Appendices and Additional Attachments

The appendices, files, and links provide additional insight and detail regarding the system’s specifications. Visual examples are provided to aid in the understanding of the requested functionality of the system. Therefore, the examples should not be seen as prescriptive in nature, but rather as guides to a solution.

Separate file attachments

· Appendices.docx*

· Solution Response Template.docx

· Aging Services Information System.html (Mindmap)

· SCDOA Services-unit-data_collection.xlsx (basis of App. C detail)

· Title III Data Elements Definitions.docx

· Title_III_State_Performance_Report_Appendix_A_Definitions (OAAPS source for App. C)

· menu_index.html (simple menu used in App. E)

*Appendices:

2022.01.05ph Appendix A Foundational Requirements

1. Data Centric The following requirements should be available in the application. Some of the requirements will be available only at the administrative level and not at the application user level. It is imperative that the State agency have access to its data and metadata.

Data Centric -- Outline Data Design & Availability Data Schema (data + metadata) provided as non-proprietary Data diagram Data dictionary Business data definitions Accessibility of attached documents Raw data accessible Data available to 3rd party tools / apps, e.g.

Tableau Qlik Custom connectivity (SQL, Python, R, etc.)

Data Entry Access Registered user Micro-app user

API

Data Collection Devices Laptop and PC Tablet Phone Other

RFID

Bar code scan Biometric (fingerprint, facial recognition) Analogue contingency plan Data Collection. Grouped by transaction classification type with NAPIS ids noted. Not all data collection transactions have a dollar amount associated with the good or service.

Group level roster

8. Congregate Meals

12. Nutrition education

16. Health promotion Group level route

10. Transportation

4. Home Delivered Meals Single transaction[footnoteRef:1] [1: (1. Personal Care, 2. Homemaker, 3. Chore, 5. Adult Day Care, 6. Case Mgmt., 7. Asst. Transportation, 9. Nutrition Counseling, 11 Legal Assistance, 17. Self-Directed Care, *. Assessment Interviews, *. Case Mgmt. Interviews, *. Custom design form entry)]

Group transaction – aggregate (no roster) Special case transactions, revenue source Program income (anonymous) Voluntary contribution (client specific) Cost share, based on client In-kind match Encumbrance entry; e.g., Caregiver Voucher Actual transaction a debit from the voucher Expiration date via configuration Unused encumbrance returns to the funding source Call / Contact Management (general calls & Caregiver specific) Info & Assistance / CG Access Assistance Outreach / CG Information Services Case Management / CG CM Configurable forms for custom data entry

2. Workflow Acceptance Management Mechanism

Components of a document approval process A document (an internally generated report or an attached file). Examples:

Award notice Budget changes Invoices from vendor Pay requests from AAA A timeout setting to improve response time A forwarding list based on the approval outcome A reviewer list responsible for the approval decision Pre-designated list by task Ad hoc list creation Escalation hierarchy upon timeout Outcome of review Approve Reject Incomplete after timeout

Workflow Acceptance – Outline Component information provided Document Timeout Forwarding list Reviewer list with escalation rules Reviewers notified of document to be approved Approval determination made If timeout reached without action escalation rules are engaged Results set and forwarded

2019.12.04ph

Workflow Acceptance – Process

3. Document Repository A document repository feature that allows storage and retrieval of relevant documents from both the form level and through a library level interface.

Document Repository -- Outline User configurable columns and categorization options; e.g., categorized (category, sub-category), retention category, retention expiration date, create date, file(s), versioning, and additional identifying fields; e.g., region, location, program, etc.

Retention feature for document information governance Search feature Library mode Provides quick access to any attached documents, that might otherwise have to be looked up individually Download and Upload features Ability to select multiple files in one operation Access based on user permissions Available at Form level and Library level Library level Organization level and topic categorization for ease of management Filter options Sort options

Repository Use Examples:

1. Loaded during a transaction

1.1 Invoice related to use of Respite funds

1.2 Deposit slip to document Program Income

2. Loaded directly into the repository

2.1 Congregate Meal menus for the month

2.2 Inventory list of a truck load of donated items

4. Survey Instrument Tool and Library An integrated survey instrument tool with version control is sought.

Survey Tool and Library -- Outline

1. Survey instrument tool to generate and save surveys

1.1 Assessment interview surveys and Case Management surveys

1.1.1 Able to be integrated and score answers to generate priority lists (wait lists)

1.1.2 Able to distinguish, over time, any changes made to the assessment interview

1.2 General surveys that are not scored for the purposes of service delivery priority

2. Survey data collection

2.1 Electronic data collection

2.1.1 On-line

2.1.2 Off-line

2.2 Able to generate hard copy and pdf documents

3. Library features in line with Document Repository requirements

3.1 Categorization to assist in organization

3.2 Search

3.3 Downloadable versions of surveys

3.4 Ability to review past versions and history of a survey

3.5 Retention feature for document information governance

5. Implementation, Transitioning, and Training Previous experience and examples are requested. Please provide succinct illustrations for responses.

