ESBD_File_332641_HHS0012599 _Forensic Accounting Services.pdf

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 1 of 41 Version 1.3 (10/11/2022)

Stephanie Muth, Executive Commissioner

Request for Qualifications (RFQ) for

Forensic Accounting Services

RFQ No. HHS0012599

Date of Release: August 14, 2023

See Section 3.1 for Schedule of Events

NIGP Class/Item Codes

946-11 Accounting Services (Not Otherwise Classified)

946-31 Certified Public Accountant (CPA) Services

961-40 Forensic Services

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Table of Contents Article I. Introduction, Definitions, and Authority

1.1 Introduction

1.2 Definitions

1.3 Authority

Article II. Scope of Work

2.1 Services and Deliverables

2.1.1 Purpose

2.1.2 Target Population

2.1.3 Respondent Qualifications

2.1.4 Forensic Accounting Assessment

2.1.5 Assessment Documentation

2.1.6 Court Related Services

2.1.7 WBS or Online Portal Requirements

2.1.8 Timeframes

2.1.9 Training

2.1.10 Quarterly Meetings

2.1.11 DFPS Responsibilities

2.1.12 Deliverables

2.1.13 Payment Terms

2.1.14 Turnover Plan

2.2 Contract Award, and Term

2.2.1 Contract Award and Reservation of Rights

2.2.2 Contract Term

2.3 No Guarantee of Volume, Usage, or Compensation

Article III. Administrative Information

3.1 Schedule of Events

3.2 Ambiguity, Conflict, or Discrepancy

3.3 Inquiries

3.3.1 Sole Point of Contact

3.3.2 Exceptions to Sole Point of Contact

3.3.3 Prohibited Communication

3.3.4 Solicitation Questions

3.4 Pre-proposal Conference

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3.4.1 Attendance

3.4.2 Pre-proposal Conference Logistical Information

3.4.3 Questions During Pre-proposal Conference

3.5 Solicitation Response Composition

3.5.1 General Information

3.5.2 Page Limit and Supporting Documentation

3.5.3 Discrepancies

3.5.4 Exceptions

3.5.5 Assumptions

3.5.6 Binding Offer

3.6 Solicitation Response Submission and Delivery

3.6.1 Deadline

3.6.2 Delivery

3.6.3 Submission Checklist

3.6.4 Modifications and Withdrawals of Solicitation Response

3.6.5 Retention of Solicitation Responses

Article IV. Solicitation Response Evaluation and Award Process

4.1 Conformance with State Law

4.2 Best Value Determination

4.2.1 Selection Methodology

4.2.2 Minimum Qualifications

4.2.3 Initial Compliance Screening

4.2.4 Written Solicitation Response Evaluation

4.2.5 Written Response Evaluation Criteria

4.2.6 Final Written Response Score

4.2.7 Summary of Best Value Determination

4.3 Questions or Requests for Clarification

Article V. Statement of Qualifications

5.1 Executive Summary

5.2 Minimum Qualification Documentation

5.3 Qualifications

5.4 Demonstrated Ability and Experience

5.5 Plan of Operations

5.6 Staffing Profile

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Article VI. Required Respondent Information

6.1 Company Information

6.1.1 Company Narrative

6.1.2 Company Profile

6.2 Authorization to Conduct Business in Texas

6.3 References

6.4 Affirmations and Certifications

6.5 Other Reports

6.5.1 Dun and Bradstreet Reports

6.5.2 Financial Statements and Financial Solvency

6.5.3 Alternate Report

6.6 Corporate Guarantee

6.7 Major Subcontractor Information

Article VII. HSP Requirement

7.1 HSP Submission Instructions

Article VIII. General Terms and Conditions

8.1 General Conditions

8.1.1 Changes, Modifications, and Cancellation of the Solicitation

8.1.2 Offer Period

8.1.3 Costs Incurred

8.1.4 Contract Responsibility

8.1.5 Public Information Act - Requirements Regarding Disclosure

8.1.6 Respondent Waiver – Intellectual Property

8.1.7 Standards of Conduct for Vendors

8.1.8 Disclosure of Interested Parties

8.2 Protest

Article IX. List of Exhibits

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ARTICLE I. INTRODUCTION, DEFINITIONS, AND AUTHORITY

1.1 INTRODUCTION

The Texas Health and Human Services Commission (HHSC) on behalf of the Department of Family and Protective Services (DFPS) Adult Protective Services (APS) is seeking to award a contract to a qualified entity to provide statewide Forensic Accounting Services (FAS) with expertise in tracing assets, identifying suspicious financial activity and provide APS with their analysis-based report, advice and opinions to support in making decisions relating to APS’s Clients presence or absence of Financial Exploitation.

Information regarding DFPS and its programs is available online and can currently be accessed at http://www.dfps.state.tx.us/.

HHSC PCS will administer the procurement process for this Solicitation and will manage Respondent communications as well as the receipt of Solicitation Responses for review and evaluation.

1.2 DEFINITIONS

As used in this Solicitation, unless a different definition is specified or the context clearly indicates otherwise, the terms and conditions have the meanings assigned below. Refer to Exhibit B, DFPS Vendor Uniform Terms and Conditions (UTC), (June 2022) and Exhibit C, DFPS Vendor Supplemental and Special Conditions, (June 2022) for additional definitions.

“Addendum” means a written clarification or revision to this Solicitation posted on the ESBD.

“Award Consideration (AC) Documents” means documents Respondent must submit as part of the Solicitation Response to be considered for negotiations or award.

