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STATE OF LOUISIANADivision of AdministrationOffice of Technology ServicesREQUEST FOR PROPOSALSFor:Enterprise ArchitectureForDHH – Medicaid Systems ModernizationRFP #: 815200-20150506001May 6, 2015
Table of ContentsTABLE OF CONTENTSGLOSSARY .5I.GENERAL INFORMATION .9A. BACKGROUND . 9B. PURPOSE . 9C. OVERVIEW OF ARCHITECTURAL VISION . 10D. INVITATION TO PROPOSE . 11E. RFP ADDENDA . 11II.ADMINISTRATIVE INFORMATION . 12A. RFP COORDINATOR . 12B. BLACKOUT PERIOD . 12C. PROPOSER INQUIRIES . 13D. PRE-PROPOSAL CONFERENCE . 13E. GOVERNING LAW . 13F. SCHEDULE OF EVENTS . 13III.SCOPE OF WORK . 15A. DELIVERABLES (OVERVIEW). 15B. GENERAL REQUIREMENTS . 16C. COMPONENT DESIGN AND IMPLEMENTATION REQUIREMENTS . 18D. HOSTING AND INFRASTRUCTURE REQUIREMENTS . 23E. GOVERNANCE REQUIREMENTS. 25F. TRANSITION AND INTEGRATION PLANNING REQUIREMENTS . 25G. STAFF AUGMENTATION . 25H. TECHNICAL REQUIREMENTS. 25I.LIQUIDATED DAMAGES. 26J.FRAUD AND ABUSE . 27K. SUBCONTRACTING . 27L. COMPLIANCE WITH CIVIL RIGHTS LAWS . 27M. INSURANCE REQUIREMENTS . 28N. RESOURCES AVAILABLE TO CONTRACTOR . 30O. CONTRACT MONITOR . 30P. TERM OF CONTRACT . 30Q. PAYMENT TERMS . 31IV.PROPOSALS . 32A. GENERAL INFORMATION . 32B. CONTACT AFTER SOLICITATION DEADLINE . 32C. CODE OF ETHICS . 32D. REJECTION AND CANCELLATION. 322
Table of ContentsE. CONTRACT AWARD AND EXECUTION . 33F. ASSIGNMENTS . 33G. DETERMINATION OF RESPONSIBILITY . 33H. PROPOSAL AND CONTRACT PREPARATION COSTS . 34I.OWNERSHIP OF PROPOSAL. 34J.PROCUREMENT LIBRARY/RESOURCES TO PROPOSER . 34K. PROPOSAL SUBMISSION. 34L. PROPRIETARY AND/OR CONFIDENTIAL INFORMATION . 35M. PROPOSAL FORMAT . 36N. REQUIRED PROPOSAL OUTLINE (MANDATORY CONTENT): . 36O. PROPOSAL CONTENT. 36Section 1.Qualifications to Propose . 36Section 2.Introduction/Administrative Data . 36Section 3.Technical Response. 37Section 4.Enterprise Architecture Work Plan and Project Execution. 39Section 5.Project Staffing . 40Section 6.Corporate Financial Condition . 40Section 7.Cost and Pricing Analysis . 41Section 8.Additional Information . 41P. WAIVER OF ADMINISTRATIVE INFORMALITIES . 41Q. WITHDRAWAL OF PROPOSAL . 41V.EVALUATION AND SELECTION . 42A. EVALUATION CRITERIA . 42B. ON SITE PRESENTATION/PROTOTYPE DEMONSTRATION . 43C. EVALUATION TEAM . 44D. ADMINISTRATIVE AND MANDATORY SCREENING . 44E. CLARIFICATION OF PROPOSALS . 44F. ANNOUNCEMENT OF AWARD . 44G. BEST AND FINAL OFFERS (BAFO) . 44VI.SUCCESSFUL CONTRACTOR REQUIREMENTS . 45A. CONFIDENTIALITY OF DATA . 45B. TAXES . 45C. FUND USE . 45VII.CONTRACTUAL INFORMATION . 46A. CONTRACT . 46B. MUTUAL OBLIGATIONS AND RESPONSIBILITIES . 47C. RETAINAGE . 47D. INDEMNIFICATION AND LIMITATION OF LIABILITY . 473
Table of ContentsE. TERMINATION . 48ATTACHMENT IVETERAN & HUDSON INITIATIVE RULES . 50ATTACHMENT IICERTIFICATION STATEMENT . 52ATTACHMENT IIICONTRACT SAMPLE . 53ATTACHMENT IVHIPAA BUSINESS ASSOCIATE ADDENDUM . 57ATTACHMENT VCOST TEMPLATE . 59ATTACHMENT VITECHNICAL EVALUATION FORM . 86APPENDIX ARELATIONSHIPS, ROLES, AND RESPONSIBILITIES. 87APPENDIX BMASTER DATA MANAGEMENT VISION . 89APPENDIX CDATA WAREHOUSING VISION . 90APPENDIX DIDENTITY MANAGEMENT/SINGLE SIGN-ON (IAM/SSO) VISION . 91APPENDIX EENTERPRISE SERVICE BUS (ESB) VISION . 92APPENDIX FDOCUMENT MANAGEMENT (EDMS) VISION . 93APPENDIX GCONSUMER COMMUNICATIONS (CC) VISION . 94APPENDIX HBUSINESS RULES ENGINE (BRE) VISION . 95APPENDIX ISTAFF AUGMENTATION SERVICES LABOR CATEGORIES . 96APPENDIX JDATA CENTER REQUIREMENTS FOR REMOTELY HOSTED SOLUTION. 104APPENDIX KADMINISTRATIVE CHECKLIST . 109TABLE OF FIGURESFigure 1: Architectural Vision . 10Figure 2: Contractor Scope of Work . 15Figure 3: Relationships, Roles, and Responsibilities . 874
