STATE OF NORTH CAROLINA
Department of Transportation
Purchasing
REQUEST FOR INFORMATION NO. 54-JC-10132014
Due Date: November 10, 2014
Issue Date: October 13, 2014
Refer ALL Inquiries to: Jeff Conken
Telephone No. 919-707-2630
Description: Ignition Interlock Management System
CC: 920
E-Mail: [email protected]
Using Agency Name: Transportation
DELIVERY INSTRUCTIONS: Deliver one (1) signed original executed RFI response and one (1) copy of
the executed RFI response. Address envelope and insert RFI number as shown below. It is the responsibility
of the Vendor to have the response in this office by the specified time and date of opening. Vendor must
return all the pages of this solicitation in their response. Vendor must also submit one (1) signed,
executed electronic copy of its response on USB Flash Drive or read-only CD/DVD(s). The files should not
be password-protected and should be capable of being copied to other media.
DELIVERED BY US POSTAL SERVICE
DELIVERED BY ANY OTHER MEANS
RFI NO. 54-JC-10132014
NC Department of Transportation
Attn: Purchasing Section
P.O. Box 25201
Raleigh, NC 27611
RFI NO. 54-JC-10132014
NC Department of Transportation
Attn: Purchasing Section
1 South Wilmington Street, Room 412
Raleigh, NC 27601
NOTICE TO VENDOR
Request for Information (RFI) will be received at this office at 1 S. Wilmington Street, Room 412, Raleigh, NC
until 2:00 P.M. EST on the due date and then opened.
EXECUTION
VENDOR NAME:
E-MAIL:
STREET ADDRESS:
P.O. BOX:
ZIP:
CITY & STATE & ZIP:
TELEPHONE NUMBER:
TOLL FREE TEL. NO:
TYPE OR PRINT NAME & TITLE OF PERSON SIGNING:
FAX NUMBER:
AUTHORIZED SIGNATURE:
DATE:
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NCDOT Ignition Interlock Table of Contents
STATE OF NORTH CAROLINA .......................................................................................................................................... 1
Department of Transportation .......................................................................................................................................... 1
RFI Procedures ................................................................................................................................................................... 3
A. Schedule ..................................................................................................................................................................... 3
B. Clarification Questions ................................................................................................................................................ 3
C. Response .................................................................................................................................................................... 3
D. Proprietary information ................................................................................................................................................ 4
E. RFI conditions ............................................................................................................................................................. 4
F. Communication ........................................................................................................................................................... 4
G. Vendor Information ...................................................................................................................................................... 4
Section 1: Executive Summary........................................................................................................................................... 5
Section 2: Current Process ................................................................................................................................................. 5
Section 3: Desired Process ................................................................................................................................................ 7
3.1 Report Type - Install/Changeover ................................................................................................................................. 8
3.2 Report Type - Uninstall .................................................................................................................................................. 9
3.3 Report Type - Compliance........................................................................................................................................... 11
Section 4: Solution Capabilities ........................................................................................................................................ 12
Section 5: Information Requested .................................................................................................................................... 13
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RFI Procedures
A.
Schedule
Respondents will have three weeks to prepare their submissions to this RFI. Responses must be received by
the date, time and location specified on the cover sheet of this RFI. Respondents may be requested to come
to Raleigh, NC to present and discuss their submissions. Respondents will be contacted to determine a
specific date and time at least two weeks in advance of their presentation.
B.
Clarification Questions
Written questions will be received until 4:00 P.M. EST on October 20, 2014. Questions must be sent via email
to [email protected] or faxed to (919) 715-8743. Please insert “RFI 54-JC-10132014 Questions” in the
subject matter of your e-mail. A summary of all questions and answers will be posted to the Interactive
Purchasing System (IPS) as an addendum to this RFI on or about October 27, 2014. The origin of questions
will not be reflected in any addendum issued.
C.
