Attachment 1.xlsx
XLSX spreadsheet 180 KB Posted
- Attached to
- GRANTS MGMT SYSTEM State and local contract opportunity
- Solicitation number
- 5400019581
- Issued by
- Richland County, South Carolina
About this file
This is a functional requirements document for a Grant Management System (GMS) that South Carolina's Department of Alcohol and Other Drug Abuse Services (DAODAS) seeks to implement. The system must support comprehensive grant administration across multiple funding streams, including the Substance Abuse Prevention and Treatment (SAPT) Block Grant (SABG) and Mental Health Block Grant (MHBG), serving state authorities, county grantees, subrecipients, and external stakeholders. The GMS must facilitate the complete grants lifecycle, encompassing strategic planning and needs assessment through contract closeout, including workflows for document routing and approval, multi-funder project management, funder agreement tracking, funding allocation, prequalification and eligibility determinations, program design, procurement processes (RFP, RFI, RFB, sole source), application evaluation and scoring, contract award and execution with electronic signatures, payment request processing, fiscal review and disbursement management, subrecipient monitoring and compliance tracking, and stakeholder reporting with customizable dashboards.
The system must integrate with Microsoft Dynamics 365 or substantially similar platform and support 24/7/365 availability with planned downtime approval, accessible via any browser on desktop, tablet, or mobile devices. Key technical requirements include cloud-based hosting via Microsoft Azure (preferred), AWS, or Google Cloud; HIPAA/HITECH compliance meeting 45 CFR 96.30, FIPS 140-2, ISO 27001, and ISO 27018 standards; role-based security with 12-character minimum complex passwords and 90-day maximum change intervals; data encryption both at rest and in motion; and audit trails with user, date, and timestamp tracking. The vendor must provide integration capabilities with Office 365, DocuSign or Adobe Sign, Google Maps, and APIs for data exchange; maintain data ownership with DAODAS as sole owner and provide secure data return and erasure within five business days upon contract termination; support source code escrow; and ensure compatibility with existing systems including QuickBooks and FREDD reporting systems. The system must accommodate extensive customization for South Carolina-specific terminology, support unlimited document storage with retention policy management, and provide phone support during business hours and 24/7 email support with onsite and post-implementation training tailored to different user groups.
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Other files for this state and local contract opportunity
| File | Type | Posted |
|---|---|---|
| Attachment 7.pdf | ||
| Attachment 5.docx | DOCX document | |
| Attachment 11.pdf | ||
| Attachment 8.pdf | ||
| Amendment 1.docx | DOCX document | |
| Attachment 9.pdf | ||
| Attachment 6.xls | XLS spreadsheet | |
| Attachment 4.docx | DOCX document | |
| Notice of Award Extension.doc | DOC document | |
| Attachment 10.xlsx | XLSX spreadsheet | |
| Amendment 2.docx | DOCX document | |
| Solicitation.docx | DOCX document |
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1.Workflows
| Number | Area | Requirement | Examples | Additional Information | Offeror's Comments |
| 1.1.1 | General | Ability to route documents for approval (either sequentially or concurrently) | Some authorizations require sequential approvals, others can be concurrent eg. HI approval before release or outside counsel | ||
| 1.1.2 | Ability to route document for feedback and track changes as routing |
1.2.1 Multi-Funder Projects Manage multi-funder programs or grant projects where there are multiple sources of funding used to deliver services or accomplish program objectives. As part of the budgeting process, each funder amount is allocated and tracked against expenditures and objectives. Every expense transaction is allocated to the appropriate funder and objective, thereby enabling funder specific reporting for each grant project or program.
1.3.1 Funder Agreement Ability to track awards by multiple data elements by Program, by Strategy, by Funder, by SPA, by Population, by Fiscal Year, by Term start/end, by Type, by geographic code, by population, by grantee name, by EIN, by application ID, etc.
Parikh, Premal: Parikh, Premal:
SPA = Small Projects Assistance EIN = Employer Identification Number (IRS)
| 1.3.2 | Search and track applications for funding opportunities | e.g. private and other government grants - grants.gov |
| 1.3.3 | Ability to remind, capture, and manage award requirements | e.g. report frequency, financial requirements, etc. |
| 1.4.1 | Allocate Funding | Ability to route allocation request for approval | |
| 1.4.2 | Ability to have differing program timelines | e.g. not all contracts start and end at the same time | |
| 1.4.3 | Ability to allocate by an unlimited number of metadata | e.g. by funder(s), Strategy, Program, Population, etc. |
1.5.1 Prequalification / Eligibility Ability for more than one type of prequalification application e.g. Subrecipient RFSQ, Subrecipient's Subcontractor profile, Professional Services Parikh, Premal: Parikh, Premal:
RFSQ = Request for Statement of Qualifications Name Website URL Address
- Mailing
- Physical
DUNS
Contacts
- Grant Coordinator
- Fiscal Contact
| 1.5.2 | Ability for user to save, reopen and update application with track changes | |
| 1.5.3 | Allow multiple users to edit same prequalification application | e.g. different roles at a Subrecipient may need to complete different parts of the prequalificaiton application |
| 1.5.4 | Ability to attach variety of documents to Subrecipient/vendor profile and tag for easy identification | e.g. some documentation is not specific to a contract or individual RFP, but is part of the vendor profile and/or required annually |
| 1.5.5 | Ability for reviewers to add comments to an application but viewing the comments restricted based on role | e.g. applicant cannot see reviewer comments |
