OHCS APCD SON 5863

State of Georgia Georgia Technology Authority Statement of Need (SON) Event Name: All-Payer Claims Database Data (APCD) SON (Event) Number: 98000- 0000005863 Refer ALL Inquiries to: GTA Issuing Officer, Rachael Allen & Towanda Cuthbert at:

Procurement@gta.ga.gov

Bidder’s Information Instruction: All spaces below are to be filled in and this sheet must be incorporated within as the first page of the response to this Statement of Need (SON).

Company/Firm Name:

Address:

Contact Name & Title:

Email:

Telephone:

mailto:Procurement@gta.ga.gov

Schedule of Events

The schedule of events set out herein represents the Georgia Technology Authority’s best estimate of the schedule that will be followed. However, delays to the procurement process may occur which may necessitate adjustments to the proposed schedule. If a component of this schedule is adjusted, the rest of the schedule may be shifted as appropriate. Any changes to the dates up to the closing date of the Statement of Need (herein after called “SON”) will be publicly posted prior to the closing date of this SON. After the close of this SON, GTA reserves the right to adjust the remainder of the proposed dates on an as needed basis with or without notice.

SON Schedule of Events

Event DATE

Release of SON DATE: April 27, 2022

Final Day to submit Questions to GTA DATE: May 4, 2022, 2:00 PM EST

Answers Distributed to Qualified Contractors DATE: May 6, 2022, 2:00 PM EST

SON Response Due to GTA DATE: May 11, 2022, 2:00 PM EST

Anticipated Award Date DATE: June 15, 2022, Approximately

1.0 Purpose of Procurement

This Statement of Need (SON) is an Informal bid solicitation availed only to those awarded suppliers through the Request for Qualified Contractors (SON) 98000- 0000005863.

Contractors were obtained in accordance with procurement processes and policies as published in the GTA Procurement Manual.

GTA publicly posted the solicitation (RFQC 98000-0000003969) to the Georgia Procurement Registry (GPR). GTA received questions, posted answers, received responses per the deadline indicated, and evaluated the responses per the criteria. A set of Qualified Contractors, that were determined to be within identified scoring range, entered successful contract negotiations, and were awarded GTA Master Agreements. This approach addresses the criteria outlined below.

The purpose of this Statement of Need is to identify and award a qualified contractor to provide IV&V services for the All-Payer Claims Database Project.

1.1 Project Background

Georgia, like many other states, is facing a challenging healthcare landscape. Given this, the State is dedicated to establishing a data-driven, evidenced-based approach to determine, measure, and monitor the factors impacting healthcare costs, utilization, quality, needs, access, and outcomes.

To support the above approach, The Georgia General Assembly passed, and Governor Kemp signed into law in 2020, Senate Bill 482 (SB 482) establishing Georgia’s All Payer Claims Database (APCD). SB 482 authorizes the design and implementation of an APCD to serve as a repository of healthcare claims data by compiling and storing medical, dental, and pharmacy claims information submitted by public and private payers, including but not limited to commercial health plans, third party administrators, Medicaid, Medicare, the State Board of Workers Compensation, entities contracting with the Department of Corrections, and the State Health Benefit Plan (SHBP). Once fully implemented, the APCD will represent the majority of insured lives in Georgia. The APCD will provide a comprehensive, uniform, robust dataset which will be used to report on the state’s healthcare system. It will better inform and evaluate reform efforts, as well as guide policy and program decisions. It will also help to improve the overall transparency and performance of Georgia’s healthcare system and will be an essential tool supporting healthcare delivery systems in providing Georgians with access to affordable, quality healthcare.

The Office of Health Strategy and Coordination (OHSC) within the Governor’s Office of Planning and Budget, is responsible for establishing the APCD. OHSC is responsible for providing oversight and assuring strong project management for the APCD, leading a public private advisory committee as required by statute, https://gta.georgia.gov/document/document/gta-procurement-manual-2-june-2021/download http://ssl.doas.state.ga.us/PRSapp/PR_index.jsp seeking initial as well as ongoing funding for the APCD and establishing rules and regulations pursuant to Code section 31-53-51.

Georgia Technology Research Institute’s Center for Health Analytics (GTRI-CHAI) is statutorily responsible (O.C.G.A. § 31-53-45) for administering the APCD. More specifically, GTRI will oversee the data collection, aggregation, database management and operations of the APCD and will therefore be working very closely with the supplier selected through this Statement of Need to perform these tasks. GTRI-CHAI is also responsible for managing the use of APCD data.

This includes analytic tasks such as data analysis, including report generation, as well as overseeing all data release processes to state agencies and other external parties. GTRI will work in partnership with OHSC and will obtain input from the APCD Advisory Committee.

Goals of Procurement

The Georgia Office of Health Strategy and Coordination (OHSC), as mandated by Georgia Senate Bill 482 (SB 482), is seeking to establish an agency contract with a single supplier to provide an All-Payer Claims Database Data Collection Module.