The legacy system employs a Sybase database; however, the relational nature of the database is not fully followed. For example, there are instances where a single column may include three or four separate pieces of information.

Implementation -- Outline

1. Data Migration & Transformation

1.1 Data transform process mapping

1.2 Ability to reset and reload quickly

2. Testing & Implementation

2.1 Set up and run in parallel

2.2 Used for training

3. Training & Documentation

3.1 Role based training modules

3.2 Direct training

3.3 Self-directed training

3.4 Documentation

3.4.1 User

3.4.2 Administrative level

3.4.3 Training modules

3.4.4 Contingency procedures

4. Implementation & Start-up

4.1 On call availability during the first few weeks, followed by standard help desk support methods

4.2 Postmortem meeting

2019.12.06ph Appendix B Application Specific

1. Award – Contract – Budgeting (ACB)

Award – Contract – Budgeting -- Outline

0. Award apportionment, external to the application

0.1 Funding notification received by the State

0.2 Approved algorithms and decision making procedures implemented

0.3 Resulting data in a format compatible with ASIS application

1. Award Contract Generated and Approved by the State Agency

1.1 Document type identified

1.2 Data for contract loaded from external source

1.3 Contract document(s) generated, based on template

1.4 Contract released for internal review and approval (WAM)

1.5 Upon approval the document is forwarded to the regional agencies (WAM)

2. Regional Agencies Review, Revise, Approve, and Return Contract

2.1 Region reviews & updates the document (RBD)

2.1.1 Revise line-item budget amounts

2.1.2 Updates line item to include local accounting codes, to assist in their reporting

2.1.3 May identify budget distribution to providers at this time

2.2 Approve and return to State (WAM)

2.3 State reviews and approves regional updates

3. Contract Finalized, Archived, and Funds Activated

3.1 Contract finalized and signed by State representative (WAM)

3.2 Contract signed by Regional representative and returned to State (WAM)

3.3 Formal Notification made

3.4 Contract archived, (VCM and pdf-a)

3.5 Data and funds made available

Key Related Components Employed in the ACB Process Workflow Acceptance Management Mechanism (WAM) Version Control Management Document Repository (VCM) Regional Budget Distribution (RBD) State Award contract line-item budgeting Line-item budgeting amounts with providers

Award – Contract – Budgeting Process

2. Client Service Selection Primary Determinants to Provide Service

· Client date

· Financial data, (State, Regional, and Local/Provider)

· Provider data Possible Outcomes for a Client Requesting a Service

· Service is scheduled

· Client is placed on wait list (wait list rank order is not addressed here)

· Service is unavailable

The service selection activity is presented below as a) a process diagram, b) an outline, and c) a decision tree, to enhance understanding.

Client Service Selection - Process

Client Service Selection - Outline Client data collected Client interview Data entered into the Aging Services Information System, (ASIS) Service eligibility determined Eligibility criteria Client data Funding Set Eligibility Eligible, funded Eligible, unfunded Not eligible Client Service Selection Service requested Eligibility checked Service availability determined Available service options Wait Listed – capacity limitations No provider in area Funding limit Service unavailable No provider Not funded Service option selected, if available Service request results posted Service scheduled and all parties notified Decision Tree Process Logic, refer to decision tree diagram

Client Service Selection - Decision Tree

Decision Management and Analysis Final outcomes; as well, as the underlying causes are to be captured, in order to inform future decisions regarding resource allocations.

The wait list ranking order is addressed as part of a separate decision rule. Wait list ranking determines in what order a client will be taken off a wait list as opposed to being placed on a list.

3. Transactions Funding source Eligible funding sources are determined prior to the transaction [business rule] Actual funding source determined at the time of the transaction [business rule] Default automatic determination Manual override possible Fund is encumbered Remaining balances updated. Additional reference: RBD section outline item 2.1.

Transaction data capture Available for all goods and services described in the Older Americans Act and currently reported to the Federal government via the annual National Aging Program Information System report, (NAPIS). The NAPIS reporting system will be retired after the 2021 fiscal year reports. Data collected in fiscal year 2022 will be submitted via the Older Americans Act Performance System (OAAPS). The initial OAAPS report will be due in January 2023.

All relevant data must be included, at the time of the transaction Devices available to collect data: refer to the Data Centric section of this document Transactions able to be conducted either on-line or off-line Once a device is connected on-line, updates are committed Edge case funding reversals processed and logged. Workflow notification is a “nice to have”.

Data entry to be context driven; i.e., based on the pricing structure of the product (good or service) [business rule]. Most products will have these values within the budget tables. Examples of price structures:

Simple cost structure: variable cost or fixed cost component Activity Based Cost Accounting: fixed cost + variable cost components. Direct and Indirect components may exist.

