APS)

program was used by ACL as a model in terms of its configuration of the prospective contractor’s

APS software to support NAMRS data collection and reporting. The prospective contractor, in

collaboration with this state, was the model for the national NAMRS dataset.

Federal & Standard VR Reporting Package

The prospective contractor has developed the Rehabilitative Services Administration (RSA)

Summary by Fiscal Year and State Agency (RSA-911) export to comply with the federal reporting

requirements as defined in policy directive 19-03. The export includes a companion validation and

audit report to ensure that complete and accurate data is reported. The prospective contractor

solution’s RSA-911 export validation includes all the RSA-defined edit checks, as well as

additional edit checks defined by the prospective contractor while working in collaboration with a

peer state VR agency. The prospective contractor’s RSA-911 file has been verified against RSA’s

edit checker. The export file will be continually enhanced to incorporate future policy changes

issued by RSA, at no additional cost to ARS.

In addition to over 200 standard operational reports, the prospective contractor’s federal &

standard VR reporting package also includes:

• WIOA Annual Performance Report (ETA-9169) & 6 common performance indicators

• Annual Report on Appeals Process (RSA-722)

• Independent Living Services for Older Individuals Who Are Blind Report (RSA-7-OB)

• Tracker Solution Export reports

In addition, the prospective contractor’s proposal includes the development of up to 10 Custom

Reports or 500 hours for custom report development, whichever is less.

It is the prospective contractor’s experience that much of the data included in the Federal Financial

Report (SF-425) and Vocational Rehabilitation Financial Report (RSA-17) comes from a state’s

financial system. However, the prospective contractor stands ready to develop custom reports for



ARS to pull the necessary data elements from the solution to populate these financial reports. If

ARS desires this financial information to be tracked in its entirely within the prospective

contractor’s solution, the prospective contractor’s implementation team will begin with that goal in

mind, ensuring necessary data collection is configured within the ARS solution.

Prospective contractor is committed to staying up to date with RSA reporting requirements as they

evolve over time and enhancing the solution at no additional charge to ARS or any vocational

rehabilitation clients.

Data Validation

The prospective contractor’s solution is built to ensure correct data is entered in the first place.

This is accomplished through configuration, an unbroken data chain, and plan validation rules.

Configuration

Data entry screens use field controls such as dropdown menus, data lookups, calendar date

pickers, and field-level edits to promote speed of entry, data quality, and consistency. Using the

utilities chapter, ARS system administrators can make fields required, as determined by ARS

business rules, preventing users from progressing in the workflow without entering critical

information. The Places utility maintains location data containing valid combinations of city, state,

zip code, county, and region to drive dynamic population of address information in the client,

relation, provider, and worker records.

Unbroken data chain

The prospective contractor’s vocational rehabilitation solution is designed to ensure that from the

time a potential client makes initial contact with an agency to the time they no longer receive

services, an unbroken, auditable chain of data is created, linking forms, needs, plans, services,

authorizations, payments, and IPE annual reviews while minimizing the opportunity for a need to

be "dropped," a service "missed," or a client "lost" in the system.

This unbroken data chain has the added benefit of reduction of duplicative data entry often found

in other systems. Where possible, the solution pre-populates fields with existing information

already entered about the client, provider, service, etc. Additional features that help maintain an

unbroken chain in the client record include:

• Pushing potential client demographic information captured during a referral into a client

record

• Auto-population of client data into a form

• Pushing updated client data from a form back to the core client record

• Sharing of form responses from one form to another

• Automatic proposal of needs and/or services in an IPE based on form responses

• Multi-attribute service rate setting

• Automated plan validation against program-specific requirements and regulations

• Automatically creating service authorizations from IPEs

Plan Validation

Plan validation determines if the planned services set up as part of the IPE development process

meets the requirements defined by the State. Authorizations cannot be created, and service



cannot be delivered until the plan is validated or an exception is granted by a supervisor. The

prospective contractor works with ARS to configure business rules to comply with state or ARS

program requirements, such as service unit cost caps, budget limits, or service requirements. Plan

validation provides a safeguard to overspending or errors. The prospective contractor will work

with ARS to design and build up to ten (10) custom plan validation rules to incorporate specific

ARS validation needs.

2. Describe the number and types of canned reports available in the system out of the box. In addition to the standard federal reports listed above, the prospective contractor’s solution has

over 200 standard, operational reports developed in collaboration with state agencies to meet

human service needs. Report types include authorizations, activities (service deliveries),

caseload, census by status, consumer assessments (client forms), ticklers, discharges (exits),

enrollments, index subobject budgets, mailing labels, metadata (configuration), notes, providers,

services, user administration, wait list, and workers.

3. Describe the ad-hoc reporting capabilities of the proposed system.

Experience has shown that every state has unique reporting needs. ARS can create self-service

ad hoc reports in the prospective contactor’s reporting solution using standard report queries and

layout files as templates, or ARS can start "from scratch." An easy to use drag and drop user

interface allows program staff with only basic knowledge about relational databases and SQL to

write custom reports. The reporting solution includes “wizards” to guide novice report writers while

allowing experts to work unimpeded. Every single data element collected within the prospective

contractor’s VR solution are available for reporting within the reporting solution.

The prospective contractor has included professional services for design, build and

implementation of up to ten (10) custom reports as part of this response. These custom reports will

supplement the existing standard reports and ad hoc reports ARS chooses to create on their own.

4. Describe the ability of the proposed system to export reports in a variety of file formats as described in Section 2.13 of the RFP. Include information on batch printing and customized printouts as well as electronic file formats.

The prospective contractor reports, both in the VR and reporting solutions, can be exported in

Excel, CSV, HTML, Tiff, PDF, and Word formats. The prospective contractor supports the export

of designated standard or custom reports in the VR solution to JSON via RESTful web services

with the prospective contractor’s set up assistance.

Any page in the prospective contractor’s solution can be printed from the File menu. Custom or ad

hoc reporting can be used to accomplish batch printing and customized printouts. For example,

while there is a standard client plan report available in the solution, most, if not all, state clients

develop their own custom plan or IPE print out report. This can be done by the prospective

contractor as a custom report or it can be undertaken by ARS report writers using the ad hoc

reporting solution.



Customized printouts can also be created using built in word merge utility. This allows users to

leverage word merge functionality to automatically pull in client information or other details onto

letters or documents, such as a certification of eligibility or mailing labels. The resulting word

documents can be automatically saved to the client record for documentation purposes. These

documents can be configured by ARS system administrators so changes over time can be

managed without requiring assistance from the prospective contractor.

5. Describe the audit functionality of the proposed system and how it meets the requirements set forth in Section 2.13 of the RFP.

The prospective contractor provides application audit logs for each end user's viewing or

modification of transactional data. The audit record identifies the user by unique username, time

and date of action, and the transactional data values before and after changes. This audit

information is readily available on each page in the solution via the history viewer and is available

for reporting by authorized users.

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E.13 REQUIRED INTERFACES 1. Describe how the proposed system will interface with the systems required in Section

2.14 of the RFP.

Integration Capabilities

The prospective contractor’s vocational rehabilitation solution can send and receive data using

different standards and provides rich interface capabilities that can support a broad range of

system integration options for both large batch data exchanges and small, lightweight

transactional data exchanges. Requirements will be addressed through a collaborative process in

which prospective contractor works closely with ARS with requirements discovery, design,

construction, validation, and delivery. The prospective contractor's experience has proven this to

be an effective way to minimize project risks and ensure a positive outcome. This approach is also

an effective means of knowledge sharing and creating "shoulder-to-shoulder" experiences that

enable the selected ARS personnel to develop a deep understanding of the prospective contractor

solution's configuration and options. This process requires discussions with team members from

ARS who are familiar with the systems that require integration. These discussions involve

designing the most effective integration technique based on the nature of the integration

requirements, such as data volume, frequency of request, and capabilities of the systems being

integrated.

The integration technique considerations include:

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• Data Transport (e.g., HTTPS, sFTP)

• Data Format (e.g., XML, formatted flat file, X12 EDI)

• Catalyst (e.g., event driven, time driven)

• Call flow (e.g., inbound, outbound, bi-directional)

Design decisions will be made to determine what changes are required in either the prospective

contractor solution or the external system to support the integration. Error and exception handling

also are defined to address how each system will deal with abnormal situations such as the target

system being unavailable for periods of time or data validation errors. This will address any

required "retry" logic, notifications, and data synchronization that may need to occur as a result.

These and other design details are documented in interface specification documents for each

interface. The specification documents consist of an Interface Design Document and an Interface

Mapping Document. The Interface Design Document describes the overall approach, including

method of transport, frequency, import/export scenarios, business requirements, and error

handling. The Interface Mapping Document details the specific data fields involved including

sources, destinations, translations, and defaults on a field-by-field basis. These documents will be

presented to ARS for review and feedback. Iterative cycles of review and modification to the

documents will continue until they are ultimately approved by VR. Time limits for review feedback

will be established at project kickoff. This formal approval serves as a gate to moving to the

configuration phase for the integrations.

The prospective contractor understands the interfaces below to be in scope of the implementation.

• AASIS – Arkansas’s SAP ERP system o Prospective contractor will implement a payment export interface o Prospective contractor will implement a warrant import interface

• Arkansas Division of Workforce Services o Prospective contractor will implement an interface to import wage information o Prospective contractor will implement an interface to import unemployment claim

information

• National Student Clearing House o Prospective contractor will implement an interface to import degree information o ARS will be responsible for identifying National Student Clearing House resources

who will participate in the implementation

• Workflow Innovation o Prospective contactor will implement an interface to import a common person

intake file o All WIOA programs will leverage the common intake file format where automation

is desired for a program

• Department of Labor’s America Job Link o Prospective contractor will implement an interface to import a person intake o ARS will be responsible for identifying Department of Labor resources who will

participate in the implementation

• SSA Ticket to Work o Prospective contractor will implement an interface to export cost reimbursement

files. o Prospective contractor will implement an interface to import cost reimbursement

claim data.



• Ticket Tracker o Prospective contractor provides robust reporting tools that can be used to create

ad-hoc and scheduled exports for on demand upload into external systems

• Microsoft Outlook o Prospective contractor will configure the solution to connect with the ARS Microsoft

Outlook system for external communication.

E.14 DATA CONVERSION 1. Describe the process by which historical data from ARS’ current system will be

converted into the proposed system and available at time of go live as if it had been originally captured in the system.

Data Conversion Methodology

The prospective contractor performs data conversion in almost every system implementation and,

therefore, brings to this engagement experience in hundreds of successful data conversion efforts.

The methodology and processes outlined below have been honed and refined to align specifically

with the implementation of the prospective contractor solution.

The data conversion methodology refers to the specific set of procedures and tasks used to

manage and control conversion of data into the application's SQL database using SQL scripts.

The data conversion process is vital to the success of an implementation and should be planned

carefully with committed data conversion team members from both prospective contractor and

ARS. This methodology helps ensure that the entire data conversion task results in an accurate

migration, ultimately resulting in a more comfortable user group and a more manageable end user

learning curve. The prospective contractor's Data Conversion Plan comprises an orientation

phase, a review and test phase, and a final live conversion phase.

To facilitate conversion, the prospective contractor relies upon a standard, single, prescribed data

conversion schema submission file for data conversions. This standardized single file format, and

its data elements are a product of lessons learned through years of data conversions. Use of the

conversion template provides the following benefits:

• Predictability: A single file format with prescribed data elements naturally lends itself to

an increased success rate for live conversion because it helps ensure data consistency

across disparate systems. The prospective contractor can take a sample of client data,

test convert it, work through possible data source issues, and provide higher

predictability of a successful live conversion.

• Cost Efficiency: A single file format and prescribed data set reduces the risk of

incomplete data submissions or multiple data source conflicts, which can result in

unplanned data cleanup or multiple data conversions. The single file also permits easy

mapping of ARS data to the prospective contractor software schema through a data

crosswalk exercise.

• Time Efficiency: Use of the conversion template eliminates the need for custom

scripting to import the data to the new system.

The prospective contractor's approach is predicated on close collaboration with ARS resources to

complete data conversions. If needed, the prospective contractor's role in conversion may be

5

points



expanded under a change order to include providing additional assistance or staffing to complete

tasks required of ARS.

Approach

• Solution mapping sessions (SMS) are conducted to determine how the client will use the

prospective contractor solution and, therefore, the critical data elements that are needed.

• Based on the data gathered in the SMS, the prospective contractor's implementation

services and data conversion specialists work with the client to identify the subset of

data elements to be converted prior to go-live. This is documented in the prospective

contractor Data Conversion Schema Data Dictionary.

• The client populates the Data Schema provided by the prospective contractor with the

information agreed upon in the Data Dictionary.

• The data is imported into a non-production site and reviewed by the prospective

contractor and the client. Typically, multiple data import iterations are required to identify

and resolve data issues.

• Prior to go-live, data is imported into the client's production site, and a final review is

done.

Data Conversion Assumptions

• The client will provide data in the format prescribed by the prospective contractor.

• The client will "scrub" data prior to submission to ensure a clean conversion. This

includes, but is not limited to

o Removing/merging duplicate records

o Removing or editing data that contains inappropriate values and/or special

characters

o Removing records that should not be imported

o Aligning or mapping values in legacy data to allowable values in the prospective

contractor solution

o Editing records/values to match destination data types in the prospective

contractor solution (e.g., cannot import alphabetic characters into a numeric field)

• The prospective contractor will perform up to three test import iterations prior to the final

go-live import.

• The prospective contractor will include the following record types in the data conversion

design.

o Setup/General – Places data, Service Codes, Users, and Roles

o Consumer Demographics – Name, Addresses, Phone Numbers, Email Addresses,

IDs (SSN, Medicaid, legacy system), Race, Ethnicity, Date of Birth, Diagnosis (i.e.,

vocational rehabilitation disability taxonomy), Program/Provider Enrollments,

o Consumer Plans and Planned Services with Authorizations scripted from Planned

Service data



o Consumer Activities

o Consumer Assessments – Up to five assessments with up to 50 fields each.

o Consumer Notes (Free Text and Attachments)

o Provider/Vendor data: Demographics – Name, Addresses, Phone Numbers,

Email Addresses, IDs (EIN, Medicaid, NPI, legacy system), Service Codes,

languages, accessibility

o Worker Demographics – Name, Address, Phone Numbers, Email Addresses,

SSN, Race, Ethnicity, Gender, Supervisor

In the table below, the prospective contractor has identified the roles and responsibilities of the

prospective contractor and ARS team members engaged in data migration.

Role Responsibilities

Prospective

contractor Data

Conversion

Lead

Manage the data conversion process; create, maintain, and execute data

conversion scripts that import data from Conversion Schema into the prospective

contractor Production Schema

Prospective

contractor

Implementation

Consultant

Provide feedback and validation assistance to ensure the data migration process

is aligned with the day forward configuration and workflow.

ARS Analyst(s)

Map source data, identify needed source data cleanup after extraction and

population as needed, submit source data to the prospective contractor for

conversion, repeat as needed, track and manage identified conversion issues with

the ARS Analyst, track and manage identified conversion issues with the

prospective contractor Analyst

ARS DBA Extract source data from legacy system(s), populate the Schema database,

address source data clean-up issues

ARS Tester(s) Validate test data conversion through go-live conversion

E.15 ONGOING MAINTENANCE & UPDATES 1. Provide a proposed Maintenance Plan detailing the approach to ongoing maintenance of

the proposed system that meets or exceeds the requirements set forth in Section 2.16 of the RFP.

Ongoing Support Impact Methodology

To respond to evolving user preferences and business needs over time, ARS will need a

methodology for systematically evaluating user requests for changes for cumulative impact before

making a configuration change or requesting an enhancement. Although making configuration

changes to the application is generally straight-forward, the process of ensuring that a requested

change is acceptable to all stakeholders, and that the full impact of the change is understood can

be challenging. The prospective contractor recommends an Ongoing Support Impact Methodology

in which ARS will regularly convene a Change Control Board to review and approve requested

5

points



changes to configuration (e.g., forms, workflow, reports, rules, menu options), to review release

notes to identify enhancements and new features that may enhance ARS workflow and to decide

when to request an enhancement to the application. The prospective contractor will deliver new

releases with enhancements and new features inactive by default, so ARS administrators will

manually activate new functionality in a non-production environment for evaluation before

activation in production.

Release Management

The prospective contractor's application version release program for the prospective contractor’s

vocational rehabilitation solution provides clients with the opportunity to upgrade to a new release

on a quarterly basis. New releases contain fixes to resolve defects, enhancements to existing

features, and new features. prospective contractor determines the scope of items in a release

based on issues reported to client support, client contract deliverables, client enhancement

suggestions, and product roadmap features and enhancements to continually improve the

solution. The prospective contractor publishes comprehensive, detailed release notes for each

general availability release. For a high-severity defect, the prospective contractor expedites the

resolution.

Once ARS has gone live with the prospective contractor solution in production, application

upgrades will be applied to the non-production sandbox environment for release testing and

regression testing. ARS’ system administrators will test the release to evaluate and enable key

changes that ARS intends to utilize and to perform regression testing to validate key workflows

and configuration. Through this process, ARS will also identify, plan, and test any configuration

changes specific to the solution for deployment to production with the upgrade. ARS team testing

and review of new releases, hands-on in the non-production environment, is an important activity

for ongoing knowledge transfer.

E.16 ONGOING USER & TECHNICAL SUPPORT 1. Provide a proposed Ongoing User and Technical Support Plan beginning at Go Live and

continuing for the life of the contract. Include details on how this plan will meet or exceed the requirements set forth in Section 2.17 of the RFP.

Introduction

The prospective contractor's Client-Side Support Model (CSSM) is well-aligned to integrate staff

and provider support with ARS help desk.

The prospective contractor considers help desk support an integral part of the project team. As

such, designated members of the prospective contractor’s vocational rehabilitation solution

Technical Support Team will be involved in the project from the beginning. The prospective

contractor’s vocational rehabilitation solution Technical Support will be well-versed in the business

processes and workflows involved to provide immediate support to the ARS help desk.

Client-Side Support Model (CSSM)

Through extensive experience in implementation of enterprise solutions, the prospective contractor

has gained insight into best practices for support models that provide efficient and effective

5

points



support. The Client-Side Support Model (CSSM) is critical for enterprise solutions for the following

reasons:

• Visibility: The CSSM gives administrators and key stakeholders at the enterprise level

much needed visibility into what is happening with the solution and reported cases. The

model allows a high-level view of how the solution and user community are performing.

• Subject Matter Expertise: The CSSM will promote effectiveness by developing subject

matter experts (SMEs) and power users at various levels of the ARS support matrix.

• Leveraging Existing and Natural Relationships: The CSSM works best leveraging an

existing and knowledgeable natural relationship.

• Reinforcing Data Confidentiality: In an era where information and data security are

paramount, the CSSM works under HIPAA compliance best practices. Sharing of

information about an individual consumer is done within the scope of who needs to know

and is authorized to know.

• Scalability: The CSSM provides a support structure that enables efficient scalability and

prevents the need for added administration/overhead. Because the expertise will be

cultivated within ARS’ user network, the need to have additional personnel specifically

dedicated to support is reduced.

Building on ARS’ contribution to the system requirements, setup, testing, and training over the

course of the implementation project, the ARS help desk will be well-positioned to manage and

promote the health and quality of the implementation by providing Tier 1 support to ARS staff and

providers through data entry quality initiatives and ongoing user training and support.

The CSSM uses a layered structure of support within ARS to maximize the efficiency and

effectiveness of the support provided to the ARS help desk, power users, and end users. It relies

upon supporting a network of users providing initial triage and resolution on training and user

issues before escalation to the ARS help desk or to the prospective contractor’s vocational

rehabilitation solution Client Support. The CSSM has proven to be an effective, flexible, and most

importantly, scalable approach to providing support.

CSSM Scalability

The CSSM model scales easily based on the size and unique needs of ARS’ client base. In

general, CSSM consists of two phases, Initial Support and Escalated Support.

Initial Support

The prospective contractor recommends designation of a team of primary points of contact

(POCs). These are power users and subject matter experts within the various offices that can

provide immediate assistance to ARS staff and providers. This type of support should focus on

how-to types of questions and initial triage of issues that are reported, to ensure they are not

training related, or easily resolved by a subject matter expert.

Escalated Support



The next level of support would be provided by the ARS help desk, responsible for providing an

initial level support for staff and power users alike. This type of support would focus on detailed

evaluation of reported issues, troubleshooting, and gathering of documentation prior to escalation

to the prospective contractor’s vocational rehabilitation solution Help Desk.

Prospective Contractor’s VR Solution Technical Support

Once the ARS help desk has completed troubleshooting of reported issues and has gathered the

appropriate documentation, the issue may be escalated to the prospective contractor’s vocational

rehabilitation solution Technical Support. The prospective contractor’s vocational rehabilitation

solution help desk will support the ARS help desk as follows:

Once an issue has been escalated to the prospective contractor Technical Support Team from the

ARS help desk, the issue will be routed to the team member best equipped to help resolve the

issue. This single Technical Support point of contact will be responsible for driving a solution from

the time an issue is transferred from the ARS help desk, through to final resolution, providing

regular updates along the way. This contact has the capabilities expected of a Level 2 Technical

Support representative.

A member of the prospective contractor Technical Support Team will be designated as a main

point of contact for ARS. This contact will be an effective part of the ARS implementation team and

will become intimately familiar with ARS’ business processes. It will be that contact's responsibility

to ensure that all issues are being dealt with efficiently and expeditiously and will act as the first

point of escalation for any issues that need more expert attention.

Accessing Prospective Contractor Technical Support

The prospective contractor’s Technical Support team is purposed to ensure successful use of the

prospective contractor’s vocational rehabilitation solution, with dedication to providing outstanding

solution support to ARS. The prospective contractor's support team provides telephone, email, and

internet-based support. All cases escalated from the client-side support organization are logged as

cases in prospective contractor's Support Center Client Relationship Management (CRM) system

and assigned unique identification numbers for tracking.

The prospective contractor Technical Support team includes experienced Technical Support

Representatives with extensive expertise with the prospective contractor’s vocational rehabilitation

solution and rehabilitative services and supports business processes. ARS’ assigned technical

support resource will focus on responding to issues escalated to them from the ARS help desk

quickly and accurately with the goal of consistently exceeding expectations.

Prospective contractor Technical Support Hours of Operation

The prospective contractor’s vocational rehabilitation solution help desk is open Monday - Friday,

8 AM - 9PM ET (excluding company holidays).

After Hours Support

The prospective contractor Client Support Portal, email support, and phone-based case reporting

will be all available for the ARS help desk to log cases after hours. The portal is available 24/7 and



can be accessed to report or view support cases. Cases can also be reported via email and by

phone. For non-urgent/non-critical issues, the prospective contractor’s vocational rehabilitation

solution Client Support will follow up during normal business hours.

For urgent or critical issues, 24-hour access to a prospective contractor help desk representative is

available via an afterhours call center.

The prospective contractor has 24/7 monitoring of the entire hosting infrastructure and responds to

critical alerts after hours. This allows the prospective contractor to become aware of and begin to

isolate, troubleshoot, and resolve critical hosting issues before a client can report them.

Contact and Case Creation Methods

The prospective contractor’s vocational rehabilitation solution help desk tracks issues via a

Salesforce-based CRM. All assistance provided is documented in the case that is tracked through

to completion. The prospective contractor offers three options to create support cases.

Prospective contractor Client Support Portal

The prospective contractor Client Portal is an automated solution for the ARS help desk to

manage support cases they have opened with the prospective contractor’s vocational

rehabilitation solution Technical Support. The prospective contractor’s vocational rehabilitation

solution Technical Support uses client information provided through the portal to understand and

effectively respond to client needs, streamline and simplify support efforts, improve client

satisfaction, and provide the ability to manage support cases in a timely and effective manner.

Through the portal, the ARS help desk will have around-the-clock access to the real-time status of

submitted cases.

Email

Sending an email to the prospective contractor’s vocational rehabilitation solution help desk will

automatically generate a support case in the CRM system. Users may email the prospective

contractor at any time, and the Technical Support team will communicate via the case that is

created when the email is received. Users will receive a response and may reply via the email

thread throughout the lifetime of the case. All email activity will be stored in the case record.

Phone

The prospective contractor provides toll-free telephone-based support, recognizing that not all

issues are easily communicated by online case entry alone. Phone support is suggested for

situations where clients have difficulty articulating a need via the Client Portal, or if clients need to

speak directly to their assigned support representative.

Remote Session Sharing Tools

The prospective contractor Technical Support provides a collaborative, web-based access tool to

allow sharing of desktops between technical support representatives and end users during phone

conversations. These sessions would be facilitated by the ARS help desk. This ability to

demonstrate and view issues as they occur enables the prospective contractor’s Technical

Support to provide an interactive support experience. In addition to walking through illustrative

examples and results of their analyses, the prospective contractor’s Technical Support can use the



tool to shadow client user sessions to further understand the question or problem under

consideration. This tool enables the prospective contractor Technical Support team to:

• Accelerate diagnosis and problem-solving

• Troubleshoot issues on end user hardware and solutions when needed

• Provide real-time analysis while a problem is occurring

• Demonstrate solution features when appropriate

Summary

The prospective contractor’s vocational rehabilitation solution support approach has proven to be

a well-tested, flexible, and scalable method for providing effective and efficient support. By utilizing

existing expertise within ARS, users will be empowered to solve many of their own issues and to

answer many of their own questions. The existence of a help desk infrastructure within ARS will

make establishment of the Client-Side Service Model (CSSM) much more efficient. The

prospective contractor's commitment to close collaboration with the ARS help desk in both

designing and implementing complementary procedures and establishment of effective working

relationships will guarantee the best possible outcome as ARS works to service its client

community.

E.17 TRAINING 1. Provide a proposed Training Plan that meets or exceed requirements set forth in Section

2.18 of the RFP. The Training Plan should demonstrate that the Prospective Contractor has a thorough understanding of all activities required to effectively train staff on how to use the proposed system. Include sample training materials that have been used in past implementations of similar size and scope to the one described in the RFP.

Effective end user training is a key success factor for user adoption, complete and accurate data

entry early in the business transition, and overall project success for new system implementation

projects. The prospective contractor provides a comprehensive training program for end users

informed by organizational readiness assessments, built upon validated solution workflows and

functionality, incorporating the train-the-trainer model, and integrating training delivery with the

progressive rollout across three deployment waves.

