RFP 26-86873 CMHW Case Management System

STATEMENT OF WORK

I. EXECUTIVE SUMMARY

Family Social Services Administration (FSSA) Division of Mental Health and Addiction (DMHA) is seeking proposals to manage a Dynamics 365 and Microsoft Power Apps front end system (with Microsoft Dataverse database) which houses multiple applications that the DMHA utilizes for day-to-day functionality. This is a cloud-based case management system that supports the 1915(i) Child Mental Health Wraparound (CMHW) Program managing both Wraparound Provider Organizations and participants in the CMHW program.

II. BACKGROUND AND CURRENT STATE

This system allows the DMHA to provide oversight and management of the CMHW program and has several environments, including Development, QA, Training and Production. This system interfaces bi-directionally with the CMHW portal, DARMHA and COREMMIS. The CMHW portal handles provider management information, referral information, and demographics. DARMHA contains participant demographics, status information and CANS assessments. COREMIMIS contains demographics, Medicaid information and Prior Authorizations.

One of the main applications within this system is called “Tobi.” Tobi allows DMHA to manage, review, and provide oversight over youths enrolled in the Wraparound Program. Tobi holds all documentation from all youth who have ever been enrolled within the program while serving as an electronic case management system for collaboration between DMHA and Wraparound Provider Organizations (WPOs). Tobi provides daily access to all youth files and service plans to DMHA and WPOs for communication between these entities. Tobi is also accessed by the state-wide access site to manage the status of new or returning youth through referral information.

Another major application of this system is the Provider Management Application (PMA). The PMA is a centralized system to track interest in becoming a CMHW provider, orientation of new providers, applications of new providers and any appeals to decisions made by DMHA as they relate to providers. The PMA also serves as a centralized system to obtain data related to the above information that is stored within the application.

III. SCOPE OF WORK

OBJECTIVES OF ENGAGEMENT

Training Training involves providing supportive education to end users for system operation of Tobi. The Contractor will need to create and implement any training materials and maintain version control and update logs for all materials. Training preparation can include, but is not limited to PowerPoint presentations, creating hands-on training in a sandbox environment and training handouts. Any required instructional material will be supplied by the vendor in support of training.

Training may be offered via telephone, virtually or onsite at the Indiana Government Center computer training lab. Alternatively, webinars or training documents for end users may be created and the vendor will work with State officials in making those available through the State's training channel. Additional onsite training can be provided at other sites when approved by the State and where appropriate accommodation is available. The Contractor shall also track training attendance, user satisfaction, pre/post-training competency and other metrics as identified by DMHA for continuous quality improvement.

Upon request by the DMHA, the Contractor shall provide specific end user training with agreed upon materials in an agreed upon environment in a reasonable timeline according to the burden of the request. All training materials must conform to WCAG 2.1 Level AA and Section 508. Contractor shall provide all training materials in compliant accessible formats.

Help Desk Support Help Desk Support includes consultation support via the virtual Jira ticketing system. End users submit explanations of issues they are experiencing with the Tobi application including but not limited to enabling or disabling users at the request of DMHA staff, making corrections to Prior Authorizations, troubleshooting issues or errors that users are experiencing, researching denied claims through engagement with State vendors and engaging with IOT for maintenance as required.

Help Desk Support is often completed via the Jira ticketing system; however, further communication with end users may be needed via phone, in person, or through email correspondence.

Help Desk Support is often the first contact with end users. Upon investigation of concerns, the Contractor is required to communicate, as soon as possible, to the DMHA any concerns or potential concerns that would severely impact system functionality or day-to-day operations. The DMHA may choose to use ticket trends that Help Desk Support encounters to drive potential software enhancements.

The Contractor shall respond to help desk tickets and inquiries within 48 business hours.

Software Enhancements Software enhancements are modifications to the DMHA applications. Software enhancements take up a large portion of the communication between the DMHA and the Contractor.

Software enhancement includes project management, project support, business analysis, design and architectural components. Software enhancements start with brainstorming improvements to the applications brought by either the Contractor or the DMHA. The Contractor will then provide documentation and mock-ups of the discussed potential enhancements, which must include but are not limited to the following:

· What the enhancement is

· Why the enhancement is needed and being implemented

· The estimated timeline and work hours to implement the enhancement

· The amount of system down time, if any, that is expected

· Any visuals that will aid the DMHA in reviewing the enhancement

· Any additional information specific to this enhancement

· A traceability statement connecting each enhancement to requirements

Solution Configurability and Customization Preference The State prefers a solution that meets requirements in the following priority order: out of the box functionality; configuration; or customization only as a last resort. The State expects the selected vendor to act as a partner to help identify potential business process changes that leverage out of the box or configuration options and reduce or eliminate the need for custom code. To help facility this, the selected vendor must document the out of the box and configuration options evaluated before proposing any customization and must demonstrate why configuration cannot satisfy the requirement.