Encumbrance Accounting: issuing a voucher for future use Related documents may be attached for documentation Results presented to the user; e.g., Calculated values Appropriate feedback message

Invoicing and Payment Provider and Regional Levels

Invoice – Review – Approve – Forward -- Outline Provider generates and submits invoice to their region (AAA) Generate invoice Review Approve Reject and correct Forward to region (AAA) Region reviews, approves, and pays provider invoices

1.1 Review

1.1.1 Approve to be paid

1.1.2 Reject and return

1.2 Paid and documented

1.3 Wait until all provider invoices have been processed

2. Region generates, reviews and submits invoice (RFP) to the State agency

2.1 Generate roll-up invoice (RFP)

Review Approve Reject and correct

2.2 Final sign-off made

2.3 Submit to State agency for payment

3. State reviews, approves, and submits the request for payment to the Comptroller General Office

3.1 Invoice received

3.2 Review & approve: Financial

3.3 Review & approve: Program level

3.4 AP reconciles payment with State accounting system

3.5 Final review & approval

3.6 Actual payment documented

3.7 Invoice – Payment document archived

2019.12.13ph

Invoice – Review – Approve – Forward -- Process Model

5. Reporting and Analytics Reports Required regulatory Federal reports OAAPS, Older Americans Act Performance System. Required by the ACL, DHHS. Template provided by the ACL.

SF-425 financial report data. Required by the Office of Management and Budget (OMB). Template provided by the ACL.

Set of standard pre-built reports related to service areas, clients, system usage, etc.

Custom report builder for customer-built reports Ability to specify filter conditions Organize by report category, sub-category, region, etc.

Access permissions in order to grant or restrict access Save and export options; e.g., csv, xlsx, pdf, pdf-a

Analytics Refer to the Data Centric section.

Application data and metadata available without restrictions, beyond standard security procedures Application level System level; e.g., log files. Proprietary aspects removed prior to access by State agency.

Ability to use third party tools to access the data

2019.12.16ph Appendix C Aging Services Definitions, Service Units, Data Collection Definition of Services and Explanation of Terminology The Excel workbook SCDOA Services-unit-data_collection.xlsx , contains two tabs.

· Tab 1: Service Definitions based on Federal ACL documentation, SC State statute, and SCDOA documents

· Tab 2: Services + Service Units + Data Collection Methods; also partially displayed in the table on the following page Open the Excel file or double-click the table object below to view all of the workbook contents.

Terminology used for service units and the data collection methods for the services are defined here.

Service Units Meal: a single meal. If an entire week’s supply of meals is dropped off, then 7 units will be registered for that transaction Hours: hours entered with accuracy to two (2) decimal places; e.g., 15 minutes = 0.25 hours Day: one (1) day is equivalent to eight (8) hours Contact: if a member of the public calls with a question, a contact is noted. Basic info is collected and the amount of time with the customer is collected.

Survey: there are currently three types of surveys.

1. Assessment. Intake survey data is collected to determine service eligibility. Time spent with the potential client is collected. Two separate service areas.

a. HCBS, Home and Community Based Service programs

b. Caregiver programs

2. Contact. Minimal data collected involving customer I&A contact. Time with customer is collected. Two separate service areas.

a. HCBS, Home and Community Based Service programs

b. Caregiver programs

3. Ad hoc inquiries to collect data for the purpose of continuous quality management

a. Phase 2

b. Ad hoc surveys are context dependent. There will be consistent questions included along with questions unique to the individual survey.

Session/Activity: sessions (activities) are group-based services; e.g., a ‘nutrition education’ presentation Trip with miles: transportation services are reported as a one-way trip to the ACL. However, the number of roadway miles from point-to-point will also be collected.

Fixed + Variable: there are a number of service categories that are non-specific; e.g., “Supplemental Services”. A transaction may be a case of Ensure with a fixed price, or it may be a unique client service that is charged by the hour; i.e., a variable price.

Fixed + Variable with Direct and Indirect: a service is currently being billed to the SCDOA in the following manner, Price = (DCF + ICF) + (DCV + ICV). Modern managerial accounting methods dictate that these cost measurements be collected at the time of service, for performance evaluation and other aspects of managerial decision making.

Data Collection Methods In all instances the transaction is entered at the time the service is provided. In some instances, the data may be transmitted to the system only after the device is once again connected to the Internet.

Single: a single client receives a good or service and a transaction is generated by the user.

Roster: roster-based services are services that have a relatively consistent group of identified (named) clients. Although, the service occurs within a group environment, there is a transaction generated for each individual client. However, the transactions will be triggered automatically upon “confirming” the rosterized service transaction. Therefore, there is a single transaction for the entire roster of clients, with the individual transactions occurring without further user interaction.