Training Planning

The prospective contractor will work with ARS to conduct a Training Needs Assessment that builds

upon the Organizational Readiness Assessment process. The Training Needs Assessment will

identify user roles, define key training needs by role, estimate volume of users to be trained by role

and agency, gauge the user community's computer literacy and proficiency with web-based

applications, and consider anticipated business transition learning objectives, challenges, and

risks. The Training Needs Assessment will inform the prospective contractor's Training Strategy.

In the Training Strategy, the prospective contractor proposes a specific approach to training

delivery that addresses the identified needs and that utilizes a variety of training delivery methods,

5 points



such as classroom training, live webinar training, and on-demand access to training videos,

webinar recordings, and a practice application environment.

The prospective contractor's project manager and implementation consultants will prepare a

detailed Training Plan that elaborates on the accepted Training Strategy and addresses:

• Schedule

o An end user training schedule of facilitated classroom and webinar training

sessions across deployment waves and agencies

o A train-the-trainer approach and schedule that prepares ARS and partner trainers

• Curriculum

o A proposed course catalog of training topics and sessions

o An approach for training beyond go-live for new user onboarding, refresher

training, and training for existing users on system changes and additions

o An approach to distributing training materials and updating training materials over

time

o Approach for a centralized repository of online training content, such as a learning

management system like Blackboard or Moodle

• Logistics

o A delineation of roles and responsibilities for executing the Training Plan

o An approach to training facility and travel logistics

o Recommendations for tracking user registration, attendance, participation, and

feedback

• Evaluation

o Training success criteria

o An approach for collecting evaluation data

o An approach to analyzing evaluation data to measure training quality and

effectiveness and identify opportunities for improvement

The prospective contractor recommends that ARS’ training team include both professional

trainers, as well as subject matter experts (SMEs) from the business and the project team who

have participated in Solution Mapping. SME knowledge of ARS business processes and the

workflows prior to use of the new system provides insight into the user perspective and raises their

awareness of and familiarity with the prospective contractor solution configuration and functionality

for the to-be workflows. SME participation in end user training planning, training material design

and review, and training delivery enhances the training program's effectiveness in addressing user

needs and concerns.

Training Curriculum



The prospective contractor's user-centered approach to training curriculum and training material

development is based on deep experience in successfully transitioning users to the prospective

contractor solution. Training content must be relevant to the user's job responsibilities, accessible,

and easy-to-understand. In the development and delivery of training curriculum, the prospective

contractor seeks to answer the key questions users bring to new system training, including:

• What is required: What is the simplest path to getting my work done?

• What has changed: How does the new system and workflow compare to what I have

been doing before?

• What is new: What will I need to start doing that I have not been doing before?

• What is better: How will the new system benefit me, my organization, and my clients?

The prospective contractor will deliver training course agendas, training guides, and quick

reference training materials. The prospective contractor's introductory training guide will cover

system login access, layout, navigation, and standard functionality that is specific to ARS’

configuration but generic across user roles. Beyond the introductory content, the prospective

contractor's training guides will be built around the body of business process workflows produced

through Solution Mapping and validated through UAT. Training guides will be tailored to specific

user role audiences, focused on priority workflows and day-to-day user tasks, and augmented with

content on alternate workflows and exception scenarios. Interactive workflows between different

user roles will be distilled into role-specific content. Training guides will use plain language and

provide definitions for any jargon or special terms.

The prospective contractor will design and deliver training materials that include:

• Business process background for context

• Targeted learning objectives

• Step-by-step user workflows

• Instructions at the level of pages, fields, and clicks

• Application screenshots

• Visual diagrams

• Callouts for key points and tips

• Practice exercises

• Self-directed quizzes

ARS will be responsible for providing any relevant, additional training material content to address

topics, including policies and procedures, processes outside of the system, and messaging to

promote user adoption and champion the system transition. The prospective contractor and ARS

will collaborate to create any online videos and content included in the Training Plan.

Training Delivery



Consistent with prospective contractor's standard approach, the prospective contractor will train

ARS' trainers to facilitate end user training. Train-the-trainer training curriculum will include content

on the prospective contractor’s vocational rehabilitation solution and workflows, as well as general

training, skill-building content, best-practice strategies for working with adult learners, tips on

facilitating webinar training, and practice facilitation activities.

The prospective contractor will complete end user training along with ARS's trainers. Training is

expected to be delivered via webinars with the prospective contractor’s implementation

consultants.

End user training delivery will be scheduled in close coordination with deployment so that users

can "use it" before they "lose it." Users will be given access to a non-production environment for

practice and review after training and before go-live to maintain and reinforce their recent learning.

ARS will work in conjunction with the prospective contractor to schedule the System Administrator

and train-the-trainer training dates - reserving classrooms, providing trainers and in-class liaison

staff, scheduling attendees, printing, and providing class materials. Scheduling will allow some

flexibility for workers to attend instruction in consideration of their work schedule.

The prospective contractor's uses a "see/do" approach to end user training facilitation where users

first watch the presenter demonstrate a workflow segment and then repeat those steps to practice

the workflow. Users will need access to a workstation that meets the hardware, software, and

configuration requirements for the prospective contractor’s vocational rehabilitation solution and a

high-speed internet connection. Users will be logged into a training environment seeded with

representative test data, allowing them to run through a scenario at the initiation point of the

workflow for that training. Users can then carry their test case data through the remainder of the

workflow process segments in that training course. In the training classroom setting, cofacilitators

provide individualized support, as needed, to keep the class moving forward on schedule.

E.18 STAFFING & KEY PERSONNEL 1. Provide a proposed Staffing Plan. Include key staff members required by Section 2.19 of

the RFP and any additional key staff being proposed by the Contractor. Provide resumes for all key staff members. Proposed plan must at minimum meet all requirements set forth in Section 2.19 of the RFP.

The prospective contractor team will include a core team of experienced professionals to work with

the ARS Project Team. To move ARS toward its transformation goals with great software delivered

on time and within budget, the prospective contractor team is fully prepared to staff, manage,

control, and execute the project in accordance with the proven implementation methodology. Our

staffing model focuses on bringing resources to bear only when required, managing time "on the

ground" at the client site, which reduces costs and improves efficiency. The management and

leadership structure are lighter than custom Design-Develop-Install teams, relying on proven tools

and processes to quickly gather configuration requirements and configure, validate, and deploy

the solution.

5 points



State members to the project team would consist of similar roles to those staffed by the

prospective contractor. For a project of this size and scope, the prospective contractor would

anticipate that ARS would provide a Project Manager, subject matter experts, and technical

personnel who could be available at least part time during the project. The precise project staffing

needs will be defined during development of the preliminary project plan.

The Project Manager has ultimate responsibility for completion of the project and is the key point

of contact between the ARS project team and the prospective contractor team. Osa Imohe,

prospective contractor's assigned Project Manager for this engagement, has been with the

prospective contractor for 13 years, implementing the prospective contractor solutions as an

Implementation Consultant and PMP certified Project Manager. Leveraging this deep experience

and strong leadership, the prospective contractor's Project Manager will help ARS navigate the

project opportunities and challenges to achieve successful outcomes.

The proposed structure includes an escalation path for executive oversight of the team, allowing

critical issues to be raised to the executive level for immediate attention. The model also includes

a dedicated Account Manager who, while not a formal member of the project team, will be an

advocate for ARS, particularly during deployment and post-implementation support, to monitor



support issues and ensure good communication between the State and the prospective contractor

project team.

Prospective Contractor's Team

The prospective contractor's key project team members will be skilled personnel bringing a range

of talents to support staffing continuity throughout the project. The key members are the Project

Manager, the Lead Implementation Consultant, and the Lead Technical Consultant who are

augmented by additional Implementation Consultants and Technical Consultants. All prospective

contractor resources are experienced in their assigned project roles, all have served on multiple

implementation teams, and have an average tenure of 6.5 year implementing the prospective

contractor’s Human & Social Services (HSS) solutions. The prospective contractor's proposed

team also brings extensive relevant experience and knowledge from other assignments involving

the HSS network that can be leveraged to optimize the prospective contractor solution and to help

achieve the initiative's goals and objectives. Resumes detailing the knowledge and experience of

the prospective contractor's Key Resources are included with this response in Attachment 6.

The prospective contractor's Project Manager will lead the project with the assistance of an ARS

Project Manager, involving project resources when appropriate during each phase of the project.

In addition, the prospective contractor Project Manager performs typical project control and

execution oversight tasks, including issue management, communications management, status

reporting, and project planning and scheduling. The Project Manager also provides special

consulting to the ARS Project Team to help ensure successful business integration and an

appropriate functional design for the system. Finally, the prospective contractor’s Project Manager

is responsible for development of the project charter and project schedule as well as providing

updates to the ARS project team.

As a subcontractor to prospective contractor, a consulting firm with a national presence in

vocational rehabilitation will provide consultation and subject matter expertise to the Project

Steering Committee and will support the implementation through configuration, testing, training

and documentation. This consultation incorporates a “field integration” approach to prospective

contractor’s implementation methodology in order to align the configuration of the software with

day-to-day ARS field operations. This will help ensure that end-users quickly adopt the new

solution.

The prospective contractor's Lead Implementation Consultant is responsible for guiding the

analysis and design work through the prospective contractor's Solution Mapping process, mapping

the requirements to solution functionality and configuration, and designing the to-be business

process workflows. The Implementation Consultant is responsible for process analysis,

configuration, validation, training, and deployment of the proposed solution. The Lead

Implementation Consultant will contribute advanced expertise and assistance to address any

issues that may arise during the go-live transition and subsequent support period.

The Lead Technical Consultant is accountable for designing and guiding the technical service

deliverables on the project and leading the technical team. The technical team will perform data

conversion and deliver system integrations and reports.



The Account Manager is a member of the services organization and assists with the transition

from go-live to ongoing (regular) support and maintenance operations. The Account Manager will

coordinate hand-offs between vendor groups to ensure a smooth transition from the project's

implementation team to the Client Care Analysts. In addition to the prospective contractor Support

team, an Account Manager will be assigned to ARS to assist with the overall client relationship,

serving as the voice of the client to the prospective contractor's line of business teams. The

prospective contractor Client Care Analysts (CCAs), prospective contractor Support Management,

and/or the Account Manager will be escalation points of contacts for escalated issues, questions,

or suggestions related to support for the prospective contractor solution functionality that has been

deployed to production.

Other Roles

Project Director (Executive escalation path; not a project resource)

The prospective contractor’s Project Director will participate in checkpoint meetings, monitor the

quality of the project, and help ensure that prospective contractor resources are made available to

the project, as needed, on the required timelines. Having extensive experience, the Project

Director also will provide mentoring and specialized assistance to help the Project Manager and

the project team in solving complex problems and achieving all in-scope objectives.

ARS Resources

The prospective contractor recommends ARS assign project roles and resource assignments as

outlined below.

Executive Sponsor

The Executive Sponsor is the key link between the project team and the ARS’ executive

management. An effective sponsor "owns" the project and has the ultimate responsibility for

seeing that the intended benefits are realized to create the value forecast in the business case.

The role of the Executive Sponsor includes the following:

• Create alignment by articulating a vision for the project that is aligned with business and

cultural goals

• Communicate on behalf of the project, particularly with other stakeholder groups in

senior management

• Gain commitment by advocating for the project and communicating his/her personal

commitment to the project's success

• Arrange resources, ensuring that the project's objectives are fully realized by authorizing

the resources necessary to initiate and sustain the change within the organization

• Facilitate problem-solving to ensure that escalated issues are solved effectively at the

organizational level. This includes decisions on changes, risks, conflicting objectives,

and any other issue that is outside of the designated authority of the Project Manager,

project team, or executive steering committee

• Support the project manager by mentoring, coaching, and providing leadership in

business and operational matters



• Build durability, ensuring that people and processes are in place to maintain and sustain

the Project's outputs once the project is completed

Time Commitment

• The Executive Sponsor will participate in the project kickoff meeting (4 to 6 hours) and is

welcome to attend Executive Steering Committee meetings (1 to 2 hours per month).

Involvement in issue escalation and change requests will vary depending on criticality

and complexity of the matter under consideration.

Project Director

As a member of the Executive Steering Committee, the Project Director will monitor the status of

the Project and management of Project Risks.

The role of the Project Director includes the following:

• Oversee Project Manager work

• Own escalated issues

In projects where the Executive Sponsor opts for a greater degree of direct involvement, the same

individual may serve as both Executive Sponsor and Project Director.

Time Commitment

• The Project Director will participate in the project kickoff, as well as executive steering

committee meetings (1 to 2 hours per month). Involvement in issue escalation and

change requests will vary depending on criticality and complexity of the matter under

consideration.

Project Manager

The role of the Project Manager includes the following:

• Collaborate closely to ensure the project is completed on time, within budget, within

scope, and with the highest quality of satisfaction

• Ensure appropriate resources are assigned and available per the agreed-upon work plan

• Coordinate communication with internal and external stakeholders as defined in the

communications plan

• Assist in administrative, logistical, and technical arrangements for on-site meetings,

remote meetings, and working sessions, as needed

• Collaborate on project documentation requirements and reviews

• Manage deliverable acceptance processes in a timely manner

• Provide feedback on project quality and satisfaction in an ongoing manner

• Responsible for all tasks assigned to ARS per the agreed-upon work plan

• Communicate and manage day-to-day activities to ARS project staff



• Participate in weekly meetings

• Receive weekly status reports and provide timely feedback

Time Commitment

• The project requires a full-time Project Manager. The Project Manager can expect to be

in daily communication by phone or email and will also communicate with stakeholders

daily. The Project Manager will participate in the project kickoff, executive steering

committee meetings (1 to 2 hours per month, including agenda prep), project team

meetings (2 to 4 hours per month, including agenda prep and action item follow-up), and

other ad-hoc meetings as necessary.

• During the design phase of the project, the Project Manager should plan to attend or

designate a substitute for all sessions, technical requirements definition meetings, and

other design meetings. In addition, the Project Manager should attend or designate a

substitute for all content validation sessions, user acceptance testing sessions, and

training sessions.

Executive Steering Committee

The Role of the Executive Steering Committee includes the following:

• Responsible for overall strategic direction of the project

• Monitor project risks and issues

• Remove barriers, negotiate compromises, and resolve internal and external issues to

reduce project risk levels

With support and input from the Executive Sponsor, the executive steering committee is

responsible for the overall strategic direction of the project. Monthly executive steering committee

meetings will focus primarily on monitoring project risks to anticipate and minimize potential

adverse impacts to project success criteria.

Effective and timely intervention by individual members of the executive steering committee is

essential to successful risk management. When appropriate due to the critical nature of a risk, a

member of the executive steering committee may be assigned as risk owner to direct the risk

response strategy for that risk.

Time Commitment

Members of the executive steering committee will participate in the project kickoff and executive

steering committee meetings (1 to 2 hours per month). Involvement in risk management, issue

escalation, and change requests will vary depending on criticality and complexity of the matter

under consideration.

Project Team

The prospective contractor recommends a dedicated project team consisting of 5 - 8 key

personnel from ARS. The project team is a working team, not an advisory body.



The role of the project team includes the following:

• Responsible to make day-to-day decisions regarding planning, monitoring, and

controlling the project work

• Accountable, active participation, and fostering a constructive approach to conflict

resolution

The project team should include representation from all essential business functions and

stakeholders.

Time Commitment

Project team members will participate in the project kickoff. Project team members will participate

in status meetings and work sessions throughout the life of the project, up to 8 hours per day

during onsite meetings, up to 2 hours per week in Solution Mapping cycles, and up to 5 hours per

week during testing, training, and deployment. Project team members will also participate in ad-

hoc work groups (estimated up to 5 hours per week during specified activities).

When project team members are selected for their deep and thorough understanding of the

agency's business processes, they are often asked to participate as workgroup leaders, Subject

Matter Experts, testers, and trainers for the project. The responsibilities for these additional roles

must be taken into consideration in calculating each individual's overall time commitment to the

project.

Business Process Subject Matter Experts

The role of the Subject Matter Experts includes the following:

• Provide information to be used in system configuration

• Provide information and insight into business process workflows and data flows during

Solution Mapping Sessions

• Participate in the review and approval of business analysis (BA) documents

• Participate in form analysis and report specifications

• Participate in content validation, workflow validation, and UAT

• Test configuration and participate in UAT and system sign-off

Time Commitment Design sessions are completed early in each stage during the Solution Mapping phase.

prospective contractor suggests four to six primary SMEs for each subject area participate in

design sessions and strongly suggests that these primary subject matter experts attend every day

of design for their subject area. This provides continuity across all stages of the subject area

workflow and facilitates decision-making. Specialized SMEs may be added for identified topics

within each subject area (e.g., Intake Specialists to attend the Intake portion of the Case

Management sessions).

After design sessions are completed, prospective contractor Implementation Consultants will

configure the system and schedule demonstrations and validation sessions to review each screen



design, workflow, and output document with the appropriate subject matter experts and business

function owners. The level of effort for these activities will vary depending on the number and

complexity of configuration elements that need to be reviewed.

SMEs are ideal candidates to serve as testers and trainers in their areas of expertise. The

responsibilities for these additional roles must be taken into consideration in calculating each

individual's overall time commitment to the project.

Information Technologist

The Role of the Information Technologist includes the following:

• Responsible for end user/desktop system requirements and support

• Participate in technical discussion and training throughout the implementation

• Interface specifications and management to ensure effective and efficient system

integration is accomplished

• Data conversion and validation

• Report writing

Time Commitment

Information Technology members will participate in the Project Kickoff, followed by a 1-day hands-

on introductory prospective contractor Training. Information Technology members will participate

in status meetings and work sessions throughout the life of the project (up to 2 hours per week in

discovery and configuration phases, up to 5 hours per week during testing, training, and

deployment) and will participate in ad hoc work groups (estimated up to 5 hours per week during

specified activities).

Testers

The ARS team of Business Functional SMEs will serve as the testers. The prospective contractor

facilitates structured UAT of core system workflows after configuration and content validation have

been completed. Testers will participate in tester training and time commitments for these tasks

vary depending on the scope and complexity. Re-testing may be necessary during the testing

remediation process.

The role of the testers includes the following:

• Complete system and workflow training delivered by the prospective contractor

• Test core system workflows after configuration & content validation have been

completed

• Testing of conversion and interfaces

• Promote mutual support among colleagues and emphasizes knowledge-sharing and

success of the team

• Support end user training and assist trainers, as needed

• Maintain a positive attitude toward change



• Staff members with additional system and procedure training who provide the first line of

user assistance during and after go-live.

Time Commitment

Varies in the level of effort and duration, depending on responsibilities.

Trainers

The prospective contractor will provide a combination of on-site and web-based training for this

project. As part of the training plan, the prospective contractor will offer train-the-trainer session

such that ARS’ power users and trainers will be able to provide ongoing end user training and

over-the-shoulder support.

The role of the trainers includes the following:

• Complete system and workflow training delivered by prospective contractor.

• Responsible to deliver end user training using train-the-trainer approach.

• Responsible for the management and oversight of the training domain, including

database refresh strategies, populating the database with test records, and setting

security roles and groups.

• Maintain training materials after go-live.

Time Commitment

Varies depending on the number of users to be trained for each role.

E.19 IMPLEMENTATION 1. Provide an Implementation Plan. The Implementation Plan should demonstrate that the

Prospective Contractor has a thorough understanding of all activities required to seamlessly implement the proposed system. The proposed Implementation Plan must meet or exceed all requirements set forth in Section 2.20 of the RFP.

The prospective contractor proposes to configure and deploy the prospective contractor’s highly

configurable, commercial-off-the-shelf (COTS) vocational rehabilitation solution to meet the

requirements outlined in Section C.5 of the RFP. The prospective contractor’s vocational

rehabilitation solution includes functionality to support the vocational rehabilitation workflow from

online referral/needs assessment, intake, eligibility determination, program enrollment,

assessment and development of an IPE, planned services, authorizations, documentation of

service delivery, provider payment, closure and post-exit assessment. The solution also includes

robust provider certification, quality review, corrective action planning, grievance/appeals,

sanctions, and the ability for providers to access and interact with the system as is deemed

appropriate by ARS. The prospective contractor’s vocational rehabilitation solution includes the

ADA-compliant prospective contractor’s consumer portal to allow service recipients to better

participate in services. Finally, the solution includes a library of standard reports developed in

collaboration with the 25 other agencies using the application, and the prospective contractor’s

advanced reporting solution self-service report module to allow ARS to meet its unique reporting

needs.

5

points



The prospective contractor has a twenty-year history of success implementing case and financial

management solutions in program areas adjacent to vocational rehabilitation (e.g., Medicaid

Waiver management for Aging & ID/DD, Incident Management, Adult Protective Services, etc.).

Approached by several states to extend prospective contractor’s solution to meet the unique

needs of vocational rehabilitation, the prospective contractor designed its "best-of-breed" solution

in collaboration with a consulting group comprised of a former Vocational Rehabilitation state

director and a former federal Rehabilitation Services Administration Commissioner. Modeling the

approach to RSA reporting after prospective contractor’s successful approach to NAPIS, NORS,

NAMRS and SHIP reporting, the prospective contractor’s vocational rehabilitation solution is

configured to capture RSA-required data in an intuitive business workflow so that RSA reporting is

a "push button" exercise. This "standard" vocational rehabilitation configuration was validated and

refined in collaboration with a state rehabilitation services agency that will be the first state agency

to go live with the prospective contractor’s vocational rehabilitation solution.

Using the solution's powerful system administration tools, the prospective contractor will build

upon this "standard" configuration to tailor the prospective contractor’s vocational rehabilitation

solution to ARS’ unique business requirements. This tested, low-risk implementation approach will

ensure that ARS’ unique business needs are accommodated quickly and efficiently on a proven

COTS case management platform whose configuration can thereafter be modified and/or

augmented by ARS System Administrators as business processes evolve over time. Upon

implementation, the prospective contractor’s vocational rehabilitation solution will provide ARS with

an extensible platform that can be used across many other program areas.

The prospective contractor's proposal includes optional ongoing Enhanced Support services each

year for the duration of the contract to ensure that ARS is able to take full advantage of these

releases to optimize current functions and to add new functionality, where appropriate, as it

becomes available. Enhanced Support services will commence upon completion of

implementation with the assignment of a Project Manager who will manage the ongoing enhanced

support activities. Enhanced Support services hours can be used flexibly to meet the ever-

changing needs of ARS and its stakeholders for things such as analysis, configuration, testing,

training, data services, report development, technical services, and more.

The prospective contractor will manage this project using its best-practice approach to system

delivery. The prospective contractor's Agile approach to implementing the prospective contractor’s

vocational rehabilitation solution is designed to increase the probability of successfully completing

implementations within scope, time, and cost constraints. The approach relies on an in depth

understanding of the general scope of work and risk management to ensure the deliverables are

appropriately completed. Throughout the entire implementation, prospective contractor will review

the high-level scope to ensure performance expectations are continually met.



Approach

The prospective contractor offers mature solutions that are continually improved and

enhanced by Solution Management and Engineering teams using standard Software

Development Life Cycle and Agile processes to ensure solutions keep pace with changing

industry needs and standards. This includes dedicated teams working on system design,

development, testing, and versioning. As such, the prospective contractor's

implementation process focuses less on software development and more on managing

the project to ensure ARS is successful in achieving the high-level objectives that have

been set. The prospective contractor's implementation approach includes the following:

• Comprehensive, deliverable-oriented project management

• Requirements gathering, documentation, and validation

• System setup and configuration

• Data Conversion, as necessary, to import operational data from external systems



• Comprehensive change management and communications strategy

• Ensure stakeholder understanding and commitment

• Execution of approved strategy

• Comprehensive training, including train-the-trainer and on-demand training

components, as well as assistance with development of training resources

• Current and complete operations, technical, and user documentation

• Readiness review, planning, and execution

• A post-implementation review and sign-off period

• Ongoing post-implementation support relative to maintenance and enhancement

of the system

The proposed solution is centered on the use of the prospective contractor’s vocational

rehabilitation solution deployed in a SaaS environment. The solution modules are built

within a flexible product that is adapted through configuration, using built-in configuration

tools to meet a variety of programs and workflows without the need to write custom code.

The prospective contractor’s vocational rehabilitation solution has evolved over years of

industry experience in delivering solutions to meet the needs of HHS organizations.

Modularity within the solution suite allows for extensive variation in solution design to

support each organization's unique needs for data integrity, ease of use, and business

workflows.

Configurations may be modified by authorized ARS users, with or without prospective

contractor's assistance, to address changing requirements and business processes after

the initial deployment is complete.

The main advantage of this approach is that as the solution is continually improved, based

on emerging trends in long-term services and supports and the input of hundreds of client

organizations, ARS will have access to those improvements at no additional cost. Unlike

many COTS product implementation models, and in contrast to generic CRM solutions

adapted to an individual client's workflow, prospective contractor's solution deployed for

ARS will continue to improve by anticipating care trends and changes in regulations and

funding specific to Vocational Rehabilitation.

The modules in the solution are versioned as part of their development, but ARS’ specific

implementation is not dependent on version, as configuration is completed through built-in

administrative configuration tools - not changes to software code. Any updates to the

solution (e.g., new features and/or defect corrections) are coordinated and collaborated

through a change control process that prospective contractor has established with the

team of ARS System Administrators that defines how solution upgrades are deployed in

the non-production and production environments.



The prospective contractor's approach to configuration requires close collaboration within

the combined project team, which includes selected members from the prospective

contractor, as well as ARS. Experience has proven this approach to be an effective way to

minimize project risks and ensure a positive outcome. This approach is also an effective

means of knowledge sharing and creating "shoulder-to-shoulder" experiences that enable

selected ARS personnel to develop a deep understanding of the solution's configuration

and options. Mapping sessions during the Design phase lead to configuration, which

allows ARS to become intimately familiar with the prospective contractor’s vocational

rehabilitation solution. This positions ARS system administrators to remain self-sufficient

long after the project has been launched.

Configuration and validation are iterative steps at the heart of the prospective contractor's

Agile methodology, allowing the teams to adjust configuration and workflow in

manageable pieces. During the Configuration phase, the configuration of the solution is

tracked in a Configuration Workbook. These templated documents are used by the

prospective contractor in all product implementations, and validation occurs against those

project document artifacts. The prospective contractor also conducts the initial data

conversion exercise as defined on the Data Conversion Plan. As the project transitions

from the Configuration phase to the Validation phase, changes are tracked and approved

by the ARS Project Team.