Customizations should be considered only when one or more of these criteria apply: the requirement is necessary to meet a federal reporting requirement or regulation; the requirement is necessary to meet a state law, regulation, or rule; the requirement is necessary to satisfy state security requirements; the requirement is necessary to interface or integrate with state systems; or the requirement will produce a material improvement in service delivery, partner interactions, or utilization of state resources. Material improvements must be documented, justified, and presented to the Project Steering Committee for review.

All customizations require written approval from the Project Steering Committee before work begins. Each customization proposal must include a configuration first analysis, a functional specification, a technical design, an impact analysis addressing maintenance, upgrade compatibility, security, performance, accessibility, total cost of ownership, a test plan, a rollback plan, schedule impact, and itemized pricing if applicable. Approved customizations must pass the same acceptance tests as core functionality, be upgrade-compatible or provide a documented migration path, and meet State security standards. The vendor will deliver source code, developer and user documentation, and a perpetual royalty free license for any custom code. Additionally, the State expects the vendor to consider approved and implemented customizations for incorporation into the selected vendor core solution going forward so that they become out of the box functionality.

After review and approval from the DMHA, the Contractor will begin development and testing of the enhancements within the sandbox environment. After the enhancement has been verified to be in working condition by the DMHA and the Contractor, the Contractor will oversee implementation of any enhancements into the live system. Enhancements will be implemented within a timeframe as is agreed upon by DMHA. Implementation timeframe will be documented in monthly reports.

Data Exchange and File Transfer Standards The State has robust and comprehensive data transmission standards that operate enterprise-wide. The IOT established and maintains these standards, which support IOT’s data exchange and API-led strategies for the State. The Contractor’s solution must support the State’s standard API and file transfer methods to facilitate secure data transmission. The State’s standardized data transmission technologies are the MuleSoft API Management and GoAnywhere Managed File Transfer (MFT) services. See https://www.in.gov/iot/policies-procedures-and-standards/applications-standards/.

Authentication & Identity The proposed solution is expected to integrate with Access Indiana. The IN.gov Program is tasked with implementing a single sign-on authentication mechanism and Identity Provider for online applications for the State of Indiana, referred to as Access Indiana. The benefits of a standard authentication solution, integration strategy, integration process, and more can be found at Access Indiana Authentication (https://www.in.gov/inwp/applications/authentication/).

Additional Conditions The Contractor must meet with the DMHA at least once a month to discuss current.

and/or future enhancements at an agreed time. The Contractor is required to provide pre‑read materials and agendas at least 24–48 hours in advance The discussion will include but are not limited to:

· Current barriers to mutually agreed upon enhancements

· Current concerns within the system that could benefit from an enhancement

· Upcoming training needs

· Help Desk Support trends or concerns

· Additional meetings may be required as needed by either the vendor or the DMHA.

· Timeline for completion of enhancements The Contractor is also expected to relay any critical issues, to the DMHA immediately. Critical issues would include any system outages or any system issues that would impact functionality for end users.

Additional Equipment

If equipment is needed to access the State’s network, the Vendor will be required to reimburse the State for all equipment and access‐related costs, as outlined in the FY26 Indiana Office of Technology Services Catalog.

Computer Equipment: Costs vary by type and specification, based on DMHA stated purpose and requirements.

Seat (Maintenance) Charge: $80.75 per computer, per rate period.

Security Support Fee: $47.77 per computer, per rate period.

User Account Access Fee: Variable, based on the level of access needed.

All rates are subject to annual adjustment and reissuance on July 1 of each fiscal year.