Response
The state recognizes that considerable effort will be required in preparing a response to this RFI. Please note,
however, this is a request for information only and not a request for services. No award will result from this
RFI. The respondent must bear all costs associated with the compilation and submission of a Response to this
RFI.
1.
Content and Format
The state expects concise, detailed, point-by-point responses to each of the RFI response items identified in
Section 5 of this RFI. The state is not interested in brochures or “boilerplate”. Instead, the response should
clearly define how the vendor’s proposed solution(s) would meet the state’s business requirements. Any
issues or exceptions to the state’s requirements should also be identified and explained.
The response should also include annotated network drawings showing where each of the pieces of equipment
in the proposed solution would be located and how those devices would be interconnected.
A comprehensive, detailed equipment list including and software requirements for the proposed solution should
be provided. All equipment identified in the response must be commercially available and in general
distribution on or before November 1, 2014. While the state will require a pilot installation of any final solution
adopted, the state is not interested in participating in any field trials of new equipment or software.
The response should also spell out all services that would be required by the proposed solution including such
items as:



The respondent’s submission should reflect and address the state’s business requirements;
Give an estimated total cost of ownership for the solution including continued compliance with emerging
industry standards.
The proposed solution should have the ability to expand and evolve to serve other State's sites either
inside the Raleigh area or in other county locations and also meet all of the service and performance
requirements identified in this RFI.
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2.
Multiple Responses
Multiple responses will be accepted from a single vendor provided that each response is comprehensive,
meets all of the state’s requirements, and is truly unique. Please place in separate envelopes and clearly mark
responses as “RFI 54-JC-10132014 Response #1, RFI 54-JC-10132014 Response #2, etc.
D.
Proprietary information
Trade secrets or similar proprietary data which the Respondent does not wish disclosed to other than
personnel involved with this RFI will be kept confidential to the extent permitted by 01 NCAC 05B.1501 and
N.C.G.S. § 132-1.3 if identified as follows:
 Each page shall be identified in boldface at the top and bottom as "CONFIDENTIAL".
 Any section of the RFI that is to remain confidential shall also be so marked in boldface on the title
page of that section.
 Cost information may not be deemed confidential.
 In spite of what is labeled as confidential, the determination as to whether or not it is shall be
determined by North Carolina law.
o URL for NCAC reference inserted here
o URL for G.S. reference inserted here
In addition to the above, the State undertakes to keep every Response received confidential as a whole until
such time as an RFP has been awarded or the RFI cancelled (the "Confidentiality Period"). After the expiration
of the Confidentiality Period, all Response information will be subject to the normal confidentiality provisions of
the State as set out above.
Exception: Respondents expressly acknowledge that the concepts, methods, equipment and procedures
presented in a response may be wholly or partially incorporated into an RFP.
E.
RFI conditions
The State will not be bound by any RFI Procedure qualifications or any additional conditions included by a
Respondent in a response.
F.
Communication
All communication regarding this RFI is to be addressed to the contact person identified on the RFI Cover
sheet.
G.
Vendor Information
The following information must be included in the response.
1.
Name of Company
2.
Contact Person and Title/Position
3.
Address, Telephone Number and Email Address
4.
Brief history of the company (length of time in business) including a listing of government agencies with
which the company has successfully implemented their solution.
5.
Specify what kind of statistics, documentation, information, etc. would be necessary for NCDOT to
furnish Vendors in a future RFP and what significance or criticality that information would have on the
success of a procurement.
6.
Include a list of references from past implementations. This should include:
•
Name of the Agency
•
Contact information for the business and technical representatives for the Agency, including
email and telephone number
•
Key difficulties and lessons learned
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NCDOT Ignition Interlock
Section 1: Executive Summary
The North Carolina Department of Transportation (NCDOT), Division of Motor Vehicles (DMV), Administrative
Hearings Section manages the Ignition Interlock program for the State of North Carolina. Currently, NCDMV is
manually processing data from the ignition interlock vendors. NC DMV has a business need to manage
ignition interlock data more efficiently and enable additional vendors and data to be processed.