Group: group-based services are services that have a group of clients; however, the clients are not identifiable; i.e., they are anonymous. In this case there is a single transaction for the service that will include the number of clients that are in attendance.

Mobile: mobile application available

· Micro-app without login. Examples: remote home-based services including respite, personal care, and homemaker services.

· Micro-app Phase 2: may include route-base services; i.e., home delivered meals and transportation

· Tablet use. Standard user login or micro-app. Rather than a laptop or desktop device a tablet could be used. Example: Congregate Meals. [Phase 2] Aggregate: an aggregate value may be reported for a given service. The legal service is an example. This service relies upon client anonymity and therefore there is no client identification information collected. The sub-service provided along with the number of clients served and the total number of hours will be reported.

Additional Resources Up-to-date data element definitions, data dictionary and data validation conditional checks can be found at https://www.oaaps-pilot.acl.gov/app/Resources/techDocs . Other resources describing the data that is collected and transmitted to the ACL is located here too.

2021.07.13 Tables of Services, Definition, Units, and Data Collection Methods

Appendix D Business Process Walkthrough with Caregiver Program Financial and Client Services Tracking System / Aging Services Information System (ASIS) Caregiver and Respite Services The Caregiver Program within the South Carolina Aging Network is a microcosm of the overall operations engaged in by the South Carolina Department on Aging (SCDOA) and the SCDOA’s network of partners.

All aspects of the foundational and application specific requirements as outlined in Appendices A and B of the RFP are found within the context of the Caregiver Program. In addition, the respite service area provides a unique method to provide services and track the related funds via a pre-encumbrance process. Following user storylines for the Caregiver Program provides focus, a high degree of comprehensiveness, and some succinctness for the application demonstration phase of the RFP.

The purpose of the Family Caregiver Support Program is to provide resources for informal unpaid caregivers that will allow them to care for themselves’ while caregiving (providing care to others). As a result, the care recipient will be able to age in place for as long as possible. The services included within the program include multiple forms of respite, information & assistance, assessment surveys, case management, counseling, training, support groups, informative group events, and a span of supplemental services that include both goods (consumable supplies) and services (homemaker assistance, reimbursements for assistive technology, etc.).

The following pages of this appendix provide

1. A functional summary of the components to be covered within the presentation

2. Visual Illustrations of the presentation summary. The sample documents and user interfaces are provided in the context of either a browser-based application or a micro-app (no login). A semblance of menu options and UI forms are provided as a guide to aid understanding of the functionality required. They are not meant to be prescriptive.

3. An informative categorization of key components of the presentation includes the following.

Annual and Semiannual Processes Apportionment (external work imported via csv or xlsx file into ASIS) Contracts (NGAs) Budgeting & Encumbrance

Daily Operations Client Assessments Client Vouchers Transactions Mobile app Desktop app Billing Contact (information & assistance) General information & assistance Caregiver (CG) information & assistance

Integrated Processes Reports (integrated and separate); integrated data Document Library (integrated and separate); integrated documents Workflow; integrated communication

Functional Summary Apportionment prepared by SCDOA

1. Import financial apportionment data (for contracts)

1.1. Import csv or xlsx file

1.2. Review

1.3. Verify and accept raw data as correct

Workflow test with Grant Awards – between SCDOA and AAA

2. Prepare and approve contract (Notice of Grant Award, NGA) offer

2.1. Formatted NGA reviewed and approved internal to SCDOA

3. Contract review and acceptance process with both parties [not represented in the visuals]

3.1. NGA sent to AAA

3.2. Accepted NGA returned to SCDOA

3.3. Final acceptance

3.3.1. Revision is locked

3.3.2. Archived to document library in PDF /A-3 (ISO 90050-3) format

Budgeting allocation process – AAA and vendor

4. Allocate funds for caregiver services; apportion funds to service categories; e.g., senior respite, senior supplemental services, child respite, child supplemental services, etc.

4.1. Funds allocated will be unidentified if the fund business rules are equivalent

4.2. Separate respite funding buckets can occur if business rules are not necessarily equivalent; e.g., Alzheimer/dementia specific respite

4.3. Caregiver services could potentially be funded have three separate funding buckets

4.3.1. Caregiver for seniors (general); Source of funds: Title III-E, State Respite

4.3.2. Caregiver for Alzheimer/dementia; Source of funds: Alzheimer Association, Title III-E, State Respite

4.3.3. Caregiver for children; Title III-E, State Respite

5. Budget agreements, assign funds to vendors

5.1. The AAA will allocated budgets for vendors with agreements with the AAA. For the purposes of the presentation option 1 is assumed.

5.1.1. Option 1: AAA will load (import) a csv file that defines the agreed upon budget amounts for the vendor(s)

5.1.2. Option 2: AAA will build the vendor budget within ASIS with the ability to edit an imported budget

5.2. Mutual sign-off for the budget agreement must be available.

5.3. Funding sources beyond the funds distributed by the SCDOA are used to provide services to aging network clientele. The ability to customize the source of funds must be available to the AAAs, in order to capture the services being provided. Collecting this data is important for a number of reasons.