“APS” means Adult Protective Services, a program within DFPS which investigates abuse, neglect, and financial exploitation of adults who are elderly or have disabilities and who live in the community.

“Client” An adult with a disability or age 65 or older who has been reported to APS to be in a state of or at risk of harm due to abuse, neglect, or financial exploitation.

“ESBD” means the Electronic State Business Daily, an online directory where State of Texas solicitations over $25,000 are posted. The ESBD may currently be accessed at http://www.txsmartbuy.com/esbd.

”FAS” refers to Forensic Accounting Services.

http://www.dfps.state.tx.us/ http://www.txsmartbuy.com/esbd

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“Final Written Response Score” refers to the final scoring of the written response as documented in the Solicitation.

“Financial Exploitation” means the illegal or improper act or process of the alleged perpetrator using, or attempting to use, the resources of the client, including the client’s Social Security number or other identifying information, when all the following apply:

a. The alleged perpetrator is a caretaker, family member, or another person who has an ongoing relationship with the client.

b. The alleged perpetrator used the resources for monetary or personal benefit, profit, or gain.

c. The alleged perpetrator used the resources without the informed consent of the client.

d. Additional definitions are found in Texas Administrative Code TAC §705.101

“HHSC” means the Texas Health and Human Services Commission.

“HHSC PCS” means the Procurement and Contracting Services division of HHSC.

HHSC PCS provides purchasing support services to DSHS and the Department of Family and Protective Services pursuant to Section 531.00553 of the Texas Government Code.

“HUB Subcontracting Plan” or “HSP” means the written documentation regarding the use of Subcontractors that is required by Section 2161.252 of the Texas Government Code for a purchase with an expected value of $100,000 or more when the state agency has determined subcontracting opportunities are probable. The HSP subsequently becomes a provision of the Contract and Contractor’s compliance with the HSP will be monitored during the Contract Term.

“Portal” means a website or web page that provides access to links or sites.

“Respondent” means the individual or entity responding to this Solicitation.

“Solicitation” means this RFQ including all exhibits, attachments, forms, and Addenda, if any.

“Solicitation Consideration (SC) Documents” means documents that must be submitted by Respondent with the Solicitation Response in order to be considered for evaluation and cannot be resubmitted or have errors remedied after the submission due date and time in the Schedule of Events has passed.

https://texreg.sos.state.tx.us/public/readtac$ext.TacPage?sl=R&app=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=40&pt=19&ch=705&rl=101

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“State” means the State of Texas and its instrumentalities, including HHSC and DFPS, as well as any other state agency, its officers, employees, or authorized agents.

“Statement of Qualifications” means the portion of the Solicitation Response that comprises a Respondent’s qualifications and skills as set out in Article V of the Solicitation.

“VPTS” means the Vendor Performance Tracking System maintained by the Texas Comptroller of Public Accounts. The VPTS may be currently accessed at https://comptroller.texas.gov/purchasing/programs/vendor-performance-tracking/.

“WBS” means is an application software that is accessed using a web browser.

1.3 AUTHORITY

This Solicitation is issued pursuant to the authority of Texas Government Code Ch.

2254, Subchapter A.

ARTICLE II. SCOPE OF WORK

2.1 SERVICES AND DELIVERABLES

2.1.1 Purpose

a. The purpose of this Solicitation is to provide APS staff with FAS that include investigation of allegations, reports and evidence to determine if Financial Exploitation on APS Clients exists, and to what extent it adversely affects them.

b. Respondent will provide a FAS that is supported by a WBS or online Portal for receiving, processing, and tracking APS Client forensic referrals and assessments.

2.1.2 Target Population

DFPS APS is responsible for investigating Financial Exploitation as defined in Texas Administrative Code TAC 40 §705.107 on persons who:

a. Are aged 65 or older;

b. Are aged 18-65 and have mental, physical, or developmental disabilities that substantially impair their ability to live independently or provide for their own self-care or protection; and https://comptroller.texas.gov/purchasing/programs/vendor-performance-tracking/ https://texreg.sos.state.tx.us/public/readtac$ext.TacPage?sl=R&app=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=40&pt=19&ch=705&rl=107

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c. Reside in the community, including but not limited to private homes, unlicensed adult foster homes, unlicensed board and care homes.

2.1.3 Respondent Qualifications

Respondent must demonstrate sufficient skills, expertise, and qualifications to perform the required services. In addition, the Respondent’s proposal must demonstrate that they meet the following qualifications. If awarded a contract, the Respondent must maintain and submit evidence of all licenses and/or certifications.

Respondent will:

a. Be a Certified Public Accountant (CPA) with at least one of the following applicable professional licenses and/or certifications:

1. Certified in Forensic Accounting with certification from the American Board of Forensic Accounting (ABFA); or

2. Certified in Financial Forensics (CFF) with certification from the American Institute for Certified Public Accountants (AICPA); or

3. Certified in Forensic Accounting with certification from the Institute of Certified Forensic Accountants (ICFA); or

4. Certified in Forensic Accounting from the National Association of Forensic Accountants (NAFA); or

5. Certified Fraud Examiner (CFE), with certification from Association of Certified Fraud Examiners (ACFE); and

b. Have at least three years of experience within the last seven years in the practice of FAS to include:

1. Preparing accurate financial reporting supported by Generally Accepted Accounting Principles (GAAP) or Generally Accepted Government Auditing Standards (GAGAS) principles.

2.1.4 Forensic Accounting Assessment

The number of cases varies as well as the contents of referrals as they are dependent on the depth of an APS client’s case finances, the length of the potential Financial Exploitation, the number of associated individuals (potential perpetrators) involved in the investigation and the time which has lapsed between the initial financial exploitation of the client’s finances and discovery.