The objective of this request is to identify Commercial Off The Shelf (COTS) solutions or the development of a
customized solution which will automate the receipt and processing of data from ignition interlock vendors.
Another component of an ignition interlock solution is reporting of citizen compliance. The solution must have
standard reports defined and available for NCDMV Ignition Interlock Staff. Ad hoc reporting should also be
available. NC DMV also needs to manage ignition interlock vendors for compliance with the relevant NC DMV
Ignition Interlock Program Standards and Procedures. This capability should utilize a case management type
solution.
This Request for Information (RFI) is intended to collect material and recommendations regarding a solution
which will meet the needs of the DMV Administrative Hearings Section, Ignition Interlock program to eliminate
or significantly reduce the manual processing and paper handling currently being undertaken. The solution
must interface with the State Automated Driver License System (SADLS) as the system of record.
Section 2: Current Process
The Division of Motor Vehicles Ignition Interlock unit processes and manages citizens’ data submitted to the
Division from approved ignition interlock vendors. The data is currently submitted by the vendors via insecure
email and is comprised of non-standard reports and device logs. These reports and logs may contain
Personally Identifiable Information (PII).
At the present time, the North Carolina Division of Motor Vehicles executes the ignition interlock program
through a series of labor-intensive, manual processes. The data from the ignition interlock vendors consists of
four types of reports; Install; Uninstall; Changeover and Compliance. There are three different business
processes executed for these report types, the Install and Changeover reports follow the same business
process.
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DMV Ignition Interlock (As-Is Process)
DMV Ignition
Interlock Staff
All reports from
multiple vendors
received in email
service account
Separate reports:
Install /
Uninstall /
Changeover /
Compliance
Separate by
vendor /assign
to staff
Print
reports
Install /
Changeover
Display DR
from SADLS –
Enter install
date and
vendor
Enter data
into Access
Uninstall
Display DR
from SADLS –
Enter uninstall
date and
vendor
Enter data
into Access
Yes
End
Restriction
complete?
No
Cancel
Conditional
Restoration
Agreement
Restriction
complete?
No
Stop
Issuance in
SADLS
DMV
End
DMV or
Statutory
restriction
Calculate I/I
time
Statutory
Yes
Compliance
Reported
in NC?
Yes
Valid
Calibration?
Yes
Violation?
Yes
End
DMV or
Statutory?
Statutory
No
No
No
End
End
End
DMV Hearings
DMV Info
Processing
Key
Key violation
violation
in
in SADLS
SADLS
Letter
Letter sent
sent –– Can
Can
request
request hearing
hearing
DMV
Schedule
Schedule
Hearing
Hearing
(Required)
(Required)
No
No
No Action
Action
Suspension?
Suspension?
Yes
Original
Original revocation
revocation or
or
remainder
remainder of
of 4Yr
4Yr to
to
permanent
permanent
Data
Data
entered
entered into
into
SADLS
SADLS
Data
Data
entered
entered into
into
SADLS
SADLS
Schedule
Schedule &
&
Hold
Hold
Hearing
Hearing
(Requested)
(Requested)
Suspension?
Suspension?
No
Yes
Suspend
Suspend for
for
1YR
1YR
End
End
Figure 2.1 As-Is Business Process Diagram
This unit is staffed with three employees who process and maintain all reports on a daily basis. Data is
manually entered into SADLS and MS Excel with paper copies being filed and transferred to Hearings Officers
when requested. Due to recent legislative changes, it is expected the volume of data and number of records
will be drastically increased.
Currently, the Division has three vendors that provide the ignition interlock device to North Carolina Drivers.
During an open enrollment period, vendors have the opportunity to apply and certify their device and service.
Each year more vendors apply for certification, which could increase the number of vendors for the Ignition
Interlock Program; with more vendors and nonstandard forms, the resources required to maintain the data will
increase.
