Response to Offeror's Questions document.docx

For accessing Records/Case Management System, how many users will need full rights (upload, edit cases) and how many will need read-only rights (only view the cases or participate in workflow process)?

-Please refer to Section 3.1 of the RFP. For further clarification:

-DHS would like admin-level rights, which we consider, upload, edits, add/remove users, etc. for 5 users -Upload and entry, but no edit rights for up 100 users -Read only rights for 5 users.

Is the State’s preference more towards Cloud based Records/Case Management System or On-Premises Records Management System?

-DHS does not have a preference and requests recommendations and options from respondents.

Do you have a budget already available for this project? If yes, what is the maximum budget you are planning to spend on this project?

-No, a budget has not been set pending responses.

Has the State seen demonstrations of any Records/Case Management System? If yes, what is the name of the solution and vendor which provided the demonstration?

Yes, last year DHS saw a demonstration from JUMP Technology Solutions regarding their guardianship software.

Is there any expected timeframe within which you would like this system to go-live?

-Per Section 1.1 of the RFP: “The Department would like the new system implemented and fully functional by the end of calendar year 2023.”

Do we need to perform Scanning Services?

-Scanning is not a requirement of RFP 23IFB8873, but, per Section 1.1, “Offerors shall include options for data migration.”

if yes, What is the size and quantity of the files that needs to be scanned? Please provide approximate quantity next to the below given sizes:

-Most records have been scanned, but are in large, undivided PDF files. There is approximately one filing cabinet drawer of documents that have not been scanned.

8.5”x11” up to 11”x17”: One filing cabinet drawer 11”x17” up to 18”x24”:

18”x24” up to 24”x36”:

24”x36” up to 36”x48”:

Can we pick up all the documents in a single trip?

-Yes What is the level of preparation required? (Removal of fasteners, staples, post-it’s, etc.)

-Fasteners would need to be removed.

What level of reassembly is required? (Do we need to apply fasteners, post-it’s and rearrange the documents in the same order after scanning?)

-Yes, reassembly would be required.

Do we need to scan B&W or Color? If color, then what % of documents are color?

-All scanned documents would need to be scanned to color.

What is the expected output format?

Is it TIFF or PDF? PDF Is it a single page or multi-page? Multi-page documents have to be scanned and imported as single documents.

What are the indexing criteria? (How many fields do we need to index for each file?)

-Per the Scope of Work in Section 3 of the RFP, records would be indexed to the fields, including but not limited to:

Necessary fields (not all inclusive) to store and manage:

What is the current system being used that data is to be migrated from?

-There currently is no system. The Program relies on a variety of spreadsheets, word, emails and pdf documents for electronic records. Most files have been scanned to pdf, but there are some remaining hardcopy-only files.

How large is the current database and what format is the data in?

-There is no current database.

How much data storage is currently used for documents? Are current documents associated to records in the current database?

-There is no current database. Documents/information are stored on secure internal drives or in hardcopy.

The Scope of Work mentions annual and quarterly reports. How many reports are needed in the solution? Can an example be provided?

-The Program requires internal quarterly reports from local representatives. The Program is required to file an annual report with the appointing court for each protected person; there are four types of annual reports depending on the order. Examples are attached.

Does the office currently use a word merge feature to create case documents (such as court filings), if so how many? How many templates does the office anticipate needing if a solution offers this capability?

-No, we do not have merge capabilities. But basic forms that would be needed if this were offered include: Petition for Temporary Guardianship, Petition for Permanent Guardianship, Petition for Waiver of Background, Affidavits, Notice of Appearance, Acceptance of Office, Proposed Letters of Guardianship, Proposed Orders, Notice of Entry, Certificate of Service, Statement of Rights Why type of Financial Information does the system need to store?

-Any information that a protected individual might have, including: ABLE account information; SSI information; account balances, budgets, & audits; expenditure approvals and receipts; burial account information; and trust fund information. Depending on the proposed solution, this might also be the place to track insurance and Medicare/Medicaid information.

What type of data fields related to medical history need to be stored?

-Any medical information pertaining to a protected person, including: diagnoses, clinic and hospital notes and records, medical recommendations, medication information, DNRs, hospice paperwork, nursing home or other facility admissions, and medical procedure consents.

