Addendum 1 Case Management and Workflow Application 190099.pdf

ADDENDUM #1 Contract #19-0099/Case Management and Workflow Application

L L I N O I S T O L L W A Y 2700 Ogden Avenue │Downers Grove, IL 60515 │ Phone: 630.241.6800 │TTY: 630.241.6988 www.illinoistollway.com

ADDENDUM # 1

RFP 19-0099

Case Management and Workflow Application Bid Buy Reference #s 20-557THA-INSPE-B-13378 Proposal Opening Date: As Published in BidBuy

Please be advised of the following changes to the above-named solicitation:

I. The Non-Mandatory Pre-Proposal Conference WebEx Meeting recording and

PowerPoint from Wednesday, June 16, 2021 is attached hereto.

II. The Pre-Proposal Attendee Register from the WebEx Meeting is attached hereto.

BIDDER MUST ACKNOWLEDGE RECEIPT OF THIS

ADDENDUM IN SECTION C.2 – ILLINOIS TOLLWAY,

ACKNOWLEDGEMENT OF AMENDMENTS.

ALL REVISIONS INSCRIBED HEREIN WILL

BE INCORPORATED INTO THE RFP

SPECIFICATION PER ADDENDUM # 1.

Illinois Tollway Goods and Services RFP Pre-Proposal Meeting Sign-in Sheet

Tollway Contract #: 19-0099 Tollway Contract Title: Case Management and Workflow Application BidBuy Bid #: B-13378 and B-15553 Procurement Contact and Title: Sonja Wolniakowski, Sr. Buyer RFP Pre-Proposal Meeting Date: June 16, 2021 RFP Pre-Proposal Meeting Time: 2:00 p.m. CT

Attendees Sign-In:

Name Organization Email Attending as Vendor or

Subcontractor

Asma Farhin

S&F Software Solutions dba S&F Software

(BEP)

afarhin@sandfbizsolutions.com

2 Alden Fahl Exela Technologies fahl.alden@exelaonline.com

3 Justin Seavy Spartan Technologies jseay@spartantechnology.com

4 Luke Pruitt Spartan Technologies lpruitt@spartantechnology.com

Shelly McKown

Catalyst Consulting

Group shelley.mckown@catconsult.com

Laurel King

MSF

Consulting lking@msfw.com

7 RutraPrasad Serigor Inc. rprasad@serigor.com

Jonathan Oh Gate3 LLC

Tech Consulting

JonathanO@gate3.co

Drew Bates

Krasan Consulting drew.bates@krasanconsulting.com

Sal Donancricchia

GRM

Information

Services sdonancricchia@grmdocument.com

Bob Hudson

GRM

Information

Services bhudson@grmdocument.com

12 Dristi Wadhwa Kyocera drishti.wadhwa@dda.kyocera.com 13 Deva Kumar Serigor Inc. dkale@serigor.com 14 Lauryn Haake Qualitas lauryn.haake@qualitascg.com 15 Gordon Hack Legal Files

Software Gordon@legalfiles.com

16 Paul Fisher Iron Mountain paul.fisher@ironmountain.com

17 Jane Swider Illinois Tollway

18 TJ Hengesbach Illinois Tollway

19 Dan Haxton Illinois Tollway

20 Tony Asta Illinois Tollway

21 Tamela Reed McClinton Illinois Tollway

22 Jennifer Soldat Illinois Tollway

23 Amelie Pinault LNB Solutions amelie@lnbsolutions.com

24 Victor Opio LNB Solutions victor@lnbsolutions.com

25 Thripura Venkataramani LNB Solutions thripura@lnbsolutions.com

26 Sean Baade GL Solutions baade@glsolutions.com

David Papp State

Purchasing Officer-EEC

Kristin Morris kristin.morris@fftechnologies.com

29 lmeyerdirk@databankimx.com Data Bank lmeyerdirk@databankimx.com 30 RBrockman Konica

Minolta rbrockman@kmbs.konicaminolta.us

31 Brittany Tatum Brittany.Tatum@illinois.gov

32 Eric Talwar Catalyst Consulting

Catalyst Consulting eric.talwar@catconsult.com

33 Aaron Fryzek Data Bank afryzek@databankimx.com 34 Andrew Gaidar Kyocera andrew.gaidar@dda.kyocera.com 35 Andrea andrea@lnbsolutions.com 36 Tom Numbere Jr tnumbere@pcgintl.com 37 Linda Brown Linda@lnbsolutions.com 38 Doug doug.skinner@dda.kyocera.com 39 Vivian Vivian.Ao@dda.kyocera.com