IV. DELIVERABLES AND DEADLINES

A. TRAINING - The Contractor shall submit a training monthly report, using a standardized reporting template approved by DMHA, to the DMHA by the 5th business day of the following month that includes but is not limited to the following information:

· Description(s) of any completed training(s) during the prior month, including:

· Method of training used

· Number of users who attended

· Any relevant materials provided to end users

B. HELPDESK - The Contractor shall submit a helpdesk monthly report to the DMHA by the 5th business day of the following month that includes but is not limited to the following information:

· Description of help desk support provided during the prior month, including:

· Number of help desk tickets submitted by end users during the prior month

· Number of help desk tickets resolved during the prior month

· Number of current open help desk tickets at the end of the prior month

· Trends of types of tickets being submitted by end users

C. ENHANCEMENTS - The Contractor shall submit an enhancement monthly report to the DMHA by the 5th business day of the following month that includes but is not limited to the following information:

· Description of software enhancements being worked on in the prior month, including:

· A short description of each enhancement

· If the enhancement was implemented

· If the enhancement was not implemented, what the current barrier to implementation is

· The amount of calendar days between initial agreement of the enhancement and implementation of said enhancement

D. SYSTEM PERFORMANCE - The Contractor shall submit a system performance monthly report to the DMHA by the 5th business day of the following month that includes but is not limited to the following information:

· Description of any outages, their causes, resolutions and length of outages

· Differentiate between planned, unplanned, third‑party‑caused, and vendor‑caused outages

· Number of active end users, as well as amount of new and terminated end users

· Billing for the previous month and year-to-date billing of the fiscal year

· If needed the Contractor will also provide access to APM dashboards (AppDynamics or equivalent) log analytics and exportable incident/availability data

E. YEAR END REPORT - The Contractor shall produce a yearly report to the DMHA no later than 30 days following the end of the contract year. The report should detail trends surrounding the information in the monthly reports, noted above, including any additional information relevant to the work being done in the previous fiscal year.

F. MONTHLY/BI-MONTHLY MEETINGS - After each scheduled meeting with the DMHA, the Contractor will produce meeting minutes within 5 business days; detailing updates and progress towards mutually agreed upon tasks needing to be completed by the Contractor. Meeting minutes should detail follow-up tasks for the DMHA to complete.

Based on business needs the DMHA may request additional documentation which is to be provided in a reasonable timeline according to the burden of the request.

V. PAYMENT MILESTONES

Payment milestones shall be tied to successful completion and State acceptance of deliverables. The specific payment schedule will be negotiated during contract finalization and aligned with the Cost Proposal (Attachment D). At a minimum, the following milestone structure applies:

Milestone #1: Acceptance of all monthly reports (Training, Helpdesk, Enhancement & System). Reports may be separate or combined.

Milestone #2: Acceptance of bi-weekly (2 times per month) meeting reports; Except were the vendor and state agree that a bi-weekly meetings was not held and a meeting report is therefore not needed.

Milestone #3: Acceptance of year-end report.

PAYMENT PROCESSING

If payment processing falls within the parameters of the relevant state statutes (IC 5-27-3-1 and IC 5-27-3-2), the winning vendor must utilize the state’s contracted payment processing services. For payment processing activities not governed by the relevant statute, the winning vendor must provide fully PCI DSS-compliant payment processing, ensuring adherence to standards such as secure cardholder data storage, robust encryption, network security monitoring, and periodic compliance assessments as outlined by the Payment Card Industry Data Security Standards (PCI DSS). The payment processing services provided by both companies have been tailored for the unique requirements of Indiana and its governmental entities.

VI. PROJECT MANAGEMENT

The Contractor shall provide dedicated project management throughout the engagement. Project management responsibilities include:

PROJECT MANAGEMENT PLAN

The contractor shall appoint FTE project manager for the entire duration of the contract.

The Contractor’s Project Manager shall serve as the single point of contact for all project-related communications and shall be authorized to make decisions on behalf of the Contractor within the approved scope.

KEY PERSONS

The contractor shall identify all other key persons assigned to this project. For each key staff include job descriptions and all pertinent information about their roles.

The contractor and the state will negotiate, during the contracting process, the proposed time each key person will devote to the project.

OTHER PROJECT STAFF

The contractor shall identify all other project staff, not identified above, who will be assigned to this project. Job descriptions and their relevance to the project must be included. The contractor and the state will negotiate, during the contracting process, the proposed time each additional staff will devote to the project.

DOCUMENT MANAGEMENT

The Contractor shall:

· Provide the State with access to all contract related documents in a timely manner in accordance with the burden of the request.

· The contractor will make all documents and/or work products produced during the contract accessible to the state in a manner agreed upon by the state

· The state shall retain ownership of all documents produced under this contract

Upon contract termination, all documentation shall be transferred to the State in its entirety

· Respondents must provide a full system architecture document, as a deliverable, prior to project acceptance. At minimum, an annual review of that document is required, and the resulting document is to be provided to IOT.