What specific software needs do you have as an enterprise?

-We are looking for the functionality outlined in the RFP.

Who is your target demographic for these software solutions?

-This would be for internal use to provide even more efficient and effective services for those individuals for whom the Department is guardian.

What is your vision regarding software design, such as data structures, modules, external interfaces, etc.? If you have seen the same model with any other organization, it would be great to know for a clear idea of your requirements.

-We are not looking to copy any particular model. The requirements are set forth in Section 3 of the RFP and we are looking for proposals regarding design, structure, etc.

Could you provide details on your current IT team and their skills set?

-The Department does not have an IT team. We utilize the services of the Bureau of Information and Telecommunications or outside vendors.

Are there any specific technological requirements or limitations that need to be taken into consideration?

-Per Section 3.1, Technology and security requirements from the Bureau of Information and Telecommunications will be negotiated based on the specifics of the highest ranked proposal.

What software are you currently using? Is it a homegrown or a vendor application system? If it is a vendor application, we would like to collect more information regarding the vendor costing. If you have homegrown software, why do you need us, and what specific modifications do you require in it?

-We are not currently using any software, other than saving information to a protected internal drive.

What are the data security concerns for the new software solutions?

-At a minimum, it must be HIPAA compliant.

Will there be a need for training or knowledge transfer to ensure seamless implementation and use of the software?

-Yes, we would expect the vendor to provide training on the selected solution.

We understand there are 100 users. Can you provide a breakdown of the users by role (ex. Intake worker, Administrator, Reviewer etc.)?

-100 users allows for growth. We would currently have 5-10 administrators; 5-10 staff with full access; and approximately 40 staff who should be able to enter/upload information into specific files with some read-only access as granted by an admin.

Data Migration: We understand there are 300 client records to store and analyze data. But is there any volume of legacy data (in GB) to be migrated to the new system?

-There are currently about 140 active cases. Not all old records have been scanned, and that isn’t planned at this time.

Please clarify if the agency has a preferred public cloud vendor for hosting the solution?

-No, both options will be considered.

Can you provide a list of the standard reports that need to be created on a regular basis?

-Quarterly reports for each open case -Annual reports for each open case Do you prefer we use your existing advanced reporting/analytics software, and if so, can you please provide the software name? Or do you prefer that the vendor bring their own embedded within the solution?

-Per Sections 1.1 and 3.1 of the RFP, this solution must include reporting functions. The Guardianship Program does not currently have reporting/analytics software.

Do you have any records retention specification?

-Yes. Inactive Guardianship files must be retained for six (6) years. The retention period is longer if there are any open claims.

What is the Document Purging rule that DHS follows now? After how many days will the document be purged?

-Guardianship does not have a document purging rule.

Is there an incumbent already engaged at SD DHS?

-No Who is the current incumbent of the ERMS SOLUTION?

-N/A Have you seen demonstrations of any Electronic Records management systems prior to issuing this Solicitation? If so, will you share which systems?

-Yes, last year the Program saw a demonstration of JUMP Technology’s solution.

Do you have any IAM (Identity Access Management) solution that can be leveraged?

-The State of South Dakota has single sign-on.

Has DHS seen demonstrations of any systems prior to releasing this RFP? If so, can you share which systems?

-Yes, last year the Program saw a demo of JUMP Technology’s solution.

Can DHS provide more detail about the type of medical records data that will be stored in the system?

-Any medical information pertaining to a protected person, including: diagnoses, clinic and hospital notes and records, medical recommendations, medication information, DNRs, hospice paperwork, nursing home or other facility admissions, and medical procedure consents.

Can DHS provide more detail about what will be stored and managed in the system related to legal documents and court filings?

-Any legal documents pertaining to a protected person and routine documents, including: Petition for Temporary Guardianship, Petition for Permanent Guardianship, Petition for Waiver of Background, Affidavits, Notice of Appearance, Acceptance of Office, Proposed Letters of Guardianship, Proposed Orders, Notice of Entry, Certificate of Service, Statement of Rights.

Does the ERMS need to integrate with any other systems? If so, please provide details on needed integrations. For example, are the integrations unidirectional or bidirectional? What type of integration is needed (API, SFTP, manual import/export, etc.)? What data will be exchanged? Can you provide a sample of the data that will be exchanged?

