Human Capital Management System

Request for Proposal

Human Capital Management System

RFP #18-005

Pursuant to General Statutes of North Carolina, Charter 143 Article 3 and 8, subject to the conditions and specifications herein, Vendors are invited to submit proposals.

Responses to this Request for Proposal will be received by Alliance Behavioral Healthcare until Tuesday, April 17, 2018 3:00 p.m. EST

Responses shall be submitted to:

Table of Contents

INTRODUCTION

Questions...... 2

Addendums …………………………………………………………………………………………………………………………………….2

General Comments...... 2

Submittal Instructions...... 2

Technical Proposal...... 3

A. GENERAL RESPONSE...... 3

1 – Required Forms...... 3

2 – Introductory Letter and Executive Summary...... 4

3 – Financial Performance...... 4

4 – Qualifications and Experience...... 4

5 – Your Product and Approach...... 4

6 – Invoice and Procedure...... 5

7 – Conflict of Interest...... 5

8 – Business Continuity Plan...... 5

B. SOFTWARE OVERVIEW

1 - Application...... 6

2 - Data Warehousing...... 5

3 - User Interface

4 - Documentation

5 - Source Code

6 - Customization

7 - System Interfaces

8 - Installations

9 - Security

C. APPLICATION FUNCTIONALITY...... 8

1 - Human Resources

2 - Enterprise Structure

3 - Position Control/Organization

4 - Compensation Management

5 - Employee Relations

6 - Performance Management...... 15

7 - Succession Planning

8 - Recruiting and Applicant Management

9 - Onboarding

10 - Benefits

11 - Compliance...... 27

12 - Time Management

13 - Payroll & Earnings

14 - Tax Filing

15 - Employee & Manager Self-Service

16 - System Administration

17 - Workflows

18 - Records & Reporting...... 44

19 - System Security

20 - Customization...... 49

D. IMPLEMENTATION...... 49

1 - Approach...... 49

2 – Data Conversion

3 - Project Plan

4 - Education and Training

5 - Staffing...... 50

E. MAINTENANCE AND SUPPORT...... 51

1 - Software Support...... 51

2 - Warranty Period...... 51

F. THE COST PROPOSAL...... 51

1 - Pricing Strategy...... 52

2 - Software Maintenance...... 52

3 - Implementation Support...... 52

G. EVALUATION AND AWARD CRITERIA...... 53

1 –Evaluation Process...... 53

2 –Evaluation Criteria...... 53

2 –Award of Contract...... 53

FORMS…….…………………………………………………………………………………………………………………………………... 55

INTRODUCTION

Alliance Behavioral Healthcare, known as Alliance, was founded in 2012 and operates as a public Local Management Entity (LME) and Managed Care Organization (MCO) responsible for over 200,000 Medicaid eligible North Carolinians with mental illness, intellectual developmental disabilities, and substance use disorders across Wake, Durham, Johnston and Cumberland counties in North Carolina. Alliance is a quasi-political subdivision of the State of North Carolina.

Number of Employer Identification Numbers - 1

Number of Locations - 5

Number of Employees - 500-750 (Full time, Part time, Pro re nata/as needed)

Payroll Processing Frequency - Biweekly

Number of W2’s Issued - >500

Number of 1099’s Issued - <20

Financial General Ledger System - Great Plains (GP)

Alliance Behavioral Healthcare is seeking a Human Capital Management System comprised of application software/hosting configuration, interoperability, consulting, project management, implementation, training, documentation, and customer support.

No pre-bid vendor conference will be held in conjunction with this RFP.

QUESTIONS

Any Vendor requiring clarification of any section of this RFP or wishing to comment or take exception to any requirements or other portions of the RFP must submit specific questions in writing no later than Tuesday, March 20, 2018 3:00 p.m. EST. Questions shall be e-mailed to . Any objection to the RFP or to any provision of the RFP that is not raised in writing on or before the last day of the question period is waived.