5.3.1. Data counts for services provided beyond Federal and State funding is reported to the Federal government and affects the grant awards to the state.

5.3.2. Performance measures are moving forward at the Federal level.

5.4. Vendor pricing lists is a less formal agreement regarding service prices as they will not include predetermined amounts of service with the vendor.

Client services (processing)

6. CG Respite Interview Assessment (Intake data collection)

6.1. Survey questions

6.2. Eligibility determined automatically; (demonstrate business rules)

7. Assign client a respite voucher

8. Perform a respite service transaction

8.1. Micro-app (live or representational) ); in-field data collection

8.2. Standard login to enter the transaction); in-office data input

9. Review the effect on budget

9.1. Overall

9.2. Individual client voucher funds balance

Monthly billing/payment request/invoice

10. Create a monthly invoice report

10.1. Generate and approve the invoice

10.2. Forward to State SCDOA

10.3. Workflow option active

11. Bill/payment request will appear in the appropriate user’s dashboard

11.1. Bill reviewed and approved

11.1.1. Accounting staff member

11.1.2. Program manager

11.2. Forwarded to Accounts Payable for payment by Comptroller General’s office

Reports | Visualizations | Analysis

12. Reports and Visualizations

12.1. Reports

12.2. Visuals

13. Landing Page / Dashboards

Workflow

14. Workflow Configuration

14.1. Recipients

14.2. Distribution lists

14.3. Build Workflow

Document Library

15. Document Library with version history and retention tracking

15.1. Attachments from transactions for documents requiring retention (nice to have)

15.2. Financial documents pdf/A-3

15.3. Contracts and agreements pdf/A-3

2021.03.02 Functional Guideline Visuals

Apportionment prepared by SCDOA

1. Import financial apportionment data (for contracts)

1.1. Import csv or xlsx file

1.2. Review

1.3. Verify and accept raw data as correct

Apportionment data (csv, xlsx) Sample respite apportionment data for a single vendor (AAA or other organization).

Apportionment data review and verification

Workflow test with Grant Awards – between SCDOA and AAA

2. Prepare and approve contract (Notice of Grant Award, NGA) offer

2.1. Formatted NGA reviewed and approved internal to SCDOA

3. Contract review and acceptance process with both parties

3.1. NGA sent to AAA

3.2. Accepted NGA returned to SCDOA

3.3. Final acceptance

3.3.1. Revision is locked

3.3.2. Archived to document library in PDF /A-3 (ISO 90050-3) format

Item (2) the NGA contract is represented on the following page. Item (3), the workflow distribution and acceptance process is not represented.

PDF Contract / Notice of Grant Award (NGA)

Budgeting allocation process – AAA and vendor

4. Allocate funds for respite services

4.1. Funds allocated will be unidentified if the fund business rules are equivalent

4.2. Separate respite funding buckets can occur if business rules are not necessarily equivalent; e.g., Alzheimer/dementia specific respite

4.3. Respite could potentially be funded have three separate funding buckets

4.3.1. Respite for seniors (general); Source of funds: Title III-E, State Respite

4.3.2. Respite for Alzheimer/dementia; Source of funds: Alzheimer Association, Title III-E, State Respite

4.3.3. Respite for children; Title III-E, State Respite

5. Budget agreements, assign funds to vendors

5.1. The AAA will allocated budgets for vendors with agreements with the AAA. For the purposes of the presentation option 1 is assumed.

5.1.1. Option 1: AAA will load (import) a csv file that defines the agreed upon budget amounts for the vendor(s)

5.1.2. Option 2: AAA will build the vendor budget within ASIS with the ability to edit an imported budget

5.2. Mutual sign-off for the budget agreement should be available.

5.3. Funding sources beyond the funds distributed by the SCDOA are used to provide services to aging network clientele. The ability to customize the source of funds should be available to the AAAs, in order to capture the services being provided. Collecting this data is important for a number of reasons.

5.3.1. Data counts for services provided beyond Federal and State funding is reported to the Federal government and affects the grant awards to the state.

5.3.2. Performance measures are moving forward at the Federal level

5.4. Vendor pricing lists is a less formal agreement regarding service prices as they will not include predetermined amounts of service with the vendor

Budget Bucket Funds

The highlighted grants have been given a default bucket amount as part of the NGA contract.

Budget Bucket Funds – Allocation Update

General Business Rules for Transferring Funds by AAAs Fund allocation and reallocation can occur prior to the finalized NGA agreement (preferred), as well as afterwards during the course of general business operations.