| 1.5.6 | Ability for workflow to show applicant their progress and validate input to prevent them from "missing" required information/documentation | e.g. applicant can easily identify what is missing as they progress through the process |
| 1.5.7 | Ability to capture and report prequalification decline by reason | e.g. report on declined prequalification applications by reason code |
| 1.6.1 | Program Design | Ability to design the Scope of Required Services within the system which can be selected to develop procurement request |
| 1.6.2 | Ability to design Performance Requirements by Population and Program which can be selected to develop procurement request | |
| 1.6.3 | Share performance and financial requirements with subrecipients, contractors, program offices, divisions, departments or any other tier in your organizational hierarchy. |
1.7.1 Procurement Design Develop and post grant and contracting opportunities, receive and review applications and proposals, and manage review panels. Create Contracts & Manage Contract Language Create & Perform Assessments
| 1.7.2 | Ability to develop various types of procurement requests | e.g. RFP, RFI, RFB, Sole Source, Professional Services |
| 1.7.3 | Supports different scoring methods | e.g. basic, weighted, hierarchical structure, etc. |
| 1.7.4 | Ability to select from different budget templates | e.g. HUD, non HUD, ESG, Professional Services, etc. |
Parikh, Premal: Parikh, Premal:
ESG = Emergency Solutions Grants
| 1.7.5 | Ability to use budget template, but modify for a particular grant | e.g. to remove or add a line item |
| 1.7.6 | Ability for budget template to track matching funds/cost sharing, in kind, indirect, personnel and non-personnel line items | e.g. COC contract tracking of set percentage of award |
Parikh, Premal: Parikh, Premal:
Continuum of Care
Parikh, Premal: Parikh, Premal:
SPA = Small Projects Assistance
| EIN = Employer Identification Number (IRS) | 1.7.7 | Ability to restrict cost categories based on funder requirement | e.g. certain type of grant funds do not allow for motel costs so budget and invoice should not allow for this activity |
| 1.7.8 | Ability to track assets purchased >$5000 | e.g. assets >$5000 may be required to be returned to funder guidance or uniform guidance requirement |
| 1.8.1 | Submit Application | Ties the allocation to the funding available as determined by budget team | e.g. Funding Matrix details |
| 1.8.2 | Automatically generates warning based on budget requirements and template | e.g. no more than X% can be spent on salaries | |
| 1.8.3 | Allows applicant to reopen submitted application before deadline but prevent further modification to application after deadline |
| 1.9.1 | Evaluate/Review Application | Manage entire review and award process, including but not limited to, communication with applicants, reviewer recruitment and tracking, application and proposal assessment questions, and scoring | |
| 1.9.2 | Allows multiple reviewers (both internal and external) to simultaneously score and add comments | e.g. portal for reviewers with unique user id | |
| 1.9.3 | Flexibility to limit reviewers access to other's score/comments | e.g. this functionality may be needed for some and restricted for other procurements | |
| 1.9.4 | Easy to access prior applications, awards, and monitoring information | e.g. for both agency personnel and Subrecipient | |
| 1.9.5 | Calculates scoring automatically | ||
| 1.9.6 | Ability to record and report declined awards by reason |
| 1.10.1 | Award Procurement | Copy relevant application information to award section, but allows for edit | e.g. Award amount may vary from requested amount |
| 1.10.2 | Ability for unique workflow where procurement does not require evaluation, but may require specific approvals | e.g. Supervisorial Authorization, Sole Source | |
| 1.10.3 | Allows for waiver of condition; Ability to track conditional approval of contract. Conditional approval is contigent on configurable pre-requisites and milestones. | e.g. conditional approvals might include: federal grants management training required; or update of capacity assessment; etc. |
Note: a waiver does not require any further action by Subrecipient
1.10.4 Allow for award notifications
1.11.1 Appeals Be able to manage and track appeals through the GMS e.g. Subrecipient can lodge appeal directly within GMS
| 1.12.1 | Finalize Contract | Pulls final budget, program profile, scope of required services, performance indicators/targets, and terms and conditions into contract template which can subsequently be edited | e.g. budget submitted at time of RFP to prepopulate final budget (and allow for modification) |
| 1.12.2 | Terms and Conditions can be selected based on type of funder requirements | e.g. Standard templates for terms and conditions by type of funder |
| 1.13.1 | Execute Contract | Allows for electronic signature/approval or wet signature | |
| 1.13.2 | Encumbers funds at time of Contract Execution | e.g. we can report what funds are not allocated; and those not encumbered | |
| 1.13.3 | Ability to capture approver feedback while routing | e.g. If there is a correction that needs to be made | |
| 1.13.4 | Allows tagging others for clarification while routing | e.g. @ symbol to alert internal staff to review/comment | |
| 1.13.5 | Prevents further modification to contract after final execution |
| 1.14.1 | Request for Payment | Ability for Subrecipient to request Advance and Payment Requests | |
| 1.14.2 | Ability to track and report on advances within the GMS | ||
| 1.14.3 | Ability to restrict cost categories based on budget template. | ||
| Ability to map transaction data for posting to the appropriate grant and budget category | e.g. certain type of grant funds do not allow for motel costs, so budget and invoice submited should not allow this activity | ||
| 1.14.4 | Ability to create a workflow defining the Subrecipient roles that can submit an invoice | ||
| 1.14.5 | Provides an audit trail of Subrecipient approval of request for payment | ||
| 1.14.6 | Ability to pay for performance |
1.15.1 Fiscal Review & Payment Complete management of all payments coming into and going out of your project, including reimbursement invoicing, scheduled drawdowns, and disbursements to sub-awardees and contractors based on actual project performance.
