RFB Final Document.pdf

REQUEST FOR BID

Background Check Services

AD241024

Issued Date: November 30, 2023

Responses Due: January 9, 2024 1:00 PM CT

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Table of Contents

1 INTRODUCTION AND PURPOSE

1.1 DEFINITIONS

1.2 PURPOSE AND SCOPE OF THE REQUEST FOR BID

1.2.1 OVERVIEW OF PROCURING AGENCY, BACKGROUND AND OBJECTIVES

1.3 CONTRACT TERM

1.3.1 TRANSITION EXTENSION PERIOD

1.4 MODIFICATIONS OF CONTRACT

1.5 ORDER OF PRECEDENCE

1.6 COOPERATIVE PURCHASING SERVICES

1.7 RESPONDING TO BID REQUIREMENTS

2 MANDATORY BIDDER QUALIFICATIONS

2.1 PROFESSIONAL QUALIFICATIONS AND EXPERIENCE

2.2 SERVICES PERFORMED WITHIN THE U.S

3 MANDATORY REQUIREMENTS OF BID

3.1 BACKGROUND SCREENING SOFTWARE SYSTEM

3.2 SCOPE OF BACKGROUND CHECK REPORT

3.3 SYSTEM USER MANUAL

3.4 CONTRACTOR AID TO USERS

3.5 TECHNICAL REQUIREMENTS

3.6 PAYMENT AND INVOICING

3.6.1 PAYMENT TERMS

3.6.2 INVOICING

4 SPECIAL TERMS AND CONDITIONS OF BID

4.1 DURATION OF BACKGROUND CHECK

4.2 SCOPE OF BACKGROUND CHECK REPORT (CONT.)

4.3 SYSTEM COMMUNICATION TEMPLATES

4.4 REPORTING

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4.5 LIQUIDATED DAMAGES

4.6 CERTIFICATE OF INSURANCE

4.7 DATA AND USERNAME/PASSWORD SECURITY CONDITIONS

4.7.1 DISCLOSURE OF DPM DATA

4.7.2 USE OF, STORAGE OF, OR ACCESS TO: DPM DATA OR SYSTEMS

4.7.3 SAFEGUARDING DPM DATA AND SYSTEM USERNAMES/PASSWORDS

4.7.4 UNAUTHORIZED USE OR ACCESS

4.7.5 CONTRACT AUDIT REQUIREMENTS

4.8 CANCELLATION AND TERMINATION

4.9 NONDISCRIMINATION AND AFFIRMATIVE ACTION

4.10 CLOUD BROKERAGE REVIEW

5 COST STRUCTURE AND COST SHEET INSTRUCTIONS

5.1 COST SHEET INSTRUCTIONS

5.2 REQUESTING COST ADJUSTMENTS

6 BID PROCEDURE AND INSTRUCTIONS

6.1 CALENDAR OF EVENTS

6.2 CORRESPONDENCE, CLARIFICATIONS AND QUESTIONS

6.3 REASONABLE ACCOMMODATIONS

6.4 WISCONSIN eSUPPLIER PORTAL REGISTRATION

6.5 SUBMITTING A BID

6.5.1 WISCONSIN eSUPPLIER PORTAL Submittal (Strongly Preferred)

6.5.2 HARD COPY BID SUBMITTAL

6.5.3 FORMAT OF BID RESPONSE

6.6 INCURRING COSTS

7 BID ACCEPTANCE AND AWARD

7.1 BID OPENING, REVIEW AND ACCEPTANCE

7.2 METHOD OF AWARD

7.3 BIDDER REFERENCES

7.4 USE OF SUBCONTRACTORS

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7.5 SUPPLIER DIVERSITY

7.5.1 MINORITY-OWNED BUSINESS ENTERPRISE

7.5.2 VETERAN-OWNED BUSINESS

7.5.3 DISABLED VETERAN-OWNED BUSINESS

7.5.4 WOMAN-OWNED BUSINESS ENTERPRISE

7.6 DEBARMENT

7.7 AWARD NOTIFICATION

7.8 PROTEST AND APPEALS PROCESS

7.8.1 PROTEST CONCERNING A SOLICITATION

7.8.2 PROTEST CONCERNING THE INTENT TO AWARD

7.8.3 APPEALS

8 REQUIRED FORMS AND SUPPORTING DOCUMENTS

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1 INTRODUCTION AND PURPOSE

Review this section to gain a general understanding of what the State of Wisconsin (State) intends to purchase. Reviewing this section shall help determine the Bidder’s ability to meet the Department of Administration (DOA), Division of Personnel Management (DPM) needs.