1. Funds can only be moved within the same fiscal funding year.

2. Configuration options accessible via an administrative account.

2.1 Minimum and maximum boundary conditions are met for all services.

2.2 isTransferable flag to identify account funds that are and are not transferable to other accounts.

2.3 Voucher encumbrance float percentage able to be set at the regional level.

3. Title IIIB supportive service funds can transfer among several of the included services; e.g., assessment (case management), transportation, legal, and IR&A salaries as long as:

3.1 The amount left in a category equals or exceeds the amount already disbursed.

3.2 Minimum funding amounts are met, e.g. legal services must be at least 1% of the total IIIB service fund allocation.

4. Title IIIE funds can move among respite, salaries, supportive services, and Older Relative Caregiver (ORC) (formerly SRC) services as long as:

4.1 The amount left in a category equals or exceeds the amount already disbursed.

4.2 The criteria in (2) are met.

5. State HCBS funds can be moved freely between any of the HCBS categories as long as:

5.1 The amount left in a category equals or exceeds the amount already disbursed.

5.2 HCBS admin funds can be moved to any service category, but service funds cannot be moved to HCBS admin.

5.3 The criteria in (2) are met.

Budget, Allocation and Encumbrance

Filter examples:

FY – options (SFY, FFY, CFY) Year – direct input ( 2021 )

Vendor Budget / Price Agreement Import

Vendor Budget and Pricing

Client services (processing)

6. CG Respite Interview Assessment (Intake data collection)

6.1. Survey questions

6.2. Eligibility determined automatically; (demonstrate business rules)

6.3. Status options

6.3.1. Eligible; voucher creation pending

6.3.2. Eligible; funding not available; place on wait list

6.3.3. Not eligible; reasons provided to client

Eligibility business rules A. Caregiver is 60 years of age + must not be paid for caregiving + Care receiver has 2 or more ADL needs B. Care receiver medical diagnosis of dementia

7. Assign client a respite voucher

8. Perform a respite service transaction

8.1. Micro-app (live or representational); in-field data collection

8.2. Standard login to enter the transaction; in-office data input

9. Review the effect on budget

9.1. Overall

9.2. Individual client voucher funds balance

Contact (call) icon for information & assistance (general) and CG information & assistance

Client Base Information

Client Base Information

The client’s eligibility status is provided upon completion of the assessment survey. If the client is eligible and funds are available a voucher can be issued immediately.

Alternative Care Recipient form design

Client Lookup

New Voucher

▼Client Balance

▼Voucher Transaction History

Transactions – Mobile Microapp (progressive web application; no login; short data burst)

Minimal data input required Scan or type bar code Service provided Hours (rate, if not in vendor list) Name of provider

Transactions – Web-based App (standard user login)

Monthly billing/payment request/invoice

10. Create a monthly invoice report

10.1. Generate and approve the invoice

10.2. Forward to State SCDOA

10.3. Workflow option active

Item (10.1) the Bill / Pay Request from the AAA is represented on the following page. Items (10.2) and (10.3), of the workflow distribution and acceptance process is not represented.

Sample pay request

Business rule: boundary conditions limit the amount of cash advances extended to a AAA partner to a total of twice (2 x) the average monthly expense for the funding source.

11. Bill/payment request will appear in the appropriate user’s dashboard

11.1. Bill reviewed and approved

11.1.1. Accounting staff member

11.1.2. Program manager

11.2. Forwarded to Accounts Payable for payment by Comptroller General’s office

Sample of dashboard notification received

Notifications Date Item Region Sent by Action required 2021.Feb.28 Sun Pay Request – January 2021 R13 Spurrier United AAA COG sign-off

Reports | Visualizations | Analysis

12. Reports and Visualizations

12.1. Reports

12.2. Visuals

Workflow

13. Workflow Configuration

13.1. Recipients

13.2. Distribution lists

13.3. Build Workflow

Appendix E Services: User Story, Use Cases, and User Interface link Roster Service Events The following information is provided to familiarize the developers with the requirements of roster-based services. It is not intended to be definitive or exhaustive in its description. The user interface is provided in order to aid in the understanding of the system and is not intended to be prescriptive.

User story: Congregate Nutrition (Group Dining) All meals in the group dining service are tracked as meals are distributed. The individual clients participating in the group dining service are accounted for using a roster, because of the continuity of the attending clients. Meals that are provided to others, are lost due to testing, or some other outcome occurs are also tracked. Related administrative activities (identifying roster events and rosters as well as collecting service related documents) are needed in order to track meals and clients.

