1. finance
2. personal finance
3. insurance

STATE OF NORTH CAROLINA
Department of Transportation
Purchasing
REQUEST FOR INFORMATION NO. 54-JC-20141022
Due Date: November 5, 2014
Issue Date: October 22, 2014
Refer ALL Inquiries to: Jeff Conken
Description: Liability Insurance Management System
Telephone No. (919) 707-2630
E-Mail: jaconken@ncdot.gov
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
RFI NO. 54-JC-20141022
NC Department of Transportation
Attn: Purchasing Section
P.O. Box 25201
Raleigh, NC 27611
DELIVERED BY ANY OTHER MEANS
RFI NO. 54-JC-20141022
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:
TOLL FREE TEL. NO:
TYPE OR PRINT NAME & TITLE OF PERSON SIGNING:
TELEPHONE
NUMBER:
FAX NUMBER:
AUTHORIZED SIGNATURE:
DATE:
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NCDOT Liability Insurance Management System Table of Contents
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
NCDOT Liability Insurance Management System (LIMS) ...................................................................................................... 5
Section 1: Executive Summary ................................................................................................................................................ 5
Section 2: Current Environment .............................................................................................................................................. 5
Section 3: Proposed Solution .................................................................................................................................................. 6
Section 4: Solution Capabilities ............................................................................................................................................... 7
Section 5: Information Requested ........................................................................................................................................... 8
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RFI Procedures
A. Schedule
Respondents will have four 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 29, 2014. Questions must be sent via email to
jaconken@ncdot.gov or faxed to (919) 715-8743. Please insert “RFI 54-JC-20141022 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 29, 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.
C.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 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 October 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:
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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 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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C.2. Multiple Responses
Multiple responses will be accepted from a single Respondent 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-20141022 Response #1”, “RFI 54-JC-20141022 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 Liability Insurance Management System (LIMS)
Section 1: Executive Summary
The North Carolina Department of Transportation (NCDOT), Division of Motor Vehicles (DMV), Liability Insurance Unit
(LIU) currently manages enforcement of the Vehicle Financial Responsibility Act (Article 13, General Statute 20-309 and
20-311) for the State of North Carolina. Implemented in 1999, the Liability Insurance Tracking and Enforcement System
(LITES) for the mainframe has proven to be a vital resource for the Division of Motor Vehicles as a tool for tracking
consumer insurance documents for the State of North Carolina. However, the application was written using Object Pool
software from the Sapiens Company. The Object Pool software has presented a number of problems including high
maintenance costs, scarcity of Object Pool programmers, high processing costs, and system limitations.
The objective of this request is to identify vendor packages which could replace all or some portion of LITES and
interface with existing NCDMV systems.
This Request for Information (RFI) is intended to collect material and recommendations regarding a solution which will
meet the needs of the DMV Liability Insurance Unit. The solution must interface with the State Titling and Registration
System (STARS).
Section 2: Current Environment
The Division of Motor Vehicles Liability Insurance Unit has a responsibility to enforce continuous liability coverage on
vehicles registered in the State of North Carolina, issue penalties, and conduct hearings for citizens contesting a liability
insurance lapse. The Unit's insurance duties include:
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Maintenance of liability insurance certificates of insurance (FS-1) and termination notices (FS-4) received from
insurance companies.
Initiation of notification of terminations, penalties and other communications to citizens owning or operating a
vehicle registered in the State Titling and Registration System (STARS).
Update of insurance files when subsequent activities occur (i.e. Clear file on receipt of proof of insurance, collect
penalty, send notification letter to customer to surrender the plate, send a revocation order to Enforcement to
pick up the plate.)
The LIU staff enters liability insurance policy information into LITES for private citizens owning or operating a vehicle
registered in the State Titling and Registration System (STARS). This includes the following functional areas:
 FS-1 – Certify Liability Insurance Coverage
 FS-4 – Terminate Liability Insurance Coverage
 FR-3 – Self-Certification
 Exception Processing
 Prima Facie
 Customer Inquiry
This group also has the ability to administer certain portions of the application as needed. This includes the following
functions:
 Override the Status of a Liability Insurance Lapse in Coverage
 Maintain Insurance Company Details
 Maintain Application Security
 Reset Passwords for the LITES Internet Application
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LIU Hearing Officers
The LIU also has staff of assigned state personnel authorized to provide due process between the State of North Carolina
and citizens contesting liability insurance lapses in coverage information for automobiles or motor carrier accounts
within the state. LITES maintains Hearing Officer Schedules, Schedules Liability Insurance hearings with citizens and
maintains hearing locations.