The supplier will be receiving data files from many payer sources, de-identifying patient data in those files, transforming and harmonizing the data, and storing in a clearly documented format for purposes of extraction and analysis. The supplier will provide support to submitting entities to ensure that submissions are of high quality and received in a timely manner. The objective of the Data Collection Module is to supply APCD stakeholders with a database which can be utilized to meet the reporting and analytics use cases of the State. These uses include, but are not limited to:

• Establishing baseline health care cost information

• Monitoring and analyzing health care costs

• Assessing population health

• Measuring utilization of health care services

• Identifying health disparities

• Informing consumers of cost and quality of health care

• Supporting the planning and evaluation of health care operations and care

• Improving coordination of care

• Enabling oversight of health insurance premium medical loss ratios

• Conducting waste, fraud, and abuse studies

A separate APCD Data Analytics Module will be developed. This separate module is not included in the scope of this procurement.

The anticipated 5-year TCO of the APCD Data Collection Module is $8 Million. $3 Million in funding is anticipated from the Centers for Medicare and Medicaid Services (CMS) under a matching grant. $3 Million in matching funding is to be appropriated in the State budget. $2 Million in grant funding is anticipated from the Federal Department of Labor.

1.2 Project Duration

Data Collection Module APCD Milestones Date State Entity - Data collection Supplier contract executed July 2022 State Entity/GTRI-CHAI/Supplier - Data submission rules finalized July 2022 Supplier - Legal agreement for data submission approved for execution and education on data submission format and requirements

September 2022

Supplier - Data submission portal is ready to begin accepting commercial pilot group test data and Medicaid/SHBP data November 2022

GTRI-CHAI/Supplier - Audit of Supplier data submission quality assurance processes completed satisfactorily January 2023

Supplier - First LDS release provided to GTRI-CHAI January 2023

1.3 Scope of Services

The IV&V Contractor shall provide IV&V services in accordance with GTA’s ITPAS 3 Contract RFQC 98000-000000-5069.

Typically, Independent Verification and Validation means an evaluation of a work product.

Validation means making sure the right product is built, and verification means making sure the right product is built correctly. It is important to note that the requirements of IV&V on the State's projects differ from the industry standard practices for V&V (Verification & Validation) as defined in the IEEE Standard for Software Verification and Validation (IEEE Standard 1012-1098). GTA’s requirements for IV&V on State technology projects are limited in their scope from the industry standard IEEE definition for IV&V in two key regards:

• IV&V of the project deliverables is not considered to be an ongoing process within the larger Assurance Services. Rather, it is a single review of deliverables to verify and validate their compliance to requirements.

• The ITPAS 3 supplier must maintain organizational independence and autonomy from the project’s organization, and therefore has a reduced role from that normally associated with full IV&V services. Further, in some respects, the ITPAS 3 supplier’s IV&V activities should not view their role as that of providing a “continuous presence” to the project, such as might be the case with Quality Control and Assurance services. The State sees IV&V as a process assurance https://people.eecs.ku.edu/%7Ehossein/Teaching/Stds/1012.pdf https://people.eecs.ku.edu/%7Ehossein/Teaching/Stds/1012.pdf activity, not one of quality assurance.

1.4 Deliverables

The IV&V Contractor will review project deliverables and provide written feedback and recommendations to the agency. This is not an exhaustive list. The IV&V Contractor is expected to determine what is required for each deliverable to determine success. Refer to Attachment F (Scope of Services)for a complete list of deliverables.

The deliverables below must be included in pricing proposal.

Deliverable Reviews Description of reviews as applicable to the project.

Integrated Master Schedule-initial and updates (on-going reviews will be reported on the monthly project dashboard)

• Evaluate and make recommendations on the estimating and scheduling process of the project to ensure that the project budget and resources are adequate for the work-breakdown structure and schedule

• Review schedules to verify that adequate time and resources are assigned for planning, development, review, testing and rework

• Review the project schedules on a weekly basis (or otherwise agreed upon time frame) to ensure the status is updated appropriately

• For Agile Methodology, review product backlog, burndown/burnup, velocity charts, sprint goals, user stories

Project Management Plan Includes the components of a PMP including but not limited to:

• Communication plan

• Resource plan including roles and responsibilities

• Risk management plan

• Issue management plan

• Cost management plan

• Quality Management plan

• Scope Management plan

• Vendor Management plan

• Schedule Management plan

Requirements, Design Documents and, Business Rules (Business, Functional, and Technical)

• Review requirements documentation process

• Evaluate and make recommendations on the project’s process and procedures for managing requirements

• Verify requirements are well-defined, understood and documented

• Verify requirements can be tracked through all phases to production

• Verify Data collection business rules Solution Architect Document

• The Solution Architecture Document shall accurately reflect the “as-built” architecture, including, at a minimum, diagrams and descriptions of hardware and software, hosting environment(s), architecture diagrams, network, connectivity method to/from GTRI-CHAI, environmental monitoring systems, system management and monitoring, maintenance, and interfaces with other components of the APCD System.

Implementation/Cutover Plan

• Review and verify that a formal implementation/cutover plan has been developed and approved by all stakeholders impacted by the implementation of the system.

• Evaluate the implementation of the process activities including backout plans

• Validate go-live criteria is defined

• Validate operational readiness plans including support, help desk, release plans are clearly defined and accessible

Monthly Dashboard Reports

• The IV&V Contractor will prepare and deliver a monthly dashboard report using the template provided by GTA. Contractor will review all project deliverables and artifacts required to assess all KPIs.