| 1.15.2 | Ability to disallow costs | e.g. agency may disallow an amount, and yet will proceed with processing the adjusted invoice |
| 1.15.3 | Every expense transaction is allocated to the appropriate funder and objective | |
| 1.15.4 | At time of invoice submission, easily identifies the Subrecipient's subcontractor budget details and can verify subcontractor is valid. | At time of invoice we want to validate the Subrecipient's subcontractor is the same as what the Subrecipient has indicated in their contract |
| 1.15.5 | Tracks status of submitted invoice: pending, approved, paid | e.g. shows users what invoices have been paid and which are still outstanding |
| 1.15.6 | Ability to create a workflow defining the roles that can approve the payment request | |
| 1.15.7 | Authorizes payment request before posting to the accounting system | e.g. internal routing to managers within agency for approval of payment |
| 1.15.8 | Provides an audit trail of agency approval of request for payment |
1.16.1 Funder Reimbursement Request Prepares reimbursement requests to Funders e.g. Report for invoices authorized for a period by Funder
| 1.17.1 | Active Contract Management | |
| (includes Performance Monitoring) | Monitor sub-recipient compliance and provide oversight | Budget Management |
Invoicing Drawdowns, Reimbursements & Disbursements Performance Management & Reporting Internal Communication
| 1.17.2 | Provide ability to create reports that will reduce risk, prevent audit findings, and enable agency to engage in proactive Subrecipient management | Ability to create custom reports and/or dashboards for Subrecipients to manage key performance indicators (such expense vs budget by line item; number of people served, performance targets, # of beds, etc.) |
| 1.17.3 | Create, assign, manage tasks, activities and appointments. Track findings and schedule alerts based on deadlines to support resolution in a timely manner | findings, risk compliance, monitoring, performance improvement plan |
| 1.17.4 | Ability to record, track, and monitor response by Subrecipient for noncompliance per 2 CFR 200.207 and 2 CFR 200.338 | e.g. Record and manage identified Subrecipients with noncompliance: issue letters with special conditions attached to Subrecipient per 200.207, track compliance with special conditions, report status, escalate as appropriate which may include probation, suspension, termination, and debarment |
| 1.17.5 | Provide ability for Subrecipient Monitoring template | Provide avenue for agency to create monitoring workpapers, including transaction testing, internal control testing, client file testing. Monitoring workpaper comply with 2 CFR 200.331(d). |
| 1.17.6 | Portal for Subrecipient to submit corrective action plans and for agency to review, approve, and track implementation of those plans | per 2 CFR 200.331(d)(2) agency issues monitoring reports detailing finding and concerns with required actions, Subrecipient must submitted corrective action plans which agency reviews and ensure appropriate follow-up |
| 1.17.7 | Track questioned and disallowed costs | As part of Subrecipient monitoring, agency identifies costs that are not adequate supported at time of monitoring, these costs are questioned. If Subrecipient cannot adequately support costs, they are disallowed and Subrecipient must repay cost. System must have abiliity to track questioned cost by cost center and the method of clearance-either payment, replacement cost, or documentation. |
| 1.17.8 | Ability to manage Subrecipient Risk Assessment to comply with 200.331(b) | e.g. review of Subrecipient audited financials, current nonprofit status/registry checks, internal control questionnaire, and adequate policy questionnaire. In addition, assessment include past performance analysis regarding invoicing submission, participant grievance received by agency, adequacy and frequency of HMIS entry, facility review results, and past monitoring findings/concerns. |
| 1.17.9 | Ability to check federal audit clearinghouse for submission of single audit, alert agency of single audit submission, and facilitate the creation and distribution of management letter, and tracking of corrective action implementation as necessary. | As pass-through entity for federal funds, agency must review single audit of Subrecipients and issue management letters where appropriate (compliance with 2 CFR 200.521). |
| 1.17.10 | Ability for Subrecipient to submit reports/data via form/template and upload backup files for compliance | e.g.Progress Reports. |
*** See 2.7.1 Prevention worksheet - Service Data Collection (Implementation) ***
1.17.11 Ability to alert Subrecipients of approaching deadlines per contract requirements or monitoring e.g. route template for completion; send reminders of approaching deadlines
| 1.18.1 | Stakeholder Reporting | Allow users to build and run aggregate reports with customizable reporting periods | Reports like spending by revenue source, financial overview, match report, CFDA report, spending by GL code, etc. |
| 1.18.2 | Provide performance and financial reporting dashboards at all levels and attributes such as funding source/grant, objectives, projects, sub-recipient, organizational hierarchy (facility/division/department). | Project Activities & Performance Indicators | |
| 1.18.3 | Get a top-down view of all activity at any level with the use of interactive dashboards and visual charts | ||
| 1.18.4 | Can save report templates for repetitive use | ||
| 1.18.5 | Funder specific reporting for each grant project or program | ||
| 1.18.6 | Allow users to generate detailed transaction summaries as supporting documentation |
| 1.19.1 | Request to Amend Contract | Ability for request to amend contract to be initiated by either agency or Subrecipient | e.g. Contract Terms, Waivers, Budget Modification, Scope of Required Services |
| 1.19.2 | Ability for some types of modifications to require different levels of authorization | ||
| 1.19.3 | Ability to show amendment requests already in process | e.g. those amendment requests that have not been executed |
| 1.20.1 | Closeout | Support closeout for Subrecipient | e.g. advances and assets that may require return to funder (uniform guidance requirement 200.213(e)); tracking mechaism (checklist) for grant closure |
| 1.20.2 | Support closeout for Funders | ||
| 1.20.3 | Archive projects |
1.21.1 Grievances Support grievance process relating to Subrecipients e.g. program participant grievances, incident reports
2.Prevention
| Number | Area | Requirements | Additional information | Offeror's Comments |
| 2.1.1 | Strategic Prevention Framework (SPF) | Based on the Strategic Prevention Framework (SPF) with the ability to: Track funding for primary prevention services, track process (counts) and outcome (change measures) related back to 5 year goals and service time to implement strategies-staff and volunteers. | Data entered for each step-Needs Assessment, Planning, Capacity, Implementation , Evaluation | |
| 2.1.2 | State authorities: |
- compliance & monitoring
- financial management;
Service Providers
- plan and manage their efforts
- progress reporting
2.2.1 User Interface Home Screen
- Bulletin, Calendar & appointments
- Messages
- Contacts, Documentation, Support
2.3.1 Needs Assessment Assess Data Sources.
E.g. Block Grant Information; BRFSS, NSDUH, TEDS, Surveys, etc.