If awarded a Contract, the Respondent will review Client cases that may be complex extensive investigations and fact findings that require the Respondent to:

https://www.ojp.gov/sites/g/files/xyckuh241/files/media/document/GAAP_Guide_Sheet_508.pdf https://www.ojp.gov/sites/g/files/xyckuh241/files/media/document/GAAP_Guide_Sheet_508.pdf https://www.gao.gov/products/gao-21-368g

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a. Conduct interviews with APS investigators and/or law enforcement, as applicable;

b. Work collaboratively with APS to identify assets, examine document findings and inventory financial, public and third-party financial records;

c. Gather and review evidence and prepare fact-finding reports;

d. Provide documentation in the form of spreadsheets or reports with a detailed breakdown of financial findings, records and assets;

e. Provide consultation to DFPS APS staff as needed or requested through ad hoc reports; and

f. Provide assessments and reports that must be completed within the timeframes as specified in Exhibit H, Performance Measures.

2.1.5 Assessment Documentation

If awarded a Contract, the Respondent will include a formal written assessment developed by the Respondent and retained in the WBS or online Portal. The assessment report must include, but is not limited to:

a. Summary letter providing an overview of the evidence reviewed and whether there was suspicious activity.

b. Name and credential of the professional who performed the assessment.

c. Assessment completion date.

d. Completed referrals, including the written assessment report, must remain accessible to DFPS through the WBS or Portal.

e. Complete reporting requirements found in Exhibit H, Performance Measures.

2.1.6 Court Related Services

If awarded a Contract the Respondent will at DFPS’s request, provide expert testimony in court proceedings or administrative hearings. Court related services include:

a. Providing a written report of accountant’s analysis and findings regarding suspected suspicious financial activity to APS prior to any expert testimony to determine that the anticipated testimony is both relevant and reliable.

b. Preparing evidentiary exhibits for legal proceedings.

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c. Providing deposition or testimony given outside of court while under oath to be used in court, by Respondent.

d. Testifying, and/or attending court ordered mediated sessions, which may be in person or virtual, video or webinar appearance.

e. Appearing or other mode of participating by Respondent in a court setting for the purpose of testifying on behalf of APS may be determined by the circumstances of the client case.

1. If the court intervention or action is located in an area where Respondent has a main or satellite office and the court appearance is required to be in person, DFPS APS will not reimburse mileage from the Respondent’s referenced office to the court location, equal to or under 25 miles.

Mileage greater than 25 miles distance will be reimbursed at the prevailing state mileage rate.

2. If the court intervention or action is located in a city or jurisdiction other than the main office or satellite office of the Respondent, DFPS APS will reimburse for travel expenses.

3. If the court intervention or action is to be held virtually, no travel expenses will be reimbursed.

f. Respondent must utilize the most cost-effective method should travel be required. DFPS APS will reimburse Respondent at the current Texas Comptroller of Public Accounts (CPA) rates at the time of the expense, including airfare, mileage, meals, etc. (see Textravel (texas.gov).

2.1.7 WBS or Online Portal Requirements

a. If awarded a Contract, the Respondent will provide and maintain a secure FAS WBS or online Portal with the capability to:

1. Allow APS staff access to enter and document all referrals for the provision of financial case services.

2. Retain and make accessible, all information and/or documentation related to client services provided under the contract including court-related services and testimonies.

3. Allow upload of large documents or sets of documents including the ability for document uploads to be named and categorized by predetermined labels.

https://fmx.cpa.texas.gov/fmx/travel/textravel/index.php

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4. Allow for electronic information exchange, including correspondence between APS and the Respondent.

5. Acknowledge receipt of referral within one business day of the date referral is electronically submitted through the WBS or Portal or email.

6. Provide status updates from Respondent as requested which will be provided to APS through the WBS or Portal or through email.

7. Ensure system is available to DFPS 24 hours a day seven days a week, excluding scheduled maintenance activities and the down time caused by any issues related to problems with the hosting company or hosting facility.

8. Be available by telephone during normal business hours, Monday through Friday from 8:00 a.m. to 5:00 p.m. Central Time, for issues related to utilizing the WBS or Portal.

9. Notify DFPS of scheduled maintenance at least 48 hours in advance of the planned downtime and report unscheduled outages no later than 24 hours after Contractor becomes aware of an outage.

b. The WBS or Portal must:

1. Be accessible through standard web browsers, such as Microsoft Edge, Google Chrome, and Mozilla Firefox.

2. Allow for easy access that is compatible with Single Sign On (SSO).

3. Include role-based security provisioning that conditions the levels of access available to different categories of users.

4. Allow File Transfer Portals Secure (FTPs) to upload and submit large amounts of documents.

5. Comply with Confidential Information requirements in Section II(D) and Information Security and Cybersecurity Training Requirements in Section VII(W) in Exhibit B, DFPS Vendor Uniform Terms and Conditions (June 2022).

6. If the WBS or Portal initially proposed by the Respondent does not meet the necessary criteria, DFPS may request the Respondent provide an interim solution and a timeframe for amending or implementing the WBS or Portal to meet DFPS’s requirements.

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2.1.8 Timeframes

If awarded a Contract the Respondent:

a. Will provide FAS’s upon receipt of a referral from APS with adequate supporting case documentation and/or information.

b. Will follow timeframes as specified in Exhibit H, Performance Measures for services depending on the type of referral and as determined by APS.