The IV&V contractor may utilize various available artifacts/documents as input to provide recommendations on any of the dashboard KPIs.

Those various available artifacts may include but limited to Risk and Issue Management (RAID logs), Planning documentation including Charter, Budget and Financial Tracking plans and Governance Models, Data governance framework, Scope Change management, Capacity management, including consideration of existing support and release plans for underlying databases, software, and hardware, Communications Strategy Plans and Organizational Change Management Plan

• Price based on dashboards. (9 dashboards)

2.0 Requirements

2.1 Mandatory Requirements

2.2 Mandatory Scored Requirements

Qualified Contractors are required to submit responses all technical questions detailed in this section.

Formatting and detail are left at the offeror’s discretion.

Responses will be evaluated and scored based on the following scoring criteria:

4 Outstanding - Response addresses the topic, exceeds requirements and provides exceptional potential solutions and/or value-added services 3 Good - Response addresses the topic and exceeds requirements 2 Acceptable - Response addresses the topic and meets requirements 1 Needs Improvement - Minimally or partially meet requirements

DO NOT INCLUDE ANY COST INFORMATION IN YOUR RESPONSE TO THESE QUESTIONS

2.2.1 Mandatory #1 Approach (Scored)

The approach will consist of a narrative describing how the IV&V Contractor intends to utilize past experiences and knowledge in the disciplines described in this SON as well as knowledge and application of project management best practices with IV&V delivery.

A. Include description of the methodology/framework that will be applied. The methodology should include a description of, tools, techniques, processes the Contractor will use. Must demonstrate how risk and schedules will be assessed.

B. Demonstrate how this approach would be applied to the project in this SON.

C. Demonstrate how this approach incorporates industry best practices and quality standards such as PMBOK, ISO, IEEE, CMMI.

Maximum page limit is 3 pages. Contractor may use tables, charts, graphs or, text as appropriate

2.2.2 Mandatory #2 Staff Experience and Skills (Scored)

The IV&V contractor is required to demonstrate that their consultant(s) or employee(s) will have the specific skills and experience necessary to meet the objectives of this project. Refer to Attachment C -Skills Table for required and preferred skills. Detailed resumes provided in the mandatory requirement section 2.1.e will be used to verify skills and experience.

A. For the proposed project manager (Lead), provide a detailed response that includes project name, the specific role the proposed PM performed on the project, phases of the project that the PM was involved, duration of the project to include start and stop dates, budget, complexity, and team size.

• At least 2 projects are required

• PM Lead requires at least 5+ years IV&V experience

• Lead must be PMP certified or 10+ yeas IV&V Project Management experience will be considered Maximum 1 page limit

B. For each Subject Matter Expert (SME): the response should include a concise description of the projects, start and stop dates, roles(s) the SME performed on the project

• At least 1 project is required Maximum 1 page limit each SME

D . Contractors are to submit staff experience for each proposed resource that highlights skillset and experience on similar projects of a similar size and scope Please complete Attachment D (See Attachment D Skills Table)

2.2.3 Resource Commitment

The Contractor must demonstrate that the team proposed can provide the needs of the project based on resource allocations and organizational structures. This information will be used as input to evaluate the proposed team’s ability to deliver the IV&V requirements of the project.

The contractor should provide the following information:

A. Indicate the resource name and role of the Lead PM and SMEs proposed on the project.

B. Indicate the number of staff-hours that each proposed staff role will spend on the project

C. Indicate the % FTE Assigned for each resource D. Indicate the total number of proposed hours including Project Lead other staff

• A, B, C, D must be provided using the template in Attachment E – Resource Commitment Table.

E. Include an organizational chart that shows lines of responsibility and authority. Indicate if the position is filled by a subcontractor. GTA EPMO reserves the right to choose only proposed staff who are best suited for the project.

• Use Attachment E – Organization Chart sheet to add Organization Chart

Maximum page limit is 1 page

2.3 Price Proposal Requirement

Offeror must submit cost bid for all services and products related to this response. Offeror response is required to be completed on Attachment H: Qualified Contractor’s Price Response Worksheet per the instructions provided. Pricing not to exceed $120,000.

The mixing of pricing information with any of the requirement’s responses will result in proposal disqualification.

2.4 Questions Concerning Proposal

The Offeror must direct all written questions concerning the preparation or clarification of intent of this proposal to the GTA Issuing Officer contact as specified in the “Instructions to Offeror” of this Statement of Need and no later than the date and time specified in the Schedule of Events on the cover page.

All questions concerning this SON must be submitted in writing (email to be used) to the Issuing Officer.

No questions other than written will be accepted. No response other than written will be binding upon the State.

All questions about this SON must be submitted via the Q&A Template similar to the format below. GTA reserves the right not to respond to questions that are not submitted using this template.

Company Name

1. Citation of relevant section of the SON Question

2. Citation of relevant section of the SON Question

3.0 Evaluation

Offeror must affirm “yes” for all Mandatory Requirements for this SON, or the offer will be rejected.

Those Offerors that successfully affirm compliance with all Mandatory Requirements will then have their Mandatory - Scored Requirements evaluated using the Offeror’s submission to the SON. All Proposals shall be evaluated in accordance with the criteria set forth in this SON by an Evaluation Committee appointed by the GTA.