Assessment Data
- Prepopulated Data ( from Communities That Care survey, Youth Risk Behavior Survey, Alcohol Enforcement Team database, County Health Rankings, South Carolina Department of Health and Environmental Control data, and the South Carolina Revenue and Fiscal Affairs Office data)
- User Entered Data (assessment data entered by county authorities) Categories of Data (allow for sub-categories)
- Program/Service
- Substance Use
- Consequence
- Health Consequence
- Social Indicator
- Risk Factor
- Protective Factor
- Prescription Data
- Socio-Economic Data Views
- graphs & charts
- filters
- compare with state
- compare across counties Needs Assessment
- create, update, delete, view
- Identify problem behaviors
- Link problem behaviors to goals
- Link goals to objectives
- Link objectives to programs and services
2.4.1 Planning Planning (Identify and Add)
- Identify Goals
- Identify Objectives
- Identify Programs
- Identify Activities (single and recurring)
- Identify Participants (age/race/gender)
- Identify Groups
- Manage Strategic Plans
- Manage Logic Models
- Manage Work Plans
Prioritize Programs for populations at risk Develop Community-based strategies for prevention of such abuse Develop strategies to discourage the use of alcoholic beverages and tobacco products Primary Prevention Strategies:
Ensure funds from each Block Grant fund allotment are spent in each of the six primary prevention strategies.
The SABG statute and implementing regulations describe six required primary prevention strategies:
• Information Dissemination;
• Education;
• Alternatives;
• Problem Identification and Referral;
• Community-Based Process; and
• Environmental.
Primary prevention programs:
• Educate and counsel or (teach) individuals on substance abuse; and
• Provide for activities to reduce the risk of substance abuse.
2.5.1 Plan Submission The following must be available by sub-section of the implementation/service plan:
- Submit (County authority/grantee)
- Receive, review, provide feedback, approve/reject with comments (DAODAS)
- Notify (County authority/grantee)
- Edit and resubmit (County authority/grantee)
2.6.1 Administration/Managing (Capacity) Capacity
- Manage Coalitions
- Manage Business/Partner Members
- Manage Individual Members
- Manage Subcommittees
- Organization Meetings
- Training and Technical Assistance Check details.
Staff vs volunteers Capture service time of individuals, aggregate at the org level.
Be able to quantify volunteer time (hrs x $/hr = Total $ for match) Same thing for meeting space for match
2.7.1 Service Data Collection (Implementation) Data
- User defined fields such as: staff/volunteer hours, service activity codes, demographics of people served (gender, age, race, ethinicity), description of service (connect service back to plan-goal/objective/program/activity), etc. Have services connect back to budget allocation/spending SABG Funds related data:
Show total Primary Prevention set-aside of the SABG.
- Funds expended directly
- Funds distributed to community & faith-based organizations
- Funds distributed to units of local government, such as county, or an intermediary, such as an administrative service organization
- Funds distributed, in any, by intermediary organizations to community- and faith-based providers.
2.8.1 Reporting Reports
- Standardized
- Ad hoc (user customizable)
- Allow an organization to access data of all sub-orgs
- County level
- State level
- Compare
- Show relationships between planning efforts and actually delivered
- Filters -- Select report type -- Select date range -- Select data to be included -- Select how to group data/summarize -- Select how results displayed
- Customize data views
- Aggregate data at state level (one, more or all county authorities)
- Plug and play Block Grant Reporting
- Downloads in PDF and Excel Formats SABG Report Preparation
- Individual-level strategies
- Population-level strategies
- Evidence-based strategies
WebBGAS reporting interface or compatibility
- An annual Block Grant Report
2.9.1 Evaluation Ability to track progress on process and outcome measures related back to the goals 5 year goals-ability to see dashboards and track progress to date
3.Finance
| Number | Area | Requirement | Examples | Additional Information | Offeror's Comments |
| 3.1.1 | Budgeting | Create single- or multi-year budgets. Add budget years. |
Amounts, Program type (Prevention, Intervention, Treatment), programs, providers, amounts, basis, justification Fund sources (state, federal, grants) & allocations Revenue Sources Request budget submission Templates Cascade amount Roll-up amounts Budget modifications and carryovers Manage funds by program & budget category Manage budget versions
3.2.1 Agency Budget Form Create & Import Budget Templates
Expenditure Categories
- Personnel Services
- Contractual Services (Personnel)
- Contractual Services (Other)
- Supplies/Materials
- Fixed Charges
- Travel
- Equipment
- Permanent Improvements (non-reimbursable)
- Employer Contributions
- Administrative Costs (reimbursable)
- Administrative Costs (non-reimbursable)
- Other Expenditures (non-reimbursable)
- Debt Services (Building) (non-reimbursable)
- PAIRS Bed Days only
- Transitional Services
3.3.1 Agency Budget Form Revenue Sources
- DAODAS
- Client Fees Paid - Self Pay
- Client Fees Paid - Medicaid
- Client Fees Paid - MCO
- County Government
- Federal and State Government
- Other Local
- Miscellaneous
| 3.4.1 | Agency Employee Salary Reporting form | See 'Finance - Employee Salary Reporting Sheet.xlsx' |
| 3.5.1 | Agency Expediture Codes | Allocate Expenses by Source & Objectives |
Track and Manage Expenditures See 'Finance - Expenditures Codes Details.doc' (Attachment 4 to the solicitation) & 'Finance - Revenue Codes Details.doc' (Attachment 5 to the solicitation) Requires compatibility with Quickbooks file format to interface into agency's reporting system (FREDD system).