1.1 DEFINITIONS

For the purposes of this Request for Bid and resulting Contract(s), the following definitions of terms shall apply, unless otherwise indicated.

Agency:

an office, department, agency, institution of higher education, association, society or other body in state government created or authorized to be created by the constitution or any law, which is entitled to expend moneys appropriated by law, including the legislature and the courts, but not including an authority.

ACH: Automated Clearing House

Background Check Services:

the Verification of credentials, criminal history, and other information related to employment and appointments.

Bid:

a price quotation specifically given to a prospective purchaser by a prospective seller;

a Bid is an offer to sell. For the purposes of this RFB, a Bid includes all requisite forms, response completed as instructed.

Bid Factor:

An element of the bid that does not appear in the RFB document, but the Bidder must respond to. Bid Factors can be seen and responded to in the Wisconsin eSupplier Portal if submitting a bid electronically. If submitting a paper bid, Bid Factors can be downloaded from the Supporting Documents and included with the paper bid submission.

Bidder:

a person or firm that responds to this Request for Bid.

CAPS: Consolidated Agency Purchasing Services

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Commodity:

a tangible article of trade or item of merchandise; goods, products, materials, supplies, or finished products. A Commodity is not a Service for purposes of this RFB, but a Commodity may include incidental or related Services.

Contract:

the written agreement between the successful Bidder and the State covering the commodities and services to be performed pursuant to this RFB.

Contract Administrator:

the Agency employee responsible for oversight of the implementation, administration, and completion of the Contract.

Contract Manager:

the employee of an Agency responsible for 1) resolving contractual matters that cannot be resolved with the Contract Administrator; and

2) facilitating and/or completing all official actions under the Contract including but not limited to amendments, renewals and termination.

Contractor:

the person or entity that has been awarded the Contract as a result of this Bid, and who is required to provide equipment, materials, supplies, contractual services, or leasing real property to, the Procuring Agency.

Contractual Services or Services:

An intangible product, including actions, recommendations, plans, research, customizations, modifications, documentation, and maintenance and support, including all related material necessary to fulfill that which the successful Bidder is obligated to accomplish or to provide under this RFB.

CT: Central Standard Time

Disabled Veteran Owned Business (DVB):

a business that has been certified by the Department of Administration under §16.283, Wis. Stats.

DOA: Department of Administration

DPM:

Division of Personnel Management; the Agency responsible for oversight of the implementation, administration and completion of the Contract.

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FAQ: Frequently Asked Questions

FCRA: Fair Credit Reporting Act

FINRA: Financial Industry Regulatory Authority

HR: Human Resources

Mandatory:

a requirement labeled as such must be present in the Bid submission, exactly as stated, or the submission will not be considered by the State of Wisconsin. The terms "must" and "shall" are considered mandatory.

Minority Business Enterprise (MBE):

a business that has been certified by the Department of Administration under §16.287, Wis. Stats.

Municipality:

any Wisconsin county, city, village, town, school district, board of school directors, sewer district, drainage district, vocational, technical and adult education district, or any other public body having the authority to award public Contracts (s. 16.70(8), Wis.

Stats.).

Notice of (Intent to) Award:

a writing issued by the Procurement Specialist notifying all Bidders of the Procuring Agency’s intent to award of a Commodity Contract to the successful Bidder(s), or in the case of Services, the Procuring Agency’s intent to award a Contract to the successful Bidder(s).

OFAC: Office of Foreign Assets Control

OIG: Office of the Inspector General

Person of Interest (POI):

The subject of each individual Background Check performed.

Personal Identifiable Information (PII):

Any representation of information that permits the identity of an individual to whom the information applies to be reasonable inferred by either direct or indirect means.

Procurement Specialist:

the individual responsible for overseeing and administering the procurement process for a Bid.

Procuring Agency:

The State Agency conducting the purchasing transactions

Requirement:

a descriptive statement of the physical, functional, and performance characteristics of the Commodity or Service required by the Procuring Agency.

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RFB: Request for Bid

SDNL: Specially Designated Nationals List

SEC:

United States Securities and Exchange Commission

SSN: Social Security Number

State: State of Wisconsin

State Holidays:

January 1, Martin Luther King Jr Holiday, Memorial Day, Independence Day, Labor Day, Thanksgiving, December 24, 25, and 31 (as observed).