Weighing Metrics Area Weighting Technical Approach 300

Staff Experience and Skills 500

Price Proposal 150

Resource Commitment 50 Total 1000

3.1 Methodology

3.1.1 Administrative/Preliminary Review: First, the proposals will be reviewed by the Issuing Officer to determine the proposal’s compliance with the following requirements:

1. Proposal was submitted by deadline in accordance with Section 2

2. Proposal is complete and contains all required documents

3. Technical Proposal does not include any pricing from the Cost Proposal

3.1.2 The Mandatory-Scored Requirements will be evaluated by the GTA Evaluation Committee using the Offeror submitted responses.

3.1.3 Review of Mandatory and Mandatory Scored Questions - The Evaluation Team will review each proposal in detail to determine its compliance with mandatory requirements. Responses to both “Mandatory” and “Mandatory Scored” Questions will be evaluated on a pass/fail basis. If a proposal fails to meet a mandatory and/or mandatory scored requirement, GTA will determine if the deviation is material. A material deviation will be cause for rejection of the proposal. An immaterial deviation will be processed as if no deviation had occurred. All proposals which meet the requirements of the “Mandatory” and “Mandatory Scored” Questions are considered “Responsive Proposals” at this point in time and will be scored in accordance with the point allocation in Section 3.0 – Weighing Matrix

3.1.4 The scoring value will be between 0 and 4 for each Mandatory Scored, which will then be totaled and converted per the weighted percentages in the table provided in Section 3.0. The review criteria by the GTA evaluation committee for Offeror bid submission will be based upon the conditions stated within this SON.

The GTA evaluation team will utilize Consensus Scoring to determine which Qualified Contractor’s response best meets the needs and requirements associated with this SON. Scores will be determined based on the degree to which the Qualified Contractor’s experience and skill coincide with the demands of this effort, as described in the proposal, and demonstrated a high-quality approach throughout the Statement of Need that is likely to produce the best solution with the ability to timely complete the deliverables required with the proposed team.

3.2 Cost Evaluation

Each Qualified Contractors is required to submit a cost proposal as part of its response. Only those Qualified Contractors that have received a total score within the acceptable range as defined in Section

3.1 of this SON on all Mandatory Scored Requirements will then be evaluated on price.

The responsive and responsible Qualified Contractor(s) with the lowest price will receive the maximum number of points allocated for the price component per Agency. All other responsible Qualified Contractors price proposals deemed to be responsive and responsible in the Acceptable range will receive a prorated score calculated using the following formula:

L/R x M x W= Z

Where: L = Price of the Proposal with the lowest cost per Agency

R = Price of the Proposal per Agency being ranked M = Maximum number of points W = Weight of pricing component Z = Assigned points

3.3 Unbalanced Bid

a. An unbalanced bid is defined as either mathematically unbalanced or materially unbalanced. A mathematically unbalanced bid is one containing lump sum or unit bid items which do not reflect reasonable actual costs plus a reasonable proportionate share of the bidder's anticipated profit, overhead costs, and other indirect costs, which he/she anticipates for the performance of the items in question. A bid is materially unbalanced if there is a reasonable doubt that award to the bidder that submitted a mathematically unbalanced bid will result in the lowest ultimate cost to the Government.

b. All bids are subject to review for prices that are either in excess of or below the reasonable cost as compared to the Department’s estimate and historical prices kept for related services by the Department. The submittal of an unbalanced bid may result in the rejection of the Contractor’s bid. If the low bid proposal is determined to be materially unbalanced to the potential detriment of the Department, it will be considered irregular and will be rejected as nonresponsive.

3.4 Rejection of Proposals

GTA reserves the right to reject any Proposal if:

A. A Proposal fails to address and satisfy all Mandatory and Mandatory-Project Management

Requirements stated in this SON.

B. A Proposal does not conform to the required proposal response methodology and format discussed in this SON.

C. The Qualified Contractor does not adhere to the Restrictions on Communications with

Staff provision (Section 6.1).

GTA reserves the right to waive minor irregularities in the Proposal. Minor irregularities are defined as those that have no adverse effect on GTA’s interest.

4.0 Submission

GTA recognizes the amount of effort necessary to prepare a response to this SON and allows the offeror to determine the exact level of detail necessary to display their prior experience and capabilities to perform up to GTA expectations.

GTA anticipates that each Offeror’s proposal will be prepared simply and economically, providing straightforward, concise delineation of their capabilities to satisfy the requirements of this SON. Emphasis on each proposal must be on completeness and clarity of content. Further, GTA will only accept proposals and other information by email noted on the cover page of this solicitation. All other material received will be discarded without review.

4.1 Preparation of Submission of Requirements

The submission for this SON must be in email format. Offeror’s proposal must be submitted via email with the appropriate Exhibits, appropriately labeled as follows:

Folder Name Requirement

Offeror Name_SON #GTA98000-XXXX_Tech

Technical Package

Offeror Name_SON #GTA98000-XXXX_Cost

Cost Package

4.1.1 Administrative Package Proposal

The Offeror’s is expected to complete all required Exhibits within this SON as follows:

Exhibit A Statement of Responsibility Exhibit B Statement of Work Certification Exhibit C Sample Deliverables Completion Form Exhibit D IRS Publication 1075 Acknowledgement Exhibit E Sensitive Information Destruction Confirmation Exhibit F Business Associate Agreement Exhibit G Contractor Affidavit Exhibit H Tax Compliance Exhibit I Boycott of Israel Exhibit J Certificate of Non-Collusion Exhibit K Data Security Exhibit L Proposal Certification Form Exhibit M Scrutinized Companies Exhibit N Statewide Sexual Harassment Prevention Policy Exhibit O Non-Disclosure Agreement

Modifications by the Offeror are not allowed and will result in immediate disqualification from further review.