Upon receipt of a referral with adequate supporting case information, the services must be provided within the following timeframes.

1. Routine - The assessment report for this type of referral must be completed within 28 calendar days of receipt of the referral.

2. Urgent – The written assessment report for this type of referral must be completed within 14 calendar days of receipt of the referral.

2.1.9 Training

Respondent will develop and execute a training plan for DFPS staff and others identified by DFPS that will at minimum include an online training be continuously posted on the Respondent’s WBS or Portal, to include but not limited to training explaining how to use the Respondent’s WBS. If awarded a contract, the Respondent will seek prior approval from DFPS and will make any changes and/or edits required by DFPS before the training is finalized for DFPS’ use.

2.1.10 Quarterly Meetings

Respondent will be responsible for scheduling quarterly meetings with the DFPS APS liaison. Respondent will document a log of issues and resolutions as identified in the meetings and distribute them to designated DFPS staff no later than 10 business days after the meeting. These notes will be stored in the WBS or Portal.

2.1.11 DFPS Responsibilities

DFPS APS staff will address all concerns identified by DFPS staff pertaining to forensic accounting services, as appropriate, and will provide to Respondent.

a. Pertinent client financial information to initiate FAS, including:

1. Initial referral and documentation;

2. Follow–up information and/or documentation for FAS; and

3. Documentation may include financial statements for physical and liquid assets, legal documentation including power of attorney, public records, and/or medical records.

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b. Upon request of the Respondent, DFPS APS staff will provide, when possible, all financial and nonfinancial information and documentation considered necessary in connection with the APS case in order to complete the investigatory objectives through a secure, encrypted electronic format.

c. DFPS APS point of contact (to be identified at the kickoff meeting) will keep Respondent informed and coordinate schedules through email or telephone for important dates, such as trial, discovery cutoff, depositions, settlement conferences, and other identified information pertaining to review of case.

2.1.12 Deliverables

If awarded a Contract, the Respondent:

a. Will attend a Kick-Off meeting with DFPS APS team to be arranged DFPS APS staff after contract execution.

b. Provide a detailed plan on meeting the requirements specified in Section 2.1 (Services and Deliverables).

c. Provide outline and formatting for preparing assessments and reports Section 2.1.4 (Forensic Accounting Assessment).

d. Provide WBS or online Portal Section 2.1.7 (WBS or Online Portal Requirements) to include:

1. System Management

2. System capabilities

3. Initial training

4. System architecture and/or information storage and exchange processes.

e. Provide a detailed and comprehensive project plan as part of Exhibit I, Plan of Operations Response Template.

2.1.13 Payment Terms

DFPS will pay awarded Respondent on a cost reimbursement basis. Under the cost reimbursement method of funding, Respondent must finance operations with its own working capital and seek reimbursement payments supported by adequate documentation.

The basis for payment for services rendered under the Contract will be documented as an attachment to the Contract.

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Invoices must be received at the DFPS designated location and in the format identified by DFPS in accordance with the Texas Prompt Payment Act, Texas Government Code Chapter TGC 2251.

2.1.14 Turnover Plan

Turnover is defined as those activities required to transition Contract operations to DFPS APS or a subsequent Contractor upon termination, cancellation, or expiration of the Contract.

Contractor will complete the following turnover services:

a. Three months prior to the end of the base Contract period, Respondent must provide a comprehensive Turnover Plan that details the proposed schedule, activities, and resource requirements for an orderly and expeditious transfer of services to DFPS or the awarded.

b. As part of the Turnover Plan, the Contractor must provide DFPS APS with copies of all relevant data and documentation related to the Contract, including:

1. Copies of working papers, including procedures, programs, reports, and schedules.

2. Status of current referrals, assessments, court related services, inquiries, reviews and projects, as well as any outstanding actions or items.

3. Copies of correspondence (internal and external).

4. Operational and system information, processes and work instructions.

5. Listings of software, hosting or telecommunications services used by the Contractor.

6. Detailed descriptions of functional business processes and workflows, including functional descriptions of technology solutions such as the online Portal.

c. All documentation, data and information necessary to assume Contractor’s operational activities successfully.

2.2 CONTRACT AWARD, AND TERM

2.2.1 Contract Award and Reservation of Rights

As a result of this Solicitation, HHSC or DFPS intends to award one Contract.

Should one vendor be unable to provide the full scope of services outlined in Section 2.1 (Services and Deliverables), HHSC or DFPS reserves the right to award multiple contracts, to ensure required services are obtained. Any award is https://statutes.capitol.texas.gov/Docs/GV/htm/GV.2251.htm

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 15 of 41 contingent upon approval of the HHSC or DFPS executive commissioner or their designee.

If, for any reason, a contract cannot be executed with a Respondent selected for award within ten business days of HHSC or DFPS’s determination to seek to contract with that Respondent, HHSC or DFPS may avail itself of any option permissible under applicable law, including but not limited to negotiating a contract with the next highest scoring Respondent, making a partial award, or withdrawing the Solicitation.

DFPS reserves the right to cancel, make partial award, or decline to award a Contract under this Solicitation at any time at its sole discretion.

2.2.2 Contract Term

The initial term of the Contract will be of one year. HHSC or DFPS, at its sole option, may extend this Contract for up to three additional years.

Following the base term and any allowable renewals or extensions, DFPS may extend any resulting Contract for not more than one additional option period to address immediate operational or service delivery needs. If the resulting Contract does not include a defined option period, the extension is limited to one year.

2.3 NO GUARANTEE OF VOLUME, USAGE, OR COMPENSATION

HHSC or DFPS makes no guarantee of volume, usage, or total compensation to be paid under the Contract. The Contract is subject to appropriations and the continuing availability of funds.