GlossaryGlossaryAcronymDefinitionActive DirectoryMicrosoft Active Directory/Lightweight Directory Access ProtocolALMApplication Lifecycle ManagementALM environmentsDevelopment, System Integration Testing, User Acceptance Testing, Training andProduction.APIApplication Programming InterfaceBAABusiness Associate AddendumBHSFBureau of Health Services FinancingBIBusiness IntelligenceBMACBureau of Media & CommunicationsBREBusiness Rules EngineBusiness DayTraditional workdays, which are Monday, Tuesday, Wednesday, Thursday and Fridayfrom 8am - 5pm CT. Only Louisiana state holidays are excluded.CanDenotes a preference, but not a mandatory requirement.CCConsumer CommunicationsCMSCenters for Medicaid and Medicare Services: The agency in the Department of Healthand Human Services (DHHS) responsible for federal administration of the Medicaid andMedicare programs.COMPASSComprehensive Online Medical Patient Accountability Software SystemContractorEntity awarded the contract.Contract ManagerA person designated by the Department to be responsible for negotiating the terms andconditions of the contract and for overseeing the day-to-day administration andcompliance of the contractor to the terms and conditions. The contract manager is theDepartment’s primary point of contact through which contracting information, changes,or amendments flow between the Department and the Contractor.Contract MonitorA person designated by Office of Technology Services to be responsible for reviewing andassuring the Contractor’s compliance with contract requirements.CRMCustomer Relationship ManagerDCFSDepartment of Children and Family ServicesDDIDesign, Development, and ImplementationDepartmentDepartment of Health and Hospitals/ DHHDHHDepartment of Health and Hospitals: The state agency responsible for administering thestate’s Medicaid programs and other health and related services including public health,mental health, developmental disabilities, and addictive disorder services. Referred to asthe Department.DHHSDepartment of Health and Human Services: The United States government’s principalagency for protecting the health of all Americans and providing essential human servicesDOADivision of Administration: The Division of Administration is the executive office of theState which oversees the general management of all state finances and financialoperations.5
GlossaryAcronymDefinitionDW/DWHData WarehousingDWTData Warehousing TeamE&EEnrollment and EligibilityEAEnterprise ArchitectureEDMSElectronic Document Management SystemERDEntity Relationship DiagramESBEnterprise Service BusETLExtract, Transform, LoadFIMedicaid Fiscal Intermediary: The private fiscal agent with which DHH contracts tooperate the Medicaid Management Information System. It processes Title XIX claims forMedicaid services provided under the Medicaid Assistance Program, issues appropriatepayment and provides assistance to providers on claimsFNSFacility Notification SystemHealth Insurance Portability andAccountability ActRefers to the federal regulations known as the HIPAA Privacy, Security, Enforcement, andBreach Notification Rules, found at 45 C.F.R. Parts 160 and 164, which were originallypromulgated by the U. S. Department of Health and Human Services (DHHS) pursuant tothe Health Insurance Portability and Accountability Act (“HIPAA”) of 1996 and weresubsequently amended pursuant to the Health Information Technology for Economic andClinical Health (“HITECH”) Act of the American Recovery and Reinvestment Act of 2009.HIPAAHealth Insurance Portability and Accountability ActHITECHHealth Information Technology for Economic and Clinical HealthIAMIdentity and Access ManagementID ProofingIdentity ProofingIRSInternal Revenue ServiceIV&VIndependent Verification and ValidationJLCBJoint Legislative Committee on the BudgetLINKSLouisiana Immunization Network for Kids StatewideMayDenotes a preference, but not a mandatory requirement.MDMMaster Data ManagementMEDSThe ADABAS Data System responsible for capturing/maintaining/transmitting Medicaideligibility. The MEDS system is vital to DHH to ensure established Medicaid eligibility isavailable for customers to receive services in a timely manner. The MEDS system isresponsible for transmitting the Medicaid eligibility data to the Department‘s FiscalIntermediary, on a daily basis. This ensures that providers of Medicaid services can billand receive payment for services performedMFAMulti-factor authenticationMVAMedical Vendor AdministrationMustDenotes a mandatory requirement.OAASOffice of Aging and Adult Services. The office within DHH that is responsible for themanagement and oversight of certain Medicaid home and community-based state planand waiver services for individuals age 65 and older and individuals ages 21 – 64 with a6