| 3.6.1 | Agency Projects/Programs | Refer to 'Finance - Cost Center Codes.xls' - Attachment 6 to the solicitation |
| 3.7.1 | Agency |
Report submissions with Signature - Monthly Financial Report
- revised Monthly Financial Report
- Year-end Profit & Loss statement for fiscal year
- Budget Report for fiscal year
- revised budget report for fiscal year
- budget changes with justification
"I certify that all expenditures reported and payments requested are for appropriate purposes and are in accordance with the agreements set forth in the contract and grant documents."
| 3.8.1 | Codes, | |
| Service Rates | Communicate service rates | - Gambling Service Rates |
4.Security & Privacy
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 4.1.1 | Data encryption "at rest" | |||
| 4.2.1 | Data encryption "in motion" (pass/fail) | SSL encryption | ||
| 4.3.1 | Role defined security and permissions (pass/fail) | e.g. only allows those user assigned to a specific role and permission to publish an RFP to the agency website |
Users:
- Employees at agency -- review, provide feedback, approve county plans, generate ad hoc reports, monitor program effectiveness (performance against targeted outcomes), produce reports for federal grant reporting needs.
- Employees at County Authorities -- assess community needs, report planned program capacity building activities, develop service plans, requiest funds through budget development, assess program effectiveness (performance against targeted outcomes), generate reports
Add, remove, edit, reset credentials
| 4.4.1 | Ability for all users to reset password or obtain forgotten user ID | e.g. User should be able to type in their account email and reset password independently |
| 4.5.1 | Provide cloud-based data hosting, data backup/recovery/storage (pass/fail) |
Microsoft Azure (preferred), AWS or Google Cloud
| 4.6.1 | Password Policy can be configured to specific requirements (pass/fail) | e.g. we may need to change policy to meet requirements as technology or funders require - change every X days, include special character, etc. |
| 4.7.1 | Audit trail includes user/date/time stamp (pass/fail) | Prefer Admins to be able to see last time user logged in, and user account history |
| 4.8.1 | Ability to track IP address from initiator | |
| 4.9.1 | System scans files prior to upload for virus, malware, etc. (pass/fail) | |
| 4.10.1 | System blocks or alerts System Administrator to suspicious user IDs/email account | e.g. spam email accounts, malicious email, type of email hosting: aol, hotmail, etc. |
| 4.11.1 | Privacy Standards - HIPAA/HITECH |
Compliance with 45 CRF 96.30
| Security to meet or exceed FIPS 140-2, ISO 27001, and ISO 27018 (if application is cloud-based) | You must sign a Business Associate Agreement with DAODAS regarding HIPAA/HITECH. | ||
| 4.12.1 | Data ownership & transference | Agency will be the sole owner to all of the data. |
Vendor to allow and arrange for periodic data tables download.
| 4.13.1 | Data ownership and disposal upon termination | Vendor to make available all data to Agency upon termination of contract. Vendor will securely erase all DAODAS data within 5 business days after Agency retrieves data. |
| 4.14.1 | Software access if vendor goes out of business | Vendor to agree to DAODAS access to source code through escrow. |
| 4.15.1 | Client-level data may not be released to any person, agency, or entity without an approved Memorandum of Agreement signed by the Director of DAODAS. | |
| 4.16.1 | User access: password requirements | User passwords must be a minimum of 12 characters and must be complex: upper and lower-case letters, numerals, and symbols are allowed. 5 or more incorrect credential entries within one minute shall lock out the account for 5 minutes. |
| 4.17.1 | User access: password-change policy | Account passwords must be changed at a maximum period of 90 days. Passwords may not be reused for a minimum of 24 months. |
| 4.18.1 | Credential storage | Account credentials shall not be stored unencrypted in any form. |
| 4.19.1 | Data center is at least Tier 3. |
5.SAPT BG Requirements
| Number | Area | Requirements | Additional information | Offeror's Comments |
| 5.1.1 | Application | SABG Application |
Help Prepare for
- A biannual Behavioral Health Assessment and Plan in even application years and
- A mini-application in odd application years
WebBGAS reporting interface or compatibility
- An annual Block Grant Report; and
- An Annual Synar Report.
Establish a minimum of 20 percent of expenditures as (Primary) Prevention set-aside Application Workflow, Timeframes, Reminders, Manage application sub-project, tasks, collaborate, % complete by department.
The SABG statute defines primary prevention as programs:
• For individuals who do not require substance abuse treatment;
• That educate and counsel the individuals on substance abuse; and
• That provide for activities to reduce the risk of substance abuse by the individuals.
5.2.1 Planned Expenditures Due Oct 01, for SABG only plan.
Due Sep 01, for SABG and MHBG combined plan
Monitor & ensure compliance
- to spend at least 20 percent of its SABG expenditures on primary prevention
- to Synar amendment
Account for Penalty related additional state funds Report planned use of:
- SABG Primary Prevention Planned Expenditures by Six Strategies table and/or
- Complete the Section 1926-Tobacco portion of the six strategies table to show planned expenditures for Synar activities
- SABG Primary Prevention Planned Expenditures by IOM Category table
*IOM - Institute of Medicine (IOM) Classifications for Prevention
Prevention Resource Development Activities Planned Expenditures table
- Administration portion?
- primary prevention set-aside?