Supplier: Bidder who has been awarded a contract

System: Background Screening Software System

User(s):

includes any State Agency, University of Wisconsin campus, or other state or local public body authorized to use Contracts, as established in §§ 16.70 (1b), (1e), (2), (4) and (8), 16.73 and 66.0301 of the Wisconsin Statutes and § PRO-502 of the State Procurement Manual.

USPS: United States Postal Service

1.2 PURPOSE AND SCOPE OF THE REQUEST FOR BID

The State of Wisconsin (State), Department of Administration (DOA), through its Consolidated Agency Purchasing Services (CAPS), on behalf of the Department of Administration (DOA), Division of Personnel Management (DPM), requests Bids for the purchase of international and out-of-state background check services for prospective employment and intends to use the results of this process to award a Contract.

The DPM does not guarantee it will purchase any specific quantity or dollar amount. Bids requiring a minimum number of commodities or services to be ordered will be rejected. There will be no guarantee to purchase any specific quantity or pay any minimum contract price during the term of the Contract. The State reserves the right to cancel this RFB for any reason prior to the issuance of the Notice of Intent to Award.

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1.2.1 OVERVIEW OF PROCURING AGENCY, BACKGROUND AND OBJECTIVES

The Division of Personnel Management is conducting RFB #AD241024 for background check services in order to consolidate background screening services used for out-of-state and international criminal background checks into one (1) service for the Division's customers.

This Contract will establish minimum standards and procedures for background check services.

The Contractor shall provide a wide range of background check services such as (but not limited

to) Social Security Number Traces, Sex Offender Registry Checks, Global Watchlist Records Checks, National Criminal Records Checks, Unlimited County Criminal Checks, Education Verification Checks, and Professional Licensure Checks.

Background checks are conducted on many positions in State service. Some are mandated by State law (e.g. s. 230.17(3), s. 110.09(1)(a), s. 50.065(2)(am)1., Wis. Stats.) while others are federal law (see PREA law). Under the State’s current operations and the operations of the desired contract, if a candidate for a State position, or “Person of Interest” (POI) indicates they have lived in another state or country in the past seven (7) years, an out-of-state background check is initiated:

1. DPM’s Human Resources (HR) enters the POI’s email address into the vendor’s background check screening system. Various tailored background check packages are available depending on the specific background check services that are required for the POI’s position.

2. The background check screening system notifies the POI via a customizable template email when a background check has been initiated on their behalf. The POI is then required to provide authorization and necessary Personably Identifiable Information

(PII).

3. The vendor notifies HR when the POI has complied, or if the POI fails to comply within the expected timeframe.

4. The vendor proceeds with a Social Security Number (SSN) trace on the POI.

5. The vendor notifies HR after the SSN trace has been completed and provides a list of the services required to complete the background check for the POI with an estimate of the itemized costs.

6. HR is given the option to decline to proceed with the background check for the POI, based on the background check services required and their itemized costs.

7. The vendor notifies HR via email of any expected or unexpected delays as soon as they are known.

8. The vendor notifies HR via email once the background check is completed.

9. HR logs into the vendor’s background check screening system to retrieve results.

Results are provided as a single, printable report (.pdf) including the authorization forms.

10. Results of each background check are archived in the background check screening system in accordance with vendor’s retention policy requirements.

11. The Current statuses of all incomplete and/or completed background checks are viewable in the background check screening system by HR.

https://docs.legis.wisconsin.gov/statutes/statutes/230/ii/17/3 https://docs.legis.wisconsin.gov/statutes/statutes/110/09/1/a https://docs.legis.wisconsin.gov/statutes/statutes/50/i/065/2/am/1 https://www.ecfr.gov/current/title-6/section-115.17

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1.3 CONTRACT TERM

This Contract shall run for an initial three (3) year period. DPM and the Contractor, upon written mutual agreement, may renew the Contract for up to an additional two (2) one (1) year renewal periods. The Contract shall be effective on the date it is executed by DPM. If no formal Contract is executed, the effective date of the Contract is the date of the purchase order.

The RFB documents, the awarded Bidder’s response as accepted by the DPM and any purchase order (PO) related to this RFB shall become the Contract between the parties unless a separate Contract is executed.

As required by Wisconsin Statutes, continuance of a Contract beyond the limits of funds available must be contingent upon appropriation of the necessary funds, and the termination of the Contract by lack of appropriations must be without penalty.

1.3.1 TRANSITION EXTENSION PERIOD

DPM may request an extension of this Contract on a month-to-month basis for no more than one (1) year after the original Contract term. Extension terms are not automatic and shall only be executed by mutual agreement of both parties (DPM and the awarded Contractor) when circumstances beyond DPM's control delay the award or start-up of a new Contract. The terms and conditions of the current Contract will apply to the transitional extension period, but cost may be negotiated as necessary.