HHSC or DFPS reserves the right to cancel, make partial award, or decline to award a Contract under this Solicitation at any time at its sole discretion.

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ARTICLE III. ADMINISTRATIVE INFORMATION

3.1 SCHEDULE OF EVENTS

EVENT DATE/TIME

Solicitation Posting Date on the ESBD August 14, 2023

Pre-proposal Conference Attendance is Optional

August 18, 2023, at 11:00 a.m. Central Time

Deadline for Submitting Questions August 21, 2023, at 4:00 p.m. Central Time

Tentative Date Responses to Questions Posted on the ESBD

August 28, 2023, at 3:00 p.m. Central Time

Deadline for courtesy HSP review August 30, 2023, at 2:00 p.m. Central Time

Deadline for Submission of Solicitation Responses [NOTE: Responses must be RECEIVED by HHSC by the deadline.]

September 13, 2023, at 10:30 a.m. Central Time

Evaluation Period October 2023

Tentative Date for Notice of Award Posted on the

ESBD

November 2023

Anticipated Contract Effective Date December 2023

Note: All dates specified in the Schedule of Events are tentative and HHSC reserves the right to modify the dates or cancel the scheduled events at any time. Scheduling changes or cancellation determinations made by HHSC prior to the Solicitation Response deadline will be posted as an Addendum on the ESBD. If, after the Solicitation Response deadline, there are delays that significantly impact the anticipated award date, HHSC, at its sole discretion, may publish updates regarding the anticipated award date in the Procurement Forecast (https://apps.hhs.texas.gov/procurement-calendar/procurement-forecast.pdf) https://apps.hhs.texas.gov/procurement-calendar/procurement-forecast.pdf

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 17 of 41 located on the HHS Procurement Opportunities webpage currently accessed at https://www.hhs.texas.gov/business/contracting-hhs/procurement-opportunities.

In accordance with Texas Administrative Code, Title 1, Part 15, Chapter 391, Subchapter C, Rule §391.305, HHSC will issue a Notice of Intent to Award in the Procurement Forecast located on the HHS Procurement Opportunities webpage under Future Opportunities, Intent to Award Notices & Delayed Procurements.

Each Respondent is responsible for periodically checking the ESBD and the HHSC Procurement Forecast for updates.

3.2 AMBIGUITY, CONFLICT, OR DISCREPANCY

Respondent must notify the individual specified in Section 3.3.1 (Sole Point of Contact) of any ambiguity, conflict, discrepancy, exclusionary specification, omission, or other error in the Solicitation in the manner and by the deadline described in Section 3.3.4 (Solicitation Questions).

Respondent submits a Solicitation Response at its own risk.

If Respondent fails to properly and timely notify the individual specified in Section

3.3.1 (Sole Point of Contact) of any ambiguity, conflict, discrepancy, exclusionary specification, omission, or other error in the Solicitation, Respondent, whether awarded a contract or not:

a. Waives any claim of error or ambiguity in the Solicitation and any resulting contract;

b. Must not contest the interpretation by HHSC and DFPS of such provision(s);

and

c. Is not entitled to additional compensation, relief, or time by reason of ambiguity, conflict, discrepancy, exclusionary specification, omission, or other error or its later correction.

3.3 INQUIRIES

3.3.1 Sole Point of Contact

All requests, questions, or other communication regarding this Solicitation will be made in writing to HHSC PCS and addressed to the person identified below (Sole Point of Contact), except as permitted in Section 3.3.2 (Exceptions to Sole Point of Contact). If a telephone number is provided by the Sole Point of Contact, its use is limited to administerial matters such as instructing a potential Respondent on accessing an IT system or locating a website referenced in the Solicitation.

Communications through telephone are not binding. Respondent will rely only on https://www.hhs.texas.gov/business/contracting-hhs/procurement-opportunities

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 18 of 41 written statements issued by or through HHSC PCS designated staff as provided by Section 3.3 (Inquiries).

Name Carole Woodard, CTCD, CTCM, LSSBB

Title PCS Purchaser

Email carole.woodard@hhs.texas.gov

3.3.2 Exceptions to Sole Point of Contact

Exceptions to Section 3.3.1 (Sole Point of Contact) are as follows:

a. A Respondent with a question relating to the HUB Subcontracting Plan is permitted to direct its written question(s) to the HUB coordinator through email at cheryl.bradley@hhs.texas.gov

b. The Sole Point of Contact may expressly direct another designated HHSC or DFPS representative to speak to the Respondent, such as during contract negotiations. It is the Respondent’s responsibility to ensure that communications with an individual other than the Sole Point of Contact have been authorized by the Sole Point of Contact before engaging in such communication. Failure to comply with this requirement may result in the disqualification of a Respondent’s Solicitation Response as provided in Section 3.3.3 (Prohibited Communication).

c. The Sole Point of Contact will authorize an alternate or backup Sole Point of Contact in the event of their extended absence from the office and, in such an event, the contact information for the secondary Sole Point of Contact will be in placed in an automatic reply out-of-office email message. A Respondent seeking to contact the Sole Point of Contact should do so through email to timely receive updated contact information.