4.1.2 Technical Package Proposal

The Offeror’s is expected to submit this “Package,” in the described format that properly addresses the requirements set forth in Section 2.2.

Attachment A Questions & Answers Worksheet Attachment B Mandatory Response Worksheet Attachment C IV&V Expectations Attachment D Skills Template Attachment E Resource Commitment Table Template Attachment F Scope of Services Attachment G Dashboard Report Template

4.1.3 Cost Package Proposal

The Offeror is expected to submit their completed Cost Response Worksheet which includes all pricing for all proposed services.

Attachment H Cost Response Template

4.2 Submission of Proposals

Proposals must be submitted by email to: Procurement@gta.ga.gov

4.30 Bid Substitutions, Alternates, Exceptions, and Extensions No substitutions or alternates will be accepted for this bid. Any Contractors submitting substitutions or alternates will be considered non-responsive and will not be considered for award.

5.0 Award

5.1 Apparent Successful Contractor(s)

The resulting total Cost Proposal score will be added to the total Technical Proposal score to identify the apparent successful contractor(s). The assignment to an identified agency will be determined at GTA’s sole discretion.

5.2 Purchase Order Issuance

After all proposals have been evaluated by GTA, GTA will issue a Purchase Order (PO) to the Qualified Contractor(s) to which the engagement is then awarded.

No engagement activities may begin until GTA issuance of a Purchase Order is complete.

5.3 Authorization of Payment

GTA will authorize Contractor payment(s) only after GTA acknowledges acceptance of all deliverables, in the approved deliverable formats (Section 6. Item: L), and then by signing and returning an Exhibit C: Sample Deliverables Completion Form (that does not have “Sample” as a watermark) for each and all deliverable (s).

Contractor then submits their invoice to GTA for payment. Contractor submission of invoice will clearly indicate the amount due, and the services and deliverables being invoiced as indicated in the Cost proposal.

Note: The total amount of submitted invoices shall not exceed the GTA accepted Offeror(s) total proposal amount.

6.0 Additional Terms and Conditions

Offerors should familiarize themselves with the procedures set forth in the GTA Procurement Policies and Procedures Manual. The informal bid process (“SON”) is solicited informally to the selected qualified contractors and is exempt from formal protest pursuant to Section 8.6.1 - Protest Procedures, Subsection 1.2. In the event of a protest, the resolution of such protest will be resolved by the GTA Procurement Director whose findings will be final.

6.1 Restrictions on Communications with Staff

From the issue date of this SON until the final award is announced (or the SON is officially cancelled), Offerors are not allowed to communicate for any reason with any State staff except through the Issuing Officer named herein, or during the Bidders/Offerors’ conference (if any), or as defined in this SON or as provided by existing work agreement(s). Prohibited communication includes all contact or interaction, including but not limited to telephonic communications, emails, texts, letters, or personal meetings, such as lunch, entertainment, or otherwise. GTA reserves the right to reject the response of any supplier violating this provision.

6.2 Qualified Contractor’s Responsibilities

6.2.1 Qualified Contractor:

• Provides its employee(s) and/or consultant(s) with computing equipment and/or any necessary software licenses, and tools needed to complete the work.

• Responsible for all costs associated with Qualified Contractor’s supplied equipment. If the Qualified Contractor brings computer equipment and/or peripherals to the State offices, the Qualified Contractor will be responsible for the equipment and all associated items and supplies.

• All expenses, including for travel and long-distance phone calls, must be included in the price of the Proposal that is submitted. No additional charges will apply. All charges must follow State policy.

6.2.2 Qualified Contractor’s Project Manager:

• Maintain project communication through the GTA Project Manager and

Entity site contact as necessary.

• Create a project plan - obtain approval of the GTA Project Manager for document prior to beginning work on the project.

• Keep the project plan updated throughout the project.

• Work with GTA Project Manager to resolve deviations from the agreed upon work plan.

• Coordinate and manage the activities of project team members.

• Submit project deliverables to the GTA Project Manager for GTA review, approval, and signature as per agreed schedule within Project Plan.

• Secure and protect state-furnished property and/or materials provided about this SON.

• Attend project review and update meetings as requested by the GTA Project

Manager.

• Complete and submit project status reports.

• Complete and submit rate cards for all project team members allocated to this contract.

6.2.3 Qualified Contractor’s Staff:

• Maintain project communication through the Qualified Contractor’s Project Manager.

• Follow all established GTA personnel policies.

• Submit project deliverables to the Qualified Contractor’s Project Manager for

GTA’s review, approval, and signature.

• Secure and protect state-furnished property and/or materials provided about this SON.

• Attend project review and update meetings as requested by the Qualified

Contractor’s Project Manager and/or GTA Project Manager.