If the incumbent Contractor is not awarded the next Contract, they are expected to work with DPM and the new Contractor to ensure a smooth transition. Failure to work cooperatively with DPM may jeopardize the incumbent’s ability to participate in future solicitations.

1.4 MODIFICATIONS OF CONTRACT

The Contract must not be used for purchasing commodities or services outside of the general scope and intent of the original RFB. Any modifications made to the Contract shall fall within the scope of the Bid, be rendered in writing, and signed by both parties or they shall be void.

The Contract shall be effective on the date it is executed by DPM.

1.5 ORDER OF PRECEDENCE

In the event of Contract award, the contents of this RFB (including all attachments), RFB addenda and revisions, the Bid response from the successful Bidder as accepted by DOA, and any additional terms agreed to in writing by the parties must be incorporated into the Contract.

Failure of the successful Bidder to accept these elements into the Contract will result in the cancellation of the Contract award.

In the event of conflict with the incorporated elements of the Contract, the following order of precedence will prevail:

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• Final Signed Contract with clarifications included

• Official purchase order (PO)

• Bid Response as accepted by the State of Wisconsin

• Request for Bid

If the Official Purchase Order serves as the final Contract, in the event of a conflict with the incorporated elements of the Contract, the following order of precedence will prevail:

• Official purchase order

• Bid Response as accepted by the State of Wisconsin

• Request for Bid

1.6 COOPERATIVE PURCHASING SERVICES

Commodities and services may be made available to Municipalities upon agreement of the Contractor. Where requested by the State, and agreed to by the Contractor, Municipalities shall be able to obtain the commodities and services procured under the Contract at the same rates agreed to by DPM and the Contractor. The Contractor shall be responsible for confirming the status of potential Municipalities with DPM and providing appropriate documentation and support and reporting Contract usage by Municipalities.

1.7 RESPONDING TO BID REQUIREMENTS

Mandatory Bidder Requirements and qualifications in this RFB document must be minimally met without exception; failure to meet such shall disqualify your Bid. Before the award of any Contract, DOA DPM must be satisfied the Bidder has sufficient qualified resources available for performing the work described in this Bid. It is the Bidder's responsibility to acquaint DOA DPM with these Requirements and qualifications by submitting appropriate or supporting documentation.

If no single Bidder is able to meet an individual Mandatory Requirement or qualification, the State reserves the right to eliminate the individual mandatory Requirement or qualification; in such case, the State shall continue the review of Bids and to select the Bid that most closely meets the Requirements and qualification specified in this RFB.

Bidder shall use Attachment C - Response to all Bid Qualifications and Requirements to respond to all qualifications and Requirements in Sections 2 and 3.

2 MANDATORY BIDDER QUALIFICATIONS

All Bidder qualifications in this section are Mandatory and shall be met at no additional cost above the pricing provided in the Bid. Bidder shall use Attachment C - Response to Bid Qualifications and Requirements to respond to this section. Failure to meet any qualification may disqualify the Bid.

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2.1 PROFESSIONAL QUALIFICATIONS AND EXPERIENCE

Bidder must have experience conducting national (outside the State of Wisconsin) background checks and international background checks (per the Requirements of this RFB) for a minimum of three (3) years.

2.2 SERVICES PERFORMED WITHIN THE U.S.

Bidder must have an office located in the United States. Pursuant to s. 16.705(1r), Wis. Stats., services must be performed within the United States. The inability to perform all services in the United States will be grounds for disqualification. Countries party to the World Trade Agreement may not be subject to this requirement.

3 MANDATORY REQUIREMENTS OF BID

The following Requirements shall be met at no additional cost above the costs provided in the Bid. All Requirements are defined as minimum Mandatory Requirements unless otherwise stated.

Bidder shall use Attachment C - Response to Bid Qualifications and Requirements to respond to this section. Failure to meet any Mandatory Requirement shall result in the rejection of the Bid.

However, in the event no Bidder is able to meet an individual Mandatory Requirement, the State reserves the right to continue the review of Bids and to select the Bid which most closely meets the Requirements specified in the RFB.

3.1 BACKGROUND SCREENING SOFTWARE SYSTEM

Background check services pertaining to this RFB shall be performed with the use of a background screening software system (System).

3.1.1

Contractor shall have the ability to perform international background check services on each POI, if applicable and requested.