While the specific goals, tasks, and deadlines around each client's implementation are

unique, the standard structure of the prospective contractor Implementation Methodology

aligns expectations and helps drive solutions through a series of five phases developed to

ensure high quality and predictable delivery. Through all phases, the prospective

contractor's goal is to educate and empower clients, producing greater independence and

positioning the client for ongoing success.

The prospective contractor's collaborative implementation approach involves strong client

participation throughout all project phases. Benefits of this approach include:

• Developing ARS project management and training capacity

• Integrating the prospective contractor solution workflow into the ARS business

process workflow

• Hands-on application of system administration skills through ARS participation in

configuration work

• Building a foundation for ARS’ organization post-go-live support through hands-

on validation and end-user training

• Measuring ARS satisfaction against project success criteria shaped by ARS input



As the prospective contractor and ARS progress through the project, the prospective

contractor will request written acceptance of deliverables and milestones by ARS to verify

that the prospective contractor's solutions and services meet expectations and satisfy

requirements.

The prospective contractor has included a draft project schedule outlining the phases and

tasks proposed for this project. If awarded, the prospective contractor anticipates finalizing

this schedule with ARS in the Plan phase of the project.

Plan

Project Management Approach

The prospective contractor's implementation approach combines its project management

methodology with best practices gained through experience delivering statewide solutions

for home-and community-based services and supports. The prospective contractor

understands the many responsibilities and stakeholder relationships that state vocational

rehabilitation services departments must balance in meeting the needs of clients,

managing networks of providers, maintaining compliance with state and federal

requirements, managing state and federal funding, and serving the public. The

prospective contractor is poised to staff, manage, control, and execute this project to

move ARS toward its transformation goals with software delivered on time, with quality,

and within budget.

The prospective contractor emphasizes the following keys to success:

• Strategy: Implementing a comprehensive project management methodology that

is tuned to deliver successful large-scale projects

• Expertise: Engaging skilled project management professionals, subject matter

experts, and implementation specialists

• Leadership: Prioritizing efforts and expediting decisions

• Jobs to be Done: Insightful analysis of business needs to identify effective

solutions

• Best practice solutions: Delivering a proven set of methods, tools, and

procedures, configured to meet the need of each project



• Risk mitigation: Identifying, assessing, and mitigating risks before they can

adversely affect projects

• Partnership: Establishing shared project success criteria and standing with the

client throughout the project

The prospective contractor's project management team is Project Management

Professional (PMP) certified and fluent in the Project Management Institute's (PMI) Project

Management Body of Knowledge (PMBOK®) standards and practices. The prospective

contractor will prepare a comprehensive project management plan to define plans and

approaches to manage all the pertinent project dimensions and disciplines. Operating to

this plan and, seasoned by experience, the prospective contractor will apply a solution-

focused approach to help ARS successfully navigate challenges common to these

projects, such as scope expansion during requirements analysis, change requests from

business stakeholders, resource turnover, policy changes, resistance to organizational

change, friction in business transition, and disruption from external factors.

The prospective contractor project management office promotes the core skills of

leadership, communication, and task-oriented planning as the engine that drives effective

project management. Regardless of the size or complexity of a project, project progress is

dependent on identifying the right tasks, understanding task interdependencies, proposing

a feasible schedule, assigning responsible resources, and holding resources accountable

through to task completion.

The prospective contractor emphasizes a thorough, accurate, and current work plan as

the key tool for forecasting project activity and tracking progress. The prospective

contractor's work plan schedule integrates implementation activities in phases with

required deliverables, accounting for interdependencies, estimated duration, and

resourcing.

The prospective contractor embraces a business partnership approach with its clients.

The prospective contractor measures project success in terms of client success and

satisfaction. At project initiation, the project team will articulate and affirm a project vision

oriented around ARS’ strategic business goals and objectives, which will guide

implementation decisions and drive project evaluation success criteria.

The prospective contractor implements solutions using a hybrid project management

methodology that follows a proven implementation framework of six stages from initiation

to deployment while incorporating Agile strategies and processes that integrate design,

configuration, and validation. The project team works through the requirements scope

incrementally, targeting timely turnaround of workflow and configuration deliverables for

ARS review and validation. Through this approach, ARS will receive the emerging solution



in meaningful and digestible sections of workflow and will be able to close the loop on

requirements validation closely after requirements definition.

Communications Plan

Developed during the planning phase of implementation, the Communications Plan

identifies the project stakeholders, communication needs, goals and objectives,

communication tools and mechanisms, responsible resources, audiences, and flow of

information. The project team and stakeholders are kept up to date on project progress,

milestone completion, upcoming tasks, risks, and success criteria through regular project

status meetings, project status reports, and project plan reviews. Based on this

information, the team is empowered to easily monitor and adapt strategies, as needed, to

continue to drive toward successful project completion.

Key components of the Communications Plan:

• Project Kickoff Meeting

o Project launch

o Introduction of the project team to key stakeholders

o Enables the project teams to "match faces with names" and learn about the

activities that will accomplished during the project

o High-level discussion about the project plan and implementation approach

• Project Status Meetings

o Weekly project management team discussion of project status

o Project managers and participating decision makers review task progress

and identify potential variances to scope or schedule

o If necessary, the project team identifies change request items for escalation

to the steering committee and/or executive leadership

o Project managers address any significant risks, emerging or open issues,

and corresponding resolution plans

• Minutes and Notes

o Minutes of all meetings are recorded to document attendance and any

discussions or decisions

o Distribution determined on a case-by-case basis; however, the team will

promote openness and transparency to enhance general awareness of the

project's progress

• Steering Committee Meetings

o Key component to project governance



o Scheduled monthly, attendees, including Project Sponsors, review project

progress, and address any key issues that are beyond the scope of the

project team, including discussion of program or organizational policy

issues that impact the project

o Led by the prospective contractor’s Project Manager, the team presents a

summary of the preceding month's activities and future planned activities

• Collaboration Sites

o A dedicated project SharePoint site is used as an electronic document

repository for all project deliverables and documentation; includes version

control, tracking of action items, and change requests

o The prospective contractor will also contribute project artifacts and

documentation to ARS’ designated collaboration site

• Email

o Email is the primary channel for communication and scheduling of meetings

Risk Management

The prospective contractor takes a proactive and open approach to dealing with project

risks and issues. The Risk Management Plan will be finalized and submitted to the ARS

Project Team during the planning phase of the implementation. The Risk Management

Plan identifies strategies for identifying, monitoring, and responding to potential project

issues and opportunities.

The prospective contractor’s project manager will create and maintain a Risk Register that

documents, gauges, and tracks risks of variance to the project scope, schedule,

resources, and budget, as well as the potential impact if those risks are realized. The Risk

Register will include the typical range of risks for software system implementation projects

based on prospective contractor's experience along with specific risks unique to the

current project.

Typical risk categories:

• Budget risks: Tracked for material variances where actual progress is measured

against estimates.

• Work progress risks: Tracked when work products are delayed or time

expended exceeds estimates for work completion.

• External risks: Tracked when the provision of hardware, software, or other

technical obstacles provided by 3rd-party vendors hinder project completion.

These risks are largely transparent to clients in a hosted solution such as the one

planned for ARS.



• Internal risks: Tracked when factors such as over-allocation or loss of key

personnel affect the project or the assigned resources.

Identified project risks will be monitored through project meetings and status reports, and

the project team will plan and implement responses as appropriate. Response options

include:

• Avoidance: Eliminate the risk by eliminating the cause

• Acceptance: Take no action, allowing any impact to occur

• Mitigation: Find a way to reduce the possibility or impact of the risk. Mitigation

strategies may include:

o Identify, quantify, and develop a risk response

o Develop workarounds

o Implement contingency plans for risks that were anticipated

Issue Management

The prospective contractor's approach to Issue Management is to work collaboratively

with the ARS project team to identify, communicate, and resolve issues efficiently to

minimize impact to the project value dimensions of cost, scope, schedule, quality, and

stakeholder satisfaction. Issues that arise vary by type and may be managed differently

according to the situation. Whether it is a software, process, resource, change request, or

schedule issue, the key stakeholders for both ARS and the prospective contractor will

address the issue together.

Issue Identification

The identification of project-related issues is key to preventing an impact to project

success. The prospective contractor project team's experience allows for early issue

identification and assessment of issue severity to mitigate issue impact. Issue severity and

priority are important aspects of issue identification and management. Issue severity is a

measure of the business impact and driver for target resolution time frame.

The Issue Log will track identified issues and will be maintained by the prospective

contractor’s Project Manager. The log details the issue, the person reporting the issue, the

issue type (e.g., software, process, resource, change request), resolution plan and status,

and any related information that supports decision making. The Issue Log will be

discussed during weekly project meetings, and the prospective contractor and ARS

project managers will be jointly responsible for monitoring and communicating issue status

and holding issue owners accountable for progress toward resolution. Progress on issue

resolution is tracked, updates communicated to issue reporters, and issue escalation

procedures implemented, if warranted.



Resolution Planning

The project team will assess issue severity and priority and coordinate the resolution plan

and timeline. The team will consider possible resolution strategies, which could include

change requests to project components such as scope, schedule, resources, software

fixes, business process changes, and requirements revisions. Individuals will present

ideas within the group for consideration. The team will agree upon a resolution, timeline,

and owner. Issue resolution plans will be communicated to appropriate stakeholders.

Quality Management

Quality management is focused on process outputs and includes oversight of solution

content (system and deliverables), development, deployment, environment, technology,

and maintainability. The Quality Management Plan will document the approach and plan

for quality management practices and activities.

The prospective contractor's Quality Management methodology is comprised of three

processes:

• Quality Assurance

• Quality Control

• Continuous Process Improvement

Quality Assurance

The prospective contractor's quality assurance (QA) processes incorporate standards

derived from external industry associations and internal best practices. QA processes

include process verification audits, periodic assessment, performance management using

metrics to measure performance, test results, and conformance to requirements.

Quality Control

Quality control is rooted in the concept of project deliverables achieving their intended

purpose. To make appropriate use of time for reviewers, deliverables adhere to baseline

quality standards. This enables the project team to obtain meaningful feedback from draft

deliverables that can be more easily finalized and approved. Several levels of review are

employed and carried out at key times:

• Self-Review: Prospective contractor team members review their own work

relative to objectives and standards set by their manager.

• Peer Review: Prospective contractor team members present their work to other

members of their team to receive constructive feedback.

• Quality Assessment Reviews: Prospective contractor, and if appropriate, ARS,

subject matter experts (SMEs) review deliverables/activity milestones for

accuracy, consistency, and completeness prior to delivery.



• Client Review: Contractual deliverables undergo formal review and approval.

Written deliverables are circulated ahead of a scheduled walkthrough at which

time stakeholder feedback is gathered, reviewed, and tracked. Software

deliverables are demonstrated. Though part of a formal process, this format is

designed to be more interactive and iterative to engage stakeholder feedback as

early in the review process as possible after initial self-, peer, and QA reviews.

Continuous Process Improvement

Continuous process improvement involves continual adjustments to correct defects in

deliverables or processes and tuning of process objectives and measures to increase

quality and productivity. The Project Manager monitors execution of the project with an

eye on quality and makes recommendations for improvements and corrections.

The project team will regularly seek feedback from stakeholders on process improvement

suggestions, particularly at the conclusion of an activity in which the stakeholders

participated. Suggestions for improvements to efficiency and effectiveness will be

reviewed as change requests and implemented as part of the integrated change control

process.

Project execution quality issues identified through QA processes will be reviewed by the

project team and the steering committee and, where appropriate, handled using risk and

issue management processes to ensure that action is taken to revise and improve project

processes and standards. Project QA results will be summarized to document lessons

learned and to update the Quality Management Plan to ensure continuous improvement in

processes.

Change Management

The Change Management Plan will be delivered at project initiation. Significant changes to

project scope, schedule, or costs will be managed through a change control process.

Change requests may be initiated by the prospective contractor team or ARS whenever

there is a perceived need for a change that will affect the contract of work, such as

schedules, functionality, or cost. Change requests will be documented via Change

Request Form (CRF) and added to the Change Control Log. Change requests must be

approved by the steering committee. Where applicable, changes request that impact

contract terms will invoke a contract amendment.

Once the change request has been approved, the prospective contractor and ARS will

amend the contract, if needed, and revise the project plan to incorporate the agreed-upon

changes. Once the contract amendment and revised project plan are approved, the

prospective contractor will begin work to implement the changes. Progress on the change

request will be reported at progress meetings. Change request completion will be formally

documented. The change request log will be reviewed at progress meetings to monitor

changes that have not yet been completed.



The prospective contractor's solution analysis and design approach involves the following

strategies:

• Perform solution analysis and design incrementally by business process scope

area

• Leverage the functionality and configurability of the prospective contractor’s

vocational rehabilitation solution

• Design the prospective contractor’s vocational rehabilitation solution user

workflows based on identified use cases

• Conduct map/gap analysis between functional requirements and the prospective

contractor’s vocational rehabilitation solution in the context of business process

workflows and user activities

• Gather requirements for configuration settings that drive solution appearance,

functionality, and user role security

• Conduct map/gap analysis on reporting requirements using the prospective

contractor’s vocational rehabilitation solution standard reports, identifying

proposed custom reports to be delivered by the prospective contractor and

reports to be created by ARS using the prospective contractor’s advanced

reporting solution

• Gather requirements for technical solution deliverables for system interfaces,

custom reports, and data migration in with the context of workflow and

configuration requirements

• Utilize prototypes and mockups

• Document requirements and design specifications incrementally

• Obtain ARS approval on requirements and design documentation

• Target prompt deliverable turnaround to minimize the duration from finalizing

design to validating deliverables

Solution Mapping

The prospective contractor Solution Mapping process encompasses discovery,

requirements definition, design, configuration, presentation, and validation in an

incremental and agile work process. The prospective contractor Solution Mapping process

involves the following steps:

1. Initial Discovery

2. Requirements Analysis and Documentation



3. Solution Design

4. Design Approval

5. Configuration

6. Prospective contractor Testing

7. Delivery

8. Demonstration

9. Review and Validation

10. Remediation

During project kickoff meetings, the Project Manager and Lead Implementation Consultant

will work with ARS team to review the business and system requirements in the initial

Requirements Traceability Matrix and the Functional Specification mapping of

requirements to solution deliverables. The team will affirm the analysis and design work

plan and set the Solution Mapping agenda and schedule.

The prospective contractor and ARS will then proceed to Solution Mapping. The

prospective contractor's Lead Implementation Consultant and Lead Technical Consultant

will lead Solution Mapping. In Solution Mapping, prospective contractor and ARS

stakeholders will review business requirements and needs for map/gap analysis and

solution configuration design. The team will first address to-be business process

workflows as use cases, identifying preceding activities/triggering events, business

procedures, system tasks, user tasks, responsible actors, process tangents, process

outcomes, and transition points. The team will prioritize "happy path" scenarios first, and

then identify related exceptions, alternate workflows, and unsuccessful scenarios. As the

prospective contractor team clarifies the business process requirements in dialog with

ARS stakeholders, the prospective contractor will provide business process reengineering

consultation and recommendations toward the objectives of standardizing processes,

increasing process efficiency, and aligning workflows with the prospective contractor’s

vocational rehabilitation solution capabilities and best practices. The prospective

contractor also will define workflow automation and business rule requirements in the

context of business process analysis and design.

The prospective contractor will capture solution configuration requirements. The

prospective contractor’s vocational rehabilitation solution configuration points include, but

are not limited to, system presentation such as page, screen, and field attributes, data

sets, user role security profiles, and selection options such as chart of account codes,

programs, services, and numerous dropdown lists.

During Solution Mapping, the Lead Technical Consultant will collaborate with the Lead

Implementation Consultant to address requirements for system integrations, data



conversion, reporting, and business intelligence. Report requirements will include

map/gap analyses to the prospective contractor’s vocational rehabilitation solution

standard reports and design for new custom reports. prospective contractor will layer

technical deliverable requirements and design onto the process and configuration

requirements, defining interface use cases in conjunction with user workflows, analyzing

reporting and data output needs in conjunction with data input and collection

requirements, and mapping data for conversion in alignment with the system configuration

design.

The Solution Mapping process is a highly collaborative process between prospective

contractor and ARS stakeholders. Solution Mapping involves meetings with detailed

agendas for requirements review, analysis, design, documentation, and design approval.

Stakeholder participation should include subject matter experts on the business process

and requirements scope, as well as individuals with decision-making authority to address

decisions such as recommended revisions to business processes and resolution of

conflicts across requirements.

During requirements definition and design, the prospective contractor will educate ARS on

the prospective contractor’s vocational rehabilitation solution toolset to help ARS

understand the proposed solution mapping fit to the requirements and contribute to the

project knowledge transfer objectives.

As requirements are clarified and configuration and design approaches identified, the

prospective contractor will produce requirements and design documentation. Design

documentation will include visual diagrams and mockups. The prospective contractor will

prepare and demonstrate solution prototypes, as needed. Requirements and design

documentation will be stored in the project document repository with versioning for drafts,

revisions, and final approvals.

As design specifications are reviewed and approved by ARS, the prospective contractor

will place these items in the configuration work queue for assignment. Building on the

design inputs from requirements discovery, the prospective contractor will configure the

non-production site. The prospective contractor team will actively manage the scope

backlog to queue configuration tasks and assign tasks. Implementation Consultants and

Technical Consultants will configure system and technical deliverables and perform unit

testing in preparation for demonstration to ARS and validation by ARS in preparation for

User Acceptance Testing.

At the end of each cycle, the prospective contractor will demonstrate and hand off

configuration deliverables to ARS for review and validation based on the requirements and

design documentation. When expedient, prospective contractor will provide detailed

instructions for review and validation and will facilitate the review and validation with ARS.

prospective contractor's delivery strategy aims to close the loop between finalizing



requirements and reviewing and confirming the resulting deliverable as efficiently as

possible. The primary objectives are to deliver while requirements are still fresh in

stakeholders' minds and to reduce risk of requirements drift.

Requirements Management

The prospective contractor will maintain the Requirements Traceability Matrix (RTM) as a

master list of functional requirements defined in the contract and specific business

requirements gathered during discovery. The prospective contractor will update the RTM

to track the solution mapping approach and status through the design, configuration, and

validation stages, as well as any change requests during the implementation cycle. The

RTM will be reviewed during Evaluation Checkpoints as an indicator of project progress

and health.

The prospective contractor’s team will produce a variety of functional and technical design

documentation based on the requirements types. Design documentation will cross-

reference requirement IDs from the RTM, where applicable.

Category Requirements Type Design Documentation

Functional User Workflows Use Cases, Workflow Diagrams

Functional Data Sets Configuration Workbooks (e.g., group setup, lookup

codes, metadata)

Technical Business Rules Business Rules Configuration Workbook

Technical Custom Reports Report Specifications

Technical System Integrations Use Cases, Specifications

Functional User Security

Profiles Role Setup Workbook

Technical Data Conversion Conversion Schema Workbook

Development Enhancements Functional Requirements

Workflow Requirements

The prospective contractor will document to-be business process workflows in the form of

use cases, user workflows, and workflow diagrams. Use cases and user workflows will

serve as the basis for process validation during User Acceptance Testing, as well as

training guide content for user training and deployment support.

Configuration Requirements

The prospective contractor's Configuration Workbook templates document the standard,

default solution configuration settings. The prospective contractor Team will update the

Configuration Workbooks to capture ARS’ specific configuration requirements and

metadata. The Configuration Workbooks include:



• Groups: Presentation settings, including chapter, tab, page, and field labels and

visibility

• Roles: User security permissions and privileges

• Lookup Codes: Drop down list selection options

• Places: Location data containing valid combinations of city, state, zip code,

county, and region to drive dynamic population of address information

• Users and Workers: Lists of the first-person system users and third-person

worker entities for import

• Providers: List of organization entities for import

• Services: Lists of system service codes, services offered by providers, and other

related information to support service-dependent functionality

• Workflow Wizards: Triggers and ticklers for workflow-based prompts and

notifications

• Additional system settings

Based on our analysis of the solicitation and prospective contractor’s experience in the

field, the prospective contractor includes the following configuration assumptions, which

prospective contractor believes will meet the functional requirements of the RFP and are

included in the proposed implementation:

o Proposed Vocational Rehabilitation Solution includes the following programs:

• Vocational Rehabilitation

• Pre-Employment Transition Services

• Independent Living

• Supported Employment

• Services for the Deaf and Hard of Hearing

o Solution includes up to ten (10) custom data collection Forms (e.g., assessments)

referred to as Screen Designs

o Solution includes up to ten (10) Workflow Wizards utilizing Standard Product

Functionality

o Solution includes up to ten (10) Custom Workflow Wizards

o Solution includes up to twenty-five (25) Word Merge Letter utilizing Standard Product

Views

o Solution includes up to ten (10) Custom Plan Validation Rules



Validation

7 Prospective

contractor Testing

Unit testing is in progress

8 Testing Complete Ready for demonstration

9 Demonstration Scheduled for demonstration/orientation

10 Client Validation Client validation is in progress

11 Ready for UAT Item passed client validation

Configure

Application Configuration and Development Strategy

The prospective contractor will utilize sound and secure methodologies for configuration

and development activities successfully used in multiple state-level implementations

including Florida, Georgia, Oklahoma, and Nevada. The prospective contractor will meet

ARS requirements through configuration of the prospective contractor’s vocational

rehabilitation solution COTS solution, rather than through development of a custom

product. The prospective contractor’s vocational rehabilitation solution’s flexible framework

is adapted through configuration to meet a variety of programs and workflows without the

need to write custom code. The modularity of the solution suite allows for extensive

variation in solution design to support each organization's unique needs for data integrity,

ease of use, and business workflows.

ARS will have the ability to modify and augment configuration of the prospective

contractor’s vocational rehabilitation solution using system utilities after the initial

implementation, with or without prospective contractor assistance. Configuration may be

modified by ARS to address changing requirements and business processes long after the

initial deployment is finished.

Enhancements to the prospective contractor’s vocational rehabilitation solution are

managed by prospective contractor’s Solution Management team. Planned features are

scheduled on a product roadmap that documents the sequencing of enhancements and

new features. As necessary, prospective contractor Solution Management will collaborate

with ARS and other clients via discussion, demonstration, wire-frame prototyping, and

formal focus groups to define and document functional requirements, success criteria, and

a testing approach before each enhancement enters the development queue.



Development of the prospective contractor’s vocational rehabilitation solution follows Agile

methodology. Agile development uses small, cross-functional "scrum" teams, which

include solution management, engineering, and quality assurance staff. Work is broken

into short cycles or "sprints". By developing in small, focused bursts, the prospective

contractor delivers new features, enhancements, and defect corrections quickly, allowing

ARS to track progress. Each new item is developed with accompanying automated testing

to ensure high quality.

As new functionality is incorporated into releases of the COTS solution, the prospective

contractor will coordinate with ARS to upgrade their implementation to the current release.

New versions of the prospective contractor’s vocational rehabilitation solution with

continually enhanced functionality will be available to ARS at no additional cost as long as

ARS remains licensed to use the solution - an added benefit of using a COTS solution.

Application Documentation

The prospective contractor will provide comprehensive standard application

documentation in the form of the prospective contractor’s vocational rehabilitation solution

User and System Administration Guides and documentation of the data model including a

data dictionary and entity relationship diagrams (ERDs).

The prospective contractor also will deliver complete configuration documentation for the

ARS system, training guides reflecting ARS-specific business processes, and

specifications for technical services deliverables, including:

• Custom report design specifications

• Web Service Description Language (WSDL) and XML Schema Definition (XSD)

for interfaces, including documentation of when/how these processes will run and

what will happen in the event of error or aborted process

• Companion guides for standard HIPAA electronic data interchange (EDI)

• Data migration templates with source and destination mapping

• Job aids documenting complex tasks or processes

Application Release Support and Maintenance

The prospective contractor's version release program for the prospective contractor

solution provides clients with the opportunity to upgrade to a new release on a quarterly

basis. New releases contain fixes to resolve defects, enhancements to existing features,

and new features. The prospective contractor determines the scope of items in a release

based on issues reported to client support, client contract deliverables, client

enhancement suggestions, and product roadmap features and enhancements to



continually improve the solution. The prospective contractor publishes comprehensive,

detailed release notes for each general availability release. For high severity defects, the

prospective contractor expedites resolution.

The prospective contractor’s vocational rehabilitation solution Technical Support team

member assigned to each case will be responsible for tracking the case through to

resolution, no matter where it may lie within the prospective contractor organization. This

includes regular issue status updates at predictable intervals based on the severity, type,

and status of the issue. The Help Desk team will also be able to stay informed on the

status of issues and enhancement requests directly through the prospective contractor’s

Client Support Portal powered by Salesforce.

Once ARS has gone live with the prospective contractor solution in production, application

upgrades will be applied to the non-production sandbox environment for release testing

and regression testing. ARS’ system administrators will test the release to evaluate and

enable key changes that ARS intends to utilize and to perform regression testing to

validate key workflows and configuration. Through this process, ARS will also identify,

plan, and test any configuration changes specific to the solution for deployment to

production with the upgrade. ARS team testing and review of new releases, hands-on in

the non-production environment, is an important activity for ongoing knowledge transfer.

After ARS has tested and approved the release for production deployment, the

prospective contractor will schedule the production site upgrade. System administrators

will communicate the pending changes to the user community, and ARS will address any

related user education needs through appropriate training materials and content.

The prospective contractor's Professional Services team also offers Upgrade Services to

assist clients like ARS with release upgrade tasks. Upgrade Services allow clients the

opportunity to assign the work involved in an application version upgrade to the

prospective contractor team. Prospective contractor upgrade experts will manage the

upgrade plan and the upgrade of the test and production environments while providing

testing support and issue management. Additionally, the prospective contractor team will

conduct a system wellness check to assess ARS’ current business processes and identify

opportunities for solution improvements and business process efficiencies.