3.3.3 Prohibited Communication

Except as provided in Section 3.3.1 (Sole Point of Contact) and Section 3.3.2 (Exceptions to Sole Point of Contact), a Respondent or potential Respondent is prohibited from communicating with HHSC and DFPS, including its representative(s) and partners, will not answer any verbal or written questions or otherwise discuss the contents of this Solicitation with any Respondent, potential Respondent, or their associated representative(s). This restriction does not preclude discussions between affected parties for the purposes of conducting business unrelated to this Solicitation. Failure to comply with this restriction may result in disqualification of Respondent's Solicitation Response.

mailto:carole.woodard@hhs.texas.gov mailto:cheryl.bradley@hhs.texas.gov

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3.3.4 Solicitation Questions

Written questions regarding this Solicitation must be submitted by email to the individual specified in Section 3.3.1 (Sole Point of Contact) by the deadline specified in Section 3.1 (Schedule of Events). Responses to the Solicitation questions will not be emailed to the individual requestors. Responses to all Solicitation questions timely received will be posted on the ESBD by the deadline specified in Section 3.1 (Schedule of Events). If same or similar Solicitation questions are submitted, a single consolidated answer may be posted on the ESBD.

All questions regarding the Solicitation must include the following information:

a. Solicitation number;

b. Solicitation package reference (page number, section, and exhibit or attachment, if applicable);

c. Question topic (e.g., “Schedule of Events,” or “Exhibit A, HHS Solicitation Affirmations, Version 2.3“); and

d. Question for HHSC or DFPS.

In addition, the following contact information must be provided by the requestor with its submission of the Solicitation question(s):

a. Business entity name;

b. Business entity representative name;

c. Phone number; and

d. Email address.

Solicitation questions received after the deadline specified in Section 3.1 (Schedule of Events) may not be answered. Prior to the Solicitation Response deadline specified in Section 3.1 (Schedule of Events), HHSC PCS reserves the right to amend answers previously posted on the ESBD. Amended answers will be posted on the ESBD. It is the Respondent's responsibility to periodically check the

ESBD.

3.4 PRE-PROPOSAL CONFERENCE

3.4.1 Attendance

HHSC PCS will conduct a pre-proposal conference. Attendance is optional but highly recommended.

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 20 of 41

3.4.2 Pre-proposal Conference Logistical Information

HHSC PCS will hold the pre-proposal conference by webinar on the date and time specified in Section 3.1 (Schedule of Events).

People with disabilities who wish to attend the meeting and require auxiliary aids or services should contact the individual identified in Section 3.3.1 (Sole Point of Contact) at least seventy-two (72) hours before the pre-proposal conference to have reasonable accommodations made by HHSC.

Webinar Information:

Attendees must register for the webinar no later than August 17, 2023, at 4:00 p.m. CST at the following link:

https://attendee.gotowebinar.com/register/5236552099483387477

** After registration, participants will receive another email with the actual link to the webinar. **

3.4.3 Questions During Pre-proposal Conference

a. Attendees may submit Solicitation questions in writing through email during the pre-proposal conference. All questions must be submitted in the prescribed format and include the information specified in Section 3.3.4 (Solicitation Questions).

b. Verbal responses to Solicitation questions may be made during the pre-proposal conference, but only written responses posted by HHSC PCS as an Addendum to the Solicitation on the ESBD will be considered an official response that is a binding amendment to the Solicitation.

c. Conversations with HHSC and DFPS program area staff before or after the pre-proposal conference are prohibited pursuant to Section 3.3.3 (Prohibited Communication).

3.5 SOLICITATION RESPONSE COMPOSITION

3.5.1 General Information

Respondent should focus on the instructions and requirements of the Solicitation.

Respondent should prepare a Solicitation Response that clearly and concisely represents its qualifications and capabilities. Expensive bindings, colored displays, promotional materials, etc. are not necessary or desired. Failure of Respondent to submit all required information and documents within its Solicitation Response in https://attendee.gotowebinar.com/register/5236552099483387477

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 21 of 41 the required format(s) may result in disqualification of the Solicitation Response without further consideration.

3.5.2 Page Limit and Supporting Documentation

The Statement of Qualifications, described in Article V, must not exceed 20 pages, not including supporting documentation provided as appendices or attachments to the Statement of Qualifications. A Statement of Qualifications may be submitted with supporting documentation if: (1) complete and concise responses cannot be provided within the Statement of Qualifications without referencing the supporting documentation; (2) the Statement of Qualifications clearly specifies the location (e.g., file, page, section, and/or paragraph) where the supporting information can be found; and (3) such supporting documentation is submitted as part of the Solicitation Response.

The Statement of Qualifications must be properly paginated, formatted as an 8 ½" x 11" page with 1-inch margins, and use a 12 point or larger font, except that a smaller font may be used for page headers and footers, footnotes, and illustrations such as tables, charts, diagrams, figures, graphs and other visual aids. If a font smaller than 12 point is used, the text when printed on 8 ½" x 11" paper must not require magnification to be legible. Times New Roman font is preferred.

The Statement of Qualifications must not include other documents embedded as electronic files within the text and must not include hypertext links. The Statement of Qualifications, including supporting documentation, submitted as an electronic file should be pre-formatted for printing on 8 ½" x 11" paper.

3.5.3 Discrepancies

In the event of any discrepancies or variations between copies, HHSC or DFPS is under no obligation to resolve the inconsistencies and may make its scoring and selection decisions, accordingly, including the decision to potentially disqualify a Solicitation Response. If Respondent is required to designate an “Original” Solicitation Response but fails to do so, HHSC or DFPS, in its sole discretion, will determine the version to be used as the original or may disqualify the Solicitation Response. If the Respondent submits a redacted Solicitation Response as the “Original,” HHSC or DFPS will disqualify the Solicitation Response and it will not be evaluated. HHSC or DFPS will not accept submissions after the “Deadline for Submission of Solicitation Responses” specified in the Section 3.1 (Schedule of Events (Section 3.1) to remedy discrepancies or variations in Solicitation Response submissions.