ILLINOIS TOLLWAY

R F P 1 9 - 0 0 9 9

C a s e M a n a g e m e n t a n d Wo r k f l o w A p p l i c a t i o n P re - P r o p o s a l M e e t i n g

Procurement Department June 16, 2021 at 2:00 p.m. CT

Please sign into WebEx via chat with name and company affiliation

AGENDA

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• Introduction and Solicitation Response Format

• Tollway Goods and Services Department

• Business Enterprise Program and Veteran Business Program

• Tollway Compliance Department

• RFP Specifications, Scope, and Pricing

• Tollway Office of the Inspector General and Information Technology departments

AT TENDEE INSTRUCTIONS

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• All attendees must sign into WebEx via chat with name and company affiliation

• Questions may be sent via chat with name and company affiliation during this pre-proposal meeting

• Attendee audio feature will not be activated during this pre-proposal meeting

SUBMIT TAL OF WRIT TEN QUESTIONS

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• All contact by prospective offerors shall be through the Senior Buyer, Sonja Wolniakowski, at Sonja.Wolniak@getipass.com.

• All questions shall be in writing via the email address provided above and sent to Sonja Wolniakowski no later than June 21, 2021 at 10:00 am CT.

mailto:Sonja.Wolniak@getipass.com

BID SUBMISSION DUE DATE AND TIME

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• July 16 29, 2021 at 10:30 a.m. Central Time (CT)

• All proposals must be submitted electronically in BidBuy via Bids:

• B-13378 for Technical Proposal and All Required Forms

• B-15553 for Pricing Only (will be opened after Technical Scoring and Oral

Presentations)

• Proposals received after the due date/time will not be accepted

SUBMISSION HIGHLIGHTS

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Bid Packet Organization

• Offerors are required to follow without exception the offeror response organization as outlined on page 9 of the RFP document.

• Offers are to be submitted in six (6) files, uploaded into BidBuy, all packet title and content requirements are listed and detailed in the RFP. All files other than Pricing shall be submitted in BidBuy Bid #B-13378

• Pricing shall be submitted separately in BidBuy Bid #B-15553

BID EVALUATION/SCORING

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Proposals will undergo a responsiveness review to determine compliance with submittal requirements. All proposals that successfully pass responsiveness review will be eligible for evaluation based on each proposal’s responsive elements

• Total number of points achievable: 840

• Minimum points required to be considered for Phase II Oral Presentations: 300

• Pricing submittals: 170 points will be assigned to the offeror with the lowest price.

Presenter Presentation Notes Please refer to page 21 for more details on how price points are awarded.

OFFEROR CHECKLIST

Copying and pasting existing slides into new presentation

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• Incomplete offeror packages will be considered non-responsive

• Vendors utilizing “Forms B” must be registered specifically with the Illinois

Procurement Gateway to be deemed responsive Verify that you are registered with the Illinois Procurement Gateway (IPG) on the IPG homepage (https://ipg.vendorreg.com). Search for your Business Name. If your company does not appear in the search results, you are not registered in the IPG.

To use FORMS B, vendors must be listed in the “Registered Vendor Directory” and provide a valid registration number with expiration date from the Illinois Procurement Gateway.

Registration information from other government entities will not be accepted.

• If your company is not listed in the IPG Registered Vendor Directory you must utilize the “FORMS A” option to meet the certification and disclosure requirements

Presenter Presentation Notes Beginning on page 23 offeror’s will find a detail check list of submission requirements. It is recommended that the check list should be utilized by the offeror to ensure they have completed all requirements of the RFP and will submit the required materials, forms, documents, etc. In most cases, incomplete bid packages will be considered non-responsive.

To use FORMS B, vendors must be listed in the “Registered Vendor Directory”. Please note that it is possible for vendors, who have registered with another government entity (such as the City of Chicago’s Compliance and Certification portal) using the same portal software, to have a registration number and expiration date for a different (non-State of Illinois) application process. Registration information from other government entities will not b e accepted.