Configurations and Customizations

Application Configuration Methodology

The prospective contractor will closely collaborate with ARS subject matter experts in the

configuration of the prospective contractor’s vocational rehabilitation solution to meet

business process, workflow, functional, technical, and security requirements. In

prospective contractor's configuration methodology, consultants involved in requirements

analysis and solution design will leverage their solution expertise to configure a non-

production "sandbox" environment using built-in application utilities. Requirements will be



incrementally configured, demonstrated, refined, and validated in segments as they

emerge during the solution mapping process. The goal of this approach is to allow ARS to

interact with the actual configured application early in the implementation process for

faster and better decision-making. Using this approach, the entire ARS configuration will

be reviewed and validated prior to User Acceptance Testing. Once this configured

environment is accepted, the prospective contractor will deploy it to the production

environment for go-live.

The prospective contractor employs the following configuration strategies and best

practices:

• Leverage a baseline configuration modeled on previous successful

implementations as a template

• Create prototypes and proofs-of-concept, including workflow automation, to

illustrate alternative configuration approaches

• Deliver configuration incrementally for targeted review and validation

• Iterate configuration based on validation feedback

• Demonstrate configuration at delivery for validation

• Leverage solution flexibility to optimize fit to requirements/preferences while

adhering to the intended use of the system

• Work within system rules and constraints

• Consider usability, consistency, and ease of reporting in configuration decisions

• Present pro/con analysis for informed decision making when ramifications of a

configuration decision are material

• Document and maintain all configuration settings as they are made throughout

the project as living documentation

• Document reasoning behind difficult configuration decisions for future reference

• Demonstrate end-to-end workflows for solution delivery of final standardized

business processes in the non-production environment

The majority of the prospective contractor’s solution functionality can be configured

through utilities accessible through administrator roles. This provides an opportunity for

knowledge transfer to ARS resources through shadowing and review of configuration

performed by prospective contractor. The following utilities manage the core configuration

settings:

• Group Setup: Presentation settings, including chapter, tab, page, and field

labels and visibility



• Role Setup: User security permissions and privileges

• Screen Designs: Custom data entry forms

• Workflow Wizards: Workflow automation through triggers and ticklers for

workflow-based prompts and notifications

• Word Merges: Output tools for notification letters and simple reports

• Lookup Codes: Drop down list selection options

• Places: Location data containing valid combinations of city, state, zip code,

county, and region to drive dynamic population of address information

• Services: Lists of system service codes, services offered by providers, and other

related information to support service-dependent functionality

• ISO Codes: Chart of account codes

• Plan Codes: Need, goal, objective, and intervention options for client plans

• Users and Workers: Lists of the first-person system users and third-person

worker entities for import

Application Customization Methodology

Whenever possible, the prospective contractor limits customization of its products to

interfaces, some of which are inherently custom. In general, prospective contractor

designs new features and functionality so that they can be activated/deactivated through

configuration settings in utilities accessed by an administrator. In so doing, functionality

that otherwise would be custom is made available to all prospective contractor clients as

enhancements to the core product.

The prospective contractor's technical lead and technical consultant will collaborate with

the implementation lead and functional consultants during Solution Mapping to gather

requirements and design solutions for custom interfaces. Interfaces and data migration

deliverables will have dedicated delivery and test cycles after Solution Mapping.

Reports, Queries, and Forms Development

Standard and Custom Reports

The prospective contractor’s vocational rehabilitation solution includes an array of nearly

200 standard reports. The prospective contractor can create custom reports when ARS

requirements are not met by a standard report. Standard and custom reports are

developed and tested prior to release following the same processes and controls used for

new features and enhancements. Report deployment is integrated into prospective

contractor's normal release process and includes support for standard and client-specific

reports.



Advanced Reporting

ARS can create self-service custom reports in the prospective contractor’s advanced

reporting solution using standard report queries and layout files as templates or can start

"from scratch." Reports created in the prospective contractor’s advanced reporting

solution can be moved into ARS production environment, if so desired.

Forms

Letters and correspondence are handled as Microsoft© Word merge documents. The

solution includes many standard queries, which meet most clients' needs. Custom queries

can be created if necessary. Standard and custom queries created for use with word

merges are developed and tested prior to release following the same processes and

controls used for new features and enhancements.

Word merge templates are managed by the client (or during implementation, jointly by the

services team and the client) using the Word Merge Setup utility. As with reports, query

deployment is integrated into the prospective contractor's normal release process and

includes support for standard and client-specific queries.

Assessments, surveys, and questionnaires are created and managed by the client (or

during implementation, jointly by the services team and the client) using the Screen

Design utility. In this context, queries manifest as indicators of formulas used to score or

calculate a result based on other questions or information in the form. Indicators are

generally created and managed by the services team and/or client, but custom indicators

can be created by the prospective contractor Technical Services staff if desired. The

deployment of assessments and embedded indicators is managed by the client.

Queries

Queries can be used to drive workflow automation in the form of workflow wizards and

ticklers. Standard and custom queries created in support of workflow automation are

developed and tested prior to release following the same processes and controls used for

new features and enhancements. Workflow wizard query deployment is integrated into the

prospective contractor's normal release process and includes support for standard and

client-specific reports.

Data Warehouse

The prospective contractor’s advanced reporting solution includes a full copy of the client's

production database. The reporting database is refreshed nightly and serves as a data

warehouse for most clients of the prospective contractor. For clients requiring an

additional copy of their database, data warehouse and/or extract services are available.



Workflow Configuration

Workflow is managed in the prospective contractor’s vocational rehabilitation solution

through the several key solution features:

• Workflow Wizards: On-demand workflow task sequence automation based on

specific trigger conditions

• Ticklers: Task prompts and notification messages routed to to-do lists for

specific users or roles based on trigger conditions

• Business Rules: Orchestration of workflow automation based on more complex

business criteria, trigger conditions, and resulting system actions

• Queues: Lists of items in need of review, approval, or other next-step actions,

filtered for relevance by status, assignment, and other key characteristics

During the Design and Configure phases, the prospective contractor’s Implementation

Consultants will capture ARS design requirements and configure Workflow Wizards,

Ticklers, and Business Rules using system utilities. After go-live, ARS can adjust, add,

and remove workflow wizards and/or ticklers as business needs evolve without any

assistance from the prospective contractor.

Standard management and approval queues are used by ARS and/or supervisory staff to

oversee employees and to monitor/manage items requiring review and approval. All

queues allow users to filter by multiple criteria, ensuring that the end user only can see

data relevant to their job. Queue approval rules, rights, and permissions are configured in

the Role Setup utility by the prospective contractor during implementation. ARS can adjust

queue configuration as business needs evolve without any assistance from the

prospective contractor.

ARS workflow configuration will be documented as part of the Configuration Specifications

deliverable.

Deliver

Testing



The prospective contractor will leverage a best practice approach to the design and

development of a Test Plan as part of this scope of work, pulling key lessons learned from

previous statewide deployments to ensure an efficient, successful testing process. The

prospective contractor team will define and develop the Test Plan during the design phase

outlined in the work plan with ARS to ensure alignment to the overall approach and

inclusion of all key and suggested test events prior to go-live. The Test Plan will contain

the overall approach recommended by the prospective contractor for successful validation

of the solution by all parties. The Test Plan will cover system testing, integration testing,

regression testing, and user acceptance testing.

Go-Live

Deployment

The prospective contractor will develop a Go-Live Plan that addresses topics such as go-

live readiness criteria, deployment logistics, escalation and contingency plans, system and

business cutover plans, and final production site deployment and validation.

Upon completion of training, the project team will hold the first go-live checkpoint meeting

to review go-live criteria and confirm the scheduled go-live event. Upon completion of

deployment and validation, the second go-live checkpoint will confirm readiness for user

access and system usage. On the scheduled go-live date, end users will begin using the

prospective contractor solution, at which point the solution will be considered live. For the

first month after go-live, the prospective contractor project team will remain engaged to

monitor the business transition and user experience and will serve as the first line of

support with responsibility for triaging and managing any necessary corrective actions.

After a month, the project team will transition support responsibilities to the prospective

contractor's Client Care team.

E.20 TESTING 1. Provide a proposed Testing Plan. The Testing Plan should demonstrate that the

Prospective Contractor has a thorough understanding of all activities required to effectively test the proposed system. Testing Plan must at meet or exceed all requirements set forth in Section 2.21 of the RFP.

The prospective contractor recommends system testing be performed by the project team

throughout the implementation lifecycle as configuration is being done on the prospective

5

points



contractor’s vocational rehabilitation solution. System testing ensures that the solution

performs in accordance with the jointly approved specifications and design documents for

the solution. System testing begins during the Solution Mapping process within each

phase of the implementation within the stage-based work plan and consists of prospective

contractor and ARS team members reviewing and validating incremental configuration

updates as defined. After all configuration changes are made, a final system test is

performed on the system by the project team. The prospective contractor recommends

this final round of system testing to ensure all configured parts of the system function as

documented and no unexpected behaviors exist prior to training and go-live. This

approach to testing has been used by the prospective contractor on many projects,

including recent initiatives with Georgia Division of Aging Services, Florida Agency for

Persons with Disabilities, and Delaware Division of Developmental Disabilities, and, in

each case, has delivered repeatable and predictable results.

The prospective contractor regularly tests its SaaS solutions to ensure sufficient scalability

and performance. The prospective contractor will design the solution architecture based

on estimated post-implementation peak user counts and annual anticipated user growth

rates to ensure optimal performance and response times are achieved. The prospective

contractor conducts performance testing for each implementation using simulated load

profiles based on expected post implementation peaks to ensure adequate sizing and

environmental specifications are in place to handle the anticipated user load on the

system. These tests are conducted using automated testing tools and associated

monitoring tools based on prospective contractor best practices to meet ARS processing

demands.

The prospective contractor will perform integration testing between the prospective

contractor’s vocational rehabilitation solution system and all 3rd-party integration points as

outlined in the scope of work of this engagement. During the design phase of the project,

the prospective contractor will work with ARS to define and complete the integration

specifications for each of these external integration points. These specifications will be

used to perform detailed, extensive integration tests and live data exchange tests prior to

go-live in a production-like environment to ensure full interoperability can be achieved at

go-live. The prospective contractor team will perform analysis and create documentation

that captures not only the functional requirements but requirements around performance,

volume, and proper error handling (including retry logic where applicable) of interfaces

with other 3rd-party systems. The prospective contractor has extensive experience building

integration points and is well suited for handling implementations from ranging from file

import/exports to web service interfaces. The prospective contractor's recent project with

the Florida Agency for People with Disabilities included 16 successful interface solutions

and demonstrates the prospective contractor's competence in this area.

The prospective contractor will work with ARS to define and execute a User Acceptance

Testing (UAT) event to confirm ARS’ business process workflows and configuration



function as defined by the jointly developed and approved solution documentation. As part

of the UAT event, the prospective contractor will prepare test cases and test scenarios

and provide orientation for UAT participants to ensure participants are knowledgeable and

aware of agreed-upon functionality prior to the start of test activity. In addition to validating

workflow processes and configuration settings, testing activities in the UAT event will also

include validating user role security, reports and outputs, data conversion, and interface

data exchange. The goal of this event is to confirm to the user base and stakeholders that

the solution is ready for production use, meets all the requirements, and conforms to the

specifications.

ARS UAT participants will document findings and communicate results to the project team

as the UAT tests are executed. The project team will review and address UAT validation

findings and test results and define action plans to resolve any issues and remediate any

defects to ensure all functions are ready for productive use at the close of the UAT event.

The prospective contractor needs active engagement from ARS during UAT to ensure a

comprehensive vetting of the system from the perspective of ARS, system users, and

stakeholders.

The Prospective Contract has made the following general assumptions regarding the implementation plan.

• Prospective contractor assumes a 12-month Implementation starting at project

kickoff

• The schedule and project effort detailed in the project charter must be accepted by

ARS before configuration work begins. Any change requested by ARS to the

schedule or to the scope may be estimated and itemized in a change request that

will identify the incremental cost if applicable.

• Prospective contractor project manager will be responsible for creating a project

schedule during the plan phase, outlining the timeline for specific events and

milestones of the project. The project schedule will include forecasted dates for

delivery.

• Prospective contractor will document design meeting minutes and identify

outstanding issues and/or decisions.

• Prospective contractor will provide best practice recommendations and document

all requirements in the requirements document.

• After ARS has approved the requirements document, all subsequent changes or

additions to scope mutually agreed upon in the requirements document may be

addressed through a Change Request and the effect of these changes on the

agreed schedule will need to be evaluated and agreed to by both parties, prior to

accepting.

• The standard project estimate presupposes that project status meetings will be

conducted no more frequently than weekly. A scope change may be presented if

more frequent status meetings are requested.



• During the plan phase of the project, the prospective contractor project manager

will work with ARS to identify specific requirements that will determine successful

project completion and closure.

• Upon successful deployment and completion of agreed upon milestones, the

prospective contractor Professional Services team will transition ARS and the

solution to the prospective contractor’s Support Services team.

• The scope defined in this SOW assumes that prospective contractor adheres to its

standard project methodology and that all project management artifacts are

assumed to follow prospective contractor's standards. It is understood that

deviation from these standards upon request from the ARS may result in an

adjustment of the estimated level of effort.

• These assumptions are specific to this engagement and express prospective

contractor’s understanding of the scope of work to be performed under the

Managed Services offering.

• Prospective contractor will function primarily as a subject matter expert consultant.

Each party agrees to perform the functions as set forth herein.

• ARS has primary responsibility for executing all validation activities, including all

user acceptance testing prior to moving it to production. Prospective contractor will

provide guidance and assistance.

• Services within the scope of this document are to be performed Monday through

Friday during standard business hours unless otherwise stated. Standard business

hours are defined as 8:00am – 5:00pm local time excluding weekends and

observed National Holidays unless planned in advance and approved by the

prospective contractor assigned resources.

• Services within the scope of this document are to be provided remotely. A change

request can be presented for onsite services requests.

• Any services requiring activity by prospective contractor team members other than

the project lead (for example, technical services tasks) will be scheduled based on

availability of resources.

E.21 DISASTER RECOVERY

1. Provide a proposed Disaster Recovery Plan. The proposed Disaster Recovery Plan should demonstrate that the Prospective Contractor has a thorough understanding of all activities necessary for disaster recovery and meet or exceed all requirements in Section 2.22 of the RFP.

The prospective contractor's Disaster Recovery (DR) approach employs a two data center

strategy. The two data centers will be Microsoft Azure public cloud, in separate regions of

the US. The specific data centers will be selected to support both ARS’ and prospective

contractor’s business needs but will be in two different regions to provide maximum

security. Both data centers will be FedRAMP compliant.

5 points



The prospective contractor’s contingency plan involves the following key components:

• Routine Business Impact Analysis (BIA): The prospective contractor inventories

all critical components of the SaaS operation, which results in a prioritization of risk

to the SaaS operation. The prospective contractor also conducts a BIA for

corporate systems, including member service, finance, human resources, and

corporate email.

• Two Site Data Center Design for Disaster Recovery (DR): The prospective

contractor's DR plan is designed for recovery in the event of a disaster affecting the

production data center.

• Backups stored locally and replicated: Backups are stored locally in the

production data center and replicated nightly to the prospective contractor's DR

data center.

• A Contingency/Continuity of Operations Plan (COOP): The COOP plan enables

the prospective contractor’s workers to work remotely or in alternate offices in the

case of damage affecting the primary data center.

• Designation of key personnel: Key personnel are assigned to DR procedures,

and contact lists are updated regularly.

• Collection of key vendor, supplier, and contract information: Key vendor,

supplier, and contract information is collected into a single point in case it is needed

in to support recovery efforts.

• Detailed technical recovery strategies: Technical recovery strategies and

disaster declaration procedures are documented in the prospective contractor’s

cloud DR plan.

• Annual DR tabletop exercise: A DR tabletop exercise is conducted annually for

the prospective contractor’s SaaS operation by an independent third party

specializing in business continuity and disaster recovery.

The results of these efforts are manifested in the prospective contractor's proven track

record in the areas of application availability, excellence in operational performance, and

innovation in serving its clients. Examples include:

• The prospective contractor has completed several data center moves,

implementing geographically dispersed two data center designs for its SaaS

footprint.

• The prospective contractor averages 64TB of client data successfully backed up

each month across more than 550 databases.

• In 2016, the prospective contractor increased its MPLS circuit throughput for

disaster recovery and two-site replication by a factor of 10.

• Routine testing of database restorations to validate backup success and integrity.

• Executive summary reports summarizing the DR tabletop exercise.

In the event of a catastrophic disaster at the production data center, the prospective

contractor confirms the domain replication status of Active Directory. Existing capacity at



the secondary site is used for initial application installation and restoration of the most

recent database backups. Additional capacity is then provisioned. Once the initial

footprint is operational, the prospective contractor initiates a DNS change to redirect the

production application URL to the new production instance of the application running at

the secondary data center. Until full DNS propagation is complete, the prospective

contractor provides the client with a direct interim IP address. Incremental capacity is

provisioned until either (a) full production capacity is reached, (b) the original production

data center is rolled back, or (c) a replacement footprint is established at another location.

The prospective contractor modifies its disaster recovery process as the state of

technology, industry best practices, and operational needs change.

E.22 DATA SECURITY 1. Provide a proposed Data Security Plan. Provide details on how the proposed plan meets

or exceeds the requirements set forth in Section 2.23 of the RFP.

The prospective contractor follows a comprehensive, multi-level security program to

ensure integrity and protection of client data from unauthorized access. This program is

based on an organizational commitment to the security of client data and regulatory

compliance with HIPAA. The prospective contractor's security program consists of best

practices technical measures and is complemented by internal operational policy and

procedures.

System and Application Security

At the application level, the prospective contractor’s solutions provide robust

organizational- and role-level security that allows for very granular security management.

This configurable application security infrastructure controls, which functions a user can

access, as well as what data a user can access down to the field level.

SaaS Operations Security

The prospective contractor has a comprehensive set of internal corporate HIPAA policies,

including access control policies and procedures to secure PHI. These policies include an

approach that provides access to data only by essential personnel according to job

requirements. All employees complete annual HIPAA training. Below are some highlights

of the HIPAA policies and procedures now in place at the prospective contractor:

• The prospective contractor maintains on staff a Head of Information Security,

responsible for developing, monitoring, and enforcing security practices,

including implementation of policies and procedures to prevent, detect, contain,

and correct security violations.

• Response protocols in the event of an emergency or other occurrence that

damages systems that contain ePHI, including data backup plan, DR plan,

emergency mode operation plan, testing, and revising procedures.

5 points



• The prospective contractor screens all personnel by performing reference and

background checks and by requesting information about a candidate's former

work and criminal history, if any.

• All prospective contractor employees, contractors, and subcontractors are

required to read, understand, and abide by Information Security policies, and are

trained at least annually on the following requirements:

o Protect PHI/PII - All prospective contractor employees, contractors, and

subcontractors are required to protect sensitive data from accidental or

intentional unauthorized access, modification, disclosure, or destruction.

o Report Violations - All prospective contractor employees, contractors, and

sub-contractors are required to report any known or suspected violations

and/or security concerns to management, Information Security, or the

HIPAA Privacy Officer. All prospective contractor employees, contractors,

and subcontractors are required to report faulty physical controls/equipment

(shredders, door locks, etc.), as well.

Below are some of the services provided as part of prospective contractor's SaaS solution:

• Up to date, automated real time antivirus scanning

• Firewall management/monitoring

• Hosting in a SSAE-16 SOC I and SOC II Audited Data Center

• Limited access to hosting infrastructure enforced by facility security system

• Regularly scheduled patching and security updates to the operating system,

application, core network infrastructure

• Data is encrypted in transport using a third-party SSL/TLS certificate, employing

2048-bit keys for digital signatures, and Counter with Cipher block chaining mode

(CCM), with AES-256 for message authentication and a SHA2-256 bit hash for

secure hashing.

• Data is encrypted at rest on disk for both OLTP databases and database

backups using AES-256-bit encryption.

• Additional and secure network procedures to maintain security of the hosting

environment

• Off site, secure storage of encrypted database backups

• Appointment of a Head of Information Security, responsible for development,

monitoring, and enforcement of security practices



The prospective contractor provides several layers for security protection in the system

architecture, including:

• Perimeter defense at the network edge with firewall architecture and port/IP

blocking to guard against unknown/unnecessary protocols and/or traffic from

entering the production network;

• Deploying and maintaining antivirus software, operating system patches,

hardware, firmware patches/upgrades;

• Routine review of system logs for security issues on network hardware and

perimeter devices;

• Maintenance of Windows security group policies to prevent unnecessary

execution of applications/activities in our hosted solution environment;

• User authentication to assure that users are properly authenticated in the

network environment;

• User application security roles that allow access only to client-designated system

resources and data based.

Physical Security

Facility entry is monitored with security cameras providing 24x7x365 electronic video

surveillance of entry and exit to and from the hosting facility.

Access to the data center and hosting facility equipment is controlled by on site staff

24x7x365. prospective contractor employees must check in with facility security, sign a

security log, and present valid government identification. Facility security staff then

validate access is granted for the individual. prospective contractor staff are then assigned

a security badge and escorted by facility security to the prospective contractor cabinets.

Facility security staff then unlocks the prospective contractor assigned cabinets and grants

access. All client data and equipment are stored in locked cabinets and keys to these

cabinets are provided only to the authorized personnel. An overview of each of the data

centers can be found in Section 3A Data Center Specifications.

Equipment Security

Equipment is physically protected from security threats and environmental hazards. All

hosting facility equipment is stored in locked cabinets. Keys are provided to the authorized

personnel only.

• Power Supplies. The power supplies of the hosting facility equipment on which

client data is located are stored in locked cabinets. Keys are provided to

authorize personnel only.



• Cabling Security. The network cabling located in each rack of the hosting facility

equipment are stored in locked cabinets. Keys are provided to authorize

personnel only.

• Equipment Maintenance. prospective contractor personnel perform equipment

maintenance in secure areas in the hosting facility or transport systems to

prospective contractor corporate offices for maintenance. In the rare

circumstance requiring equipment outside of the hosting facility, prospective

contractor encrypts all client data using AES-256 Bit encryption.

• Off-Premise Equipment. All non-production hosting equipment is stored in

prospective contractor facilities, protected by electronic key card access systems.

• Secure Disposal. All media containing client data is destroyed securely by a

NAID certified third party vendor. As needed, the prospective contractor provides

a full accounting including a certification of secure destruction and a full inventory

of the media destruction by serial number.

• Facility is masonry constructed with ballistics resistant glass.

Software changes or software updates deployed in our SaaS environments are managed

by our change control process. This ensures integrity of the operating environments.

Change to actual source code is managed through our source code management tool and

audit/build reports that describe exactly what was modified in the repository, as well as

any given build of the software package. Also, only certain individuals based on their role

are privileged to have access to the source code repository. Based on their role, users

may not be allowed to make functional builds of the software. This ensures that rogue

builds are not created. Only authorized users are provisioned with accounts to this system

and the system forces users to authenticate before gaining access. Further, log in, check

outs, changes, and check-ins of all files is auditable. When authorized individuals leave

the organization for any reason, our corporate employee exit procedures involve disabling

the individual's account.

Security Architecture

The prospective contractor’s SaaS network is segmented into three logical networks as

follows:

• Application and Web Services. This network is isolated and contains all

web/applications servers, including Internet Information Services and SharePoint

Services, Active Directory Federation Servers, and load balancer virtual

addresses. These servers and services are all provided private IP addresses.

Public facing web services URLs are assigned a publicly routable IP address,

which is mapped to a private LAN address. Web services addresses are allowed

to communicate inbound and outbound on port 443. SFTP services are restricted

to port 22 inbound on a public facing IP address and server but cannot



communicate with the LAN, except via a channel on port 1180, which is restricted

to communications only with the public facing SFTP server.

• Database Services. All database servers are segments on a subnet, which is

isolated from the applications and web services subnet.

• Management Subnet. A management subnet is in place to allow remote

administrative access to all server infrastructures. This subnet is only accessible

via SSL VPN or with direct console access.

The ports and communications between the isolated subnets are restricted to the minimal

necessary ports and services to enable the prospective contractor’s SaaS application

environment to function properly.

Perimeter Security

The prospective contractor maintains redundant firewalls and intrusion detection at the

perimeter. These firewalls are configured to allow traffic on only ports 443/22 and those

required for Citrix connectivity for prospective contractor applications delivered via the

Citrix ICA protocol on port 443. The firewalls are configured to block all other traffic and

enforce the network segmentation indicated above. The intrusion detection appliance

detects malicious traffic and other traffic and, as needed, the prospective contractor-

configured IDS policies and firewall policies to secure the environment, based on IDS

monitoring, cyber risk threat feeds such as NIST, and best practice configuration

approaches.

Auditing and Logging

The prospective contractor provides application audit logs for each end-user's access or

modification of transactional data. The audit record identifies the user by unique system

identifier, time and date of action, and the transactional data values before and after

changes. This audit information is readily available for reporting by authorized users and

provides the necessary forensics to reconstruct data manipulation sequences over time

and identify the user(s) who performed the manipulation.

In addition to the application logs provided in prospective contractor’s solution, prospective

contractor also monitors the production hosting environment for anomalies and error

detection/correction. Logging is accomplished through a variety of third party and native

tools. Examples include, but are not limited to:

• Internet Information Server logs

• Custom application event logs

• Windows Operating System event logs

• SharePoint logs



Vulnerability and Patch Management

The prospective contractor conducts monthly vulnerability scans for operating system

vulnerabilities using third party vulnerability management scanners, including Microsoft

Windows System Update Server, IBM Big Fix, and CrowdStrike Falcon. These monthly

results are remediated by the prospective contractor’s SaaS team as part of the SaaS

maintenance schedule.

On a monthly basis, the prospective contractor’s SaaS Team applies critical and security

updates to operating systems and third-party software in the prospective contractor’s

SaaS environment. The prospective contractor deploys critical Microsoft and other third-

party service patches to the production environment each month, as follows:

Emergency patch procedures for security related issues:

The prospective contractor monitors vendor alerts, trusted third party advisories,

vulnerability reports, and other sources to identify valid security alerts/issues. The

resultant service patches are introduced into our testing and quality assurance process

and are introduced into our release schedule as they become available.