3.1.2

Contractor shall have the ability to perform national background check services on each POI that is tied to the Social Security Number provided.

3.1.3

Contractor shall have the ability to perform background check services on physical, non-digital records that require manual examination, in addition to completely digital records.

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3.1.4

System shall permit each POI to self-report, submitting all authorization and self-identifying information. (State staff shall not receive PII from the POI unless POI requests accommodation.)

3.1.5

Background checks shall be initiated within the System once the POI has provided their authorization and necessary PII and HR has been notified.

3.1.6

Prior to conducting the background check on each POI, the Contractor shall send Users an itemized bill for the estimated cost of the prospective background check, with the option to decline conducting the background check.

3.1.7

System shall send an automatic notification to the User that initiated the background check once the background check report is completed.

3.1.8

The System shall have an automated adverse action process, allowing the POI to dispute findings of their background check report.

3.1.9

In order to prevent duplicate background checks on the same POI being performed under this contract, the System shall send an automatic notification to the User initiating the background check to notify them if they order a background check report on a POI that has already been completed under this contract.

3.1.9.1

The notification shall identify which State Agency ordered the previous background check report on the POI.

3.2 SCOPE OF BACKGROUND CHECK REPORT

Each background check performed under the Contract shall produce a background check report on the POI that includes, but is not limited to, the following requirements:

3.2.1

Identification and validation of address locations and associated aliases (e.g. maiden names).

3.2.2

Results of the POI’s status and disposition of charges (including pending), for civil and criminal cases.

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3.2.3

Results on the POI’s driving record, including any driving violations.

3.2.4

Verification of the POI’s Selective Service Registration status, if applicable.

3.2.5

Verification of professional licensure status, if applicable.

3.2.6

Identification of the POI’s presence on any registries, such as sex offender or child and elder abuse lists.

3.2.7

An FCRA compliant credit history report on the POI, if applicable to the position. (Note - one's credit score is not included in a pre-employment screening report)

3.2.8

Results on the POI’s Financial Industry checks (SEC filings, FINRA and Federal Reserve Sanctions), if applicable to the position.

3.3 SYSTEM USER MANUAL

Contractor shall provide a System User Manual that describes the process the State will follow with the Contractor. System User Manuals may include but are not limited to: instructions for initiating background checks and accessing results of background check reports.

3.3.1

Contractor shall supply one (1) electronic or physical copy of a System User Manual to each User.

3.3.2

Contractor shall supply additional copies of System User Manual for new State employees as needed.

3.4 CONTRACTOR AID TO USERS

Contractor shall have availability to aid Users regarding processes related to accessing or using the System, via phone call or virtual meeting as needed.

3.4.1

Upon signature of the Contract, Contractor shall assign a designated account representative to respond to all DPM inquiries via email, phone call or virtual meeting within one (1) business day.

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3.5 TECHNICAL REQUIREMENTS

3.5.1

System shall have a single, secure website using encryption and authentication standards to protect the confidentiality of web transactions.

3.5.1.1

System shall incorporate a mechanism for detecting any alterations in transit, so that eavesdropping on or tampering with web traffic is impossible.

3.5.2

System shall allow designated HR representatives to extract data reports.

3.5.3

System shall provide an interface that will allow a designated State administrator to add or remove User access.

3.5.3.1

System shall generate a unique password for each User ID and then require that the new User modify this password the first time they use this system.

3.5.3.2

The interface shall include an auditing function that allows the State to identify the individual responsible for creating a User ID in the system.

3.5.4

System shall limit access to Agency served.

3.5.5

System shall differentiate between Users in various State Agencies that utilize the Contract in order to bill costs of background check services to each State Agency accordingly.

3.5.6

Contractor shall supply Users with all necessary administrative forms within the System, including customizable communication templates (such as email templates for different scenarios).

3.5.7

System shall integrate with the State’s existing identity platforms (AzureAD and Okta).

3.5.8

System shall limit User access to the results of background check reports based on User security roles.

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3.5.8.1

System shall have three (3) levels of Users: end user (requesting), account admin (add Users), and approver (final approval within the system).

3.5.9

System shall allow for a minimum of 150 Users.

3.6 PAYMENT AND INVOICING

3.6.1 PAYMENT TERMS

Payment will not be made by the State until the services in this RFB are determined to meet all Requirements and deliverables and has been accepted by DPM.

Bidders who are not set up as a Supplier in the STAR PeopleSoft system shall be required to complete new Supplier paperwork before any payments can be issued. The awarded Bidder will be provided with information regarding new Supplier account set-up by the Procurement Manager or DPM accounts payable department. As part of the account set-up, Suppliers may elect to receive payments by check or Automated Clearing House (ACH). ACH payments are highly encouraged to cut down on handling and processing times.