6.3 SON Key Assumptions

A. Some of the work may be performed at the Offeror location, the GTA designated facility or the Agency site.

B. GTA will not provide the Offeror with software / hardware required to complete the work of this SON except for conference room facilities and network connectivity.

C. Offeror personnel will follow all established GTA personnel and Enterprise Security policies, including the dress code.

D. Offeror will provide the project staff, identified in its Proposal and confirm that this staff will be available from the issuance of the purchase order to the completion of the work stated in this SON.

E. All personnel selected and assigned by Offeror shall have the required skills, ability, willingness and experience (collectively “requisite qualifications”) to perform the services of this Statement of Need. It is GTA’s expectation that the personnel assigned to perform the engagement will be the resources identified in the Offerors bid proposal. If, at any time, based upon GTA evaluation of the Offeror progress and performance, the GTA determines that any of the Offeror assigned personnel are unacceptable to GTA, the

GTA may request, and the Offeror shall, replace such personnel. If Offeror is unwilling or unable to replace such personnel with suitable replacements, the GTA may terminate the purchase order without further obligation as of the date of such termination.

F. All proposed deliverables will be reviewed by GTA. All deliverables to be approved by GTA for them to be considered complete and accepted. In all cases, the payment to the service provider shall be contingent upon GTA approval of all project deliverables. No review will be considered complete until the approved documentation is delivered to and accepted by GTA. GTA will utilize the “Deliverables Completion Form (Exhibit C:

G. SAMPLE Deliverables Completion Form) for this purpose. This document will be agreed upon by GTA and Offeror at Purchase Order issuance and updated throughout the project as required to reflect all contracted deliverables.

H. GTA will review engagement deliverables received from Offeror and will make final rejection or approval decision within 10 business days of receipt.

I. The GTA must approve, in writing, any changes to milestones, deliverables or other material changes to the SOW/PO prior to implementation of changes. The Project Management Plan must be updated by Offeror to reflect any accepted changes and re-distributed by Offeror to GTA.

J. GTA reserves the right to modify proposal requirements should Offeror Proposal identify a change that is in the best interest of GTA. Any changes to the proposed deliverables must be in writing.

K. The proposal should be submitted on the most favorable terms that the Contractor can provide.

L. All responses, documents, and material pertaining to this SON shall become and remain in perpetuity, the property of the GTA and are to be kept confidential to protect the interests of the public. The Offeror is hereby warned that no part of its Proposal or any other material submitted might be marked as confidential, proprietary, or as trade secrets and GTA shall exercise sole authority over the use and distribution of said materials.

M. All documentation for this proposal is to be provided as per the submittal instructions in Exhibit C: SAMPLE Deliverables Completion Form. All documents are to use the following software standards (or higher convertible versions):

N. GTA is not liable for any costs incurred by the Qualified Contractor in the preparation, delivery, or presentation of submissions to this SON.

O. Payment is to occur after engagement is fully completed, Qualified Contractor has submitted a completed Exhibit C: SAMPLE Deliverables Completion Form for all contracted deliverable items and GTA has accepted all contracted deliverable items. At that point GTA OIS will authorize release of funding for full and final payment.

P. GTA reserves the right to seek clarification of Qualified Contractor’s SOW responses.

Q. GTA reserves the right to expand and/or shrink the submitted engagement timeframe to comply with State, Federal or other recognized requirements.

DOCUMENT TYPE FORMAT

Word Processing Microsoft Word 2016 Spreadsheets Microsoft Excel 2016 Graphics Microsoft PowerPoint 2016 Project Management Microsoft Project 2016 Scanned Documents Adobe 5.0 or greater

All-Payer Claims Database Data (APCD)

SON # 98000-5863

EXHIBIT A

STATEMENT OF RESPONSIBILITY

THIS FORM MUST BE COMPLETED, SIGNED, NOTARIZED AND SUBMITTED WITH YOUR

RESPONSE/PROPOSAL.

Please complete this form, answering every question. A “Yes” answer to any of the subparts of QUESTION NO. 3 requires a written explanation attached to the completed form, submitted on your company letterhead and signed by an authorized representative of the company. A “Yes” answer to any of the subparts of Question No. 3 will not necessarily result in denial of award but will be considered in determining Respondent responsibility in the event GTA undertakes an investigation into Respondent’s responsibility status. For any explanation, indicate to whom it applies; identify the initiating agency and the dates of action.

Respondents are responsible for updating any information submitted in their Statement of Responsibility Certification Form if a change occurs prior to the award of the contract.

QUESTIONS:

1. Does Respondent certify that it has, or has the ability to obtain, adequate financial resources to perform the

Services and Deliverables identified in the Agreement? This includes, but is not limited to, the ability to obtain required bonds and insurance from sureties and insurance companies authorized to do business in Georgia.

____ YES ____ NO

2. Does Respondent certify that it is their intent to comply with all contractual requirements and fulfill all of its contractual obligations if awarded the contract, considering Respondent’s other business obligations?

_____ YES _____ NO

3. Within the past three (3) years, has Respondent’s company or any principal (e.g., any owner, partner, officer, or major stockholder with 10% or more shares) been the subject of any of the following:

a) judgment or conviction for any conduct constituting a felony under local, state or federal law, including, but not limited to, fraud, extortion, bribery, racketeering, labor, antitrust, price-fixing, or bid collusion?