The prospective contractor installs emergency security patches immediately if the patch is

deemed so important by the vendor, or by industry experts, that without it the SaaS

environment would be exposed to attacks, which threaten operational integrity. Every

effort is made to install these patches during regularly scheduled maintenance windows,

but in some circumstances these patches are necessary on an emergency basis without

prior client notification to prevent viruses in the wild or other high security risks. As

necessary, the prospective contractor can back out these patches through restoration of

the operating system to its state prior to the patches.

The prospective contractor tests all application deployments against the latest critical and

important patches from Microsoft and tests and deploys critical and important patches for

the entire Microsoft platform stack (OS/SQL//SharePoint) on which prospective contractor

products are deployed.

Personnel Security

The prospective contractor screens all personnel by performing reference and background

checks and by requesting information about a candidate's former work and, if any, criminal

history.

Security Training

All prospective contractor employees, contractors, and sub-contractors are required to

read, understand, and abide by Information Security policies, and are trained at least

annually on the following requirements:



• Protect PHI/PII - All prospective contractor employees, contractors, and sub-

contractors are required to protect sensitive data from accidental or intentional

unauthorized access, modification, disclosure, or destruction.

• Training - All prospective contractor employees, contractors, and sub-contractors

are required to attend annual awareness training.

• Report Violations - All prospective contractor employees, contractors, and sub-

contractors are required to report any known or suspected violations and/or

security concerns to management, Information Security, or the HIPAA Privacy

Officer. All prospective contractor employees, contractors, and sub-contractors

are required to report faulty physical controls/equipment (shredders, door locks,

etc.), as well.

Security Compliance & Audits

The prospective contractor conducts various security audits of the prospective contractor’s

SaaS platform infrastructure and associated SaaS applications. The audits generally

consist of vulnerability scanning and a review of the architecture and operational practices

and procedures performed by prospective contractor and its supporting third-party

vendors. The prospective contractor takes aggressive action to address any issues or

recommendations resulting from the audits. In addition, the prospective contractor

collaboratively works with clients who would like to conduct similar scans.

The above measures result in a comprehensive set of security tools and procedures that

ensure the protection and security of client data and the overall SaaS infrastructure.

During the Software Development Lifecycle (SDLC), the prospective contractor performs

various levels of design reviews, which includes a security evaluation, as appropriate. The

prospective contractor's security strategy is heavily influenced by widely recognized

industry standard sources including:

• HIPAA Guidelines on Information Privacy and Security

• HITECH

• NIST Special Publication (SP) 800-53, Revision 4 Information Security Controls

• Open Web Application Security Project (OWASP)

Security validation continues to play an important role throughout implementation

deployment. Before the system is placed into production, functional requirements, security

requirements, default settings, and configured controls need to be verified through

systems testing. Testing needs to verify that security requirements were implemented as

specified, that security controls work as intended, and that documentation has been

developed for managing future changes to any of the system's security settings. Post

cutover, re-testing of security should be performed before deploying updates and

approved changes to the system's configuration. As an added measure, training



curriculum normally includes security awareness recommendations to prepare the

workforce to operate, support, and maintain the system with controls and protections in

place for sensitive or private information. Training normally occurs after testing is

completed and before access to the system is permitted.

Finally, the prospective contractor also consults clients for their specific security

requirements and remains committed to evolving security practices to meet the ever-

changing security landscape.



Attachment 1: Prospective Contractor Voluntary Product Accessibility Template

On the pages following the Prospective Contractor has provides the VPAT for its solution. Page numbering is non-

sequential.

__________________________________ “Voluntary Product Accessibility Template” and “VPAT” are registered

service marks of the Information Technology Industry Council (ITI) Page 1 of 12

Prospective Contractor’s Accessibility Conformance Report

WCAG Edition

VPAT® Version 2.3 – May 2019

Name of Product/Version: Prospective Contractor’s Product v8.x

Product Description: Prospective Contractor’s Product provides efficient and effective support to consumers from initial inquiry or referral to assessment, service delivery, and reporting. Provides care managers with the tools they need to efficiently serve consumers, no matter what type of care they are receiving.

Date: January 2021

Contact information:

Notes: For Prospective Contractor’s Product, Prospective Contractor asserts partial compliance with WCAG 2.0 Level AA. The solution has been tested by Prospective Contractor using Windows 7 and Windows 10 as the operating system. Screen readers used for testing include Windows Narrator and JAWS.

Microsoft continuously makes updates to their software and at times, those updates may cause features that were previously working to break. Prospective Contractor will make commercially reasonable efforts to address new issues within its own software, but in

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some cases, fixes may only be available as part of updates to 3rd-party software or operating systems.

Evaluation Methods Used: Several methods were used to evaluate Prospective Contractor’s Product for WCAG compliance. Prospective Contractor’s evaluation approach included development and quality assurance testing using browser extensions such as WAVE; use of accessibility tools commonly employed by end users such as JAWS, ZoomText, Dragon Naturally Speaking; and review and confirmation of the end user’s experience (UX) by solution analysts and technical writers. Conformance levels were also identified based on general product knowledge and the knowledge of the product architecture.

Applicable Standards/Guidelines

This report covers the degree of conformance for the following accessibility standard/guidelines:

Standard/Guideline Included In Report Web Content Accessibility Guidelines 2.0, at http://www.w3.org/TR/2008/REC-

WCAG20-20081211/

Level A (Yes)

Level AA (Yes)

Level AAA (Yes)

Web Content Accessibility Guidelines 2.1 at https://www.w3.org/TR/WCAG21/ Level A (Yes)

Level AA (Yes)

Level AAA (Yes)

http://www.w3.org/TR/2008/REC-WCAG20-20081211/

http://www.w3.org/TR/2008/REC-WCAG20-20081211/

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Terms

The terms used in the Conformance Level information are defined as follows:

• Supports: The functionality of the product has at least one method that meets the criterion without known defects or meets withequivalent facilitation.

• Partially Supports: Some functionality of the product does not meet the criterion.

• Does Not Support: The majority of product functionality does not meet the criterion.

• Not Applicable: The criterion is not relevant to the product.

• Not Evaluated: The product has not been evaluated against the criterion. This can be used only in WCAG 2.0 Level AAA.

WCAG 2.x Report

Note: When reporting on conformance with the WCAG 2.x Success Criteria, they are scoped for full pages, complete processes, and accessibility-supported ways of using technology as documented in the WCAG 2.0 Conformance Requirements.

https://www.w3.org/TR/WCAG20/#conformance-reqs

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Table 1: Success Criteria, Level A Notes:

Criteria Conformance Level Remarks and Explanations

1.1.1 Non-text Content (Level A) Partially Supports

There are some 3rd-party controls in Prospective Contractor’s Product that utilize non-text elements that are incompatible with the JAWS screen reader. Prospective Contractor is evaluating changes to Prospective Contractor’s Product to address these incompatibilities in a future release of the product.

1.2.1 Audio-only and Video-only (Prerecorded) (Level A) Not Applicable Prospective Contractor’s Product does not include prerecorded audio or video content.

1.2.2 Captions (Prerecorded) (Level A) Not Applicable Prospective Contractor’s Product does not include prerecorded audio or video content.

1.2.3 Audio Description or Media Alternative (Prerecorded) (Level A) Not Applicable Prospective Contractor’s Product does not include audio content.

1.3.1 Info and Relationships (Level A) Supports

1.3.2 Meaningful Sequence (Level A) Supports

1.3.3 Sensory Characteristics (Level A) Supports

1.4.1 Use of Color (Level A) Supports

Color is not the only means of conveying information, indicating an action, prompting a response, or distinguishing a visual element. Prospective Contractor’s Product also uses font styles such as bolding and italics to prompt certain responses and distinguish certain visual elements. Distinguishing elements, such as a red asterisk to designate required field, also use alternative text as an additional means for conveying information.

1.4.2 Audio Control (Level A) Not Applicable Prospective Contractor’s Product does not include audio content.

2.1.1 Keyboard (Level A) Supports

http://www.w3.org/TR/WCAG20/#text-equiv-all

http://www.w3.org/TR/WCAG20/#media-equiv-av-only-alt

http://www.w3.org/TR/WCAG20/#media-equiv-captions

http://www.w3.org/TR/WCAG20/#media-equiv-audio-desc

http://www.w3.org/TR/WCAG20/#content-structure-separation-programmatic

http://www.w3.org/TR/WCAG20/#content-structure-separation-sequence

http://www.w3.org/TR/WCAG20/#content-structure-separation-understanding

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-without-color

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-dis-audio

http://www.w3.org/TR/WCAG20/#keyboard-operation-keyboard-operable

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2.1.2 No Keyboard Trap (Level A) Supports

2.1.4 Character Key Shortcuts (Level A 2.1 only) Partially Supports

Most the keyboard shortcuts in Prospective Contractor’s Product require multiple keys to be pressed using non-printable keyboard characters. Some controls have single letter shortcuts, and they are only active when those controls have focus.

2.2.1 Timing Adjustable (Level A) Supports

Prospective Contractor’s Product does not have timed responses. However, there is the notion of a session inactivity timeout. This is done for security reasons in case a user leaves their browser unattended for an extended period with the solution running. In the event of an imminent session inactivity timeout, the user is presented with a warning prompt.

2.2.2 Pause, Stop, Hide (Level A) Not Applicable Prospective Contractor’s Product does not include content that automatically moves, blinks, scrolls, or updates.

2.3.1 Three Flashes or Below Threshold (Level A) Not Applicable Prospective Contractor’s Product does not include content that flashes or blinks.

2.4.1 Bypass Blocks (Level A) Supports

2.4.2 Page Titled (Level A) Supports

2.4.3 Focus Order (Level A) Supports

2.4.4 Link Purpose (In Context) (Level A) Supports

2.5.1 Pointer Gestures (Level A 2.1 only) Not Applicable Prospective Contractor’s Product does not include content that requires the use of pointer gestures.

2.5.2 Pointer Cancellation (Level A 2.1 only) Supports

2.5.3 Label in Name (Level A 2.1 only) Supports

http://www.w3.org/TR/WCAG20/#keyboard-operation-trapping

https://www.w3.org/TR/WCAG21/#character-key-shortcuts

http://www.w3.org/TR/WCAG20/#time-limits-required-behaviors

http://www.w3.org/TR/WCAG20/#time-limits-pause

http://www.w3.org/TR/WCAG20/#seizure-does-not-violate

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-skip

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-title

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-focus-order

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-refs

https://www.w3.org/TR/WCAG21/#pointer-gestures

https://www.w3.org/TR/WCAG21/#pointer-cancellation

https://www.w3.org/TR/WCAG21/#label-in-name

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2.5.4 Motion Actuation (Level A 2.1 only) Not Applicable Prospective Contractor’s Product does not include functionality that is operated by device or user motion.

3.1.1 Language of Page (Level A) Supports

3.2.1 On Focus (Level A) Supports

3.2.2 On Input (Level A) Supports

3.3.1 Error Identification (Level A) Supports

3.3.2 Labels or Instructions (Level A) Supports

4.1.1 Parsing (Level A) Supports

4.1.2 Name, Role, Value (Level A) Supports

Table 2: Success Criteria, Level AA Notes:


1.2.4 Captions (Live) (Level AA) Not Applicable Prospective Contractor’s Product does not include content that utilizes live audio or captions.

1.2.5 Audio Description (Prerecorded) (Level AA) Not Applicable Prospective Contractor’s Product does not include prerecorded video content.

1.3.4 Orientation (Level AA 2.1 only) Partially Supports

Prospective Contractor’s Product contains pages, which are limited to a single-page orientation. Prospective Contractor plans to enhance the user interface to incorporate additional responsive design principles in a future release of Prospective Contractor’s Product.

1.3.5 Identify Input Purpose (Level AA 2.1 only) Supports

https://www.w3.org/TR/WCAG21/#motion-actuation

http://www.w3.org/TR/WCAG20/#meaning-doc-lang-id

http://www.w3.org/TR/WCAG20/#consistent-behavior-receive-focus

http://www.w3.org/TR/WCAG20/#consistent-behavior-unpredictable-change

http://www.w3.org/TR/WCAG20/#minimize-error-identified

http://www.w3.org/TR/WCAG20/#minimize-error-cues

http://www.w3.org/TR/WCAG20/#ensure-compat-parses

http://www.w3.org/TR/WCAG20/#ensure-compat-rsv

http://www.w3.org/TR/WCAG20/#media-equiv-real-time-captions

http://www.w3.org/TR/WCAG20/#media-equiv-audio-desc-only

https://www.w3.org/TR/WCAG21/#orientation

https://www.w3.org/TR/WCAG21/#identify-input-purpose

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1.4.3 Contrast (Minimum) (Level AA) Partially Supports

Prospective Contractor’s Product provides settings for some areas of the solution for users to personalize their font size and color. The browser Zoom feature also provides an ability for user to change their font size if desired. Prospective Contractor plans to expand the ability for users to change font size, font color, and contrast settings in a future release of the product.

1.4.4 Resize text (Level AA) Supports

1.4.5 Images of Text (Level AA) Not Applicable Prospective Contractor’s Product does not present textual information using images.

1.4.10 Reflow (Level AA 2.1 only) Partially Supports

While the browser Zoom feature allows content to become larger, not all pages will be formatted properly when zooming to a large percentage, such as 300% or higher, without requiring further scrolling in two dimensions. Prospective Contractor plans address the user interface responsive design in a future release.

1.4.11 Non-text Contrast (Level AA 2.1 only) Partially Supports

Prospective Contractor’s Product provides settings for some areas of the solution for users to personalize their font size and color. The browser Zoom feature also provides an ability for user to change their font size if desired. Prospective Contractor plans to expand the ability for users to change font size, font color, and contrast settings in a future release of the product.

1.4.12 Text Spacing (Level AA 2.1 only) Does Not Support

The product does not currently contain options to change text spacing. Prospective Contractor is evaluating changes to the product to determine if this is a feature that can be added to the product.

1.4.13 Content on Hover or Focus (Level AA 2.1 only) Not Applicable Prospective Contractor’s Product does not rely on hover text or focus text as part of its content display.

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-contrast

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-scale

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-text-presentation

https://www.w3.org/TR/WCAG21/#reflow

https://www.w3.org/TR/WCAG21/#non-text-contrast

https://www.w3.org/TR/WCAG21/#text-spacing

https://www.w3.org/TR/WCAG21/#content-on-hover-or-focus

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2.4.5 Multiple Ways (Level AA) Partially Supports

Prospective Contractor’s Product provides search capabilities to navigate to several areas of the product but not every area of the product has multiple navigation access methods.

2.4.6 Headings and Labels (Level AA) Supports

2.4.7 Focus Visible (Level AA) Partially Supports

The majority of Prospective Contractor’s Product contains a visible focus indicator but some complex areas, such as grids, may not have an easy to see focus component.

3.1.2 Language of Parts (Level AA) Not Applicable At the present time, Prospective Contractor’s Product does not support multiple languages and uses a “lang” tag of en_us.

3.2.3 Consistent Navigation (Level AA) Supports

3.2.4 Consistent Identification (Level AA) Supports

3.3.3 Error Suggestion (Level AA) Supports

3.3.4 Error Prevention (Legal, Financial, Data) (Level AA) Supports

4.1.3 Status Messages (Level AA 2.1 only) Partially Supports

Prospective Contractor’s Product contains some status messages that are identified by screen readers, but some screens add new text to the screen after an action takes place that may not be recognized by screen readers.

Table 3: Success Criteria, Level AAA Notes:

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-mult-loc

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-descriptive

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-focus-visible

http://www.w3.org/TR/WCAG20/#meaning-other-lang-id

http://www.w3.org/TR/WCAG20/#consistent-behavior-consistent-locations

http://www.w3.org/TR/WCAG20/#consistent-behavior-consistent-functionality

http://www.w3.org/TR/WCAG20/#minimize-error-suggestions

http://www.w3.org/TR/WCAG20/#minimize-error-reversible

https://www.w3.org/TR/WCAG21/#status-messages

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1.2.6 Sign Language (Prerecorded) (Level AAA) Not Applicable Prospective Contractor’s Product does not include prerecorded audio, prerecorded video, or synchronized media.

1.2.7 Extended Audio Description (Prerecorded) (Level AAA) Not Applicable Prospective Contractor’s Product does not include prerecorded audio, prerecorded video, or synchronized media.

1.2.8 Media Alternative (Prerecorded) (Level AAA) Not Applicable Prospective Contractor’s Product does not include prerecorded audio, prerecorded video, or synchronized media.

1.2.9 Audio-only (Live) (Level AAA) Not Applicable Prospective Contractor’s Product does not include live audio.

1.3.6 Identify Purpose (Level AAA 2.1 only) Not Applicable Prospective Contractor’s Product does not utilize symbols to convey content.

1.4.6 Contrast Enhanced (Level AAA) Partially Supports

Prospective Contractor’s Product provides settings for some areas of the product for users to personalize their font size and color. The browser Zoom feature also provides an ability for user to change their font size if desired. Prospective Contractor plans to expand the ability for users to change font size, font color, and contrast settings in a future release.

1.4.7 Low or No Background Audio (Level AAA) Not Applicable Prospective Contractor’s Product does not include prerecorded audio, prerecorded video, or synchronized media.

1.4.8 Visual Presentation (Level AAA) Partially Supports

Prospective Contractor’s Product provides settings for some areas of the product for users to personalize their font size and color. The browser Zoom feature also provides an ability for user to change their font size if desired. There is currently no ability to change text or line spacing. Prospective Contractor plans to expand the ability for users to personalize the user interface in a future release of the product.

http://www.w3.org/TR/WCAG20/#media-equiv-sign

http://www.w3.org/TR/WCAG20/#media-equiv-extended-ad

http://www.w3.org/TR/WCAG20/#media-equiv-text-doc

http://www.w3.org/TR/WCAG20/#media-equiv-live-audio-only

https://www.w3.org/TR/WCAG21/#identify-purpose

http://www.w3.org/TR/WCAG20/#visual-audio-contrast7

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-noaudio

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-visual-presentation

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1.4.9 Images of Text (No Exception) Control (Level AAA) Not Applicable Prospective Contractor’s Product does not present textual information using images.

2.1.3 Keyboard (No Exception) (Level AAA) Not Applicable Prospective Contractor’s Product does not contain functionality that requires specific timings for individual keystrokes.

2.2.3 No Timing (Level AAA) Not Applicable Prospective Contractor’s Product does not contain functionality that requires timed interaction.

2.2.4 Interruptions (Level AAA) Not Applicable Prospective Contractor’s Product does not contain the ability to automatically update content.

2.2.5 Re-authenticating (Level AAA) Partially Supports

Select modules of Prospective Contractor’s Product, such as Mobile Assessments, allow users to reauthenticate without loss of data after re-authenticating. Other Prospective Contractor’s Product modules take a preventative approach, by providing a configurable save prompt to remind users to save their work prior to a session timeout.

2.2.6 Timeouts (Level AAA 2.1 only) Supports

2.3.2 Three Flashes (Level AAA) Not Applicable Prospective Contractor’s Product does not include content that flashes or blinks.

2.3.3 Animation from Interactions (Level AAA 2.1 only) Not Applicable Prospective Contractor’s Product does not include motion animation as part of its content.

2.4.8 Location (Level AAA) Partially Supports

Prospective Contractor’s Product provides consistent navigation between web pages which do provide information about a user’s location within the application. Prospective Contractor is evaluating enhancements to the user interface which would provide clearer navigational pathway information to users for inclusion in a future release.

2.4.9 Link Purpose (Link Only) (Level AAA) Supports

http://www.w3.org/TR/WCAG20/#visual-audio-contrast-text-images

http://www.w3.org/TR/WCAG20/#keyboard-operation-all-funcs

http://www.w3.org/TR/WCAG20/#time-limits-no-exceptions

http://www.w3.org/TR/WCAG20/#time-limits-postponed

http://www.w3.org/TR/WCAG20/#time-limits-server-timeout

https://www.w3.org/TR/WCAG21/#timeouts

http://www.w3.org/TR/WCAG20/#seizure-three-times

https://www.w3.org/TR/WCAG21/#animation-from-interactions

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-location

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-link

of 12


2.4.10 Section Headings (Level AAA) Partially Supports

Prospective Contractor’s Product contains section headings in some locations. Changes to improve the consistent use of headings throughout the application is currently targeted to be available in April 2021 as part of the Spring 2021 Release.

2.5.5 Target Size (Level AAA 2.1 only) Partially Supports

Prospective Contractor’s Product contains many different pointer inputs, and many are larger than the target size but there are several that may not fit the criterion for this item. The browser Zoom feature can be used to increase the size of the page and the pointer inputs. Prospective Contractor will evaluate this area to see where additional changes can be made to fully support this criterion.

2.5.6 Concurrent Input Mechanisms (Level AAA 2.1 only) Partially Supports

Because Prospective Contractor’s Product is a browser-based product, it does not natively support specific input mechanisms. If the computer operating system supports different input mechanisms and treats them like a mouse input device, it will work with Prospective Contractor’s Product.

3.1.3 Unusual Words (Level AAA) Does not Support Prospective Contractor’s Product does not provide a means to identify unusual words.

3.1.4 Abbreviations (Level AAA) Does not Support Prospective Contractor’s Product does not provide a means to identify abbreviations.

3.1.5 Reading Level (Level AAA) Not Applicable

Prospective Contractor’s Product is a purpose-built product that was designed for specific needs and does not contain large pages of content that contain text.

3.1.6 Pronunciation (Level AAA) Does not Support Prospective Contractor’s Product does not provide a means to help with word pronunciation.

3.2.5 Change on Request (Level AAA) Supports

http://www.w3.org/TR/WCAG20/#navigation-mechanisms-headings

https://www.w3.org/TR/WCAG21/#target-size

https://www.w3.org/TR/WCAG21/#concurrent-input-mechanisms

http://www.w3.org/TR/WCAG20/#meaning-idioms

http://www.w3.org/TR/WCAG20/#meaning-located

http://www.w3.org/TR/WCAG20/#meaning-supplements

http://www.w3.org/TR/WCAG20/#meaning-pronunciation

http://www.w3.org/TR/WCAG20/#consistent-behavior-no-extreme-changes-context

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3.3.5 Help (Level AAA) Partially Supports

Prospective Contractor’s Product has context-sensitive help in select areas of the product (e.g., Assessments). Prospective Contractor also provides documentation in the form of PDF files.

3.3.6 Error Prevention (All) (Level AAA) Supports

Legal Disclaimer (Company)

n/a

http://www.w3.org/TR/WCAG20/#minimize-error-context-help

http://www.w3.org/TR/WCAG20/#minimize-error-reversible-all



Attachment 2: Prospective Contractor’s standard Master License and Service Agreement

On the pages following, prospective contractor has provided its standard MLSA for consideration. Page numbering is

non-sequential.

Contract # 1 December 10, 2020

PROSPECTIVE CONTRACTOR

MASTER LICENSE AND SERVICES AGREEMENT

This Master License and Services Agreement (the “Agreement”) is entered into as of _____________________, (the

“Effective Date”), by and between Prospective Contractor and its Affiliates, with offices at ADDRESS (“Prospective

Contractor”), and __________________, a __________ corporation with offices at

______________________________________ (“Client”). Each of Prospective Contractor and Client may be referred

to herein individually as a “Party” and together as the “Parties.” The Parties agree as follows:

1. DEFINITIONS. Capitalized terms used

herein or in any Order Form, but not defined,

have the meaning set forth in Exhibit A.

2. LICENSED SOFTWARE.

2.1. Licensed Software. Prospective Contractor

grants to Client (a) a perpetual, non-exclusive,

non-transferable, license to use the Licensed

Software; or (b) a limited term, non-exclusive,

non-transferable, license to use the Licensed

Software during the term designated in the

Order Form, on the Designated Platform solely

for internal business purposes and subject to

the terms of this Agreement and the applicable

Order Form.

2.2. Limitations. No right to use, copy, modify,

create derivative works of, adapt, distribute,

disclose, decompile, or reverse engineer the

Licensed Software is granted, except as

expressly set forth in this Agreement.

Prospective Contractor reserves title to the

Licensed Software and all rights not expressly

granted hereunder. Client may make copies of

Licensed Software as necessary for back-up,

testing, and archival purposes only. Client

shall approve access for all Permitted Users of

the Licensed Software and Sublicensed

Software and shall prevent unauthorized

access and use of the Licensed Software and

Sublicensed Software. Client may not use any

component of the System to provide services

to third parties as a service bureau or data

processor.

2.3. Installation of Designated Platform. Client

shall install all components of the Designated

Platform required for operation of the Licensed

Software, and shall complete all necessary

diagnostic tests to ensure such installation of

the Designated Platform is complete and

successful.

3. SERVICES.

3.1 Cloud Services. During the Cloud Services

term set forth in an Order Form, Prospective

Contractor shall provide Client (a) a non-

exclusive, non-assignable, limited right to

access and use the Cloud Services during the

Term, solely for Client’s internal business

operations and subject to the terms of this

Agreement and the applicable Order Form; and

(b) Cloud Services support as set forth in

Exhibit B or in the applicable Order Form.

Exhibit B does not apply to Licensed Software.

Client shall not have any physical access to the

Cloud Services hardware.

3.2. Support Services. For Licensed Software,

Prospective Contractor shall provide the

Support Services as set forth in Exhibit C or in

the applicable Order Form. Exhibit C does not

apply to the Cloud Services. Prospective

Contractor is not obligated to provide Support

services for Licensed Software that is not the

most current or next to most current release.

3.3. Professional Services. Unless otherwise set

forth in an Order Form, Professional Services

shall be performed on a time and materials

basis at Prospective Contractor’s standard

rates.

3.4. Client Responsibilities. Client shall: (a)

approve access for all Permitted Users to the

Cloud Services and shall prevent unauthorized

access and use of the Cloud Services. Client

shall not, and shall ensure that its Permitted

Users do not: (i) sell, resell, lease, lend or

otherwise make available the Cloud Services

to a third-party; (ii) modify, adapt, translate, or

make derivative works of the Cloud Services;

or (iii) sublicense or operate the Cloud

Services for timesharing, outsourcing, or

service bureau operations; (b) provide network

connectivity between Client’s local

environment and the Cloud Services for the


implementation and execution of the Cloud

Services as provided in the Documentation; (c)

maintain bandwidth of sufficient capacity for

the operation of the Cloud Services; (d) have

sole responsibility for installation, testing, and

operations of Client facilities,

telecommunications and internet services,

equipment, and software upon Client’s

premises necessary for Client’s use of the

Cloud Services; and (e) pay all third-party

access fees incurred by Client to access and use

the Cloud Services.