Use cases: Congregate Nutrition

1. Capture client attendance and meal distribution

2. Create a new roster event

3. Create a new roster

4. Add a file attachment

2. Navigate to the Roster Services transaction page.

3. Roster event must exit

4. Roster must exist

2. Select the client roster

3. Verify the service date and the person collecting the information

4. Begin the client check-in

a. indicate attendance or non-attendance

b. note the client’s intention of attending the next session

5. Save the attendance when finished

6. Record the tested meal temperature (or before check-in, separate tab)

a. Guest attends; Collect: name, age, county

b. Volunteer (new); id

c. Staff member; id

d. Other

2. Overage meal

3. Unused meal(s)

4. Spoilage

5. Destructive and/or non-destructive testing

6. Special Program Income transaction entered to track contributions

2. Navigate to the Roster Services page.

2. Enter the following data

a. Region (default is displayed)

b. Vendor name (default is displayed)

c. Site location

d. Service category

e. Event name

f. Frequency schedule for the event

g. Indicate if the event is currently active or inactive

3. Identify a roster to be used for this event

a. Select an existing roster if it exists from the list of possible rosters

b. Alt: Create a new roster if an appropriate roster does not exist

4. Save the roster event

2. Roster option

a. Create a new roster; see use case cn-03

2. Navigate to the Roster Services page.

3. A roster event is selected

a. Build from scratch

b. Duplicate an existing roster and modify it (see Alternative)

2. New roster (from scratch), begin by filtering the possible client list

a. Filter options

i. Vendor

ii. Region

iii. Wait list for service category and assigned to vendor

b. Geo-distance filter

i. Select radial distance from roster event location; e.g., 3 miles

ii. Run geo-distance filter

iii. Possible clients list will display clients within the specified area

c. Fine tune, search for specific criteria; e.g., name of client, staff, or employee

3. Build roster

a. Select client(s) from “Possible Clients” list

b. Add client to new “Client Roster”; e.g., drag & drop or click/tap right arrow button

c. Remove unwanted persons in the list by doing the reverse; i.e., moving clients from the “Client Roster” to the “Possible Clients” list

4. Finalize and save the completed roster

2. Select ‘Duplicate roster’

a. Select roster to duplicate

b. Duplicate and provide new unique name

3. Remove and Add clients as necessary (see Basic events)

4. Finalize and save the completed roster

* Travel route and route order is not directly applicable to Congregate Nutrition. However, congregate nutrition rosters may have a lot in common with Transportation rosters that are used to pick-up and bring clients to a dining site.

2. Navigate to the Roster Services page.

3. Select a roster event and a corresponding roster

4. The document(s) to be attached must be accessible by the device being used, i.e., previously scanned and/or transferred to the device.

2. Upload a document(s) via one of the following methods

a. Open a file explorer window, navigate to the file(s) to be attached, select the file(s, and drag them to the ‘upload’ area on the page

b. Double click or double tap the upload area to open a file explorer view. Navigate to the file(s) to be attached, select the file(s), and select Upload

3. Provide basic information for each file being uploaded; e.g.,

a. Title

b. Document type

c. Retention category

4. Save to complete the upload

5. Attachments should appear in the most recent document attachments list

a. Method to refresh the page should be undertaken

User Interface Prototype The roster-based services UI was developed with the Figma online design tool.

https://www.figma.com/proto/XZIm7ISg0VO84WtMyKpM2t/UI-v-1.0?node-id=46%3A3&scaling=contain&page-id=46%3A3

2021.07.13 Appendix F Mindmap and Other Reference Materials

The following links and files provide additional insight into the specifications being requested.

Aging Services Information System (ASIS).html provides a visual outline (mindmap) of ASIS. It provides a comprehensive summary of key features of the system. It is interactive and allows the viewer to focus on specific aspects of the system, as well as providing a global perspective.

menu_index.html is a simple dropdown menu associated with Appendix E and the Caregiver program’s process walkthrough.

Summary of services with service units, data collection methods, and data element definitions. This file is referenced in Appendix C and is based on the ACL OAAPS reference materials identified below.

SCDOA Services-unit-data_collection.xlsx

ACL OAAPS Reference Materials is a key resource for several of the modules https://www.oaaps-pilot.acl.gov/Resources/techRes houses the most recent versions of the OAAPS documentation Includes documents that describe in detail what data must be collected and how it must be transmitted to the OAAPS site Example doc: Title_III_State_Performance_Report_Appendix_A_Definitions.docx, provides definitions for the data that is collected and reported to the Federal government.

Roster Events User Interface – partially interactive UI describing the business processes involved in providing roster-based services, in the Services module.

https://www.figma.com/proto/XZIm7ISg0VO84WtMyKpM2t/UI-v-1.0?node-id=46%3A3&scaling=contain&page-id=46%3A3

Appendix G

SERVICE PROVIDER SECURITY ASSESSMENT QUESTIONNAIRE

Instructions: (1) Attach additional pages or documents as appropriate and make sure answers cross reference to the questions below. (2) As used in this Questionnaire, the phrase “government information” shall have the meaning defined in the clause titled “Information Security.” (3) This Questionnaire must be read in conjunction with both of the following two clauses (a) Service Provider Security Assessment Questionnaire – Required, and (b) Service Provider Security Representation.