GlossaryAcronymDefinitionphysical disability. The office also provides protective services for vulnerable adults ages18 and over.OBHOffice of Behavioral Health. The office in DHH that is responsible for behavioral healthservices for Louisiana Medicaid enrolleesOCDDOffice for Citizens with Developmental Disabilities. The office in DHH that is responsiblefor the day-to-day operation and administration of the Medicaid waivers that offerservices to individuals with developmental disabilities.OFSSOffice of Finance and Support ServicesOLAOnline Application systemOMFOffice of Management and FinanceOperationsOngoing, recurrent activities involved in the MMIS.OPHOffice of Public Health. The office in DHH responsible for personal and environmentalhealth services.OPTSOAAS Participant Tracking SystemOriginalDenotes must be signed in ink.OSPOffice of State ProcurementOTSOffice of Technology Services. State agency that functions as the centralized provider ofIT support services for executive cabinet agencies of state government and designated asthe sole authority for information technology procurement.PHAMEPublic Health Automated Management Enabler (WIC)QAQuality AssuranceRFPRequests for Proposals. The process used by the state in public procurement ofcontracted services, supplies, or repairs including description of requirements, selectionand solicitation of sources, preparation and award of contract, and all phases of contractadministration.SAMLSecurity Assertion Markup LanguageSDLCSoftware Design LifecycleSFTPSecured File Transfer Protocol. Network protocol used to securely transfer computerfiles from one host to another host over a TCP-based network.SFYState Fiscal YearShallDenotes a mandatory requirement.ShouldDenotes a preference, but not a mandatory requirement.SITSystem Integration TestingSLAService-Level AgreementSLOService-Level ObjectiveSOAService-Oriented ArchitectureSQLStructured Query Language is a standard language for accessing and manipulatingdatabasesSSOSingle Sign-OnStateUsed to refer to the State of Louisiana7
GlossaryAcronymDefinitionSubcontractorEntity contracted by the Contractor to perform certain duties of the contract.Successful ProposerThe successful Proposer is the entity that the contract is awarded for purposes of thisRFP and is used interchangeably throughout this RFP with terms Contractor.TPLThird Party LiabilityUATUser Acceptance TestingUnitIncrement of service as defined by policy/procedures.VMVirtual MachinesWICWomen, Infants, and ChildrenWillDenotes a mandatory requirement.8
I. General InformationI.GENERAL INFORMATIONA. BackgroundThe Office of Technology Services (OTS) was established July 2014 as a means of recognizing cost savingsthrough the consolidation of state IT assets and resources. OTS sees the Enterprise Architecture being procuredfor and through the Department of Health and Hospitals as a key and integral asset for the State. While theimmediate need is for an EA to support the in-progress modernization efforts of an aged and fragmentedMedicaid constellation of systems, the long-term vision is for a technical infrastructure that will allow for theefficient integration of systems and data sharing.The mission of the Department of Health and Hospitals (hereafter referred to as, “DHH” or “Department”) is toprotect and promote health and to ensure access to medical, preventive, and rehabilitative services for allcitizens of the State of Louisiana. The Department of Health and Hospitals is dedicated to fulfilling its missionthrough direct provision of quality services, the development and stimulation