Resource development activities include things like:
• Planning, coordination, and needs assessment
• Quality assurance
• Post-employment training
• Pre-employment education
• Program development
• Research and evaluation and
• Information systems
5.3.1 Plan Entry Based on SAMHSA and DAODAS priorities (address all 5 SABG priorities) Annual plan
- Executive update (text box for county authorities to provide broad brief overview)
- Capacity (current capabilities of the organizational service continuum, highlighting service gaps and unmet needs) -- infrastructure -- workforce development -- collaboration -- stakeholders -- CARF elements
- Implementation/Service Plan (county authority to develop & submit one or multiple service plans for an annual plan) -- Problem selection & intervening variable identification -- Problem -- Intervening Variables -- Goal Definition -- Goal -- Indicator -- Baseline -- Target -- Strategy Selection -- Capacity/Continuum of Care -- Strategy -- Collaborators -- Target Population Definition
- Budget (Overview, template, narrative/justification) Priorities Required by SAMHSA (SABG)
1. Women who are pregnant and have a substance use disorder (population)
2. Individuals engaging in intravenous drug use (population)
3. HIV Early Intervention Services (strategy)
4. Primary substance abuse prevention (continuum)
5. Individuals with tuberculosis and other communicable diseases (population)
State-identified Priorities
1. Infrastructure (Capacity)
2. Increased Capacity (capacity)
3. Workforce Development (capacity)
4. Behavioral and Physical Health Care Integration (capacity)
5. Gambling Services (strategy)
6. Opioid Treatment with Medication-Assisted Treatment (strategy)
7. Trauma-Informed Care/Trauma-Specific Services (strategy)
8. Screening, Brief Intervention, and Referral to Treatment (strategy)
9. Provision of Modified Interpersonal Group Psychotherapy (strategy)
10. Provision of Motivational Interviewing (strategy)
11. Individuals With Substance Use Disorders With Criminal or Juvenile Justice Involvement (population)
12. Parents With Substance Use Disorders Who Have Dependent Children (population)
13. Alcohol-Related Car Crashes (problem)
14. Adolescent Substance Use Disorders (problem)
15. Underage Alcohol Use (problem)
16. Youth Tobacco Use (problem)
17. Peer Support (strategy)
18. Recovery-Support Services (strategy)
5.4.1 Actual Expenditures Due annually Dec 1.
Report actual primary prevention expenditures.
Compliance year: 3 years prior to application year.
County authorities to show expenditures going back to each program & service. For the SABG Report, there are five interrelated compliance reporting tables relevant to primary prevention.
The first of these is the State Agency SABG Expenditure Compliance Report, which accounts for expenditures from the compliance year Block Grant award.
The other four tables break down the expenditures reported on this table. Specifically:
• The Primary Prevention Expenditures Checklist and the Primary Prevention Expenditures by IOM Category tables provide a breakdown of primary prevention expenditures;
• The Resource Development Expenditure Checklist requires reporting of expenditures that provide support to the actual treatment and primary prevention activities; and
• The Statewide Entity Inventory itemizes by provider the expenditures for each of the treatment and primary prevention activities themselves.
This inventory is a list of treatment providers and primary prevention providers.
5.4.2 Actual Expenditures State Agency Expenditure Report - Report expenditures from July 1 - June 30 for state fiscal year preceding the FFY SABG application year. Example:
-- FFY 2016 Report: State fiscal year 7/1/2014 - 6/30/2015
5.4.3 Actual Expenditures Tracking Section 1926 Expenditures to fund Synar programs Educate/track/alert/prevent forbidden use Compliance with regulations:
- 45 CFR 96.30 Tracking Section 1926 Expenditures to fund Synar programs
- Development of sample design
- Costs to conduct inspections
- Costs to train and pay youth inspectors
- Travel costs
- Other Synar-related items -- Merchant education -- Community eduction
Forbidden use
- forbid pay for enforcement of youth tobacco access laws (exception is allowed to pay for law enforcement officials' time for Synar related enforcement inspection)
- forbid pay for time spent for completing paperwork or court appearances
5.4.4 Actual Expenditures Track Resource Development Activities
- use of SABG administrative funds
- use of Primary prevention set-aside funds Expenditures to support
- Planning, coordination and needs assessment
- Employment training and education
- Research and evaluation
- Quality assurance and program development
- Information systems
| 5.4.5 | Actual Expenditures | |
| - track/manage Set-Asides | Primary Prevention Set-Aside | Primary Prevention Set-Aside refers to 20% of actual SABG expenditures by the grantee. |
Ensure minimum 20% of actual SABG expenditures are spent on primary prevention activities
| 5.4.6 | Actual Expenditures | |
| - track/manage Set-Asides | Substance Abuse Treatment Set-Aside | 5% of the Block Grant funds must be expended by designated states for early intervention services for HIV disease. This is a substance abuse treatment set-aside. |
Generally managed through prevention team.
If state is designated for HIV early intervention then, Ensure minimum 5% of SABG allocation are expended for early intervention services for HIV disease.
| 5.4.7 | Actual Expenditures | |
| - track/manage Set-Asides | SAMHSA set-aside | 5% of SABG appropriation is set aside for SAMHSA to use for: |
• Data collection;
• Technical assistance;
• The national data center; and
• Program evaluation.
Specific activities funded by the SAMHSA set-aside include, but are not limited to:
• The National Survey on Drug Use and Health (NSDUH);
• The Behavioral Health Services Information System, including the Treatment Episode Data Set (TEDS); and
• The National Survey of Substance Abuse Treatment Services (N-SSATS).