There is no standardization of forms submitted to the DMV ignition interlock staff by the vendors. Each vendor
has their own form. Therefore, it is more difficult to locate data and review all device logs for violations and
errors.
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The NCDMV Ignition Interlock Program Standards and Procedures are available to the public at:
(https://connect.ncdot.gov/business/DMV/Pages/Ignition-Interlock-.aspx).
Interlock devices can be required pursuant to three legal frameworks: Conditional Restoration Agreements
given by DMV, the requirements of NCGS §17.8, and Limited Driving Privileges given by the court system.
DMV presently serves as the monitoring authority for the first two frameworks, but the desired solution should
be capable of establishing and supporting at least three monitoring profiles with each having unique
parameters and action triggers.
Section 3: Desired Process
The intent of an Ignition Interlock solution is to provide a system where data can be systematically imported
and identified based on the vendor report type described previously. A standardized data format must be
defined to ensure data quality and consistency. The data must be identified as being one of these report
types. The new solution must provide a confirmation to the vendor upon successful completion of the initial
data import. The solution should provide error messages to the corresponding vendor if there are any issues
with the data that has been imported.
Install
Reports
4
1
DMV IIMS Vendor
Interface
2
Changeover
Reports
IIMS DB
Uninstall
Reports
II Vendors
Compliance
Reports
3
Figure 3. To-Be Business Context Diagram – Data Import
Function
Relationship
1
2
3
4
Data Import
From
Ignition Interlock
Vendors
To
DMV IIMS Web
DMV IIMS Vendor
Interface
DMV IIMS DB
DMV IIMS DB
DMV IIMS Vendor
Interface
Ignition Interlock
Vendors
DMV IIMS Vendor
Interface
Description
An ignition interlock vendor is authenticated
to the DMV IIMS vendor interface. They
are identified as II Vendor X and then select
import to upload their data.
The IIMS vendor interface passes the data
to the IIMS DB.
The data is entered into the IIMS DB and
identifiers indicating the report type verified.
Any errors are sent to the IIMS vendor
interface.
The DMV IIMS vendor interface notifies the
II Vendor if the upload was successful and
if not provides error messages to assist with
correcting any issues.
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3.1 Report Type - Install/Changeover
Each Install/Changeover report, regardless of the vendor, will be used to update a customer record in SADLS.
The primary objective is to record the ignition interlock device install date, the vehicle into which it was installed
(VIN), and identify the vendor.
The IIMS will identify the reports ready for processing. The process may either be initiated by DMV staff or
started automatically. The IIMS system will query SADLS through a web service to identify the correct
customer record and enter data into that customer record. The solution must verify the correct record using
data from the report. The IIMS system will send the data to SADLS to enter the install date and the ignition
interlock vendor name from the Install/Changeover report into the customer record. SADLS will indicate the
successful update of the customer record. The IIMS will indicate that the report was processed successfully
and capture the date of the transaction. If there are issues, the solution will record any errors for review by
DMV ignition interlock staff and the IIMS will indicate the report status as pending review.
3
IIMS DB
1
2
IIMS
4
Web
Service
SADLS
DB
DMV Staff
Figure 3.1 To-Be Business Context Diagram – Install/Changeover Process
Function
Relationship
1
Install/Changeover Report Process
From
To
IIMS
IIMS DB
2
IIMS DB
SADLS DB
3
SADLS DB
IIMS DB
4
IIMS
DMV Personnel
Description
Identify Install/Changeover reports ready to
process. May be initiated by DMV staff or
automatically by the system.
The IIMS system queries the web service
with the customer information from the IIMS
DMV database, Install/Changeover report.
Sends:
 Driver License
 Customer Name
 VIN
 II Vendor Name
Returns:
 Record verified as correct
 Data added to record
 Date of update
 Any errors during record update
Data returned from SADLS DB is checked
for verification and then the report in the
IIMS DB is marked as processed. If there
are errors they are recorded with
information identifying the report and it is
marked as pending review in IIMS.