ADDENDUMS

Every effort will be made to have responses posted on the Alliance website:

in the form of an addendum by Tuesday, April 3, 2018 3:00 p.m. EST, contingent on the number and complexity of the questions.

GENERAL COMMENTS

By submitting a proposal, vendors acknowledge that Alliance reserves the right to reconsider any proposals at any phase of this procurement process. Alliance also reserves the right to meet with select vendors at any time to gather additional information.

Alliance will not be held responsible for the failure of any email delivery service to deliver a proposal response. It is solely the Vendor’s responsibility to: (1) ascertain that they have all required and necessary information, documents and addenda, prior to submitting a response; (2) ensure that the response is received to the correct email address on or prior to the date and time listed. Late responses, regardless of delivery means, will not be accepted. Submittals received by hand delivery, telephone, or facsimile will not be accepted; and (3) Alliance Behavioral Healthcare reserves the right to reject any and all submittals or any portions thereof.

Alliance reserves the right to cancel, issue amendments or modify this RFP to correct any errors or to clarify requirements. Alliance will post all communication regarding this RFP on its website Any changes, amendments, or clarifications will be made in the form of written responses to Vendor questions, amendments, or addenda issued by Alliance on its website. Vendors should check the website frequently for notice of matters affecting the RFP.

SUBMITTAL INSTRUCTIONS

Vendors shall submit a response electronically (via email) to . Vendors will receive a return email confirmation of receipt.

Email responses shall be labeled in Subject Line and in Introductory Letter as:

RFP #18-005 Human Capital Management System

When responding to this RFP, please follow all instructions carefully. Proposals must address all the questions and requirements of the RFP in the order and format specified in each section. It is the Vendor’s responsibility to ensure its proposal is submitted in a manner that enables the Evaluation Team to easily locate all response descriptions and any exhibits or attachments for each requirement of this RFP.

The RFP is provided as a protected Microsoft MS Office Word document. Sections of the RFP are unprotected allowing for Responders to provide information directly into this document.

If the Responder is providing attachments, it is important to specify the associated Section and Tab number directly on the attachment.

All submissions shall be in Adobe pdf format readable by a currently supported version of MS Office software.

Email responses to this Request for Proposal will be received by Alliance Behavioral Healthcare until

Tuesday, April 17, 2018 3:00 p.m. EST

Responses shall be submitted to:

Alliance Behavioral Healthcare is a political subdivision of the State of North Carolina, pursuant to NC General Statute Charter 122C; therefore, Alliance is subject to the NC Public Records Act, NC General Statute Chapter 132.

Responses to the RFP are subject to applicable Public Records Act provisions. If a vendor would like to maintain the confidentiality of its RFP submission to Alliance, it must comply with NC General Statute 132-1.2: Confidential information subsection (1), which reads in pertinent part:

(1) Meets all of the following conditions:

1. Constitutes a "trade secret" as defined in G.S. 66-152(3).
2. Is the property of a private "person" as defined in G.S. 66-152(2).
3. Is disclosed or furnished to the public agency in connection with the owner's performance of a public contract or in connection with a bid, application, proposal, industrial development project, or in compliance with laws, regulations, rules, or ordinances of the United States, the State, or political subdivisions of the State.
4. Is designated or indicated as "confidential" or as a "trade secret" at the time of its initial disclosure to the public agency…

TECHNICAL PROPOSAL

1. GENERAL RESPONSE INFORMATION

The Technical Proposal addresses all requirements specified in the RFP under the following Tabs. Proposals must include all of the information set forth and shall be organized and submitted appropriately, responding to all information requested.

1 – Required Forms

This Tab includes the following required forms:

1. Non-Collusion Affidavit-Attachment A
2. Alliance Vendor Profile-Attachment B
3. Alliance EFT Authorization Form-Attachment C
4. W-9 Form-Attachment D
5. Addendum Acknowledgement, for any addendums issued-Attachment E

The expectation is the forms would be printed, filled in (handwritten is acceptable), signed, and returned with entire submittal in a pdf document.