If the “Registered Vendor Directory” does not list your company, then you must utilize the “FORMS A” option to meet the certification and disclosure requirements of this solicitation. Please submit Forms A with every bid/proposal until the State of Illinois notifies you that your IPG registration is approved and your Business Name appears in the “Registered Vendor Directory” as described above.

https://owa.tollway.state.il.us/owa/redir.aspx?REF=LWeOHKqTUJl4yZFU70TFv1lz1FvrA4MSH1ryVj80DPLApmqwuMrXCAFodHRwczovL2lwZy52ZW5kb3JyZWcuY29tLw..

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BUSINESS ENTERPRISE PROGRAM and

VETERAN BUSINESS PROGRAM

Business Enterprise Program (BEP) goal: 6% Veteran Owned Small Business Program (VOSB) goal: 0% Required Documentation:

• Vendors must submit a Utilization Plan for each goal program

• Indicate how they are meeting goal or provide good faith efforts

• Complete Letter of Intent for each vendor in the plan

Utilization Plan can be found at:

https://www2.illinois.gov/cpo/general/Pages/SolicitationandContractTemplates.aspx

Vendor search of certified firms found at:

https://cms.diversitycompliance.com https://cms.diversitycompliance.com/

RFP SPECIF ICATIONS: GOAL (pages 1 and 24)

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The Tollway Office of the Inspector General (OIG) is seeking a comprehensive solution to capture and manage work flow and case files from initiation through investigation/review to final resolution and related post-closing activity such as administrative disciplinary proceedings, arbitrations, civil and criminal proceedings.

A comprehensive Case Management and Workflow system is critical for:

Ensuring consistent and thorough investigative/review activity

Facilitating internal collaboration/management of case activity

Documenting investigative and review activity

Collecting and storing information - documents, reports, recordings

Preparing mandated reports such as public semi-annual summary activity report

Presenter Presentation Notes The Tollway’s Office of the Inspector General (OIG) intends to enhance its Case Management methodology with a comprehensive solution. The requirement is to capture and manage work flow and case files from initiation through final resolution, which could include administrative action or discipline and related litigation. The system also shall track post-closing activity, such as administrative disciplinary proceedings, arbitrations, civil and criminal proceedings. For the Tollway OIG, a comprehensive Case Management and Workflow system is critical for information collection and repository, investigative due diligence, and analysis. In addition, the Tollway OIG is legally mandated to provide semi-annual public reports of its activity, including summaries of completed matters, updates on actions taken in response to OIG recommendations and referrals, and statistical data.

The OIG needs to acquire, install, and implement a Case Management and Workflow System. This procurement has as a goal to identify and procure the optimal Software for this purpose along with the necessary supporting third-party applications, if applicable.

RFP SPECIF ICATIONS: BACKGROUND (page 24)

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The Tollway OIG was established by statute to provide independent oversight of the Tollway and reports to the Tollway Board of Directors.

The mission of the OIG is to promote effectiveness and efficiency in Tollway administration and operations by ensuring integrity and accountability of the Tollway Board, Tollway employees, and Tollway contractors and vendors.

In furtherance of its mission, the OIG works to detect, deter, and prevent fraud, waste, abuse, corruption, misconduct, and mismanagement. The OIG reviews Tollway procedures and conducts confidential administrative and criminal investigations of alleged violations of law, rule or regulation, and gross or aggravated misconduct or mismanagement.

Presenter

The Tollway Office of the Inspector General (Tollway OIG) was established by statute to provide independent oversight of the Tollway and reports to the Tollway Board of Directors. -The mission of the OIG is to promote effectiveness and efficiency in Tollway administration and operations by ensuring integrity and accountability of the Tollway Board, Tollway employees, and Tollway contractors and vendors. In furtherance of its mission, the OIG works to detect, deter, and prevent fraud, waste, abuse, corruption, misconduct, and mismanagement. The OIG reviews Tollway procedures and conducts administrative and criminal investigations of alleged violations of law, rule or regulation, and gross or aggravated misconduct or mismanagement. The OIG has jurisdiction over Tollway officials, Tollway employees, and Tollway contractors and vendors. The Tollway OIG has statutory reporting obligations and conducts confidential investigations and reviews

RFP SPECIF ICATIONS: BACKGROUND

(pages 24 and 25)

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Currently work is documented using fillable pdf forms (with drop down menus and electronic signature) and are saved with other investigative materials in hard copy files and electronically on an encrypted file server.