- Integration with other systems is not anticipated, but the Program is open to suggestions For DHS Representative Narratives and Notes (3.1.8) and Administration Notes (3.1.9), can you provide more detail about the nature of these notes? Will they be tied to specific client records? Are these notes related to auditing client records? If so, can you provide more details about your process for auditing client records and related needs for the ERMS?

-3.1.8 include emails, notes from phone calls, etc. discussing individual situations or needs. 3.1.9 would include notes on directions given, situation resolutions, etc. These fields would be separate and specific within each individual’s case/file. There is currently no process for auditing client records, but the Program is open to suggestions.

Can you provide more detail about reports that the system will need to produce? If specific formatting is needed for any reports (including client level reports), can you provide samples of these reports?

-Guardianship does not currently have reporting capabilities, so there are no examples to give. But the Program needs to be able to pull overall numbers, filing dates, the number of court reports filed by month, annually, etc.

Can DHS provide the projected number of users that will need access to the syste in the first year?

-There would be at least 5 admin and approximately 40 other users in the first year.

Is DHS open to a two phased implementation with essential functionality (minimum viable product) going live by end of 2023 and a second phase with additional functionality? If so, what is essential for the initial go live?

-Yes, DHS is open to a phased implementation, but without knowing the functionality options cannot definitively say what is essential. At a minimum, court reports and tracking, data entry and access functions would be considered essential.

How large is the database in GB, broken down by data volume (case management data, etc.) and document/file volume?

-There is no current database so this cannot be pulled. There is currently no differentiation between case management and document/filing, except perhaps by subfolders on the internal drive. We have pulled from property characteristics of files of current clients and the largest was 115mb with 249 files and 38 folders. There are approximately 140 active client files.

Total number of documents to be converted?

-Nothing is currently tracked by individual document Total number of files to be converted?

-The best we co do is offer extrapolation based on the information to your first question.

What are the file types stored, examples (.tif, .pdf, .docx)?

-Generally, word, pdf, or email.

Does the current system store any documents with a proprietary file format?

-There is no current system, so no files should be proprietary.

How large is the current file store (GB) for all the document files stored in the repository?

-Unknown, please see response to previous questions.

Are file paths stored in clear text in the database or does the database obfuscate or encrypt the file paths?

-There is no current database. The file paths are all internal to protected drives within the State’s infrastructure.

Are notes or annotations to be converted?

-Notes within client files need to be moved into the new system. Unclear what annotations would be.

Do document renditions or versions need to be converted?

-If there is a way of removing drafts, only final versions of existing documents would need to be migrated.

Can the document files be opened directly from the file share using standard viewers, examples (MS Word, Adobe PDF Viewer, MS Paint, MS Excel)?

-Yes Are the document files compressed or zipped?

-Some emailed document that are saved might be filed or zipped, but that should not be the norm.

Are the document files encrypted?

-No Product Name and version?

-If this refers to encryption, it’s not applicable. If this refers to a current system, it’s also not applicable as one is not in use.

Product vendor?

-N/A Database platform?

-N/A Do any COLD (Computer Output to Laser Disk) documents need to be converted?

-No Is there a perfered soluition deplolyment of on-premise or cloud hosting.

- The Department has no hosting preference and requests proposals for alternative options.

Can you provide some samples of data screens from wwhat you’re currently using today to give us an idea of the specifics of the data you’re looking to store and how you intend to use it? Are you looking for traditional ‘Case Management’ type functions including managing calendars and setting appointments and such? Are you looking for the system to manage financial account information (like maintaining a balance and record of transactions)? Or is it more focused around the storage of the documents and the workflow process around those documents?

-Due to confidentiality, we will not share actual screenshots. However, there is a folder for each individual with a minimum of eight subfolders, which are: Quarterly Reports from representatives, Quarterly Reports from case managers, Annual Reports, Notes, Legal, Financial, Email, and Consents. Other subfolders may be created for other situations.

The key case management function is to track and send reminder for annual report court filings. This is currently done separately by spreadsheets.