of services of others, and theutilization of available resources in the most effective manner.DHH is composed of the Bureau of Health Services Financing (BHSF Medicaid), the Office for Citizens withDevelopmental Disabilities (OCDD), the Office of Behavioral Health (OBH), the Office of Aging and Adult Services(OAAS), and the Office of Public Health (OPH). Under the general supervision of the Secretary, these principaloffices perform the primary functions and duties assigned to DHH.DHH, in addition to encompassing the program offices, has an administrative office known as the Office of theSecretary, a financial office known as the Office of Management and Finance (OMF), and various bureaus andboards. The Office of the Secretary is responsible for establishing policy and administering operations,programs, and affairs.B. PurposeThe purpose of this RFP is to solicit proposals from vendors to design, implement, and maintain a coreEnterprise Architecture (EA) for the Office of Technology Services and to provide on-going operationalgovernance of the proposed solution. While the proposed solution will serve initially as the technicalinfrastructure for the modernization of the Department of Health and Hospital’s core Medicaid functions,proposers should also frame their solution as part of a wider-scale, statewide initiative to consolidate ITinfrastructures and assets. The State anticipates the incorporation of other agency programs into thearchitecture, such as the modernization of the Child Welfare system, TANF, SNAP, and child support systems, inthe relative near future after implementation.The current DHH landscape consists of an array of applications—custom and off-the-shelf, on premise andremotely hosted. Each application operates as a standalone, silo’d—often black-box—system with its own set ofbusiness rules and data. Data sharing and reporting across systems are complex and difficult processes, at best.This system fragmentation drives up the cost of conducting business by reducing productivity and increasingtechnical maintenance efforts and activities.DHH is seeking a solution to this problem through the implementation of an Enterprise Architecture on whichwe can construct an integrated, rationalized business environment. All proposed solutions should address threekey areas:1. Component design and implementation, specifically Enterprise Service Bus (ESB), Master DataManagement (MDM), Data Warehousing (DWH), Identity and Access Management/SSO Portals (IAM),Document Management (DM), Consumer Communications (CC) and Business Rules Engine (BRE)9
I. General Information2. Governance processes for on-going management of the proposed solution3. Transition and integration strategy and plan for new and existing business systems (see Appendix A,Figure 3: Relationship, Roles, and Responsibilities)Any proposed solutions must be capable of integrating applications built on heterogeneous platforms (e.g.,JAVA, .NET, etc.).The implementation of current individual business applications and systems that will be eventually integratedinto this architecture are currently not in scope for this RFP. Efforts needed for future integration of applicationsinto the system will be performed based on the proposed scaling costs, time and materials.C. Overview of Architectural VisionFigure 1: Architectural Vision.NET, Java, Dynamics,SharePoint, ColdFusion, etc.BUSINESS APPLICATIONS PLATFORMGOVERNANCEENTERPRISE SERVICE BUS (ESB)MASTER DATAMANAGEMENT(MDM)DATA NAGEMENTCONSUMERCOMMUNICATIONSBUSINESS RULESENGINESAMLDEGREE OF FLEXIBILITY AROUND USE OF SPECIFICARCHITECTURAL COMPONENTS:NON-NEGOTIABLENEGOTIABLEBARELY NEGOTIABLEFLEXIBLEKey AssumptionsThe diagram above depicts the different components that comprise the DHH Enterprise Architectural vision. Thecomponents outlined in green
OTS sees the Enterprise Architecture being procured for and through the Department of Health and Hospitals as a key and integral asset for the State. While the immediate need is for an EA to support the in