Supports
- contracts for expert consultants
- program staff salaries in the CSAP’s Division of State Programs
- CSAT of State and Community Assistance
5.4.8 Actual Expenditures MOE or "maintenance of effort" SSA must
- Maintain aggregate state expenditures for authorized activities to prevent and treat substance abuse
- Must be greater than or equal to average of expenditures for 2 prior years
| 5.4.9 | Actual Expenditures | Administrative Expenditures | 5% of the grant or less to pay the cost of administering the grant |
| 5.4.10 | Actual Expenditures | Unallowable Expenditures | Grantees may not expend funds on the following activities: |
• To provide inpatient hospital services, except in specific circumstances outlined in the regulation;
• To make cash payments to intended recipients of health services. This includes gift cards used as an incentive for participation in activities;
• To purchase or improve land;
• To purchase, construct, or permanently improve a building (other than minor remodeling);
• To purchase major medical equipment;
• To satisfy any requirement for the expenditure of non-federal funds as a condition for the receipt of federal funds;
• To provide individuals with hypodermic needles or syringes so that such individuals may use illegal drugs; or
• To provide financial assistance to any entity other than a public or nonprofit private entity.
This means that if the grantee provides subgrants to community-based or intermediary organizations, these organizations cannot be for-profit entities.
However, SABG grantees and subrecipients, including states/territories, local governments, and nonprofit organizations, may award contracts, but not grants, to for-profit organizations serving as either subrecipients or vendors under the grant.
| 5.4.11 | Actual Expenditures | Penalties for noncompliance with SABG Requirements | |
| 5.4.12 | Actual Expenditures | Penalties for noncompliance with Synar Requirements | Synar Alternative Penalty |
| 5.5.1 | Prevention Performance Reporting | NOMS Domain | |
| 5.5.2 | - Pre-Populated | Reduced Morbidity - Abstinence from Drug Use/Alcohol Use | 1. 30-day Use |
2. Perception of Risk/Harm of Use
3. Age of First Use
4. Perception of Disapproval/Attitudes
5.5.3 - Pre-Populated Employment/Education 5. Perception of Workplace Policy
6. Average Daily School Attendance Rate
5.5.4 - Pre-Populated Crime and Criminal Justice 7. Alcohol-Related Traffic Fatalities
8. Alcohol- and Drug-Related Arrests
| 5.5.5 | - Pre-Populated | Social Connectedness | 9. Family Communications Around Drug and Alcohol Use |
| 5.5.6 | - Pre-Populated | Retention | 10. Youth Seeing, Reading, Watching, or Listenting to a Prevention Message |
| 5.5.7 | - Manually Populated | Access/Capacity | - Number of Persons Served by Age, Gender, Race, and Ethnicity for individual-based programs |
- Numbers of Persons Served by Age, Gender, Race, and Ethnicity for population-based programs
- Number of Persons Served by Type of Intervention, and
- Number of Evidence-Based Programs by Type of Intervention
5.5.8 - Manually Populated Total Number of Evidence-Based Programs and Strategies - Total number of Evidence-Based Programs and Total SABG Dollars spent on Evidence-Based Programs and Strategies
6.User Interface
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 6.1.1 | Microsoft Dynamics 365, or a substantially similar system | |||
| 6.2.1 | System performance and availability 24/7/365 days per year with planned and approved downtime | |||
| 6.3.1 | Login portals for grantor, grantee, Subrecipient, quality reviewers | e.g. funders, agency staff, Subrecipients, and external reviewers of RFPs | ||
| 6.4.1 | Access is available using any browser & any computer, tablet, or mobile device | e.g. Windows, iOS, Android | ||
| 6.5.1 | Automaticallly saves data intermittently | e.g. users do not have to remember to press "save" | ||
| 6.6.1 | Ability to easily modify/customize workflows by "super user/subject matter expert/system administrator" without technical expertise | |||
| 6.7.1 | Ability for "super user/subject matter expert/system administrator" to change the layout of a page to better suit workflow | e.g. move fields around on the screen | ||
| 6.8.1 | Open read acces to entire database | e.g. mirror or direct login in order to pull data into another platform - e.g. Power BI | ||
| 6.9.1 | Ability to global search(with filters) across the platform | e.g. search by Fiscal Year, Term, Type, geographic code, population code, grantee name, EIN, application ID, site address, document name, etc. | ||
| 6.10.1 | Ability for users to see a calendar view to track and monitor deadlines | e.g. NOFA schedule, RFP deadline, agency deadlines, etc. | ||
| 6.11.1 | Allows applicants to review application status online | |||
| 6.12.1 | Ease of use/Intuitive interface | e.g. especially for Subrecipients | ||
| 6.13.1 | Internal & External Communication Tracking |
7.Training-Support
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 7.1.1 | Phone support available for all users 8a - 6 pm Eastern Time | This includes agency staff and Subrecipient users | ||
| 7.2.1 | Provides support 24/7 via email, website, social media, etc. | e.g. self help, FAQ | ||
| 7.3.1 | Help desk ticketing system embedded within software platform | Does not require users to go outside the GMS to raise a help desk ticket | ||
| 7.4.1 | Onsite training tailored to different user groups as part of implementation | e.g. System Administrator, Subreipients, and agency staff | ||
| 7.5.1 | Post implementation support with regular training tailored for different users | |||
| 7.6.1 | Web based/self pace training and support resources available | |||
| 7.7.1 | On-screen help can be customized to agency's terminology | e.g. Recovery language, SC.gov related language, etc. |
8.Integration
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 8.1.1 | Ability to integrate with Office 365 (e.g. Outlook, Sharepoint, Excel) | e.g. to attach a policy to an email or link a report to a Subrecipient record | ||
| 8.2.1 | Import from and export to Excel and CSV file formats | |||
| 8.3.1 | Verify/Validate data entered by Subrecipients with 3rd party software | e.g. DUNS, OFAC, Registry of Charitable Trust, Federal Clearing House, SC.gov | ||
| 8.4.1 | Integrates with Google Maps | e.g. to easilly identify location of service providers | ||