2 – Introductory Letter and Executive Summary

Provide an informative, narrative Introductory Letter highlighting the Vendor’s capabilities and services, and additional information as noted here. Identify the number of personnel by department (support, development, training, sales, and administration). If outside services are an integral part of the operation (i.e., contract programmers/consultants), describe their typical responsibilities and if they are outsourced outside of the United States. This is especially important relating to any support services.

Submit any organization information, such as awards received, and/or minority business information/status.

Submit a brief statement of history including ownership, mergers/acquisitions, business partnerships, and other significant business events. Vendors should also identify the approximate date of initiation of their Human Capital Management solution implementation and support business.

3 - Financial Performance

Submit annual reports and financial statements for the past three (3) years. If this cannot be done, summarize highlights of financial performance over the past three years (specifically, total revenues, revenue growth and net profit). Disclose any pending acquisitions (i.e., companies being acquired, companies acquiring your organization, products being acquired, etc.).

4 - Qualifications and Experience

Under this tab, include three or more references for the services typically performed by the Vendor over the past three (3) years. Include company name, project contact name, email address and telephone number.

Identify the Project Manager and key personnel to be assigned to the project. Describe the experience level of the Project Manager and all Lead Functional consultants. All key personnel staff identified in the proposal must be available for the project at the start of the project and any change in staffing will be discussed with and approved by Alliance prior to the implementing any staff changes. Alliance reserves the right to approve all personnel working on Alliance projects.

5 - Your Product and Approach

Briefly describe the main features of the product/solution that the Vendor is offering. Highlight the innovative aspects of the Vendors product. What does the Vendor consider the most important features?

Under this Tab include a description of activities, such as the project methodology and timeline for project completion, etc. The Vendor should also include its plan for managing the work requirements requested, including change management experience and how the Vendor would ensure business continuity during the implementation and proposed plans to ensure project success

Describe future development plans and a 5-year roadmap for feature and platform upgrades of the Vendor’s proposed solution. Describe this product’s position on the planned product lifecycle.

6 – Invoice Procedure

Describe the Vendor’s invoicing procedure. Include documentation identifying:

1. All Vendor fees.
2. Payment terms.
3. Any payment discounts that the Vendor’s company offers, i.e., 2% 10 days – net 30; or 5% 7 days – net 30, and identify the duration of the discount.

7 - Conflict of Interest

Describe any involvement that the Vendor, its employees, or its owner(s) has that may constitute a conflict of interest.

8 - Business Continuity Plan

Provide a copy of the current Business Continuity plan and Disaster Recovery plans for the organization and specifically for the proposed solution.

1. SOFTWARE OVERVIEW

1 - Applications

1. If the solution allows or requires the purchase of individual modules, identify the modules currently available for installation, the versions available and supported and the frequency of software releases and upgrades.

1. Are multiple versions of the solution supported? If so, how does the existence of multiple versions affect upgrades?

1. Does the Vendor require that upgrades be implemented within a specific timeframe?

Server Side:

1. Please describe the structure of the Vendor’s application, specifically, describe the operating system platform(s) supported and the database platform(s) supported.

1. List any additional 3rd party applications necessary to meet the functionality requested.

1. If the application is supported under the Microsoft platform, how quickly is the application tested against Microsoft updates, patches, hot fixes, and operating system upgrades?

1. Please describe the maintenance process for minor version releases, major version releases, patches and/or hot fix updates and the frequency of each; provide sample documentation that is included with each release, and the Vendor’s record of meeting scheduled release dates.

1. How is feedback solicited from clients and incorporated as enhancements to the solution? This should include details of the process and any user group models that are in place for this solicitation.

Client Side:

Please describe the client application/user interface.

1. Are there independent upgrades and/or patches separate from the server application?

1. How does the client application connect to the Server application?

1. Please describe the maintenance process for minor version releases, major version releases, patches and/or hot fix updates and the frequency of each. Please provide sample documentation that is included with each release, and the Vendor’s record of meeting scheduled release dates.