3.5.4 Exceptions

A Respondent is highly encouraged, in lieu of including exceptions in its Solicitation Response, to address all issues that might be advanced by way of exception by

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 22 of 41 submitting such issues as questions in accordance with Section 3.3.4 (Solicitation Questions).

A Solicitation Response that is not responsive to the Solicitation requirements may result in disqualification. If a Respondent includes any exception(s) in its Solicitation Response, Respondent must specifically and clearly identify each exception on the Exceptions, Exhibit D and provide all information requested on the form. Any exception that is not submitted on the form and in the format prescribed by the Exceptions, Exhibit D may be rejected without consideration.

No exception, nor any other term, condition, or provision in a Solicitation Response that differs, varies from, or contradicts this Solicitation will be considered to be part of the Contract unless expressly agreed by HHSC or DFPS and made a part of the Contract in writing.

3.5.5 Assumptions

Respondent must identify on the Assumptions Form, Exhibit E any business, economic, legal, programmatic, or practical assumptions that underlie the Respondent’s Solicitation Response. HHSC and DFPS reserves the right to accept or reject any or all assumptions. All assumptions not expressly identified and incorporated into any Contract resulting from this RFQ are deemed rejected by HHSC or DFPS.

3.5.6 Binding Offer

A Solicitation Response constitutes a binding offer to contract based upon the terms, conditions, and specifications set forth in this Solicitation. By submitting a Solicitation Response, Respondent represents and warrants that any individual submitting the Solicitation Response and any related documents on behalf of the Respondent is authorized to do so and to bind the Respondent under any contract that may result from this Solicitation.

A Solicitation Response must be responsive to the Solicitation as worded and without any expectation that any or all terms, conditions, or provisions of the Solicitation will be negotiated. A Solicitation Response may be disqualified as non-responsive to the Solicitation if it includes any disclaimer asserting a conditional offer (e.g., Respondent’s ability to contract is contingent on an exception or assumption provided in accordance with Section 3.5.4 (Exceptions) or Section

3.5.5 (Assumptions)) or other similar statement indicating that the Solicitation does not constitute a binding offer.

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 23 of 41

3.6 SOLICITATION RESPONSE SUBMISSION AND DELIVERY

3.6.1 Deadline

Respondent is solely responsible for ensuring timely delivery of its Solicitation Response by the date and time specified in Section 3.1 (Schedule of Events).

HHSC PCS will time stamp each Solicitation Response. Solicitation Responses received after the deadline specified in Section 3.1 (Schedule of Events) will be rejected and not considered for contract award.

3.6.2 Delivery

3.6.2.1 General Instructions

It is the Respondent’s responsibility to appropriately mark and deliver the Solicitation Response to HHSC PCS by the date and time specified in Section 3.1 (Schedule of Events). HHSC or DFPS will not be responsible for submission errors that may lead to disqualification due to nonreceipt or late delivery of a Solicitation Response. In no event will HHSC or DFPS be responsible or liable for any delay or error in delivery.

3.6.2.2 Solicitation Response – Component Parts

Respondent will submit its Solicitation Response in component parts as described below:

a. One file/folder named “Original” that contains the Respondent’s entire Solicitation Response (except the HUB Subcontracting Plan) in searchable portable document format (PDF), unless otherwise specified for a particular attachment or exhibit.

b. In accordance with Section 7.1 (HSP Submission Instructions), one file/folder named “HUB Subcontracting Plan” in searchable PDF, that contains the Respondent’s HUB Subcontracting Plan, and all supporting documentation.

c. If applicable, one file/folder named “Public Information Act Copy” that contains the Respondent’s entire Solicitation Response, including all exhibits and attachments, in searchable PDF prepared in accordance with Section

8.1.5 (Public Information Act – Respondent Requirements Regarding Disclosure).

3.6.2.3 Submission Options

Respondent must submit the Solicitation Response using one of the following submission options. A Solicitation Response submitted by any other method will not be considered.

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 24 of 41

a. Submission Option No. 1: HHS Online Bid Room. Respondent will submit the Solicitation Response packet through the Online Bid Room utilizing the procedures below:

1. Use of the HHS Online Bid Room requires registration for the Enterprise Portal using the Enterprise Portal Link located at https://hhsPortal.hhs.state.tx.us/iam/Portal/Home/PortalHome/.

Respondent should allow up to five business days to receive a username and password. If username and password isn’t received within five days, Respondent should email pcsbids@hhsc.state.tx.us.

Note: A Respondent who already has access to the Enterprise Portal for other applications, must complete a new registration to receive access to the HHS Online Bid Room. The new registration must be completed with a different email than the original account as the Enterprise Portal does not allow the same email address to be used for two different accounts.

2. After the Enterprise Portal login credentials have been received through email, Respondent can request the necessary HHS Online Bid Room username and password. This second username and password is required to electronically submit a Solicitation Response through the HHS Online Bid Room.

3. Additional information including a tutorial, guidebook, and other resources can be found on the HHS Online Bid Room webpage located at https://www.hhs.texas.gov/business/contracting-hhs/hhs-online-bid-room.

4. Respondent should allow enough time for the registration process to ensure timely delivery of its Solicitation Response by the date and time specified in Section 3.1 (Schedule of Events).