3.5. Suspension of Services. If (a) there is a threat

to the security of Prospective Contractor’s

systems or the Services, or (b) Client’s

undisputed invoices are sixty (60) days or more

overdue, in addition to any other rights and

remedies (including termination), Prospective

Contractor may suspend the Services without

liability until all issues are resolved.

4. SUBLICENSED SOFTWARE AND

HARDWARE. Subject to the terms and

conditions of this Agreement and any Order

Form, Prospective Contractor shall grant the

licenses to Sublicensed Software as set forth in

an Order Form. Client agrees to purchase any

Hardware set forth in an Order Form.

5. PROPRIETARY RIGHTS.

5.1. Ownership. Prospective Contractor or its

licensor retains all right, title, and interest, in

the Licensed Software, Sublicensed Software,

Test Scripts, Documentation, Services, and

Work Product. Prospective Contractor shall

grant to Client a non-exclusive, non-

transferable license to use Work Product only

for Client’s own internal purposes in

connection with the Licensed Software and

Services.

5.2. Restricted Rights. The Licensed Software is

commercial computer software programs

developed exclusively at private expense. Use,

duplication, and disclosure by civilian

agencies of the U.S. Government shall be in

accordance with FAR 52.227-19 (b). Use,

duplication and disclosure by DOD agencies

are subject solely to the terms of this

Agreement, a standard software license

agreement as stated in DFARS 227.7202.

6. PAYMENTS BY CLIENT.

6.1. Payment. Client shall pay all fees for the

Licensed Software, System, Services, and

Hardware. All invoices shall be paid net thirty

(30) days following the date of the invoice.

Invoices that are more than ten (10) days past

due shall be subject to a finance charge at a rate

of interest the lesser of one-and-a-half percent

(1.5%) per month or the maximum permissible

legal rate. Client shall also be liable for any

attorney and collection fees arising from

Prospective Contractor’s efforts to collect any

unpaid balance of Client.

6.2. Scope of Use. The Licensed Software,

Sublicensed Software, and Cloud Services are

priced based on certain metrics (e.g. Sites,

Deliverables, Patient/Client Census, and/or

Permitted Users) as set forth in an Order Form.

Client may only expand its use of the Licensed

Software, Sublicensed Software, and/or Cloud

Services upon payment of the applicable

additional license, support, and service fees at

Prospective Contractor’s then-current rates.

Any such fees for additional scope of use will

be immediately due and payable.

6.3. Increases. All recurring fees may be increased

by Prospective Contractor once annually

commencing one (1) year following the

Effective Date of the applicable Order Form at

a rate not to exceed five percent (5%). Fees

may further be increased upon prior written

notice to Client in the event Prospective

Contractor’s third-party suppliers increase

such fees. The preceding limitation shall not

apply to any increase in fees attributable to

Client’s acquisition of additional Licensed

Software or Services.

6.4. Expenses. Client shall reimburse Prospective

Contractor for all reasonable Client-related

travel, lodging, and out-of-pocket expenses.

6.5. Shipping Fees, Taxes. Client shall pay all

shipping charges, as well as any taxes, fees or

costs imposed by any governmental body

arising as a result of this Agreement.

Prospective Contractor shall be responsible for

taxes on its net income.

6.6. Audit. Prospective Contractor reserves the

right to audit Client’s use of the System and

Cloud Services (remotely or on site) at a

mutually agreeable time. If Client’s use is


greater than contracted, Client shall be

invoiced for any unlicensed use (and related

support), and the unpaid license and support

fees shall be payable in accordance with this

Agreement. If any increase in fees is required,

Client shall also pay the expenses associated

with the audit.

7. LIMITED WARRANTIES AND

COVENANTS.

7.1. Licensed Software Warranty. Prospective

Contractor warrants that the Licensed Software

shall, without material error, perform the

functions set forth in the Documentation when

operated on the Designated Platform in

accordance with this Agreement and the Order

Form during the Warranty Period.

7.2. Services Warranty. Prospective Contractor

warrants that (a) when operated in accordance

with the Documentation the Cloud Services

shall, without material error, perform the

functions as set forth in the Documentation,

and/or (b) it shall perform the Professional and

Support Services in a professional manner in

accordance with the applicable

Documentation.

7.3. Remedy. Client’s sole and exclusive remedy

for any breach of the warranties set forth herein

or in an Order Form shall be to notify

Prospective Contractor of the applicable non-

conformity, in which case Prospective

Contractor shall use commercially reasonable

efforts to correct such non-conformity by

redelivering the Licensed Software, repairing

the Cloud Services, and/or reperforming the

Professional/Support Services.

Notwithstanding the foregoing, Prospective

Contractor shall not be responsible for any

non-conformity which arises as a result of (a)

any act or omission of Client, including a

failure to use the System or Cloud Services in

conformance with the Documentation or

Applicable Law; (b) any person (other than

Prospective Contractor) making modifications

to the Designated Platform in any way without

Prospective Contractor’s prior written consent;

or (c) any failure of any component of

Hardware, Sublicensed Software, or any

Client-supplied software, equipment, or other

third-party materials.

7.4. Disclaimer. EXCEPT AS EXPRESSLY

PROVIDED HEREIN OR IN AN ORDER

FORM, PROSPECTIVE CONTRACTOR

DISCLAIMS ALL WARRANTIES, ORAL,

WRITTEN, EXPRESS, IMPLIED, OR

STATUTORY; INCLUDING BUT NOT

LIMITED TO, THE IMPLIED

WARRANTIES OF FITNESS FOR A

PARTICULAR PURPOSE AND

MERCHANT-ABILITY, AND ANY

WARRANTY OF NON-INFRINGEMENT,

OR ANY WARRANTIES ARISING FROM

TRADE PRACTICE, COURSE OF

PERFORMANCE, OR COURSE OF

DEALING. PROSPECTIVE

CONTRACTOR DOES NOT WARRANT

THAT THE SERVICES SHALL BE ERROR-

FREE OR UNINTERRUPTED, OR THAT

ALL DEFECTS SHALL BE CORRECTED,

OR THAT THE LICENSED SOFTWARE OR

SERVICES SHALL MEET CLIENT’S

REQUIREMENTS. CLIENT AGREES

THAT THE MANUFACTURERS OR

LICENSORS OF HARDWARE AND

SUBLICENSED SOFTWARE MAY

PROVIDE CERTAIN WARRANTIES AND

OTHER TERMS AND CONDITIONS WITH

RESPECT TO THE HARDWARE AND

SUBLICENSED SOFTWARE SUPPLIED

TO CLIENT UNDER THIS AGREEMENT.

PROSPECTIVE CONTRACTOR MAKES

NO REPRESENTATIONS OR

WARRANTIES CONCERNING THE

HARDWARE OR SUBLICENSED

SOFTWARE.

7.5. Client Warranty. Client warrants that Client

(a) has the power and authority to enter into

this Agreement and bind each Client affiliate

and Permitted User to the terms and conditions

set forth herein, and Client shall be responsible

for all acts and omissions of all Client affiliates

and Permitted Users; and (b) shall use its best

efforts to protect the security of the Licensed

Software and Cloud Services.

8. LIMITATION OF LIABILITY.

PROSPECTIVE CONTRACTOR’S

MAXIMUM LIABILITY FOR DAMAGES

TO CLIENT FOR ANY CAUSE

WHATSOEVER ARISING UNDER OR

RELATED TO THIS AGREEMENT, IS

LIMITED TO THE FEES PAID UNDER THE

ORDER FORM FOR THE AFFECTED

SOFTWARE OR SERVICES DURING THE

TWELVE (12) MONTHS PRECEDING THE

EVENT GIVING RISE TO A CLAIM.

NEITHER PROSPECTIVE CONTRACTOR


NOR ITS LICENSORS SHALL BE LIABLE

FOR ANY SPECIAL, CONSEQUENTIAL,

INCIDENTAL, INDIRECT, EXEMPLARY,

PUNITIVE DAMAGES, OR LOST PROFITS

BASED UPON BREACH OF WARRANTY,

BREACH OF CONTRACT, NEGLIGENCE,

STRICT LIABILITY, OR ANY OTHER

LEGAL THEORY, EVEN IF ADVISED OF

THE POSSIBILITY OF SUCH DAMAGES,

OR FOR ANY CLAIM BY A THIRD-

PARTY AGAINST CLIENT. Prospective

Contractor shall not be deemed to be engaged,

directly or indirectly, in the practice of

medicine or the dispensing of medical services,

nor shall it be responsible or liable for the use,

application, or interpretation of any

information, results, or product generated by or

resulting from the Licensed Software or

Services, or arising from the Client’s use of the

Licensed Software or Services.

9. INDEMNIFICATION.

9.1. Prospective Contractor Indemnity.

Prospective Contractor shall defend,

indemnify, and hold Client and its officers,

directors, and employees harmless from and

against any third-party claims, suits, liabilities,

obligations, judgments, and causes of action

(“Third-Party Claims”) and associated costs

and expenses (including reasonable attorneys’

fees) to the extent arising out of any claim that

the Licensed Software or Cloud Services

infringes any currently existing United States

patent or copyright, or misappropriates any

trade secret, of any third-party. If Client’s use

of the Licensed Software or Cloud Services is

finally enjoined, Prospective Contractor shall,

at its sole option and expense, and as Client’s

sole and exclusive remedy, either: (a) secure

for Client the right to continue to use the

Licensed Software or Cloud Services; (b)

replace, modify or correct such Licensed

Software or Cloud Services to avoid such

infringement, or (c) terminate the Agreement

and refund to Client, as applicable, a pro rata

portion of the perpetual Licensed Software

license fees amortized over a five (5) year

straight line depreciated basis and/or any

prepaid amounts for subscription Licensed

Software and/or Cloud Services not yet

performed. Prospective Contractor’s

indemnification obligations shall not apply if

the Third-Party Claim results from: (i)

modifications of the Licensed Software or

Cloud Services by Client or third parties; (ii)

use of the Licensed Software or Cloud Services

with non-Prospective Contractor software or

equipment; (iii) use of the Licensed Software

or Cloud Services in violation of this

Agreement, Applicable Law, or not in

conformance with the Documentation; or (iv)

use of anything other than the most current

release of the Licensed Software, if the

infringement could be avoided by use of the

current release.

9.2. Client Indemnity. Client shall defend,

indemnify, and hold Prospective Contractor

and its officers, directors, and employees

harmless from and against any Third-Party

Claim and associated costs and expenses

(including reasonable attorneys’ fees) to the

extent arising out of or resulting from Client’s

use of the Licensed Software, Test Scripts, and

Cloud Services, or any claim by any party

receiving services from Client in connection

with the Licensed Software or Cloud Services.

9.3. Indemnification Procedures. To be

indemnified, the party seeking indemnification

must: (a) give the other party timely written

notice of such Third-Party Claim (unless the

other party already has notice); provided,

however, that failure to give such notice will

not waive any rights of the indemnified party

except to the extent that the rights of the

indemnifying party are prejudiced thereby,

and; (b) give the indemnifying party authority,

information, and assistance for the Third-Party

Claim’s defense and settlement. The

indemnifying party has the right, at its option,

to defend the Third-Party Claim at its own

expense and with its own counsel. The

indemnified party has the right, at its option, to

join in the defense and settlement of such

Third-Party Claim and to employ counsel at its

own expense, but the indemnifying party shall

retain control of the defense. The indemnifying

party has the right to settle the claim so long as

the settlement does not require the indemnified

party to pay any money or admit any fault

without the indemnified party’s prior written

consent, which will not be unreasonably

withheld, conditioned, or delayed.

10. TERM AND TERMINATION OF

LICENSE AND AGREEMENT.

10.1. Term. If applicable, the term of the license to

the Licensed Software and/or the right to

access the Cloud Services is set forth in an


Order Form. This Agreement remains in effect

until all Licensed Software and Services expire

or are terminated in accordance with this

Agreement.

10.2. Termination. This Agreement shall terminate

when the license to all Licensed Software

licensed under this Agreement terminates, all

Services expire or are terminated, or sooner as

provided in this Section 10. Either Party may

terminate this Agreement and the licenses

and/or right to access granted herein if: (a) the

other Party materially breaches this Agreement

and fails to cure such breach within sixty (60)

days after receipt of written notice of the same,

except in the case of failure to pay fees when

due, which must be cured within ten (10) days

after receipt of written notice from Prospective

Contractor; or (b) the other Party becomes the

subject of a voluntary proceeding relating to

insolvency, receivership, liquidation,

bankruptcy, or composition for the benefit of

creditors and such petition or proceeding is not

dismissed within sixty (60) days of filing.

Failure to use the Licensed Software, Cloud

Services, and Updates or Upgrades thereto in

accordance with Applicable Law is a material

breach of this Agreement.

10.3. Effect of Termination. Upon termination of

this Agreement, Client shall immediately cease

all use of the Licensed Software, Sublicensed

Software, and/or Cloud Services, and the

licenses granted and all other rights of Client

under this Agreement shall terminate and

revert to Prospective Contractor. Client shall,

within ten (10) days following such

termination, destroy or return to Prospective

Contractor all magnetic media or tangible

items and material containing the Licensed

Software and its Documentation, and all

Prospective Contractor Confidential

Information, and certify such return or

destruction in writing to Prospective

Contractor.

10.4. Survival. The following sections shall survive

termination or expiration of this Agreement:

Sections 7.3 through 7.5, 8, 9, 10, 11, 12, and

13, as well as any obligation to pay fees arising

prior to termination or expiration. In addition,

restrictions on use of the Licensed Software

and related obligations regarding use in

conformance with laws and applicable

accreditation standards shall survive as long as

the license survives.

11. CONFIDENTIAL INFORMATION. Each

Party shall (a) secure and protect the

Confidential Information using the same

degree or greater level of care that it uses to

protect such Party’s own confidential

information, but no less than a reasonable

degree of care; (b) use the Confidential

Information of the other Party solely to

perform its obligations or exercise its rights

under this Agreement; (c) require their

respective employees, agents, attorneys, and

independent contractors who have a need to

access such Confidential Information to be

bound by confidentiality obligations sufficient

to protect the Confidential Information; and (d)

not transfer, display, convey, or otherwise

disclose or make available all or any part of

such Confidential Information to any third-

party. Either Party may disclose the other

Party’s Confidential Information to the extent

required by Applicable Law or regulation,

including without limitation any applicable

Freedom of Information or sunshine law, or by

order of a court or other governmental entity,

in which case the disclosing Party shall notify

the other Party as soon as practical prior to

such disclosure and provide an opportunity to

respond or object to the disclosure.

12. REGULATORY COMPLIANCE.

12.1. General. Prospective Contractor shall make

available to the Secretary of Health & Human

Services or Comptroller General of the United

States its books, documents, and records

necessary to verify the nature and extent of the

costs of those Services. Said access shall be

limited to a period of four (4) years after the

provision of the applicable services hereunder.

12.2. HIPAA. The parties agree to the terms of the

Business Associate Exhibit that is attached

hereto as Exhibit D.

13. GENERAL PROVISIONS.

13.1. Force Majeure. Neither Party shall be liable

for any loss, damages, or penalty (other than

the obligation to pay money) resulting from

any failure to perform due to causes beyond the

reasonable control of such Party, including, but

not limited to: supplier delay, acts of God,

labor disputes, acts of terrorism, war,

epidemic, unavailability of components, acts

of governmental authorities or judicial action,

compliance with laws, or material interruption


in telecommunications or utility service. The

delayed party shall perform its obligations

within a reasonable time after the cause for the

failure has been remedied, and the other party

shall accept the delayed performance.

13.2. Data Use. Client hereby grants to Prospective

Contractor a non-exclusive, perpetual license

(a) to use the Client Data in connection with

the provision of the Licensed Software or

Services; and/or (b) to use the Client Data to

create Deidentified Data. The license includes

a right to sublicense. Additionally, Client

authorizes Prospective Contractor to aggregate

Client Data with other Prospective Contractor

client data for the purpose of creating and

maintaining consumer or patient health

records. Client will include a description of the

disclosure to Prospective Contractor in

Client’s privacy policies and will notify

Prospective Contractor promptly of any

consumer or patient request to opt-out of such

disclosure. Prospective Contractor owns any

Deidentified Data.

13.3. Injunctive Relief. Client acknowledges that

any breach by Client of Section 2, 3.4, or 11 of

this Agreement shall cause Prospective

Contractor irreparable harm not compensable

with money damages, and that in the event of

such breach, Prospective Contractor shall be

entitled to seek injunctive relief, without bond,

from any court of competent jurisdiction.

13.4. Assignment. Neither Party shall assign its

rights, duties or obligations under this Agree-

ment without the prior written consent of the

other Party and such consent shall not be

unreasonably withheld. Notwithstanding the

foregoing, Prospective Contractor may assign

this Agreement to an affiliate or in connection

with any merger, reorganization or sale of

substantially all of Prospective Contractor’s

assets or other change of control transaction

without any consent from Client.

13.5. Relationship of the Parties. Prospective

Contractor is an independent contractor, and

none of Prospective Contractor’s employees or

agents shall be deemed employees or agents of

Client. Nothing in this Agreement is intended

or shall be construed to create or establish any

agency, partnership, or joint venture

relationship between the Parties.

13.6. Export. Client agrees to comply with all export

and re-export restrictions and regulations of

the Department of Commerce or other United

States agency or authority, and not to transfer,

or authorize the transfer of, the Licensed

Software or the Sublicensed Software to a

prohibited country or otherwise in violation of

any such restrictions or regulations.

13.7. Notices. All notices, requests, demands or

other communication required or permitted to

be given by one Party to the other under this

Agreement shall be sufficient if sent by

certified mail, return receipt requested. The

sender shall address all notices, requests,

demands or other communication to the

recipient’s address as set forth on the first page

of this Agreement, and in the case of

Prospective Contractor, to the attention of

President and General Counsel and in the case

of Client, to the attention of

_________________________________.

13.8. Severability. If any provision of this

Agreement or any Order Form adopted in

connection herewith is held invalid or

otherwise unenforceable, the enforceability of

the remaining provisions shall not be impaired

thereby and the illegal provision shall be

replaced with a legal provision that

encapsulates the original intent of the Parties.

13.9. Entire Agreement; Amendment; Waiver. This

Agreement constitutes the entire agreement

between the Parties and supersedes any prior

or contemporaneous agreement or

understandings with respect to the subject

matter of this Agreement. In the event of a

conflict between this Agreement and an Order

Form, the Agreement shall control. This

Agreement shall be construed as if both Parties

had equal say in its drafting, and thus shall not

be construed against the drafter. This

Agreement may be modified only by a written

agreement signed by all of the Parties hereto.

No waiver or consent granted for one matter or

incident will be a waiver or consent for any

different or subsequent matter or incident.

Waivers and consents must be in writing and

signed by an officer of the other Party to be

effective.

13.10. Limitation on Actions. Neither party may

bring any action arising out of or otherwise

associated with this Agreement or the rights

granted hereunder (other than failures to pay)


more than two years after the cause of action

accrues.

13.11. Discounts. Client is reminded that if the

purchase includes a discount or loan, Client

may be required to fully and accurately report

such discount or loan on cost reports or other

applicable claims for payment submitted under

any federal health care program, including but

not limited to Medicare and Medicaid, as

required by federal law – see 42 CFR 1001.952

(h).

13.12. Purchase Orders; Acceptance of Quotes;

Access. If Client submits its own terms which

add to, vary from, or conflict with the terms

herein in Client’s acceptance of a price

quotation or in a purchase order, or to

Prospective Contractor’s employees, agents,

and/or contractors in the course of Prospective

Contractor providing the Licensed Software

and/or Services, any such terms are of no force

and effect and are superseded by this

Agreement.

13.13. Governing Law. This Agreement will be

governed by, construed, and interpreted in

accordance with the laws of the State of

Kansas, excluding its rules of conflicts of law.

Both parties hereby consent and submit to the

courts located solely in the state of Kansas.

13.14. Informal Dispute Resolution. The Parties agree

that the performance of this Agreement shall

be enhanced by the timely resolution of any

dispute between them. Therefore, before

either Party files a lawsuit for a breach of this

Agreement (except in circumstances where a

Party is seeking emergency injunctive relief)

the Parties hereby agree to submit to the

following resolution process: (i) the aggrieved

Party shall provide the other Party written

notice that dispute resolution is required with a

detailed description of the issues causing the

dispute; (ii) within 10 business days thereafter,

both Parties will appoint a representative (who

must be a Vice President or higher and have the

authority to resolve disputes) and give notice

to the other Party of the name and title of the

representative; and (iii) within 10 business

days thereafter the named representatives shall

meet in person at Client’s site with the sole

purpose of resolving the issues causing the

dispute. Neither Party shall be compensated

for any time or expense related to the dispute

resolution process.

13.15. Non-Solicitation. During the term of this

Agreement and for a period of one (1) year

thereafter, Client agrees not to hire, directly or

indirectly, any employee or former employee

of Prospective Contractor, without obtaining

Prospective Contractor’s prior written consent.

13.16. California Consumer Privacy Act. The Parties

agree that the California Consumer Privacy

Act under Cal. Civ. Code § 1798 et seq.

(“CCPA”) may be applicable to the

Agreement. If applicable, Prospective

Contractor shall be deemed a “service

provider” under the CCPA if Prospective

Contractor receives the "personal information"

of any “consumer” for "processing" on Client's

behalf.

13.17. Counterparts. This Agreement may be

executed in any number of counterparts, each

of which shall be an original, and such

counterparts together shall constitute one and

the same instrument. Execution may be

effected by delivery of email or facsimile of

signature pages, which shall be deemed

originals in all respects.

[remainder of page intentionally left blank]


IN WITNESS WHEREOF, the Parties have executed this Agreement as of the day and year first above written.

_______________________________: PROSPECTIVE CONTRACTOR:

____________________________________ ___________________________________

(SIGNATURE)

____________________________________

(PRINT NAME)

____________________________________

(TITLE)

____________________________________ ____________________________________

(DATE) (DATE)


.

EXHIBIT A

a. “Affiliate” means with respect to Prospective Contractor, any other entity directly or indirectly, through one or

more intermediaries, Controlling, Controlled by, or under common Control with such entity.

b. “Applicable Law” means any law or regulation, or related administrative agency requirement affecting or

governing the features, functionality, use, testing or Validation of any of the Licensed Software, including

validation requirements affecting Regulated Licensed Software.

c. “Client Data” means all electronic data or information submitted by Client to the Licensed Software or Services

but excluding Deidentified Data (as defined below).

d. “Cloud Services” means, collectively, the Prospective Contractor software as a service offering listed in an

Order Form and defined in the Documentation, including (i) the Prospective Contractor hosted software and any

upgrades, enhancements, or new releases thereto, (ii) hardware and other equipment at Prospective Contractor’s

hosting site, and (iii) use of the telephone support for Client in the operation of the Cloud Services. The term

“Cloud Services” does not include Professional Services.

e. “Concurrent User” means each Client workstation able to simultaneously access the System at any given

moment, for purposes of updating the System.

f. “Confidential Information” means (i) the source and object code of all components of the System, (ii) the

Documentation, (iii) the Test Scripts, (iv) the design and architecture of the database, (v) the terms and

conditions of this Agreement, and (vi) all other information of a confidential or proprietary nature disclosed by

one Party to the other Party in connection with this Agreement which is either (x) disclosed in writing and clearly

marked as confidential at the time of disclosure or (y) disclosed orally and clearly designated as confidential in

a written communication to the receiving Party within 7 days following the disclosure. “Confidential

Information” shall not include information (a) publicly available through no breach of this Agreement, (b)

independently developed or previously known to it, without restriction, prior to disclosure by the disclosing

Party, (c) rightfully acquired from a third-party not under an obligation of confidentiality.

g. “Control” over an Affiliate means (a) ownership of at least fifty percent (50%) of such Affiliate, or (b) the right

to determine management direction of such Affiliate.

h. “Deidentified Data” means Client Data that is deidentified by Prospective Contractor and such deidentification

is certified by a third-party as compliant with the deidentification standards under HIPAA or otherwise meets

the deidentification requirements under HIPAA ( “Deidentified Data”).

i. “Designated Platform” means the required operating environment for the Licensed Software, including all

necessary hardware and software components, specified in an applicable Order Form or Documentation.

j. “Documentation” means the most recent documentation of the functional operation of the Licensed Software

and Cloud Services; provided that if the Licensed Software is a product that is cleared by the FDA,

Documentation means the documentation provided to the FDA in connection with the FDA Clearance.

k. “FDA Clearance” means the 510(k) clearance received by Prospective Contractor from the Food and Drug

Administration that authorizes the commercialization of the Regulated Licensed Software and sets forth the

specific parameters of use for the Regulated Licensed Software on the Designated Platform.

l. “First Productive Use” means the day Client begins using any part of the System or Cloud Services in a live

production environment.

m. “Hardware” means any computer hardware (including, as applicable, embedded or bundled third-party

software provided as a component of such hardware) identified in an Order Form to be purchased by Client from

Prospective Contractor.