Suppliers may offer State agencies a 2% discount for payments made ten (10) days after receipt of invoice. If the Supplier does not offer 2% discount terms, the Supplier will be paid thirty (30) calendar days from the date the invoice is received. DPM must meet a statutory mandate to pay invoices within thirty (30) calendar days of receipt of invoice or services, whichever is later. Exemptions to the mandate are federally funded purchases and aids payments to individuals or organizations.

3.6.2 INVOICING

3.6.2.1 INVOICE DETAILS

Contractor shall provide itemized invoices reflecting the Contracted costs after the reports have been completed. DPM HR verifies invoiced amounts are correct as per the Contract. Only properly submitted invoices will be processed for payment. Invoices must conform to the instructions below. Invoices must be itemized showing:

• Contractor name

• Remit to address

• Purchase order number

• Charges in the same format as the terms of the contract

Invoices shall be mailed and emailed. Addresses will be provided by DPM with signed Contract.

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3.6.2.2 OUT OF SCOPE

The Contract is limited to the services listed in the Contract document or accompanying attachments or amendments. Items ordered not covered by this RFB will be considered out of scope. The Contractor shall neither accept nor fulfill orders for items out of scope.

3.6.2.3 DISSATISFACTION

If DPM is dissatisfied with the quality of the Service, the DPM will provide written notice to the Contractor of the deficiency. If the Contractor fails to correct the deficiency by the date identified in the notice, DPM may withhold funds under this Contract, request reimbursement for the Service paid for but not delivered or withhold funds due from delivery under another Contract. Nothing set forth herein shall prevent or prohibit DPM from pursuing other legal or equitable remedies.

3.6.2.4 PROMPT PAYMENT

If the invoice does not include one or more of the items listed in Section 3.6.2, DPM may return the invoice and a form indicating the items to be corrected before the invoice shall be considered “properly completed” and processed for payment.

In addition, as described on the Prompt Payment Law website, DPM shall not add late fees, penalties, or other charges if the State has met the thirty (30) day payment requirement (which is based on the receipt of a properly completed invoice or receipt of the good/service).

Invoices including these unallowable fees shall be returned to DPM and shall be corrected before the invoice may be considered “properly completed” and processed for payment.

4 SPECIAL TERMS AND CONDITIONS OF BID

The State reserves the right to negotiate special terms and conditions when it is in the best interest of the State to do so. The Bidder shall not submit its own contract document as a substitute for the State’s Special Terms and Conditions.

Bidders shall accept all terms and conditions or submit point-by-point exceptions along with proposed alternative language for each point. The State may or may not consider any of the Bidder’s suggested revisions. Any changes or amendment to any of the terms and conditions shall occur only if the change is in the best interest of the State.

4.1 DURATION OF BACKGROUND CHECK

Each background check report shall be complete and available for User review within 3 (three) business days of background check being initiated, per the Requirements of Section 3.1.5.

4.2 SCOPE OF BACKGROUND CHECK REPORT (CONT.)

In addition to the Mandatory Requirements of Section 3.2, background check reports on each POI will include on the following information:

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4.2.1

Identification of the POI’s presence on Office of Foreign Assets Control (OFAC) Specially Designated Nationals List (SDNL).

4.2.2

Identification of the POI’s presence on the Office of Inspector General (OIG) search and other healthcare sanction lists.

4.3 SYSTEM COMMUNICATION TEMPLATES

The customizable communication templates required per Section 3.5.6 shall enable any State Agency utilizing the Contract to include their own logo in their template.

4.4 REPORTING

The Contractor will be required to provide monthly status reports on all background checks pertaining to this Contract, containing at minimum POI name, status of background check (in progress, complete), date requested, date completed, type of background check performed, itemized costs of background check, name of requestor, and agency of requestor. Status reports will be sent in Excel format.

4.5 LIQUIDATED DAMAGES

DPM may suffer damages due to Contractor’s lack of performance of terms and conditions of the resulting Contract. Since it is impractical and extremely difficult to fix the actual damages sustained in the event of any such non-performance, DPM shall impose the following liquidated damages for the performance failures.

In the event the Contractor fails to deliver services in accordance with the terms and conditions of the Contract, DPM shall have the option to either terminate the Contract or temporarily procure the service from another Contractor. If the service is procured from another Contractor, the Contractor must pay to DPM any difference between the bid cost and the cost paid to the other Contractor.