1. Describe how the solution is imbedded on client internet and intranet sites.

2 - Data Warehousing

Describe access methods to the data for downstream applications such as a data warehouse:

1. Please specify what Application Programming Interfaces (APIs) are available and describe their supported framework.

1. If API’s are available, please provide detailed documentation for all of the functionality available through the API.

1. If this is a hosted solution, describe how Alliance can access Alliance data through means other than the user interface. Please include information about any required tools that can be utilized to extract data from the system for integration into other CLIENT applications or Alliance’s existing data environments.

1. Provide a detailed schema with metadata, data dictionary (indicating required vs. optional fields) and data flow diagram for the application database. Alliance highly recommend a detailed response.

1. Please describe standards, methodology (including frequency) in place for passing data to downstream reporting databases such as a data warehouse.

1. Does the vendor provide creation and update time/date stamps on all tables to allow for incremental data extraction. If not available, describe alternative means for downstream incremental processing.

1. Does the Vendor offer the ability to access any and all data elements for downstream processes?

1. Does the Vendor offer the ability to generate custom user defined fields that are accessible for extraction and reporting purposes?

1. Please describe methods used to provide audit information on inserted, updated and deleted records.
2. Does the Vendor provide encryption and masking for key fields such as SSN, salary, etc. to protect confidential employee information?

3 -User Interface

1. Please describe the user interface employed by the application software.

1. Please describe how users navigate through the applications: pull-down menus, standard menus, jump keys, quick commands, etc.

1. Does the application allow a single user to concurrently work in multiple sessions (browsers)?

4 - Documentation

1. Please describe documentation available to users and Technical Staff and provide relevant sample documentation.

1. Please describe documentation available to system administrators for product support, end-user training, major and minor releases or upgrades, patch/or hot fix releases and operating system upgrades.

1. Indicate if documentation is integrated with the Vendor’s product, on-line and not integrated, or hard copy.

5 - Source Code

1. Will Alliance acquire source programs?

1. If not, what arrangements have been made to supply current users with rights to software and related documentation in the event the Vendor ceases business?

6 - Customization

Identify the Vendor’s policy regarding customization of source code.

1. If it is allowed, describe the Vendor’s approach including design, development, testing, upgrades, documentation, and pricing structure.

1. Describe any features or capabilities that allow the systems to be customized without changing source code (i.e., screen designers, template builders, etc.).

7 - System Interfaces

1. What methods are available to load existing historical data into the Vendor’s solution? Please document methods and supported formats available for data transfer.

1. What other methods and file formats are supported for data exchange?

1. How is secure data transmission supported by the Vendor’s organization?

1. If the proposed solution is Software as a Service (SaaS) product, how does the product encrypt or mask key fields such as SSN, salary, etc. to protect confidential employee information?

1. Does the solution provide for data encryption for data at rest? What methodology is used for data protection?

1. Does the proposed solution provide near real time data access to the production or to a replicated data source? Will Alliance be able to develop Extract, Transform, Load (ETL) processes or use APIs to access or extract Alliance data without using the User interface?

1. Please include information or any tools that would need to be used to extract data from the system for integration in other Alliance applications or data environments.

8 - Installations

1. Identify the number of installations where the Vendor solutions are operational. Indicate which applications, modules, and versions are in use, or are being supported.

1. Describe the installation process. Include any options for technical assistance, support, or consulting that are typically required.

9 - Security

1. If the application is supported by the Microsoft Windows Operating System, has it been tested to function with the High Security Template provided by Microsoft?

1. Does the application comply with Federal privacy regulations, including HIPAA, Hi-Tech and 42 CFR Part 2 as applicable?

1. APPLICATION FUNCTIONALITY

The charts below profile desired key features of the software solutions so the Vendor may indicate the compatibility of the Vendor’s proposed software with Alliance’s requirements.

Please use the following matrix as a key for responding to the functionality tables in the RFP.

If customization (vs. configuration) is necessary, it should be clearly noted by indicating estimated hours to customize Enterprise Hybrid Cloud (EHC) in the Vendor comment column.