Financial Accounting capabilities are not required, but any financial records must be stored and accessible in each file. However, the Program is open to any suggestions regarding accounting capabilities.

The system is likely more focused around storage of documents, workflow, and ensuring that necessary information is always easily accessible.

In Scope of Work 3.1, the requirements indicate “…system should have the capacity to store and analyze data for at least 300 clients…”. For the analysis part of that requirement, can you provide more detail of what that means to you? Are you looking for some sort of AI intelligence of information or is this simply the ability to store data and report off it?

-The Program doesn’t believe AI is required, but open to suggestions and options. The system needs to be able to store data and report off of it, and track reporting requirements.

Can you provide details around the existing data you’d like uploaded into the new system (End of Scope of Work 3.1 “…If able the Contractor will assist with the current data upload.”

-All of the existing data for active cases, as outline above.

Can you describe a desired use case for the Medical Record data?

-Yes, if a hospital calls at 2am when staff are away from their desks asking whether a protected person should receive aggressive medical intervention or be placed on hospice, staff authorized to make such decisions should be able to log into the system and easily see the individual’s health information, including their direction or wishes if available, diagnosis and medications, chronic conditions, complicating factors, latest notes from their PCP, whether or not a DNR is in place, etc. to ensure the best possible emergency decision making.

Regarding data migration what does the department currently use? What type of database does it utilize? Can more information be provided as to the table/field names that the department need to be converted into the new solution?

-The Department does not currently have a system or database. The anticipated necessary fields are listed in Section 3.1 of the RFP.

Can a brief description be provided on the different roles/titles that will make up the 100 potential users?

-100 users allows for growth. We would currently have 5-10 administrators; 5-10 staff with full access; and approximately 40 staff who should be able to enter/upload information into specific files with some read-only access as granted by an admin.

Is the expectation that the end user training will consist of all 100 users?

-No.

Our solution is a browser based COTS solution that incorporates both case and document management features. Our solution can be installed on premise or in the cloud with vendors such as Azure, AWS etc. selected and controlled by the State. Is either of these deployment models acceptable or does the State prefer a vendor hosted solution?

-The Department has no hosting preference or requirement and requests proposals for alternative options.

You mentioned a required specification for the capacity to accommodate 100 users. Is that the total number of users who will use and have access to the system?

-Yes, we currently estimate needing 100 users Are you open to a vendor hosted platform?

-Yes Which EHR or Case Management system is currently used at your agency?

-The Guardianship Program does not currently have an EHR or Case Management system.

What are the key improvements you are looking for in the new technology platform?

-This is a new system, so we aren’t looking for key improvements to an existing system. However, we believe that a centralized electronic case management/records system will improve our services to those individuals to whom we provide guardianship.

What other EHR/technology platforms have you already previewed (via demo) related to this RFP?

-No demos have been reviewed since this RFP was released. Last year, we viewed a demo of JUMP Technology, Inc.’s solution.

Do you have an in-house pharmacy?

-No Is there a requirement to interface with labs, if so which ones?

-No Which other Interfaces (e.g. HIE, billing systems, other technology platforms etc.) are a “must” to connect to with the new system?

-No connections are required, but we would consider any recommendations.

Are there any state reporting requirements, and if so how many reports, and what is the frequency of the reports that need to be submitted?

-Yes, the Guardianship Program requires annual reports by the local representatives. The Program is required to file annual reports with the court. There are four annual report forms with minor difference depending on the type of appointment. Examples are attached.

Can you provide a little more details on document management services that are needed? What specific tasks are you looking for from the selected vendor?

-Document Management is not mentioned in the RFP, so uncertain what is being asked.

Has a budget been approved for this project, and if so can you provide the numbers?

-No budget has been established, pending this RFP process.

Are “wet or electronic” signatures required for proposal submission?

-Per Section 1.4 of the RFP, and ink signature is required.

Will any of the providers need electronic prescribing, and if so how many?

-No If they do need to prescribe electronically, how many will need to prescribe controlled substances?

-N/A Will this platform be used for electronic billing, and if so what clearinghouse do you use?

-No, this system is not for billing What file formats will be used to export the existing EMR data?

-There is no existing EMR. Our digital data is currently stored as spreadsheets, word documents, pdfs, and emails. Most files have been scanned to pdf, but there are some remaining hardcopy-only files.