The IIMS system posts the error report for
DMV II staff processing.
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3.2 Report Type - Uninstall
Each Uninstall report, regardless of the vendor, will be used to update a customer record in SADLS. The
primary objective is to record the ignition interlock device uninstall date, the vehicle from which it was removed
(VIN), and identify the vendor.
The IIMS will identify the reports ready for processing. The process may either be initiated by DMV staff or
started automatically by the IIMS. The IIMS system will query the SADLS through a web service to identify the
correct record and enter data into that customer record. The solution must verify the correct record using data
from the report. The IIMS system will send the data to SADLS DB to enter the uninstall date and ignition
interlock vendor name from the Uninstall report into the customer record.
The IIMS will verify the duration of the ignition interlock used to the day, based on the recorded install and
uninstall dates from the SADLS DB. If the restriction was imposed by DMV, and the duration completes the
restriction, no further action is required. If the duration does not complete the DMV restriction, the customer’s
Conditional Restoration Agreement is canceled. If the restriction was imposed by statute and the duration
completes the restriction or the triggering DWI offense(s) occurred before October 1, 2013, no further action is
required. If the duration does not complete the statutory restriction and the trigger DWI offense occurred after
October 1, 2013, a stop issuance is recorded in the SADLS DB.
The SADLS DB will indicate the successful update of the customer record based on the Uninstall report. The
IIMS will indicate that the report was processed successfully and capture the date of update. If there are
issues, the solution will record any errors for review by DMV ignition interlock staff and the IIMS will indicate
the report status as pending review.
2
1
IIMS DB
SADLS
DMV Staff
9
Restriction
Calculation
4&5
Web Service
3
IIMS
Restriction
Action
6
DB
7
8
Figure 3.2 To-Be Business Context Diagram – Uninstall Report Process
Function
Relationship
1
Uninstall Report Process
From
To
IIMS
IIMS DB
Description
IIMS will identify Uninstall reports ready
to process. May be initiated by DMV
staff or automatically by the system.
9
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Function
Relationship
2
Uninstall Report Process
From
To
IIMS DB
SADLS DB
Description
The IIMS system queries the SADLS DB
web service with the customer
information from the IIMS database,
Uninstall report:
Sends:
 Driver License
 Customer Name
 VIN
 II Vendor Name
3
SADLS DB
IIMS DB
Returns:
 Record verified as correct
 Data added to record
 Date of install
 Type of restriction (statutory or
DMV)
 Length of restriction
 Restriction completion
 Dates of DWI offenses
 Date of update
4
IIMS
IIMS
5
IIMS
IIMS
6
IIMS
IIMS
The calculation for the duration of the
ignition interlock device usage in days
may be completed in the IIMS.
If the total duration completes the
restriction, no further action is required.
If the total duration does not complete
the restriction, check the restriction type
(statutory or DMV). If statutory
restriction, check that trigger DWI
offense is after October 1, 2013. A stop
issuance is recorded in the SADLS DB.
If DMV restriction, the Conditional
Restoration Agreement is canceled in
the SADLS DB.
After all processes have completed. The
following data is entered into the SADLS
DB from IIMS:
 Total days of usage
 Stop Issuance for statutory
restriction (if applicable)
or
 Conditional Restoration
Agreement is canceled for DMV
restriction (if applicable)
7
8
9
IIMS
DMV Personnel
Data is verified in SADLS then the report
in the IIMS DB is marked as processed.
If there are errors they are recorded with
information identifying the report and it is
marked as pending review in IIMS.
The IIMS system posts the error report
for DMV ignition interlock staff
processing.
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3.3 Report Type - Compliance
The IIMS will determine if the Compliance report meets the requirements for a valid report in NC and if action is
required. IIMS will use the data provided in the report for this determination. The following criteria must be
confirmed before any action is taken:
•
The ignition interlock device information was reported in North Carolina
•
The ignition interlock device has a valid calibration
•
A violation was captured
After these conditions have been verified, IIMS must query the SADLS DB to retrieve information. The IIMS
system will query SADLS through the web service to identify the correct record and the type of restriction
(statutory or DMV). If the restriction type is statutory, the violation is entered into the SADLS DB against the
customer record. SADLS will send the customer a letter informing them of their right to request a hearing.