· The contractor will implement retention schedules and legal hold procedures upon State notice.

IV. STATUS UPDATES AND REPORTING

The Contractor shall provide regular status updates and reporting as follows:

· Monthly reports due by the 5th business day of the month as outlined in the Scope of Work: Training report, Helpdesk report, Enhancements report.

· The Contractor will lead monthly/Bi-monthly update meetings with the State with accompanying meeting minutes sent no later than 5 business days after the related meeting.

· Year-end report, no later than 30 days following the end of a fiscal year as outlined in the Scope of Work.

· The contractor will also be available via email and/or for ad hoc meetings, based on the state’s needs

· The contractor may be required to develop a dashboard to be shared with DMHA staff for the purpose of sharing status updates and reporting.

Service Level Agreements (SLAs) and Release Management.

Provide details and describe service levels for incident response. Include how incidents will be handled and communicated to the State.

Describe your company’s overall release management strategy and processes. How frequently are new versions / patches released? Is there a regular release schedule? Will release notes be available and how far in advance before the release will release notes be disseminated? What authority will the State have to stop a production release if testing reveals an issue that the State deems critical?

State retains no‑go authority; vendor must remediate and retest; deployment only after State and IV&V approval of corrected release notes and test results

V. INDEPENDENT VALIDATION AND VERIFICATION

In the event the State determines that any independent verification and validation ("IV&V") oversight is required by the State during the term of this Contract, the Contractor shall comply with any such oversight during the term of this Contract, pursuant to which an independent third-party review may be conducted by a reviewer selected by the State, for the purpose of verifying that the Contractor has performed its obligations in compliance with the terms of this Contract. In the absence of any such IV&V oversight, the Contractor shall comply with any other appropriate methods or means for verification and validation required by the State during the term of this Contract for the purpose of verifying and validating that the Contractor has performed its obligations in compliance with the terms of this Contract. The Contractor shall provide all information and documentation requested during the State's IV&V oversight or verification and validation efforts related to this Contract and in connection with any IV&V oversight or verification and validation efforts related to an initiative of which this Contract is a part.

If the State decides to add Independent Verification & Validation (IV&V) services as part of this Contract, the Contractor will copy the Indiana Department of Administration (IDOA) – IV&V Team member(s) on all project related communications (emails, meeting invites, collaboration tools, etc.) and will grant access to all documents and deliverables throughout the term of the Contract. If IDOA elects to deploy IV&V services in connection with this engagement, the IV&V Team will review and assess all deliverables to determine compliance with the State’s requirements set forth in the Contract including the Statement of Work. For contracts entered into, renewed, or amended after June 30, 2026, the IV&V Team shall serve as an approving authority, and no payment shall be issued to the Vendor unless and until IV&V has provided such approval.

VI. COMPLIANCE REQUIREMENTS

The State has robust and comprehensive security standards that permeate all levels of the organization. The Indiana Office of Technology (IOT) has been tasked with establishing and maintaining these security standards. The security standards include assessing security risks, developing, and implementing effective security procedures, and monitoring the effectiveness of those procedures. If the proposed solution involves information technology-related products or services, all such products or services are to be compatible with any of the technology standards found in the Information Security Framework (https://www.in.gov/iot/iot-vendor-engagement/) that are applicable, including the assistive technology standard. Respondents will be required to sign a Non-Disclosure Agreement (NDA) to access the IOT Information Security Framework; Respondent’s should review the IOT Information Security Framework, and ensure their proposed solution meets all standards therein.

The State of Indiana has adopted an enterprise-level policy governing the use of Artificial Intelligence (AI) within state government. The State of Indiana AI Policy is issued and monitored by the Office of the Chief Data Officer (OCDO), in cooperation with the Chief Privacy Officer (CPO) and the Management Performance Hub (MPH). In complement the AI Policy, the State Agency Artificial Intelligence Systems Standard outlines the rationale behind the AI Readiness Assessment process required for the implementation or any use of AI by a state agency. The standard outlines the requirement for the submission of a Readiness Assessment Questionnaire prior to implementation or use of an AI tool or system. Any proposed solution meeting these requirements must support the State’s AI Policy and follow the AI Readiness Assessment Process. See https://www.in.gov/mph/AI/ for more detailed information

VII. BUSINESS CONTINUITY-DISASTER RECOVERY PLAN

The Contractor shall maintain and share with the State a Disaster Recovery Plan, and shall make available to the State all amendments, changes, or modifications to its Disaster Recovery Plan. The Contractor’s Disaster Recovery Plan is deemed a trade secret and is deemed information that would jeopardize a record keeping or security system and shall be exempt from disclosure under Indiana’s Access to Public Records Act, Ind. Code § 5-14-3-4(a) and (b)(10), (11) and (19). Please refer to section J of the main RFP document for further information about identifying aspects of a proposal to remain confidential.