.

n. “Licensed Software” means the object code version of computer programs developed by Prospective

Contractor listed in Section I of an Order Form, including Updates furnished to Client by Prospective Contractor

pursuant to this Agreement or any Order Form, but excluding all Sublicensed Software or third-party software.

o. “Order Form” means a work authorization executed by the Parties from time to time, including the Order

Forms(s) attached hereto setting forth the items being purchased by the Client, scope of use, pricing, payment

terms and any other relevant terms, which will be a part of and be governed by the terms and conditions of this

Agreement.

p. “Patient/Client Census” means the number of patients or clients that Client is treating, calculated as described

in the applicable Order Form.

q. “Permitted User” means an authorized user of the Licensed Software, Sublicensed Software, and/or Cloud

Services as described in the applicable Order Form.

r. “Professional Services” means, collectively, the implementation, installation, data conversion, validation, or

training services provided by Prospective Contractor under or in connection with this Agreement.

s. “Program Error” means an error or bug preventing the Licensed Software from operating in accordance with

the Documentation in all material respects.

t. “Regulated Licensed Software” means Licensed Software that is subject to the 510(k) clearance requirements

as promulgated by the United States Food and Drug Administration.

u. “Services” means the Cloud Services, Professional Services and the Support Services set forth in an Order

Form.

v. “Site” means each of the Client facility or facilities specified in an Order Form and for whom Client (a) owns

at least 50%, or (b) has the right to determine management direction.

w. “Support Services” shall mean the services to keep the Licensed Software in working order and to sustain

useful life of the Licensed Software, including Updates and specified in an Order Form.

x. “Sublicensed Software” shall mean those programs provided to Prospective Contractor by a third-party, which

Prospective Contractor sublicenses to Client hereunder, for use with the Licensed Software or Cloud Services,

and any Updates thereto, provided to Client by Prospective Contractor under the terms of this Agreement or as

identified in any Order Form.

y. “System” shall mean the Licensed Software (all or less than all of the Licensed Software) and Sublicensed

Software, if any, and any Updates thereto.

z. “Test Scripts” means Prospective Contractor’s test scripts designed by Prospective Contractor to assist in

Client’s Validation of certain Regulated Licensed Software.

aa. “Update” means any error corrections, bug fixes, enhancements, and/or new features to the Licensed Software

or Test Scripts that Prospective Contractor makes generally commercially available to its clients who have a

current Maintenance and Support Agreement. Updates do not include modules, scripts, or software that

Prospective Contractor prices or markets separately.

bb. “Upgrade” means the provision of any error corrections, bug fixes, enhancements, and/or new features to the

Cloud Services that Prospective Contractor makes generally commercially available to its clients who have

current Cloud Services subscriptions. Upgrades do not include modules or features that Prospective Contractor

prices and markets separately.


.

cc. “Validation” means the procedure performed by Client to validate the Licensed Software pursuant to certain

rules and regulations promulgated by the Food and Drug Administration.

dd. “Warranty Period” means either the period set forth in an Order Form, or if not specified, twelve months from

the execution of the applicable Order Form.

ee. “Work Product” means any technology, documentation, software, procedures developed, conceived or

introduced by Prospective Contractor in the course of Prospective Contractor performing Services, whether

acting alone or in conjunction with Client or its employees, Permitted Users, affiliates or others, designs,

inventions, methodologies, techniques, discoveries, know-how, show-how and works of authorship, and all

United States and foreign patents issued or issuable thereon, all copyrights and other rights in works of

authorship, collections and arrangements of data, mask work rights, trade secrets on a world-wide basis,

trademarks, trade names, and other forms of corporate or product identification, and any division, continuation,

modification, enhancement, derivative work or license of any of the foregoing.


.

EXHIBIT B

PROSPECTIVE CONTRACTOR CLOUD SERVICES SUPPORT TERMS

This Exhibit B sets forth certain Prospective Contractor Cloud Services support requirements. From time-to-time, these

obligations may change upon notice by Prospective Contractor to Client. This Exhibit B only applies to Cloud Services.

This Exhibit does not apply to Licensed Software.

1. DEFINITIONS.

1.1. “Access Protocols” means industry standard internet access protocols through which Prospective Contractor

makes the Cloud Services accessible to the Client which includes, unless otherwise specified by the product or

service contract for, HTTPS and FTPS.

1.2. “Core System Functionality” means functionality that does require real time availability for effective use of

Cloud Services. Core system functionality includes all features required to commence a user session and

performs end user operations, including create, read, update and delete operations “Scheduled Downtime”

means the total amount of time.

1.3. “Non-Core System Functionality” means functionality that does not require real time availability for effective

use of the Cloud Services. This explicitly includes, but is not limited to, reporting and background batch

processing.

1.4. “Scheduled Downtime” means the time which the Core System Functionality is unavailable for access to

Client’s active Permitted Users according to the Access Protocols, due to scheduled system maintenance

performed by or on behalf of Prospective Contractor.

1.5. “Unscheduled Downtime” means the time during which the Core System Functionality is unavailable for

access by Client’s Permitted Users according to the Access Protocols, other than for Scheduled Downtime and

the exceptions otherwise stated in the Agreement. Unscheduled Downtime will not include, without limitation,

any downtime arising from: (i) Client’s breach of any provision of the Agreement; (ii) non-compliance by Client

with any provision of the Agreement; (iii) incompatibility of Client’s equipment or software with the Cloud

Services; (iv) poor or inadequate performance of Client’s systems; (v) Client’s equipment failures; (vi) acts or

omissions of Client or its Permitted Users, contractors or suppliers; (vii) telecommunication or transportation

difficulties; (viii) Client’s network and internet service provider, (ix) public internet, (x) security exposure, or

(xi) force majeure (as described in the Agreement).

2. TERM.

UNLESS OTHERWISE SET FORTH IN AN ORDER FORM, SUPPORT FOR THE CLOUD SERVICES ARE

AVAILABLE AS OF THE EFFECTIVE DATE OF THE APPLICABLE ORDER FORM(S) AND SHALL CONTINUE

UNTIL TERMINATION OF THE APPLICABLE CLOUD SERVICES AS PERMITTED IN THE AGREEMENT

AND/OR THE APPLICABLE ORDER FORM.

3. TELEPHONE SUPPORT.

Prospective Contractor shall provide telephone and portal issue support to assist Client with the use of the Cloud Services

and to assist with issue resolution during the term of this Agreement. The portal support will be available 24 hours a

day and telephone support will be available during the hours posted by Prospective Contractor.

4. AVAILABILITY.

After First Productive Use and during the Term, Prospective Contractor shall use commercially reasonable efforts to

provide the Cloud Services via the Internet twenty-four (24) hours a day, seven (7) days a week, in accordance with the

terms of the Agreement.


.

Periodically, Prospective Contractor will require Scheduled Downtime. Scheduled Downtime will normally be scheduled

outside of normal business hours, with twenty-four (24) hours’ notice, or in the event of a more urgent need Prospective

Contractor may give less notice to resolve an immediate security need. It is anticipated that there will be weekly

scheduled downtime for system maintenance, Prospective Contractor will post the standard downtime publicly for all

Prospective Contractor clients.

Client acknowledges and agrees that, from time to time, the Cloud Services may be inaccessible or inoperable for the

following reasons: (i) equipment malfunctions; (ii) periodic maintenance; or (iii) catastrophic events beyond the control

of Prospective Contractor or that are not reasonably foreseeable by Prospective Contractor, including interruption or

failure of telecommunication or digital communication links or hostile network attacks. Client shall report any

Unscheduled Downtime by calling Prospective Contractor client support with the provided support number within one

(1) day of its occurrence.

5. UPGRADES.

During the Term of the Cloud Services, Prospective Contractor may make Upgrades available to Client pursuant to

Prospective Contractor’s standard release cycle. Prospective Contractor reserves the right to determine the content and

availability of all Cloud Services, including without limitation, Upgrades. Any enhancements or additions made to an

interface as requested by Client are not part of this Exhibit B and may increase the monthly charge by an amount which

reflects the extent of the change. Documentation updates shall generally be distributed to Client with each Upgrade.

6. INTERNET CONNECTION DEPENDENCE.

The performance and availability of the Cloud Services are directly dependent upon the quality of Client’s Internet

connection. Prospective Contractor will aid the Client in determining the quality of their Internet connection via the use

of tools designed to measure throughput. This information may then be used to make an informed decision by Client

regarding Internet Service Provider (“ISP”) selection. Failure of the Client’s Internet connection to maintain satisfactory

throughput and latency is outside the scope of Prospective Contractor’s responsibility and should be addressed by Client

directly with the ISP. Prospective Contractor cannot be held responsible for Internet infrastructure failures.


.

EXHIBIT C

LICENSED SOFTWARE SUPPORT TERMS

This Exhibit C sets forth certain Prospective Contractor Licensed Software support terms. From time-to-time, these

obligations may change upon notice by Prospective Contractor to Client. This Exhibit C only applies to Licensed

Software. This Exhibit does not apply to Cloud Services.

1. TERM.

UNLESS OTHERWISE SET FORTH IN AN ORDER FORM, SUPPORT SERVICES ARE EFFECTIVE FOR AN

INITIAL TERM OF THREE (3) YEARS BEGINNING ON THE EFFECTIVE DATE OF THE ORDER FORM (THE

“SUPPORT EFFECTIVE DATE”) AND SHALL AUTOMATICALLY RENEW FOR CONSECUTIVE ONE (1)

YEAR TERMS UNLESS NOTICE OF NON-RENEWAL IS SENT BY ONE PARTY TO THE OTHER PARTY NOT

LESS THAN 90 DAYS PRIOR TO THE END OF THE THEN-CURRENT SUPPORT TERM (THE “TERM”).

2. SERVICE REINSTATEMENT.

In the event Support is allowed to lapse (other than for breach by Prospective Contractor) and is later reinstated, Client

shall be required to pay a reinstatement charge of Ten Thousand Dollars ($10,000), plus back charges for all months that

Support lapsed, including appropriate late charges. Client may be responsible for expenses incurred to inspect Hardware

or reload Licensed Software to the current release version after any lapse in Support.

3. SERVICES PROVIDED.

Prospective Contractor shall provide standard support services for supporting Client’s live productive use of the Licensed

Software set forth on an applicable Order Form on the Designated Platform. For purposes of Support, “standard support

services” shall include using commercially reasonable efforts to repair or provide a work around for all reproduceable

Program Errors. Standard support services shall also include providing Updates. So long as Client is current in Support

fees and Client complies with the terms and conditions of the Agreement, the Licensed Software shall operate in

accordance with the Documentation, in all material respects.

4. TELEPHONE SUPPORT.

a. Priority Levels. Client may request, and Prospective Contractor shall provide, reasonable technical

consultation by telephone 24 hours a day, 365 days of a year. Prospective Contractor shall maintain a log of

technical consultation requests in a tracking system and a unique number shall be assigned to Client’s request.

That unique number shall be provided to Client for reference and communication. Prospective Contractor shall

assign to technical consultation requests one of three levels of priority:

i. Level 1 is the most severe Program Error and represents a situation where all features and functions of

the Licensed Software are unavailable and no practical alternate mode of operation is available.

Prospective Contractor shall use commercially reasonable efforts to answer or return Level 1 calls

within four (4) hours.

ii. Level 2 indicates a problem in which certain features and functionality are not available and no practical

alternate mode of operation is available. Priority 2 requests will be assigned to the next available

programmer.

iii. Level 3 is the normal next-in-line priority assignment. Priority 3 requests will be worked on in the

order in which they are received.


.

b. Problem Resolution. Prospective Contractor shall provide technical consultation solutions to Level 1, Level 2

and Level 3 issues as quickly as reasonably possible, in light of the problem. If a Level 1 or Level 2 issue

requires a change to the Licensed Software, the change will be sent to Client as soon as available. If a Level 3

issue requires a change to the software, the change will be provided in a regularly scheduled Update.

c. Service Location. Prospective Contractor shall provide technical consultation from its business premises,

except that Prospective Contractor, at its own discretion, may dispatch a technical services representative to

Client’s facility for all Program Errors that Prospective Contractor is unable to correct by providing technical

consultation from Prospective Contractor’s premises.

5. UPDATE.

During the Term of this Exhibit C, Prospective Contractor may make Updates available to Client. Prospective Contractor

reserves the right to determine the content and availability of all software, including without limitation, Updates. Any

enhancements or additions made to an interface as requested by Client are not part of this Exhibit C and may increase the

monthly charge by an amount which reflects the extent of the change. Documentation updates shall generally be

distributed to Client with each Update. All Updates may be loaded only based upon instructions provided by Prospective

Contractor’s client service personnel. Prospective Contractor must be notified, in writing, before the loading of operating

system software updates, third-party software updates or installing new hardware to the System. Prospective Contractor

shall provide assistance by telephone during normal business hours.

6. CLIENT PARTICIPATION.

Prospective Contractor’s obligations are conditioned on Client fulfilling its obligations hereunder, including, without

limitation:

a. Providing Prospective Contractor with all information and assistance necessary to detect, simulate or reproduce

and correct any Program Errors.

b. Providing Prospective Contractor access to the System and its related operating environment for the purpose

of providing Prospective Contractor services;

c. Causing all equipment and facilities which are used in connection with the operation or security of System and

Hardware to be maintained properly and in good operating condition as specified by the applicable

manufacturer. All charges for such media and services shall be the sole responsibility of Client.

d. Maintaining regular back-ups of data files, application source code (if applicable) and operating system

software.

e. Strict compliance with the terms and conditions of the Agreement, including without limitation, the terms and

restrictions on the license grant.


.

EXHIBIT D

BUSINESS ASSOCIATE/DATA USE AGREEMENT

BACKGROUND

A. Covered Entity and Prospective Contractor have entered into the Agreement, pursuant to which Covered Entity has

licensed software from Business Associate and Business Associate provides implementation, maintenance, support,

and other services to Covered Entity.

B. Covered Entity possesses Protected Health Information that is protected under the Health Insurance Portability and

Accountability Act of 1996 (Public Law 104-191) and the regulations promulgated thereunder by the United States

Department of Health and Human Services (collectively, “HIPAA”), and is permitted to use or disclose such

Protected Health Information only in accordance with HIPAA and the Regulations.

C. Business Associate may have access to and may receive Protected Health Information from Covered Entity in

connection with its performance of services under the Agreement. The Agreement may from time to time require the

Business Associate’s receipt, Use, and/or Disclosure of Protected Health Information (PHI) from Covered Entity.

D. The provisions of this BAA are intended in their totality to implement the HIPAA regulations as they concern

Business Associate Agreements. The provisions of the Agreement will remain in full force and effect and are

amended by this BAA only to the extent necessary to effectuate the provisions set forth herein.

TERMS

1. Definitions. All capitalized terms used but not otherwise defined in this BAA shall have the same meaning as those

terms in the Regulations.

a. Business Associate shall mean Prospective Contractor.

b. Covered Entity shall mean Client.

c. Individual shall have the same meaning as the term “individual” in 45 CFR § 160.103 of the

Regulations and shall include a person who qualifies as a personal representative in accordance with

45 CFR § 164.502(g) of the Regulations.

d. Regulations shall mean the Standards for Privacy of Individually Identifiable Health Information at 45

CFR Part 160 and Part 164, Subparts A and E, Security Standards for the Protection of Electronic

Protected Health Information at 45 CFR Part 160 and Part 164, Subparts A and C; 45 CFR § 164.314,

and the Health Information Technology for Economic and Clinical Health Act (HITECH), as it directly

applies, as in effect on the date of this BAA.

e. Protected Health Information shall have the same meaning as the term “protected health information”

in 45 CFR § 160.103, limited to the information created or received by Business Associate from or on

behalf of Covered Entity.

f. Required by Law shall have the same meaning as the term “required by law” in 45 CFR § 164.103 of

the Regulations.

g. Secretary shall mean the Secretary of the Department of Health and Human Services or his/her

designee.

h. Security Incident shall have the same meaning given to such term in 45 CFR § 164.304, but shall not

include (i) unsuccessful attempts to penetrate computer networks or servers maintained by Business

Associate; and (ii) immaterial incidents that occur on a routine basis, such as general “pinging” or

“denial of service” attacks, that do not result in the system being taken offline.

2. Obligations and Activities of Business Associate.

a. Business Associate agrees to comply with the requirements of the Privacy and Security Rules directly applicable

to Business Associates through the HITECH Act.


.

b. Business Associate agrees to not use or disclose Protected Health Information other than as permitted or required

by this BAA, the Privacy and Security Rules, the Agreement, or as required by law. Such disclosures shall be

consistent with the “minimum necessary” requirements of the Regulations.

c. Business Associate agrees to use reasonable and appropriate safeguards to protect against the use or disclosure

of the Protected Health Information other than as provided for by this BAA or the Agreement.

d. Business Associate agrees to mitigate, to the extent reasonably practicable, any harmful effect that is known to

Business Associate of a use or disclosure of Protected Health Information by Business Associate in violation of

the requirements of this BAA.

e. Business Associate agrees to report to Covered Entity any use or disclosure of the Protected Health Information

not provided for by the BAA of which it becomes aware.

f. Business Associate shall notify Covered Entity of a breach of the Privacy Rule relating to the impermissible use

or disclosure of Protected Health Information provided to the Business Associate for purposes of carrying out

its obligations under the Agreement. Unless otherwise required by law or agreed to by the parties, it shall be the

responsibility of Covered Entity to communicate with affected individual(s), the Secretary and the media

information regarding the unintended use or disclosure.

g. Business Associate agrees to ensure that any agent, including a subcontractor, to whom it provides Protected

Health Information received from, or created or received by Business Associate on behalf of Covered Entity

agrees to the same or similar restrictions and conditions that apply through this BAA to Business Associate with

respect to such information.

h. If Business Associate maintains Protected Health Information in a Designated Record Set for Covered Entity,

Business Associate agrees to provide access, at the request of Covered Entity, and in the time and manner

mutually agreed upon by the parties, to Protected Health Information in a Designated Record Set, to Covered

Entity or, as directed by Covered Entity, to an Individual in order to meet the requirements under 45 CFR

§ 164.524 of the Regulations. In the event a request for access is delivered directly to Business Associate by an

Individual, Business Associate shall as soon as possible, forward the request to Covered Entity.

i. If Business Associate maintains Protected Health Information in a Designated Record Set for Covered Entity,

Business Associate agrees to make any amendment(s) to Protected Health Information in a Designated Record

Set that the Covered Entity directs or agrees to pursuant to 45 CFR § 164.526 of the Regulations at the request

of Covered Entity or an Individual, and in the time and manner mutually agreed upon by the parties. In the event

a request for amendment is delivered directly to Business Associate by an Individual, Business Associate shall

as soon as possible, forward the request to Covered Entity.

j. Business Associate agrees to make internal practices, books, and records, including policies and procedures and

Protected Health Information, relating to the use and disclosure of Protected Health Information received from,

or created or received by Business Associate on behalf of Covered Entity available to the Secretary, in a time

and manner reasonably designated by Secretary, for purposes of the Secretary determining Covered Entity's

compliance with the Regulations.

k. Business Associate agrees to document such disclosures of Protected Health Information and information related

to such disclosures as would be required for Covered Entity to respond to a request by an Individual for an

accounting of disclosures of Protected Health Information in accordance with 45 CFR § 164.528 of the

Regulations.

l. Business Associate agrees to provide to Covered Entity or an Individual, in time and manner mutually agreed,

information collected in accordance with Section 2(k) of this BAA, to permit Covered Entity to respond to a

request by an Individual for an accounting of disclosures of Protected Health Information in accordance with 45

CFR § 164.528 of the Regulations. In the event a request for accounting is delivered directly to Business

Associate by an Individual, Business Associate shall as soon as possible, forward the request to Covered Entity.

m. Notwithstanding anything to the contrary in the Agreement, any reporting or notification obligations of Business

Associate pursuant to this BAA shall be provided to Covered Entity’s registered email address and shall satisfy

any such reporting or notification requirements under this BAA.

3. Permitted Uses and Disclosures by Business Associate.

a. Except as otherwise limited in this BAA, Business Associate may use or disclose Protected Health Information

to perform functions, activities or services for, or on behalf of, Covered Entity in connection with the BAA and

any other agreements in effect between Covered Entity and Business Associate, including without limitation the

provision of software implementation and support services, provided that such use or disclosure would not

violate the Regulations if done by Covered Entity.


.

b. Except as otherwise expressly limited in this BAA, Business Associate may use Protected Health Information

for the proper management and administration of Business Associate or to carry out the legal responsibilities of

Business Associate.

c. Except as otherwise expressly limited in this BAA, Business Associate may disclose Protected Health

Information for disclosures that are Required By Law, or if Business Associate obtains reasonable assurances

from the person to whom the information is disclosed that it will remain confidential and used or further

disclosed only as Required By Law or for the purpose for which it was disclosed to the person, and the person

notifies the Business Associate of any instances of which it is aware in which the confidentiality of the

information has been breached.

d. Except as otherwise expressly limited in this BAA, Business Associate may use Protected Health Information

to provide Data Aggregation services to Covered Entity as permitted by 45 CFR § 164.504(e)(2)(i)(B).

e. Business Associate may de-identify any PHI, provided such de-identification conforms to the requirements of

45 CFR § 164.514(b), including without limitation any documentation requirements. Business Associate may

Use or Disclose such de-identified information as its discretion, as such de-identified information does not

constitute PHI and is not subject to the terms of this BAA; provided that such Use or Disclosure is consistent

with the underlying Agreement and applicable law.

f. Business Associate may use Protected Health Information to report violations of law to appropriate Federal and

State authorities, consistent with 45 CFR § 164.502(j)(1).

g. Business Associate may access, use and disclose PHI for any purposes set forth herein, including patient

matching and claims data sharing, to facilitate billing, payments or claims related activities by any insurance

provider, payer or similar third party to Covered Entity. Business Associate may aggregate PHI with other

covered entity data for the creation and maintenance of consumer or patient health records.

4. Obligations of Covered Entity.

a. Covered Entity shall notify Business Associate of any limitation(s) in the notice of privacy practices of Covered

Entity under 45 CFR § 164.520, to the extent that such limitation may affect Business Associate’s use or

disclosure of protected health information.

b. Covered Entity shall notify Business Associate of any changes in or revocation of, the permission by an

individual to use or disclose his or her protected health information, to the extent that such changes may affect

the Business Associate’s use or disclosure of protected health information.

c. Covered Entity shall notify Business Associate of any restriction on the use or disclosure of protected health

information that Covered Entity has agreed to or is required to abide by under 45 CFR § 164.522, to the extent

that such restriction may affect Business Associate’s user or disclosure of protected health information.

d. Covered Entity shall not request Business Associate to use or disclose protected health information in any

manner that would not be permissible under Subpart E of 45 CFR Part 164 if done by Covered Entity.

e. Covered Entity represents and warrants it has obtained all necessary patient consents and authorizations for

Business Associate’s access, use, and disclosure of PHI as set forth herein. Covered Entity shall defend,

indemnify, and hold Business Associate and its officers, directors, and employees harmless from and against

any third-party claims, suits, liabilities, obligations, judgments, and causes of action and associated costs and

expenses (including reasonable attorneys’ fees) arising out of or resulting from Covered Entity’s failure to obtain

such consents or authorizations.

5. Electronic Data Security. Business Associate agrees to implement administrative, physical and technical

safeguards that reasonably and appropriately protect the confidentiality, integrity, and availability of any electronic

Protected Health Information that it creates, receives, maintains or transmits to or on behalf of Covered Entity as required

by the Regulations. Business Associate further agrees to ensure that any agent, including a subcontractor, to whom it

provides such information, agrees to implement reasonable and appropriate safeguards to protect it. Business Associate

agrees to promptly report to Covered Entity any security incident of which it becomes aware.

6. Termination.

a. Except as otherwise provided herein, this BAA shall terminate upon termination of the Agreement.

b. Termination for Cause. Upon Covered Entity's knowledge of a material breach by Business Associate of this

BAA, Covered Entity may:

1. Provide a reasonable opportunity for Business Associate to cure the material breach or end the material

violation and if Business Associate does not cure the material breach or end the material violation


.

within a reasonable time, Covered Entity may terminate this BAA and the provisions of the Agreement

that require or permit Business Associate to access Protected Health Information;

2. If Business Associate has breached a material term of this BAA and cure is not possible, immediately

terminate this BAA and the provisions of the Agreement that require or permit Business Associate to

access Protected Health Information; or

3. If neither termination nor cure is feasible, report the violation to the Secretary.

If Covered Entity breaches, Business Associate may terminate this BAA and any Underlying Agreement 30

days after written notice.

c. Effect of Termination.

1. Except as provided in paragraph (2) of this section, upon termination of this BAA, for any reason,

Business Associate shall return or destroy all Protected Health Information received from Covered

Entity or created or received by Business Associate on behalf of Covered Entity. This provision shall

apply to Protected Health Information that is in the possession of subcontractors or agents of Business

Associate. Business Associate shall retain no copies of the Protected Health Information.

2. In the event that Business Associate determines that returning or destroying the Protected Health

Information is infeasible, Business Associate shall provide to Covered Entity notification of the

conditions that make return or destruction infeasible. In such event, Business Associate shall extend

the protections of this BAA to such Protected Health Information and limit further uses and disclosures

of such Protected Health Information to those purposes that make the return or destruction infeasible,

for so long as Business Associate maintains such Protected Health Information. Except as provided

herein, any termination of the maintenance program or provisions of the Agreement that permit

Business Associate to access Protected Health Information shall not affect the parties’ other obligations

or rights under the Agreement.

7. Miscellaneous.

a. Changes to Regulations. If the Regulations are amended in a manner that would alter the obligations of

Prospective Contractor as set forth in this BAA, then the parties agree in good faith to negotiate mutually

acceptable changes to the terms set forth in this BAA.

b. Survival. The respective rights and obligations of Business Associate under Section 6(c) of this BAA shall

survive the termination of this BAA.

c. Minimum Necessary. Covered Entity shall only provide a minimum amount of Protected Health Information

necessary for the Business Associate to satisfy its obligations under the Agreement.

d. Interpretation. Any ambiguity in this BAA shall be resolved to permit compliance with the Regulations.

e. Incorporation. Except for Covered Entity, no third-party may rely on the terms, conditions, rights, remedies, or

obligations hereunder. The terms of this BAA are fully incorporated in and subject to the terms of the

Agreement.

f. Governing Law. The choice of law and venue applicable to this BAA shall be the same as the choice of law

and venue that are applicable to the Agreement



Attachment 3: EO 98-04: Contract and Grant Disclosure Form

On the pages following, prospective contractor has provided the signed Contract and Grant Disclosure Form. Page

numbering is non-sequential.

CONTRACT AND GRANT DISCLOSURE AND CERTIFICATION FORMFailure to complete all of the following information may result in a delay in obtaining a contract, lease, purchase agreement, or grant award with any Arkansas State Agency. SUBCONTRACTOR SUBCONTRACTOR NAME

Yes No IS THIS FOR:

TAXPAYER ID NAME: Goods? Services? Both?