Do these numbers reflect accurate staff and client counts for the state?

-These number represent expected maximums and transitions.

Does the State anticipate training provided by the Contractor for all 100 staff or would a “Train the Trainer” approach be preferred to train a group of 10-15 Super Users?

-Train the trainer is acceptable.

Is the State’s current open case load 300 clients? If not, what is the number of open cases?

-Current open cases is about 140.

Does the State manage a waiting list or other pending cases that would need to be stored in the system?

-The Guardianship Program does receive many applications, and is interested in any propose functionality for that.

What is the anticipated annual increase in number of open cases?

-The Guardianship Program is currently at capacity, but cases fluctuate and cases that terminate still must be stored.

What is the anticipated electronic storage space needed for “Scanned-in” documents? Where are electronic documents currently stored?

-The Program does not know how to measure storage space. Electronic documents are currently stored on internal drives. File storage size can be found by identifying a long term client with a significant amount and variety of electronic data. Right click on the client folder and select Properties. This will display the file content size. Also include the number of files stored for the client and the number of sub folders for the client. We can use that information to create an estimate of storage space needed for all clients so that we can provide an accurate bid.

-In doing this to a few active client files, the largest was 115mb with 249 files and 38 folders.

Does the State have a current storage directory for each client?

-Each protected person has a file on the internal drive.

How much space is used currently per client? Total?

-In response to this question, the Program opened files, but cannot provide sizes.

What types of files do you anticipate storing?

-PDF, word, excel, and email. If this references content, please see Section 3.1 of the RFP. Does the program store photographs or videos? These files types typically require more storage space.

-Currently, the Program does not routinely store these types of files. But a photo storage option, if it exists, might be useful.

Does the State intend to maintain the current storage location for existing documents and upload documents in the new ERMS system moving forward?

-No, the intention is to move all current cases to the new system, which is why data migration options are required in Section 1.1 of the RFP. Does the program use Microsoft Office 365, Share Point, Microsoft Azure or other similar product.

-Yes, the Program uses Microsoft products.

What system(s) does the State currently use?

-Guardianship currently does not have a system. For the purpose of this RFP, it is important for us to have a clear understanding of database information vs electronic document storage. The questions above reflect electronic document storage (PDF files with medical history, copy of SSN card, letters of guardianship, etc.), not data entered into the database (i.e. client profile information, changes in address, next of kin, medical information such as medications, case notes, financial transactions, check writing, bank reconciliation, etc).

How does the program currently track this type of information? Excel files, Word documents, Quicken, Quickbooks, or other electronic database? If so, what database type?

-Guardianship does not have a database, so this is not a distinction currently made. The Program does not use Quicken or Quickbooks.

How many tables/rows are contained in the current database?

-There is no current database. The EMS client database can be populated via Excel spreadsheets or with manual data entry of client information. Does the program have client data and or financial data (Name, address, SSN, transaction history, etc) available in an Excel or csv format?

-Some data is in spreadsheets, but not all of the listed information is in spreadsheets. There is no know information in csv format.

What type of database platform is used in the current system(s) (i.e Microsoft sql server) -N/A To provide the most accurate import quote, can a current data dictionary be provided? If not can a simple script be run to show all tables, column names and data types?

-No, because it doesn’t exist.

What type of data is contained in the current database? (i.e. financial transactions, collective accounts or individual accounts, case notes, time tracking, personal client data, photographs, etc.)

N/A Data import does not include Closed cases unless specifically requested. Closed case import increases cost to cover long term storage. Does the State intend to request import of Closed cases?

-This would depend on costs, and we request that the options be provided.

Does the State prefer to have fixed/flat pricing rather than monthly usage pricing to eliminate any monthly variances based on the number of open cases?

-Please propose the options Does the State wish to be invoiced monthly or annually?

-Please propose the options.

The RFP mentions that the new solution should “reduce duplication”.

a) What types of duplicate cases are you currently receiving and why?

-We do not have duplicate cases, but information is generally shared and received via email and goes back and forth, and is saved in multiple places. Contacts and information that aren’t shared immediately also result in duplicative contacts, requests for consents, etc.

b) What types of data points are you using to determine duplication?