_____ YES _____ NO

b) a criminal investigation or indictment for any conduct constituting a felony under local, state or federal law, including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing, or bid collusion (to the best of Respondent’s knowledge*)?

c) an unsatisfied judgment, injunction or lien obtained by a Georgia state government agency including, but not limited to, judgments based on taxes owed and fines and penalties assessed by any Georgia state government agency?

d) an investigation for a civil violation by any local, state or federal agency (to the best of Respondent’s knowledge*)?

e) a suspension, debarment or termination for cause from any local, state or federal government procurement process?

f) a suspension or termination for cause prior to the completion of the term of any local, state or federal government contract?

g) a denial of award for non-responsibility determination made by any local, state or federal government?

_____YES _____ NO

h) an agreement to a voluntary exclusion from bidding/contracting on any local, state or federal procurement?

i) an administrative proceeding or civil action seeking specific performance or restitution in connection with any local, state or federal procurement (to the best of Respondent’s knowledge*)?

j) any bankruptcy proceeding?

CERTIFICATION:

The undersigned: (i) recognizes that this questionnaire is submitted for the express purpose of assisting the Georgia Technology Authority (GTA) to make a determination regarding the eligibility for award of a contract, or to approve a subcontract; (ii) acknowledges that the GTA, the State of Georgia, its agencies and political subdivisions may, in their sole discretion, by means which they may choose, verify the truth and accuracy of all statements made herein; (iii) acknowledges that submissions of false or misleading information may constitute fraud, may result in ineligibility for contract award, may be used as grounds for termination for default of any contract awarded in relation to this certification, may be considered by the GTA, the State of

Georgia, its agencies and political subdivisions in making responsibility determinations in other procurements and may subject the Respondent or its representatives to criminal liability; (iv) as the authorized representative of the Respondent, states that the information submitted on this certification form and any attached pages is true, accurate and complete.

The undersigned hereby attests that he/she is duly authorized by the Respondent to make the statements and representations contained herein and/or attached hereto, on behalf of such Respondent.

Legal Name of Respondent’s Company

Signature of Respondent’s Authorized Representative

Printed Name of Respondent’s Authorized Representative/Title

Company Address _______________________________________________________________________

City, State, Zip ____________________________________________________________________________

State of ___________________________________________________________________________________

County of _________________________________________________________________________________

Sworn to and subscribed before me on this______ day of 20___ __ Notary Public:

My Commission Expires: _______________________________

Note: *As used herein, the term “to the best of Respondent’s knowledge” shall refer to the current actual knowledge of Respondent and shall be construed, by imputation or otherwise, to refer to the knowledge of any agent, manager, representative or employee of Respondent but does not impose upon Respondent any duty of inquiry or investigation of the matter to which such actual knowledge, or the absence thereof, pertains. The fact that Respondent (or their principals) are under investigation will not necessarily result in a determination of non- responsibility; rather, GTA will determine if the information and circumstances regarding such investigation are of such a nature or magnitude as to cause the GTA to deem the respondent non-responsible in order to protect the interests of the GTA and/or the State.

Exhibit B

STATEMENT OF WORK CERTIFICATION FORM

(Offeror must sign and return with bid in the Administrative Package)

1. I certify that, if awarded a contract, I, the Offeror will deliver goods and services as provided in its SON response, which will meet or exceed the specifications set forth in this SON and the terms of the fully executed contract 98000-xxx, SON for Title.

2. I certify on behalf of the Offeror that this Bid is made without prior understanding, agreement, or connection with any corporation, firm, or person submitting a bid for the same materials, supplies, equipment, or services and is in all respects fair and without collusion or fraud. I understand that collusive bidding is a violation of state and federal law and can result in fines, prison sentences, and civil damage awards. I agree to abide by all conditions of the Bid and certify that I am authorized to sign this Bid for the Offeror.

3. I certify that the Offeror has not violated and will not violate the provisions of the Official Code of Georgia Annotated, Section 45-10-20 ET. seq.

4. OFFEROR MUST CHECK ONE OF THE CERTIFICATIONS BELOW:

4a. I certify on behalf of the Offeror that no lobbyists have been employed or retained by Offeror in regard to this procurement or its underlying contract in a manner that would invoke the Executive Order dated October 1, 2003 (“Providing for the Registration and Disclosure of Lobbyists Employed or Retained by Vendors to State Agencies”).

OR

4b. I certify that the Offeror and all lobbyists that have been employed or retained by Offeror in regard to this procurement or its underlying contract have complied with all of the requirements of the Executive Order dated October 1, 2003 (“Providing For The Registration And Disclosure Of Lobbyists Employed Or Retained By Vendors To State Agencies”) and GTA’s Vendor Lobbyist Policy. I further certify that Offeror and its lobbyists will continue to comply with such Executive Order until this procurement process concludes. I understand and acknowledge that such requirements include, without limitation, the requirement to register with the Georgia State Ethics Commission and to file the disclosures required by Article 4 of Chapter 5 of Title 21 of the Official Code of Georgia Annotated.