If the restriction type is DMV, a hearing is required. After SADLS initiates the DMV Hearing, the IIMS has
completed its role.
1
Data
Validation
2
IIMS DB
IIMS
Violation
Action
5
DMV Staff
3
Web
Service
4
Initiate
Hearing
6
SADLS
DB
5 or 6
7
8
Figure 3.3 To-Be Business Context Diagram – Compliance Report Process
Function
Relationship
1
Compliance Report Process
From
To
IIMS
IIMS DB
2
IIMS
IIMS
3
IIMS
SADLS DB
Description
IIMS will identify Compliance reports
ready to process. May be initiated by
DMV staff or automatically by the
system.
IIMS will validate information in the
Compliance report before processing the
information.
 Ignition interlock device data
was reported in NC
 The ignition interlock device has
a valid calibration
 A violation was captured
The IIMS system will query the SADLS
Web service to identify the correct
record and the type of restriction
(statutory or DMV). Sends:
 Driver License
 Customer Name
 VIN
 II Vendor Name
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Function
Relationship
4
Compliance Report Process
From
To
SADLS DB
IIMS DB
5
IIMS
SADLS DB
6
IIMS
SADLS DB
IIMS
DMV Personnel
7
8
Description
Returns:
 Record verified as correct
 Type of restriction (statutory or
DMV)
If the restriction type is statutory, the
violation is entered into the SADLS DB
against the customer record.
If the restriction type is DMV, a hearing
is required and the SADLS DB is
updated.
Data is verified in SADLS then the report
in the IIMS DB is marked as processed.
If there are errors they are recorded with
information identifying the report and it is
marked as pending review in IIMS.
The IIMS system posts the error report
for DMV ignition interlock staff review.
The solution must allow for the use of business rules to identify violations and errors recorded in device logs.
These settings should be easily editable or configured to implement changes in legislation or business
requirements. Some standard reports will need to be defined and available for users and supervisors as well
as the ability to create ad hoc reports.
Section 4: Solution Capabilities
Following is a non-inclusive list of the key capabilities that the NCDOT is seeking. Your response should
address these and any additional capabilities available in your solution. The proposed solution should:
 Provide a system in which vendor data can be imported electronically and automatically.
 Update customer records in SADLS and initiate any required business processes.
 Use business rules to review device logs for violations and errors.
 Provide for user defined roles to enable different levels of access to the data.
 Include a case management capability to support vendor compliance with the NCDMV Ignition Interlock
Program Standards and Procedures.
 Increase the efficiency, security and accuracy of the business process through automation, resulting in
better auditing of customer and vendor compliance.
 Define whether your suggested/proposed solution has any hosting location limitations and/or
recommendations
 Be capable of handling increased number of transactions as the business environment changes.
 Provide the capacity to manage additional ignition interlock vendors that certify their devices and
services during the annual open enrollment period.
 Significantly reduce the number of staff hours required to manage and evaluate customer data received
from the vendors through ad hoc and standard reports.
 Identify a secure, electronic means for approved ignition interlock system vendors to submit data in the
format and with the content defined in the NCDMV Ignition Interlock Program Standards and
Procedures.
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Section 5: Information Requested
Responses to this Request for Information are requested to provide:
 List and explain the capabilities and functionalities provided with the solution.
 Define the high level architecture the proposed solution is built upon.
 Address NCDOT’s desired solution requirements.
 Hosting options for the solution
 Provide an estimated total cost of ownership for the solution.
 List and explain any known limitations (e.g. number of concurrent users).
 Comply with the statewide technical architecture guidelines (http://www.NCSTA.gov) and the statewide
security document (https://www.scio.nc.gov)
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