-Please see above.

Section 1.1: The RFP mentions that the proposal must include on-going maintenance and support.

Should this be estimated based on annual support for up to 3 years after go-live?

-Per Section 1.12 of the RFP, the Department proposes a five-year agreement with an option to renew.

3Section 3.1: The RFP mentions an “ERMS”. Does this acronym stand for “Electronic Records Management System”?

-Yes.

Section 3.1: “The system should have the capacity to allow permission-based access including submission only, read access, or a combination, plus full administrative access for up to 100 users.”

a) Would full administrative access be required for up to 100 users? Or is 100 the total user count and the admin capabilities will be less?

-100 is the total user account. Admins would be fewer.

b) Can some administrative rights be delegated admin levels versus full?

-Uncertain what this means, but the Department is open to alternative proposals.

Section 3.1: “System should have scan-in storage capabilities.” Does this refer to the ability to save files as attachments? Or filling in digital forms?

-The Program wants to be able to scan documents in and have them filed and accessible within the system.

Section 3.1: The scope outlined in the RFP mentions collection, storage and management of data.

Are there current process flows and/or an explanation that can be provided as to what happens behind the scenes?

-Unclear about what constitutes “behind the scenes”. The Program receives and creates multiple types of documents for each protected person. A goal of the system is to have a centralized system for all information for each individual that can be accessed by authorized personnel as needed.

What personas are involved in the ERMS process and would need to access the new solution?

-Admins -Guardian Designees and Agents who use the system in day-to-day work -Guardian Representatives who should be able to provide updates, alerts, etc. within the system only for their assigned cases, but cannot change or delete information. These users might have some read-only access for certain files or types of information, based on permissions given by an admin.

Would a new, separate public-facing website (portal) be required for this solution? Or could the existing SD Citizen Portal (SD.gov) be leveraged for this?

-No. There is nothing public facing. It’s an internal system that would be accessed only by users with state email accounts.

Integrations:

a) Will the new system need to integrate with any other systems?

-That is not anticipated, but the Program is open to suggestions.

b) If so, would the feed(s) be one-way or bi-directional?

-N/A Data Migration / Uploads: For data uploads and migration, what type of data would this include, how can it be formatted, and how much data?

-PDFs, word docs, excel sheets, and emails. We don’t have a quantity. Most of the hardcopy files have been scanned to PDF, but there are a few remaining hardcopy-only files.

Is there a specific budget allocated for this effort that responders should plan to work within?

-No budget has been set pending the RFP process.

· Is this case migration, to include case history and all related attachments?

-Yes

· How many years of data are to be migrated?

-At least as far back as the oldest active file, likely about 30 years.

· What is the case volume of data to be migrated (i.e., total number of cases, open, closed, pending, etc.)?

- The intention is to move all currently active files, approximately

140. Closed files could be moved as an option.

· What is the current platform?

-There is no current platform. Information is stored on internal drives.

· Has there been a change in platforms during the time period to be migrated (example: in the past 5 years there have been two different case management platforms)?

-No. There has never been a case management system.

· Is there other data migration required that is not from the current case management platform?

-All migration would be from internal drives and documents.

-No. The RFP requirements, including Sections 1.4 and Section 5 (specifically 5.1) must be followed.

· Section 4.1 states that information should be related to the evaluation categories. Does this mean that the Detailed Response section of the proposal should follow the order of Section 6.1?

-Section 6.1 is the evaluation criteria. Please follow the Response Format requirements in Section 5.

· Does the proposal need to address each point of Section 3.0 (Scope of Work)?

-Yes

· Section 4.4 asks for at least three previous/current projects. Where should that information be included in the proposal?

-Logically, it would come after the responses to Section 3.

Please clarify the requirements that should be addressed.

-Per Section 5.2.3.2: A specific point-by-point response, in the order listed, to each requirement in the RFP. The response should identify each requirement being addressed as enumerated in the RFP.

-Offeror may choose whether or not to provide specific names or by roles.

· Will integration with other technologies be required?

- Integration with other systems is not anticipated, but the Program is open to suggestions

· If yes, how many systems will the case management system be required to integrate with?

-Please see response to previous question.