5. The use of the HHS Online Bid Room and any resulting technical difficulties which may prevent a successful, responsive electronic submission of a Solicitation Response will not be sufficient basis for a protest of a contract award.

b. Submission Option No. 2: USB Drive. Respondent will submit the Solicitation Response using the procedures specified in this section.

Respondent must place the Solicitation Response on two USB drives. The content on each USB drive must be identical. One USB drive must be labeled “Original” The second USB drive must be labeled “Copy.”

https://hhsportal.hhs.state.tx.us/iam/portal/Home/portalHome/ https://hhsportal.hhs.state.tx.us/iam/Portal/Home/PortalHome/ mailto:pcsbids@hhsc.state.tx.us https://hhs.texas.gov/doing-business-hhs/contracting-hhs/hhs-online-bid-room https://www.hhs.texas.gov/business/contracting-hhs/hhs-online-bid-room https://www.hhs.texas.gov/business/contracting-hhs/hhs-online-bid-room

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 25 of 41

Respondent must deliver the Solicitation Response by one of the methods specified below.

Overnight/Express/Priority Mail Hand Delivery

Health and Human Services Commission

ATTN: Response Coordinator Tower Building Room 108

1100 W. 49th St., MC 2020 Austin, Texas 78756

Health and Human Services Commission

ATTN: Response Coordinator Procurement & Contracting Services

Building 1100 W. 49th St., MC 2020

Austin, Texas 78756

A Solicitation Response delivered by mail or hand delivery must be placed in a sealed package. It is Respondent’s sole responsibility to ensure that packaging is sufficient to prevent damage to contents. HHSC or DFPS will not be held responsible for any Solicitation Response that is mishandled prior to receipt by HHSC PCS.

The sealed package and each USB drive must be clearly labeled on the outside as follows:

SOLICITATION NO: HHS0012599

SOLICITATION NAME Forensic Accounting Services

SOLICITATION RESPONSE

DEADLINE

September 13, 2023, at 10:30 a.m.

Central Time

PURCHASER NAME: Carole Woodard

RESPONDENT NAME: [Respondent to include its name.]

Respondent is solely responsible for ensuring its Solicitation Response is submitted in accordance with all Solicitation requirements including, but not limited to, proper labeling of packages, sufficient postage, or delivery fees, and ensuring timely receipt by HHSC. A dated shipping label, invoice of receipt from the delivery carrier, or any other documentation in lieu of the HHSC PCS time stamp WILL NOT be accepted.

3.6.3 Submission Checklist

Solicitation Consideration and Award Consideration Documents, defined in Section

1.2 (Definitions), must be submitted by the deadline for Solicitation Response submissions specified in Section 3.1 (Schedule of Events). Solicitation

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 26 of 41

Consideration Documents will be reviewed as received, and Respondent will not have an opportunity to remedy missed requirements. At its sole discretion, HHSC may request some, or all of, the Respondents to remedy missing elements of Award Consideration Documents. Those marked “SC” are Solicitation Consideration Documents and those marked “AC” are Award Consideration Documents.

Below are the documents required to be submitted with the Solicitation Response.

Where searchable PDF files are required, submission of non-searchable (image only) PDF files may result in disqualification of the Solicitation Response.

a. Statement of Qualifications and Respondent Information

1. Statement of Qualifications (Article V) SC ____

2. Minimum Qualification Documentation

(Sections 4.2.2 and 5.2) SC ____

3. Exceptions (Section 3.5.4, Exhibit D) AC ____

4. Assumptions (Section 3.5.5, Exhibit E) AC ____

5. Company Information (Section 6.1) AC ____

6. Authorization to Conduct Business in Texas

(Section 6.2) AC ____

7. References (Section 6.3) AC ____

8. HHS Solicitation Affirmations and Certifications

(Section 6.4, Exhibit A) SC ____

9. Other Reports (Section 6.5) AC ____

10. Corporate Guarantee (Section 6.6) AC ____

11. Major Subcontractor Information

(Section 6.7) SC ____

b. HSP Requirement (Article VII, Exhibit G) SC ____

3.6.4 Modifications and Withdrawals of Solicitation Response

Prior to the Solicitation Response submission deadline specified in Section 3.1 (Schedule of Events), Respondent may either (1) withdraw its Solicitation Response by submitting a written request to the individual identified in Section

3.3.1 (Sole Point of Contact), or (2) modify its Solicitation Response by submitting a written amendment to the individual identified in Section 3.3.1 (Sole Point of Contact). When modifying its Solicitation Response, Respondent must

PCS 550 HHS RFQ RFQ No. HHS0012599 Page 27 of 41 provide written notice signed by an authorized representative that specifically identifies the portion(s) of the Solicitation Response that will be replaced or removed by the amendment.

3.6.5 Retention of Solicitation Responses

A Solicitation Response becomes the property of HHSC or DFPS after submission and will not be returned to the Respondent.

ARTICLE IV. SOLICITATION RESPONSE EVALUATION AND AWARD PROCESS

4.1 CONFORMANCE WITH STATE LAW

Solicitation Responses will be evaluated in accordance with Texas Government Code Title 10, Subtitle F, Chapter 2254, Section 2254.003. HHSC and DFPS will make an award to the Respondent that provides the best value to the State of Texas for professional services.

4.2 BEST VALUE DETERMINATION

4.2.1 Selection Methodology

Solicitation Responses that meet the minimum qualifications will be submitted to the evaluation team for review and scoring. Each member of the evaluation team will receive a copy of each responsive Solicitation Response. The evaluators will review the Solicitation Responses considering the criteria listed in Section 4.2.5 (Written Response Evaluation Criteria).

Evaluators will individually score the Solicitation Responses.