Both parties acknowledge it can be difficult to ascertain actual damages when a Contractor fails to carry out the responsibilities of the Contract. Because of this, the Contractor acknowledges for the Contract resulting from this Bid, it shall negotiate liquidated damages, as required by the State, for the Contract. The Contractor agrees DPM shall have the right to liquidate such damages, through deduction from the Contractor's invoices, in the amount equal to the damages incurred, or by direct billing to the Contractor.

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4.6 CERTIFICATE OF INSURANCE

At the time the Notice of Intent to Award is issued, the awarded Contractor will be required to provide copies of applicable insurance certificates within seven (7) business days. DPM will evaluate all insurance certificates for compliance. Should the appropriate Certificates of Insurance not be received within said time, DPM reserves the right to cancel the award or Contract and make another award.

The policies and/or certificates must be submitted to the DPM upon request for annual review and/or when insurance coverage(s) or providers are changed. In the event the Contractor’s required insurance policies in effect during this Contract are modified or cancelled, the Contractor must immediately provide notice to DPM.

The following minimum insurance coverage and limits must be required in the Contract resulting from the Bid award:

A. Workers Compensation (WC) NO EXEMPTIONS Maintain worker's compensation insurance as required by Wisconsin Statutes, for all employees engaged in the work.

B. Commercial General Liability

1. General Aggregate including Products and Completed Operations $1,000,000

2. Each Occurrence $1,000,000

C. Automobile Liability Combined Single Limit $1,000,000

D. Professional Liability (Errors and Omissions)

1. $1,000,000 per occurrence or claim

2. $2,000,000 aggregate

E. Information Security/Cyber Liability

1. Each Occurrence/Claim $3,000,000

2. Network Security $3,000,000

3. Breach Response/Notification Sublimit Minimum limit of 50% of policy aggregate

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If any of the above coverages are claims made, the supplier shall warrant that any applicable retroactive date precedes the effective date of the contract and provide continuing coverage after the expiration or termination of this Agreement for a period of three (3) years. Cyber liability coverage shall be sufficiently broad to respond to the duties and obligations as is undertaken by supplier in this agreement and shall include, but not be limited to, claims involving system failure, data recovery, business interruption, cyber extortion, social engineering, infringement of intellectual property, including but not limited to infringement of copyright, trademark, trade dress, invasion of privacy violations, information theft, damage to or destruction of electronic information, release of private information, and alteration of electronic information. The policy shall provide security breach response costs, regulatory fines and penalties as well as credit monitoring expenses. Such insurance shall be maintained in force at all times during the term of the agreement and for a period of two years thereafter for services completed during the term of the agreement.

All policies, except for workers' compensation and cyber liability, shall name as additional insureds the “State of Wisconsin, its officers, employees and agents”. A waiver of subrogation shall be provided for coverages above in favor of the State of Wisconsin its officers, employees and agents.

Additional Insured: The Contractor must add the “State of Wisconsin, its officers, employees, and agents” as an additional insured under the commercial general and automobile liability policies.

The Certificates of Insurance listed in this section must be provided as stated herein to:

Department of Administration Division of Personnel Management 101 E. Wilson Street PO Box 7855 Madison, WI 53707

4.7 DATA AND USERNAME/PASSWORD SECURITY CONDITIONS

4.7.1 DISCLOSURE OF DPM DATA

Contractor must not disclose DPM data (to include customer data) in any manner which would constitute a violation of state or federal law or the terms of the Contract to any person or entity, except as required to perform the duties set forth in the Contract.

4.7.2 USE OF, STORAGE OF, OR ACCESS TO: DPM DATA OR SYSTEMS

Contractor must only use, store, or access DPM data or systems:

1. In accordance with, and only to the extent permissible under the Contract; and

2. In full compliance with any and all applicable laws and regulations (only to the extent applicable to Contractor).

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4.7.3 SAFEGUARDING DPM DATA AND SYSTEM USERNAMES/PASSWORDS

Contractor agrees use, storage, and access to DPM data and usernames/passwords for DPM systems must be performed with a degree of skill, care, and judgment customarily accepted as sound, quality, and professional practices.

Contractor must implement and maintain safeguards necessary to ensure the confidentiality, availability, and integrity of DPM data and usernames/passwords for DPM systems.

Contractor must also implement and maintain any safeguards required to be implemented by applicable state and federal laws and regulations.