The Contractor shall, in coordination with the State, maintain a specific Business Continuity Plan dedicated to operating State systems for which it is responsible in the event of a disaster, as well as a specific Continuity of Operations Plan dedicated to the Contractor’s organization itself.

Over the course of the contract, the Contractor shall make updates to their Business Continuity-Disaster Recovery Plan on an annual basis to ensure that staffing and procedures are up to date. All said updates shall be shared with the State in a timely manner.

VIII. KEY PERFORMANCE INDICATORS

The State will use Key Performance Indicators (KPIs) to measure performance and outcomes of the Contract. The specific KPIs and their targets will be defined and agreed upon by the State and the Contractor during the initial phases of the requirements under the Contract. At a minimum, on time delivery at quality standards of the scope provided within the budget set forth in the Contract will each be measured. Additionally, the State will collect a modified Net Promoter Score from customers to this Contract in its discretion. Low ratings on the modified Net Promoter Score or failure to meet any other KPIs may be deemed, at the discretion of the State, to constitute default under the Contract.

The IV&V Team (if deployed) will review KPI performance as part of deliverable approvals. Low ratings on the modified Net Promoter Score or failure to meet any other KPIs may be deemed, at the discretion of the State, to constitute default under the Contract.

IX. END OF CONTRACT TRANSITION AND TURNOVER

The services to be performed under the Contract resulting from this RFP are vital to the State and must be continued without interruption. Procedures must be in place to ensure a seamless transition and uninterrupted service throughout the transition to a project successor at contract end. The State seeks to ensure that program stakeholders experience no adverse impact from the transfer of scope to either the State or to the successor contractor(s) should the Contract not be extended or terminated early.

The Contractor shall be responsible for planning and performing end of contract turnover and disengagement activities. Disengagement includes transition planning to ensure a seamless operational transition to the State or its designee in the event of required contract transition. The Contractor shall work with the State to ensure that all end of contract turnover tasks are completed and that all responsibilities are transitioned in a timely and effective manner.

The Contractor shall complete, at a minimum, the following tasks and activities during the End of Contract Turnover period:

Develop an End of Contract Turnover Plan, subject to State approval, including a detailed schedule and resources (quantity, type, and role) who will be available for all months of the End of Contract Turnover period. The End of Contract Turnover Plan shall outline the following:

· Contractor roles and responsibilities

· State roles and responsibilities

· A schedule with key milestones and deliverables

· Method to transfer information to the State and/or successor contractor(s)

· Inventory of detailed documentation about operations, applications, architecture and infrastructure, as well as any supporting information related to the technical architecture and infrastructure

· An inventory of all work-in-progress that needs to be completed by the State and/or a successor contractor(s)

· Plans for coordination and transition of specific responsibilities from the incumbent to the future contractor.

· An inventory of project documentation, work-in-progress, technology, systems, and assets necessary for a successive Contractor to perform the duties of the Scope of Work

· Conduct training of State staff or successor contractor(s) staff, in the operations and procedures performed by Contractor staff.

· Perform shadowing and training activities for the State and successor contractor(s)

· Transfer the following information to the State or successor contractor(s) on a medium acceptable to the State:

· All relevant project artifacts created, maintained, and updated throughout the Contract term

· Project documentation, work-in-progress, technology, systems and assets necessary for a successive Contractor to perform the duties of the Scope of Work

· Other documentation including, but not limited to:

– User, provider, and operations manuals

– Training materials

– Documentation of any interfaces developed to support business activities between contractors

· Participate in reverse shadowing for the State and/or successor contractor(s) staff on all aspects of workflows, releases, and assignments as requested by the State

· Be available to provide support as requested by the State by the end date of the Contract, the Contractor must turn over all State property to the State, and Contractor’s access to all State infrastructure and facilities shall be terminated.

The State has the right to initiate the disengagement process for any service under the Contractor Scope of Work with thirty (30) calendar day’s written notice. The notice of termination initiates these disengagement activities and responsibilities.