YOUR LAST NAME: FIRST NAME: M.I.:

ADDRESS:

CITY: STATE: ZIP CODE: COUNTRY:

AS A CONDITION OF OBTAINING, EXTENDING, AMENDING, OR RENEWING A CONTRACT, LEASE, PURCHASE AGREEMENT, OR GRANT AWARD WITH ANY ARKANSAS STATE AGENCY, THE FOLLOWING INFORMATION MUST BE DISCLOSED:

F O R I N D I V I D U A L S *Indicate below if: you, your spouse or the brother, sister, parent, or child of you or your spouse is a current or former: member of the General Assembly, Constitutional Officer, State Board or Commission Member, or State Employee:

Mark (√) For How Long? What is the person(s) name and how are they related to you? [i.e., Jane Q. Public, spouse, John Q. Public, Jr., child, etc.] Position Held

Current Former

Name of Position of Job Held [senator, representative, name of

board/ commission, data entry, etc.] From MM/YY

To MM/YY Person’s Name(s) Relation

General Assembly

Constitutional Officer State Board or Commission Member State Employee

None of the above applies

F O R A N E N T I T Y ( B U S I N E S S ) *Indicate below if any of the following persons, current or former, hold any position of control or hold any ownership interest of 10% or greater in the entity: member of the General Assembly, Constitutional Officer, State Board or Commission Member, State Employee, or the spouse, brother, sister, parent, or child of a member of the General Assembly, Constitutional Officer, State Board or Commission Member, or State Employee. Position of control means the power to direct the purchasing policies or influence the management of the entity.

Mark (√) For How Long? What is the person(s) name and what is his/her % of ownership interest and/or what is his/her position of control?Position Held

Current Former

Name of Position of Job Held [senator, representative, name of

board/commission, data entry, etc.] From MM/YY

To MM/YY Person’s Name(s) Ownership

Interest (%) Position of

Control

General Assembly

Constitutional Officer State Board or Commission Member State Employee

None of the above applies

WellSky Corporation

WellSky Corporation

11300 Switzer Road

Overland Park KS 66210 USA

★

★

DocuSign Envelope ID: 9D4B10FB-E959-447B-8DC3-54FC77944DD7



Attachment 4: Copy of Prospective Contractor’s Equal Opportunity Policy

On the pages following, prospective contractor has provided its Equal Opportunity Policy. Page numbering is non-

sequential.

Equal Employment Opportunity Policy

It is the policy of Prospective Contractor and its subsidiaries to recruit, hire, train, and promote teammates based solely upon individual qualifications and performance and to provide equal employment opportunity. No decision regarding employment will be made on the basis of race, color, national origin, ancestry, citizenship, age, religion, gender, sex, sexual orientation, gender identity, gender expression, marital status, pregnancy, physical or mental disability, protected medical condition, genetic information, military service, veteran status, or any other status or characteristic protected by law.

Prospective Contractor will not take any adverse action against, or retaliate against, anyone who complains of prohibited discrimination or unequal treatment, or otherwise participates in any investigation of discriminatory treatment in violation of this policy.

Prospective Contractor is committed to building and maintaining a diverse work environment where our teammates feel valued and are empowered to bring innovation to the table. Attracting and sustaining teammates from all backgrounds, perspectives, and life experiences helps us to serve and fulfill the promise we make to our communities. Prospective Contractor has a zero-tolerance policy for workplace discrimination and harassment. This policy applies not only to Prospective Contractor teammates, but also applies to Prospective Contractor clients, vendors, and guests.

Any teammate that believes he or she has been subjected to unlawful discrimination should report the alleged conduct to the Sr. Vice President of People & Talent or the General Counsel. For information, please see the complaint procedures contained in the Anti-Harassment & Respectful Workplace Policy.

Senior Vice President of People & Talent can be reached at (913) 307-1080.

1.2021



Attachment 5: Signed addenda

On the pages following, prospective contractor has provided signed copies of the two addenda issued for this solicitation.

Page numbering is non-sequential.



Attachment 6: Project Team Resumes

On the pages following, prospective contractor has provided deidentified resumes for proposed project team members.

Page numbering is non-sequential.

Project Manager

- 1 -

BACKGROUND

Project Manager has been with Prospective Contractor for over 7 years. In

addition, Project Manager has more than 4 years of experience at the AAA level

with Title IIIB, IIIC, IIIE, and IIID Programs, NAPIS reporting, Provider

management, and RFP processes. Project Manager has experience assisting

and supporting customers in successfully achieving their goals and objectives.

They specialize in understanding strategic planning and business operations,

defining customer needs and requirements, identifying resolutions and

coordinating the necessary resources to achieve success. Project Manager is

also a certified Project Management Professional (PMP).

PROSPECTIVE CONTRACTOR EXPERIENCE

PROJECT MANAGER: 02/2013 – Present

Project Manager, State DDDS: 12/2015 – Present

Project Manager coordinated a project to implement multiple Prospective

Contractor solutions to meet the needs of the Division of Services for Aging and

Adults with Physical Disabilities (DSAAPD) and the Division of Developmental

Disabilities Services (DDDS) for Aging & Adult Services, Adult Protective

Services, and Incident Management programs. In addition, a custom MCI

Interface integration was developed to meet DSAAPD’s client information

management and reporting requirements.

Project Manager, Department on Aging: 5/2016 – 11/2017

Project Manager served as the Project Manager for a Phase II project in IA that

included additional roll-out of Prospective Contractor Aging and Disability to

Case Managers and the Nutrition Program, implementation of Mobile

Assessments, and additional deployment of Advanced Reporting for the AAA’s

under the IDA.

Project Manager and Business Analyst, Department on Aging: 10/2015 –

9/2016

Project Manager coordinated a project to implement Prospective Contractor’s

Solutions to meet client’s information management and reporting requirements.

Project Manager also filled the Business Analyst role and completed business

process analysis, requirements verification, administrative configuration, testing,

training, consultation, and deployment support for the successful deployment of

the project.

Enhanced Services Project Manager/Business Analyst and Trainer, State

Aging & Long Term Services Division: 6/2015 – Present

The agency contracts with Prospective Contractor to provide enhanced

services. The Enhanced Services contract is an on-going contract in which

funds/hours can be used at the discretion of agency for any implementation

EXPERIENCE SNAPSHOT

INDUSTRY EXPERTISE

• NAPIS Reporting

• Aging and In-Home

Services

• Case Management

• Health & Human Services

• AAA Business Process

• interRAI Assessments

• APS Business Process

• Incident Management

Business Process

TECHNICAL SPECIALIZATIONS

• Project Management

• Project Planning

• Quality Management

• Functional Analysis

• Business Process Analysis

• Requirements Gathering

• Training

• Documentation

• Account Management

• Customer Communication & Retention

Prospective Contractor.com - 2 -

services. Project Manager coordinated and managed all activities under this

enhanced services agreement.

Project Manager/Business Analyst and Trainer, Regional Commission:

6/2014 – 6/2016

As Project Manager, Business Analyst, and Trainer, Project Manager

coordinated a project to implement the above noted Prospective Contractor

products that assisted the agency in reducing duplicate data entry into multiple

other systems and meeting the Agency’s client information management and

reporting requirements. Project Manager provided business process analysis,

requirements verification, configuration, testing, training, consultation, and

deployment support for the implementation of the project.

OTHER EXPERIENCE

County of San Bernardino Aging & Adult Services – Staff Analyst:

08/2006 – 01/2011

As a Staff Analyst, Project Manager’s duties encompassed performing a variety

of research studies that involved administrative, organizational, budgetary or

legislative grant or contract matters; providing technical data and assistance;

recommending policies, procedures, systems, and methods for the

improvement of the operations, services, or programs of the Department.

Project Manager managed contracts for the Older American’s Act funded

Elderly Nutrition, Senior Supportive Services, Family Caregiver Support, and

Fall Prevention Programs and was responsible for the administration of the

Departments case management system. In addition, Project Manager was

responsible for gathering, maintaining, analyzing, and reporting all Aging

aggregate and client level demographic and service unit data to the State unit

on aging

EDUCATION

Bachelor of Science Degree in Business Administration – California State

University, San Bernardino (2005)

TRAINING AND CERTIFICATIONS

Professional Certificate, Project Management, 4.0 – University of California

Riverside Extension (Completed 12/2013)

Project Management Professional (PMP) – February 2014 - Present

Implementation Consultant

- 1 -

BACKGROUND

Implementation Consultant has extensive IT experience leading all aspects of

large-scale, complex software implementations from requirements gathering to

go-live across a wide variety of Industries and COTS products. They has more

than 15 years of IT experience and has been with Prospective Contractor more

than a year leading a state-wide waiver consumer case and provider

management implementation for multiple programs. Implementation Consultant

is seasoned in functional and business process analysis, requirements

gathering and documentation, application configuration, training, and client

support.


State Unit on Aging – 12/2018 to Present

Implementation Consultant is currently leading the Area Plans and Case

Management implementation efforts in the State Unit on Aging and 11 AAA’s,

which includes business workflow requirements gathering, analysis,

configuration, testing, training, consultation, and documentation.

Division of Aging Services – 2/2018 to 12/2018

Implementation Consultant led a post implementation customer care project for

the State where they met with leaders of each program within the Division of

Aging Services to discuss post implementation pain points. They documented

and catalogued the concerns for each business unit: Adult Protective Services

(APS), Aging and Disability Resource Connection (ADRC), Public Guardianship

Office (PGO), and Home and Community Based Services (HCBS). They also

met with 6 out of 12 Area Agencies on Aging throughout the state to document

their concerns. A plan was then derived to address the issues at hand. State

was in the process of going live with the solution and once the post

implementation customer care project was on track Implementation Consultant

began assisting the state and AAA’s with troubleshooting Area Plan Budget and

reimbursement issues.

Division of Senior and Disabilities Services - 9/2014 to 2/2018

As Lead Functional Analyst, Implementation Consultant provided business

process analysis, requirements verification, configuration, testing, training,

consultation, and deployment support for the implementation of Prospective

Contractor Solution onsite and remote. They became an expert in the all waiver

workflows but also has specialized focus on requirements, workflow design, and

testing for the IDD process, Developmental Disability waitlist, and Individualized

Service Plans (Plans of Care), which included plan validation testing.

EXPERIENCE SNAPSHOT

INDUSTRY EXPERTISE

• Medicaid Waiver

• Intellectual Disabilities

• Older Americans Act

• Information & Referral

• Aging and In-Home Services

• Case Management

• Financial – Insurance Industry

• Financial – Automotive Industry

• Financial – State Government

• Financial – Bank Lending

• U.S. Department of State -

Consular Services

• U.S. Department of Defense –

Army


• Project Implementation

• Functional Analysis

• Business Process Analysis

• Requirements Gathering

• Requirements Documentation

• Application Configuration

• Technical Support

• Training

• Technical Writing

• Report Requirements

• Customer Support



OTHER EXPERIENCE

Implementation Lead / Functional Analyst, FICO (04/2011 – 08/2014)

Customers: Hyundai Financial, Optum Health Financial, Barclay’s Bank,

Citibank, First Hawaiian Bank, State of Oregon-Department of Human

Services

As Lead Functional Analyst, Implementation Consultant provided business

process analysis, requirements verification, configuration, testing, training,

consultation, and deployment support for the implementation of highly

configurable Debt Collection software onsite and remote.

U.S. Department of Defence – Army (03/2010 to 04/2011)

As a IT Customer Liaison and Deputy Team Lead on the Requirements

Analysis Team, Implementation Consultant coordinated with agency’s

Information Management Officer (IMO) to collect, validate, manage, and satisfy

user requirements for hardware, software, networks, infrastructure, user

accounts, telecommunications, video teleconferencing (VTC) capabilities, and

other IT-related services.

U.S Department of State – Consular Services (10/2004 to 03/2010)

As a Senior Systems Analyst and Deployment Manager, Implementation

Consultant analyzed and ordered needed equipment for trips, created trip plans

prior to the trip and reported finding upon return. They performed all

Deployment Management tasks, which included leading a team in the field,

setting up and replacing all hardware components including workstations,

servers, printers, scanners, fingerprint devices, barcode scanners, and passport

readers. Implementation Consultant provided on-site training to al consular

user including Foreign Service Officers and locally employed staff members on

all consular applications.

Reynolds and Reynolds (07/2002 to 09/2004)

As a Technical Support Specialist for the Customer Relations Management

system, Implementation Consultant served as a single point of ownership for

customer issues and documented troubleshooting steps through resolution.

They diagnosed issues and assigned to the appropriate escalation resource if

first call resolution was not possible.

EDUCATION

Bachelors of Business Administration – Computer Science, Northwood University, Michigan (2000) Bachelors of Business Administration – International Business, Northwood University, Michigan (2000) Bachelors of Business Administration – Business Management, Northwood University, Michigan (2000)

Lead Technical Consultant

- 1 -

BACKGROUND

Lead Technical Consultant has over 27 years of experience in data research,

analysis and communication, custom interface development, testing,

documentation, and implementation. They have performed as a custom data

conversion lead for enterprise level software applications. They have

experience implementing HL7 interfaces for Electronic Record systems. They

have developed functional requirements, test software enhancements and lead

daily scrum meetings on an Agile software development team. They have also

trained users of varying backgrounds and skills in optimal use of software

interfaces and applications. They possess the ability to communicate complex

technical and process information to laypersons and professionals individually

and in groups. They are a proven analyst, problem solver, collaborative team

builder and leader.


Solution Engineer, Prospective Contractor -- 2016 to Present

As a Technical Lead, they handle data conversion and interfaces for enterprise

level software installations. They serve as the primary client contact for

technical issues, creating client facing training and technical documentation.

They collaborate with MMIS, other state agencies and private companies to

design, document, test and implement custom interface solutions and data

conversion projects. They perform as a Scrum Master/Product Owner for

agile/Kanban software development team.

OTHER EXPERIENCE

Business Analyst, Vermont Information Processing -- 2015 to 2016

As a Business Analyst, they developed functional requirements, tested software

enhancements and trained product users as part of an Agile software

development team. They collaborated extensively with developers, product

owners, internal and external users to identify and accurately document product

enhancements for development.

Technical Consultant/Interface Analyst, Allscripts -- 2012 to 2015

As a Technical Consultant, they implemented, troubleshot and tested over 100

HL7 interface projects connecting electronic health applications to Lab

Information Systems and third-party applications. They trained end users

(doctors, nurses and clinic staff) in the optimal use of interfaces and electronic

healthcare applications that improved their process for efficiency and a resulted

in seeing more patients.

EXPERIENCE SNAPSHOT

INDUSTRY EXPERTISE

• Medicaid Waiver and Claims

• Technical Liaison to Customers,

Agencies, Vendors and Users

• EHR Applications and

Interfaces

• CAMA Software Applications

• State and Municipal

Government Service


• Data Migration

• Custom and Standardized

Interface Design, Testing and

Implementation


• Requirements Documentation

• Technical Support

• Training

• Product Owner/Scrum Master

for development team


Researcher, Community-Based Food Systems Development -- 2011

As a Researcher, they researched market dynamics via e-mail, telephone, field

interviews and geo-coding that developed a database of wholesale and retail

grain consumers throughout Vermont to advocate local grain supply availability

over imported grains.

District Advisor Supervisor, Vermont Department of Taxes, Division of

Property Valuation & Review -- 2008 to 2011

Supervised 8 field staff overseeing property valuation throughout 262 Vermont

municipalities.

• Administered, reviewed and defended annual equalization study

analysing 1000s of real estate transactions throughout Vermont used

for setting state-wide education tax rates.

• Researched and analysed 100s of vacant land sales annually and built

predictive models for valuation of all State-owned land.

• Trained, educated and advised local assessment officials and

taxpayers.

Assessor, Town of Colchester, VT -- 1991 to 2008

Established, maintained and defended over 7K property assessments annually.

• Conducted field research and market analyses that developed

predictive valuation models and defended valuations for over 7,000

properties annually.

• Transitioned paper-based system to Computer Assisted Mass

Appraisal system.

EDUCATION

Bachelor of Arts, Psychology, University of Vermont, Burlington, VT Interface Analyst ITAR, Allscripts-Vermont HITEC, South Burlington, VT



Attachment 7: Draft Project Plan

On the pages following, prospective contractor has provided a draft project plan. Page numbering is non-sequential.

ID % Complete Task Name Duration Start Finish Predecessors Resource Names

1 0% ARS Draft Project Plan 283 days Thu 4/1/21 Mon 5/2/222 0% Phase 1: Plan 40 days Thu 4/1/21 Wed 5/26/213 0% Project Start 0 days Thu 4/1/21 Thu 4/1/214 0% Project Initiation 20 days Thu 4/1/21 Wed 4/28/215 0% PC Sales to Services Handoff 5 days Thu 4/1/21 Wed 4/7/21 3 Prospective Contractor (PC) Sales,PC Project Team,PC Executive Team6 0% PM to PM Introduction 5 days Thu 4/8/21 Wed 4/14/21 5 PC Project Manager,ARS Project Manager7 0% Prepare Project Schedule 5 days Thu 4/8/21 Wed 4/14/21 5 PC Project Manager8 0% Introduction Meeting 5 days Thu 4/8/21 Wed 4/14/21 5 PC Project Manager,ARS Project Manager9 0% Kickoff Meeting 5 days Thu 4/22/21 Wed 4/28/21 8FS+5 days PC Project Team,PC Stakeholders,ARS Project Team,ARS Stakeholders10 0% Deploy PC Sandbox Site 10 days Thu 4/1/21 Wed 4/14/21 5SS PC11 0% Milestone 1 - Planning Deliverable Preparation 15 days Thu 4/29/21 Wed 5/19/21 9 PC Project Manager12 0% Milestone 1 - Planning Deliverable Review & Sign Off 5 days Thu 5/20/21 Wed 5/26/21 11 ARS Project Manager13 0% Phase 2 & 3: Design & Configure 163 days Thu 4/29/21 Mon 12/13/2114 0% Requirements Definition 5 days Thu 4/29/21 Wed 5/5/2115 0% Requirements Definition Meetings 5 days Thu 4/29/21 Wed 5/5/21 9 PC Project Team,ARS Project Team16 0% Configuration 133 days Thu 5/6/21 Mon 11/8/2117 0% Configuration and Development 133 days Thu 5/6/21 Mon 11/8/2118 0% Sprint 1 13 days Thu 5/6/21 Mon 5/24/2119 0% Sprint Planning 13 days Thu 5/6/21 Mon 5/24/21 15 PC IC,ARS Business SME20 0% Sprint 2 20 days Tue 5/25/21 Mon 6/21/2121 0% Requirements 4 days Tue 5/25/21 Fri 5/28/21 18 PC IC,ARS Business SME22 0% Configuration 6 days Mon 5/31/21 Mon 6/7/21 21 PC IC23 0% Documentation 2 days Tue 6/8/21 Wed 6/9/21 22 PC IC24 0% Demonstration 2 days Thu 6/10/21 Fri 6/11/21 23 PC IC25 0% Validation 6 days Mon 6/14/21 Mon 6/21/21 24 ARS Business SME26 0% Sprint 3 20 days Tue 6/22/21 Mon 7/19/2127 0% Requirements 4 days Tue 6/22/21 Fri 6/25/21 20 PC IC,ARS Business SME28 0% Configuration 6 days Mon 6/28/21 Mon 7/5/21 27 PC IC29 0% Documentation 2 days Tue 7/6/21 Wed 7/7/21 28 PC IC30 0% Demonstration 2 days Thu 7/8/21 Fri 7/9/21 29 PC IC31 0% Validation 6 days Mon 7/12/21 Mon 7/19/21 30 ARS Business SME32 0% Sprint 4 20 days Tue 7/20/21 Mon 8/16/2133 0% Requirements 4 days Tue 7/20/21 Fri 7/23/21 26 PC IC,ARS Business SME34 0% Configuration 6 days Mon 7/26/21 Mon 8/2/21 33 PC IC35 0% Documentation 2 days Tue 8/3/21 Wed 8/4/21 34 PC IC36 0% Demonstration 2 days Thu 8/5/21 Fri 8/6/21 35 PC IC37 0% Validation 6 days Mon 8/9/21 Mon 8/16/21 36 ARS Business SME38 0% Sprint 5 20 days Tue 8/17/21 Mon 9/13/2139 0% Requirements 4 days Tue 8/17/21 Fri 8/20/21 32 PC IC,ARS Business SME40 0% Configuration 6 days Mon 8/23/21 Mon 8/30/21 39 PC IC41 0% Documentation 2 days Tue 8/31/21 Wed 9/1/21 40 PC IC42 0% Demonstration 2 days Thu 9/2/21 Fri 9/3/21 41 PC IC43 0% Validation 6 days Mon 9/6/21 Mon 9/13/21 42 ARS Business SME44 0% Sprint 6 20 days Tue 9/14/21 Mon 10/11/2145 0% Requirements 4 days Tue 9/14/21 Fri 9/17/21 38 PC IC,ARS Business SME46 0% Configuration 6 days Mon 9/20/21 Mon 9/27/21 45 PC IC47 0% Documentation 2 days Tue 9/28/21 Wed 9/29/21 46 PC IC48 0% Demonstration 2 days Thu 9/30/21 Fri 10/1/21 47 PC IC

ARS Sample Project Plan

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ID % Complete Task Name Duration Start Finish Predecessors Resource Names

49 0% Validation 6 days Mon 10/4/21 Mon 10/11/21 48 ARS Business SME50 0% Sprint 7 20 days Tue 10/12/21 Mon 11/8/2151 0% Requirements 4 days Tue 10/12/21 Fri 10/15/21 44 PC IC,ARS Business SME52 0% Configuration 6 days Mon 10/18/21 Mon 10/25/21 51 PC IC53 0% Documentation 2 days Tue 10/26/21 Wed 10/27/21 52 PC IC54 0% Demonstration 2 days Thu 10/28/21 Fri 10/29/21 53 PC IC55 0% Validation 6 days Mon 11/1/21 Mon 11/8/21 54 ARS Business SME56 0% Interfaces 80 days Tue 7/20/21 Mon 11/8/21 31 PC TC,ARS Technical Resources,ARS Program Resources57 0% Data Migration Design and Test Executions 80 days Tue 7/20/21 Mon 11/8/21 31 PC TC,ARS Technical Resources,ARS Program Resources58 0% Milestone 2 - Design Deliverable Preparation 20 days Tue 11/9/21 Mon 12/6/21 17,56 PC PM59 0% Milestone 2 - Design Deliverable Review & Sign Off 5 days Tue 12/7/21 Mon 12/13/21 58 ARS Project Manager60 0% Phase 4: Deliver 90 days Tue 12/7/21 Mon 4/11/2261 0% Advanced Reporting Implementation 25 days Tue 12/7/21 Mon 1/10/2262 0% Standup AR Reporting Database 5 days Tue 12/7/21 Mon 12/13/21 58 PC Advanced Reporting Specialist63 0% Configure User Access to Production Applications 5 days Tue 12/14/21 Mon 12/20/2164 0% Report Writers 5 days Tue 12/14/21 Mon 12/20/21 62 PC Advanced Reporting Specialist65 0% Report Runners 5 days Tue 12/14/21 Mon 12/20/21 62 PC Advanced Reporting Specialist66 0% Validate AR Access 1 day Mon 12/20/21 Mon 12/20/21 63FS-1 day PC Advanced Reporting Specialist67 0% Introduction to Advanced Reporting Specialist 5 days Tue 12/21/21 Mon 12/27/21 66 PC PM,ARS Advanced Reporting Team,PC Advanced Reporting Specialist68 0% AR Writer Demonstrations 10 days Tue 12/28/21 Mon 1/10/22 PC Advanced Reporting Specialist69 0% AR Report Writer Orientation 5 days Tue 12/28/21 Mon 1/3/22 67 PC Advanced Reporting Specialist,ARS Advanced Reporting Team70 0% AR Report Writers Workshop 5 days Tue 1/4/22 Mon 1/10/22 69 PC Advanced Reporting Specialist,ARS Advanced Reporting Team71 0% Testing 40 days Tue 12/7/21 Mon 1/31/2272 0% Prepare UAT Plan 10 days Tue 12/7/21 Mon 12/20/21 58 PC PM73 0% Prepare UAT Materials 10 days Tue 12/7/21 Mon 12/20/21 58 PC IC74 0% User Acceptance Testing 20 days Tue 12/21/21 Mon 1/17/22 73,72 PC IC,PC PM,ARS Project Team,ARS UAT Users75 0% Remediation and Verification Testing 10 days Tue 1/18/22 Mon 1/31/22 74 PC IC76 0% Training 40 days Tue 2/1/22 Mon 3/28/2277 0% Prepare Training Plan 10 days Tue 2/1/22 Mon 2/14/22 71 PC PM,PC IC78 0% Prepare Training Materials 10 days Tue 2/1/22 Mon 2/14/22 71 PC IC,ARS Trainers79 0% Deliver System Admin Training 5 days Tue 2/8/22 Mon 2/14/22 78SS+5 days PC IC,ARS Business SME80 0% Deliver User Training 30 days Tue 2/15/22 Mon 3/28/22 78 End Users,ARS Trainers,PC IC81 0% Milestone 3 Conversion & Testing Deliverable Preparation 5 days Tue 3/29/22 Mon 4/4/22 71,76 PC PM82 0% Milestone 3 Conversion & Testing Deliverable Review & Sign Off 5 days Tue 4/5/22 Mon 4/11/22 81 ARS Project Manager83 0% Milestone 4 - Deployment Deliverable Preparation 5 days Tue 3/29/22 Mon 4/4/22 71,76 PC PM84 0% Milestone 4 - Deployment Deliverable Review & Sign Off 5 days Tue 4/5/22 Mon 4/11/22 81 ARS Project Manager85 0% Phase 5: Go-Live 25 days Tue 3/29/22 Mon 5/2/2286 0% Go Live/Deployment 25 days Tue 3/29/22 Mon 5/2/2287 0% Prepare Go Live/Deployment Plan 10 days Tue 3/29/22 Mon 4/11/22 80 PC PM88 0% Production Readiness Review 1 day Mon 4/11/22 Mon 4/11/22 87FS-1 day Project Teams89 0% Go-Live 1 day Tue 4/12/22 Tue 4/12/22 88 ARS90 0% Post Go-Live Support 10 days Wed 4/13/22 Tue 4/26/22 89 PC IC91 0% Transition to Standard Support 5 days Tue 4/26/22 Mon 5/2/22 90FS-1 day PC Support92 0% Milestone 5 - Acceptance Deliverable Preparation 5 days Wed 4/13/22 Tue 4/19/22 89 PC PM93 0% Milestone 5 - Acceptance Deliverable Review & Sign Off 5 days Wed 4/20/22 Tue 4/26/22 92 ARS Project Manager

ARS Sample Project Plan

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