LITES also interfaces with other agencies, systems and businesses both internal and external to NCDOT.
External
Card Payment Service
Dept. of Insurance
Federal Highway Administration
Insurance Companies
Private Citizens / Businesses
Internal
Crash Reporting System
DMV Fiscal
International Registration Plan / Motor Carrier
State Automated Driver License System (SADLS)
State Titling and Registration System (STARS)
Section 3: Proposed Solution
The proposed solution must be capable of providing support for maintaining liability insurance Certifications, managing
Hearings, General Administration, Inquiry and Reporting processes. There is also a web presence for LITES which must
be either replaced or integrated with any proposed solution. The following list for each area includes, but is not limited
to, the functionality which must be available in the proposed solution.
Insurance Processes:
Certification of Liability Insurance
Rejected Certification of Liability Insurance
Termination of Liability Insurance
Rejected Termination of Liability Insurance
Self-Insured document – Certification of Self Insurance
Rejected Self Insured document – Certification of Self Insurance
Clear a Lapse by Date
Clear a Lapse by Payment
Rejected Lapse Justification
Plate Turn-in
Plate Lost Stolen
Hearing Request
Undelivered
Clear By Statement
Deceased
Exception Processing
Prima Facie lapse
Clear a Motor Carrier Fleet Lapse
Hearing Processes:
Hearing Officer Information
Hearing Officer Itinerary
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Hearings To Be Scheduled
Hearing Officer Calendar
Hearing Detail
Hearing Disposition
Court Appeals
Review Hearing Disposition and Notes
Administrative Processes:
Allows for the General Override of lapse information
Maintain Insurance Company Information
Resident to Hearing City Assignment
Maintain Hearing Locations
Maintain System Security
Maintain Hearing Officers Status
Generate the General Override Report
Adjust Civil Penalty
Maintain DMV Liability Insurance Unit Personnel Information
Initiate notifications of an insurance lapse, penalties due and other communications with citizens
Collection of penalties and fees
Inquiry Processes
Display Lapse Information using Customer Id
Display Lapse Information using VIN
Display Lapse Information using Plate
Display Lapse Information using Individual Name
Display Lapse Information using Business Name
Display Lapse Information using Motor Carrier Account Number
Reporting Processes:
List Valid Insurance Companies
Hearings Requested
Hearings Requested – No City
Hearings To Be Scheduled
Hearings Scheduled
Section 4: Solution Capabilities
Following is a non-inclusive list of the key capabilities that the NCDOT is seeking. The response should address these and
any additional capabilities available in your solution. The proposed solution should:
 Match insurance information from insurance companies with North Carolina vehicle registration information.
 Identify when a vehicle has a lapse in liability insurance.
 Identify when a Motor Carrier has a lapse of liability insurance for a fleet of vehicles.
 Provide an interface to the North Carolina Crash Reporting System to validate insurance coverage at the time of a
crash.
 Provide an interface to the North Carolina State Titling and Registration System (STARS) to check for insurance
lapses when registering a vehicle.
 Be capable of managing Hearings including:
o Scheduling staff
o Informing citizens
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o Managing locations
o Capturing evidence/testimony
o Providing access to stored hearing data to authorized staff.
Provide the capacity to manage and collect fees and penalties for violations of the Vehicle Financial Responsibility
Act.
Initiation of notifications and other communications with citizens
Correct DMV records if the response from the citizen establishes no lapse in coverage.
Assess the citizen a civil penalty if the response does establish a lapse in coverage.
Revoke registration if the customer does not respond to correspondence in a timely manner, knowingly drove
without insurance or was in a crash without insurance.
Provide a method of identifying and processing self-insured vehicles.
Provide a method of inquiring on current and historical lapses in liability insurance coverage for a customer and
vehicle.
Include the capability to produce standard and ad hoc reports on citizen compliance and hearings.
Define whether your suggested/proposed solution has any hosting location limitations and/or recommendations.
Increase the efficiency, security and accuracy of the business process through automation, resulting in better
auditing of customer compliance.
Provide efficient, secure access to the submitted data for DMV Hearings and Vehicle Registration staff. The right
information to the right people at the right time.
Update customer records in STARS to reflect liability status.
Section 5: Information Requested
Responses to this Request for Information must:
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Reflect and address NCDOT’s desired solution requirements.
Provide an estimated total cost of ownership for the solution including continued compliance with emerging
industry standards (1-3 years).
Define the high level architecture the solution is built upon.
List and explain the capabilities and functionalities provided with the solution.
Provide hosting options for the solution.
List and explain any limitations on the number of concurrent users.
Provide information for training end 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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