[Offeror shall submit a list of all lobbyists employed or retained for this procurement along with their Bid]

Authorized Signature: __________________________________Date: _____________

Print/Type Name: _________________________________________

Print/Type Company Name: _______________________________

Draft Copy

EXHIBIT C

“SAMPLE” Deliverables Completion Form

(Return by awardee only for deliverables acceptance at engagement conclusion)

Instructions to Awardee: Submit to the Contact below:

Office of Information Security

47 Trinity Avenue 4th Floor Atlanta, GA 30334 EMAIL@gta.ga.gov

(Awardee must include “SON # GTA 98000-5863” in message subject line for correspondence)

Awardee Name: _______________________ Awardee Contact: ____________________ Awardee Phone: _____________________

“SAMPLE” Deliverables Completion Form

“REMOVE DRAFT WATERMARK WHEN SUBMITTING FOR ACCEPTANCE OF DELIVERABLES”

“EDIT DOCUMENT FOR TO INCLUDE ALL CONTRACTED DELIVERABLES WHEN SUBMITTING FOR ACCEPTANCE”

PROJECT DELIVERABLES EVALUATION

(*) Scope of Service-Deliverables from SON document(s).

IF “NOT MET”

COMMENTS REQUIRED

PLEASE ACKNOWLEDGE SERVICE RECEIVED IN THE

AREAS SHOWN BELOW

Date Vendor

Submitted

MET NOT

MET

COMMENTS

(*) Offeror has Provided (*) Offeror has conducted initial requirements definition interviews.

Offeror has updated and presented Bid Solicitation Project Management (PM) Plan throughout engagement.

Offeror has satisfactorily delivered Ongoing Project Status Reporting

Offeror has satisfactorily delivered the Security Assessment report with GAP Analysis.

Offeror has satisfactorily delivered the Risk Assessment Report

Offeror has satisfactorily delivered the POAM report.

Offeror has satisfactorily delivered the Agency Executive reporting.

Offeror has satisfactorily delivered the Technical scanning results report.

PROJECT DELIVERABLES EVALUATION

Note: A recording of “MET” must be noted on all deliverables to gain satisfactory project completion.

Note: Any item receiving a “NOT MET” response requires supporting “Comments”.

EXHIBIT D

IRS Publication 1075 Acknowledgment

Instructions: Please sign and return with Administrative response package.

Full Publication at: https://www.irs.gov/pub/irs-pdf/p1075.pdf

CONTRACT LANGUAGE FOR GENERAL SERVICES

I. PERFORMANCE

In performance of this contract, the Contractor agrees to comply with and assume responsibility for compliance by his or her employees with the following requirements:

(1) All work will be performed under the supervision of the contractor or the contractor's responsible employees.

(2) The contractor and the contractor’s employees with access to or who use FTI must meet the background check requirements defined in IRS Publication 1075.

(3) Any Federal tax returns or return information (hereafter referred to as returns or return information) made available shall be used only for the purpose of carrying out the provisions of this contract. Information contained in such material shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of this contract. Inspection by or disclosure to anyone other than an officer or employee of the contractor is prohibited.

(4) All returns and return information will be accounted for upon receipt and properly stored before, during, and after processing. In addition, all related output and products will be given the same level of protection as required for the source material.

(5) No work involving returns and return information furnished under this contract will be subcontracted without prior written approval of the IRS.

(6) The contractor will maintain a list of employees authorized access. Such list will be provided to the agency and, upon request, to the IRS reviewing office.

(7) The agency will have the right to void the contract if the contractor fails to provide the safeguards described above.

(8) (Include any additional safeguards that may be appropriate.)

II. CRIMINAL/CIVIL SANCTIONS

(1) Each officer or employee of any person to whom returns or return information is or may be disclosed shall be notified in writing by such person that returns or return information disclosed to such officer or employee https://www.irs.gov/pub/irs-pdf/p1075.pdf can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such returns or return information for a purpose or to an extent unauthorized herein constitutes a felony punishable upon conviction by a fine of as much as $5,000 or imprisonment for as long as five years, or both, together with the costs of prosecution. Such person shall also notify each such officer and employee that any such unauthorized future disclosure of returns or return information may also result in an award of civil damages against the officer or employee in an amount not less than $1,000 with respect to each instance of unauthorized disclosure. These penalties are prescribed by IRCs 7213 and 7431 and set forth at 26 CFR 301.6103(n)-1.

(2) Each officer or employee of any person to whom returns or return information is or may be disclosed shall be notified in writing by such person that any return or return information made available in any format shall be used only for the purpose of carrying out the provisions of this contract. Information contained in such material shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of this contract. Inspection by or disclosure to anyone without an official need-to- know constitutes a criminal misdemeanor punishable upon conviction by a fine of as much as $1,000.00 or imprisonment for as long as 1 year, or both, together with the costs of prosecution.

Such person shall also notify each such officer and employee that any such unauthorized inspection or disclosure of returns or return information may also result in an award of civil damages against the officer or employee [United States for Federal employees] in an amount equal to the sum of the greater of $1,000.00 for each act of unauthorized inspection or disclosure with respect to which such defendant is found liable or the sum of the actual damages sustained by the plaintiff as a result of such unauthorized inspection or disclosure plus in the case of a willful inspection or disclosure which is the result of gross…