1. Describe your policies and procedures that ensure access to government information is limited to only those of your employees and contractors who require access to perform your proposed services.

2. Describe your disaster recovery and business continuity plans.

3. What safeguards and practices do you have in place to vet your employees and contractors who will have access to government information?

4. Describe and explain your security policies and procedures as they relate to your use of your contractors and next-tier sub -contractors.

5. List any reports or certifications that you have from properly accredited third-parties that demonstrate that adequate security controls and assurance requirements are in place to adequately provide for the confidentiality, integrity, and availability of the information systems used to process, store, transmit, and access all government information. (For example, an ISO/IEC 27001 compliance certificate, an AICPA SOC 2 (Type 2) report, or perhaps an AICPA SOC 3 report (i.e., a SysTrust or WebTrust seal)). For each certification, describe the scope of the assessment performed. Will these reports / certifications remain in place for the duration of the contract? Will you provide the state with most recent and future versions of the applicable compliance certificate / audit report?

6. Describe the policies, procedures and practices you have in place to provide for the physical security of your data centers and other sites where government information will be hosted, accessed or maintained.

7. Will government information be encrypted at rest? Will government information be encrypted when transmitted? Will government information be encrypted during data backups, and on backup media? Please elaborate.

8. Describe safeguards that are in place to prevent unauthorized use, reuse, distribution, transmission, manipulation, copying, modification, access or disclosure of government information.

9. What controls are in place to detect security breaches? What system and network activity do you log? How long do you maintain these audit logs?

10. How will government information be managed after contract termination? Will government information provided to the Contractor be deleted or destroyed? When will this occur?

11. Describe your incident response policies and practices.

12. Identify any third party which will host or have access to government information.

Offeror’s response to this questionnaire includes any other information submitted with its offer regarding information or data security.

SIGNATURE OF PERSON AUTHORIZED TO REPRESENT THE ACCURACY OF THIS INFORMATION ON BEHALF OF CONTRACTOR:

Date: ____________________________________

SPSAQ (JAN 2015) [09-9025-1]

Appendix H

Subcontractor Form Please list all subcontractors who may be providing subcontracting services, furnishing materials, etc. for this contract. The list shall be submitted in the format provided below. If not applicable please state that subcontractors are not applicable.

2022.01.07 image1.png image2.png image3.png image4.png image5.png image6.png image7.emf

Microsoft_Excel_Worksheet.xlsx Service Definitions

Table 2. Services and Service Units:

Data Element Definition Service Unit

Adult Day Care/Health Services or activities provided to adults who require care and supervision in a protective setting for a portion of a 24-hour day. Includes out of home supervision, health care, recreation, and/or independent living skills training offered in centers most commonly known as Adult Day, Adult Day Health, Senior Centers, and Disability Day Programs. (Source: NAMRS) Day. One (1) day is equal to eight (8) hours. Partial days may be reported using two decimal places.

Assistance: Case Management (Caregiver) Means a service provided to a caregiver, at the direction of the caregiver:

• by an individual who is trained or experienced in the case management skills that are required to deliver the services and coordination described in subparagraph; and

• to assess the needs, and to arrange, coordinate, and monitor an optimum package of services to meet the needs, of the caregiver; and Includes services and coordination such as—

• comprehensive assessment of the caregiver (including the physical, psychological, and social needs of the individual);

• development and implementation of a service plan with the caregiver to mobilize the formal and informal resources and services identified in the assessment to meet the needs of the caregiver, including coordination of the resources and services— o with any other plans that exist for various formal services; and o with the information and assistance services provided under the Older Americans Act;

o coordination and monitoring of formal and informal service delivery, including coordination and monitoring to ensure that services specified in the plan are being provided;

o periodic reassessment and revision of the status of the caregiver; and o in accordance with the wishes of the caregiver, advocacy on behalf of the caregiver for needed services or resources.

(Source: OAA) Hours (partial hour may be reported to two decimal places, e.g. 0.25 hours.)

Assistance: Information and Assistance (Caregiver) A service that:

• provides the individuals with current information on opportunities and services available to the individuals within their communities, including information relating to assistive technology;

• assesses the problems and capacities of the individuals;

• links the individuals to the opportunities and services that are available;

• to the maximum extent practicable, ensures that the individuals receive the services needed by the individuals, and are aware of the opportunities available to the individuals, by establishing adequate follow-up procedures; and

• serves the entire community of older individuals, particularly— o caregivers who are older individuals with greatest social need;

o older individuals with greatest economic need;

o older relative caregivers of children with severe disabilities, or individuals with disabilities who have severe disabilities;

o family caregivers who provide care for individuals with Alzheimer’s disease and related disorders with neurological and organic brain dysfunction; and o caregivers of “frail” individuals defined as: unable to perform at least two activities…