| 8.5.1 | Integrates with agency website | e.g. to publish/link RFP automatically to agency website when complete and authorized; to publish responses to Q&A when complete and authorized | ||
| 8.6.1 | Integrates with DocuSign or AdobeSign | e.g. to execute contract electronically | ||
| 8.7.1 | Rest API for data exchange/interface | |||
| 8.8.1 | Ability to download/export not only data but documents to meet minimum standards of accessibility | e.g. CSV, PDF of entire RFP application including documents |
9.Constituent Relationship Mgmt
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 9.1.1 | Can track relationship between Subrecipient's various locations and their Subcontractors | e.g. Subrecipient may provide services at multiple locations; and/or Subrecipient may utilize Subcontractor(s) to provide services | ||
| 9.2.1 | System can be used to manage other stakeholder (non-Subrecipient) relationships and communication (via email , phone etc) by "group" or individually | e.g. all Rapid Re-housing providers; all CFOs | ||
| 9.3.1 | Ability to track the relationship between an individual GMS user and their organization | e.g. link or group GMS login ID/user(s) to an organization | ||
| 9.4.1 | Ability to merge contact records, field by field | e.g. may want to merge address from one record and phone from another record | ||
| 9.5.1 | Ability to assign agency team members to a Subrecipient to enable ease of direct communication to appropriate staff for a particular inquiry | e.g. agency contact details for the Subrecipient based on type of inquiry: program, fiscal, performance targets, Grant Management platform, etc. | ||
| 9.6.1 | Ability to provide audit trail of communication between users of the GMS | e.g. email, phone call notes, letters, etc. | ||
| 9.7.1 | Education and experience profiles of agency and sub-recipients staff |
10.Document Management
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 10.1.1 | Ability to attach a variety of file types (Excel, CSV, PDF, jpg, etc) by users at appropriate points during workflow | |||
| 10.2.1 | Ability to attach multiple files by users at appropriate points during workflow | e.g. may need to upload more than one document | ||
| 10.3.1 | Ability to upload a CSV and map the file to populate data fields within the Grant Management System | e.g. budget template in excel format uploaded to populate the fields; also during data migration | ||
| 10.4.1 | Unlimited document storage | |||
| 10.5.1 | Ability to require documents uploaded to be in a particular format | e.g. OCR to enable ability to search contents of a PDFs | ||
| 10.6.1 | Ability to optimize search and retrieval of documents by methodology based on date and frequency of access | e.g. as time passes, we need the ability to prioritize access to documents response times | ||
| 10.7.1 | Ability to global search within documents across workflows | e.g. PDF, contract, payment request, organizational chart, facility/site review, risk assessment, ADA, etc. | ||
| 10.8.1 | Ability to define records retention policy by type of record; notify system administrator for appropriate disposition (archive, delete, etc.) | e.g. flag data and documents for archive after X years |
11.Templates-Forms
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 11.1.1 | Ability to create forms which can be routed for completion | e.g. Word documents, Excel files to populate, etc. | ||
| 11.2.1 | Results from completed forms/template can be pulled into other workflows or extracted | e.g. Risk Assessment questionnaire can be routed to Subreceipient and once returned the data populated can be extracted for reporting or download to excel; or if details of Subcontractor are returned, we can pull name & address, number of beds populated from the template into the contract/agreement | ||
| 11.3.1 | Allows template fields to auto populate from other fields/profiles | e.g. utilize drop down to select address can populate from contact record into template | ||
| 11.4.1 | Configurable email templates | e.g. standard templates for routine emails and the ability to start with a template and modify if necessary for individual issue |
12.Notification-Alerts
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 12.1.1 | Generates reminders (either manually or automatically - based on criteria which could include being triggered upon a particular document upload) | e.g. criteria may include: RFP released, Payment Request Due, Progress Report Due, Document uploaded, grant program criteria not being met, key dates, pending closeout, annual recertification, RFP Submission date, RFP result notification, etc. | ||
| 12.2.1 | Ability to set a deadline to complete a task | e.g. set a date to remind monitoring department to send out Subrecipient reports or desk and site reviews | ||
| 12.3.1 | Ability to auto-trigger emails to contact records based on criteria (e.g. by strategy, by funder) for action required by a specified date | e.g. automatically email all agency/grant funded providers to complete required training | ||
| 12.4.1 | Ability for tasks to be assigned and/or reassigned to internal and external stakeholders (manual or automatically triggered based on criteria) | e.g. if staff responsibilities change and we need to reassign tasks to new personnel |
13.Reports-Dashboard
| Number | Requirement | Exampies | Additional Information | Offeror's Comments |
| 13.1.1 | "Drag and Drop" report builder | # of contracts executed; # of amendments pending; Subrecipients grouped by risk assessment rating (high, medium, low); information submitted across RFPs | ||
| 13.2.1 | Ability to schedule and automate distribution of standard and/or custom reports | Automatically send report to group of emails addresses on recurring schedule (daily, weekly, monthly). Examples include: Year-to-date expenditure, fund balance reports, budget forecast | ||
| 13.3.1 | Dashboards can be customized based on user profile/groups | |||
| 13.4.1 | Ability to identify the stage for a workflow and how long it takes between milestones | e.g. how many business days between request for a document and its completion |
14.Other
| Number | Requirement | Examples | Additional Information | Offeror's Comments |
| 14.1.1 | Pricing model - subscription including feature/functionality upgrades | |||
| 14.2.1 | Database technology - Microsoft SQL preferred | |||
| 14.3.1 | Source Code should be in Escrow |
File details come from the government source that posted it. Updated .