The process is primarily manual using inter-office encrypted email.

Complaints are received via hotline, online complaint, by mail or fax, and in-person.

Final reports with relevant investigative materials are distributed in person or using Sharefile.

Presenter

Currently work is documented using fillable pdf forms (with drop down menus and electronic signature) and are saved with other investigative materials such as documents, spreadsheets, audio/video/photos in hard copy files and electronically on an encrypted file server. The process is primarily manual using inter-office encrypted email. Complaints are received via hotline, online complaint, by mail or fax, and in-person. Final reports with relevant investigative materials are distributed in person or using Sharefile.

RFP SPECIF ICATIONS: BACKGROUND (page 25)

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Number of users: OIG currently has 6 staff, but the office has an authorized headcount of 8.

Between March 2020 and March 2021 there were approximately:

• Preliminary Investigations: 15

• Investigative Assistance: 1

• Investigations: 9

• Reviews: 3, Referrals: 133

As of March 31, 2021 we had pending:

Preliminary Investigations 4

Investigative Assistance 1

Investigations 7

Reviews 5

Presenter

There are currently 6 personnel who work on cases, but the office has an authorized headcount of 8. The Tollway OIG averages approximately 300 complaints, requests or other inquiries per year. Based on the most recently published semi-annual reports, statistical information is as follows: (summarize to give idea of volume)

RFP SPECIF ICATIONS: OVERVIEW

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OIG employs many processes; Appendix 1 describes all our processes. Among them:

• Intake process

• Case Activity Process

• Interview Process

• Case Action Process

• Distribution Process

• Final Report Process

Appropriate to the case, various forms are generated as a result.

Presenter Presentation Notes 7/2020

Case activity and Case action are 2 most used forms

Case activity documents what we do on a case (work) Case action documents what we do with a case (aka status)

Keep it general because we do more than just investigations

RFP SPECIF ICATIONS: REFERRAL CASE PROCESS

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Presenter

Intake is prepared w recommended action, reviewed by supervisor, signed once approved and then sent to IG for review, once approved, it is signed and forwarded on to open and prepare case file

RFP SPECIF ICATIONS: CASE ACTION PROCESS

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Presenter Presentation Notes Once matter completed CRM to rec’d disposition – sustained not sustained, recommendations Case status mtg to discuss CRM and determine disposition If a report will issue (SRI or MAR) report is drafted Report reviewed and edited Once approved by IG case cover memo drafted Case materials organized, redacted as necessary Index created Then distribution Has been hard copies in past but now moving to electronic via sharefile

RFP SPECIF ICATIONS: DISTRIBUTION PROCESS

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RFP SPECIF ICATIONS: SYSTEMS/SECURITY

(pages 73-89)

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Open to an On-Prem or Cloud Solution Systems and Security Specifications for either solution, on pages 64-66.

• Specific to On-Prem Solution, covered on pages 66-67

• Specific to a Cloud Solution, covered on pages 68-77

• Security Guidelines provided by the state

A vendor can propose either or both solutions; we will evaluate each solution separately.

Total points for the section is 60 maximum.

RFP SPECIF ICATIONS: IMPLEMENTATION

(pages 90-91)

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The Offeror shall provide a plan to configure, implement, and train users. This plan shall include, at a minimum, the following:

• Specific tasks

• Roles and Responsibilities

• Schedule/Milestones (i.e. Design & Configure)

• Requirement Document

• Feature roll-out, if applicable

• Listing of Tollway Resources Required

• Training and Method of training (i.e. on-site, web)

• Training Process (as listed in IR1 requirement)

• User acceptance test plan

• Configuration

• Final system documentation

• The migration of data and data conversion efforts

• Data sharing with ancillary systems

• Testing: Validation and Verification the application meets requirements

• Proactive monitoring and alerting configured and tested with Tollway IT staff

PRICING SUBMIT TAL

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• Pricing shall be submitted per Attachment 4.

• Pricing shall be submitted seperately on BidBuy Bid B-15553.

Questions may be sent to Sonja Wolniakowski at

SonjaWolniak@getipass.com

Presented on June 16, 2021 21 mailto:Desiree.Liberti@getipass.com

THANK YOU