4.7.4 UNAUTHORIZED USE OR ACCESS

If Contractor becomes aware DPM data or usernames/passwords for DPM systems may have been accessed, disclosed, or acquired without proper authorization and contrary to the terms of the Contract, Contractor must use reasonable efforts to immediately alert DPM of any unauthorized use, access, or disclosure, and must immediately take such actions as may be necessary to eliminate the unauthorized use, access, or disclosure. The Contractor must give highest priority to immediately correcting any unauthorized use, access, or disclosure and alerting DPM.

4.7.5 CONTRACT AUDIT REQUIREMENTS

The Contractor agrees they must grant DPM access to and the right to examine, audit, excerpt, and transcribe any and all records including but not limited to - books, documents, papers, and any other records in all formats, written or digital, including documents or records held by third parties and records of the Contractor involving transactions relating to this Contract. Such material will be retained by the Contractor for seven (7) years following completion of the Contract. Contractor must cooperate with any DPM audits or investigations.

Contractor must honor open-records requests by the public and shall work with the DOA or DPM open records request department.

4.8 CANCELLATION AND TERMINATION

TERMINATION FOR CAUSE The State may terminate this Contract after providing the Contractor with thirty (30) calendar days written notice of the Contractor’s right to cure a failure of the Contractor to perform under the terms of this Contract. The Contractor may terminate this Contract after providing the State one hundred and twenty (120) calendar days' notice of the State’s right to cure a failure of the State to perform under the terms of this Contract.

Upon the termination of this Contract for any reason, or upon Contract expiration, each party shall be released from all obligations to the other party arising after the date of termination or expiration, except for those that by their terms survive such termination or expiration.

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TERMINATION FOR CONVENIENCE Either party may terminate this Contract at any time, without cause, by providing a written notice; the State of Wisconsin by providing at least thirty

(30) calendar days' notice to the Contractor, and the Contractor providing at least one hundred and twenty (120) calendar days' notice to the State in advance of the intended date of termination.

In the event of termination for convenience, the Contractor shall be entitled to receive compensation for any fees owed under the Contract. The Contractor shall also be compensated for partially completed Services. In this event, compensation for such partially completed Services shall be no more than the percentage of completion of the Services requested, at the sole discretion of the State, multiplied by the corresponding payment for completion of such Services as set forth in the Contract. Alternatively, at the sole discretion of the State, the Contractor may be compensated for the actual Service hours provided. The State shall be entitled to a refund for goods or services paid for but not received or implemented, such refund to be paid within thirty (30) days of written notice to the Contractor requesting the refund.

CONTRACT CANCELLATION

The State reserves the right to cancel this Contract in whole or in part without penalty if the Contractor:

• Fails to perform any material obligation required under the Contract

• Files a petition in bankruptcy, becomes insolvent, or otherwise takes action to dissolve as a legal entity

• Allows any final judgment not to be satisfied or a lien not to be disputed after a legally-imposed, thirty (30) day notice.

• Makes an assignment for the benefit of creditors

• Fails to follow the sales and use tax certification requirements of s. 77.66 of the

Wisconsin Statutes

• Incurs a delinquent Wisconsin tax liability

• Fails to submit a non-discrimination or affirmative action plan as required in the

Standard Terms and Conditions (DOA-3054)

• Fails to follow the non-discrimination or affirmative action requirements of subch. II, Chapter 111 of the Wisconsin Statutes (Wisconsin’s Fair Employment Law)

• Becomes a federally debarred Contractor

• Is excluded from federal procurement and non-procurement contracts

• Fails to maintain and keep in force all required insurance, permits and licenses as provided in this Contract

• Fails to maintain the confidentiality of the State’s information that is considered to be Confidential Information, proprietary, or containing Personally Identifiable Information

• Contractor performance threatens the health or safety of a State employee or State customer.

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4.9 NONDISCRIMINATION AND AFFIRMATIVE ACTION

Bidder must comply with Section 19 of the Standard Terms and Conditions (DOA-3054) and submit an affirmative action plan as required.

4.10 CLOUD BROKERAGE REVIEW

Per Wisconsin State Statute 16.971(2)(a) the State must conduct a Cloud Brokerage Review (CBR) to assess the compatibility, integrability, and security and privacy controls of proposed cloud solutions, this includes, but is not limited to, any vendor or software used by Proposers to provide services or store State data. The State uses the National Institute of Standards and Technology’s (NIST) definition of Cloud Computing found in Appendix 2 NIST Special Publication 800-145. CBRs must be completed prior to contract execution. The CBR overview, Vendor Cloud Solution Information From (Appendix 1 Vendor Cloud Solution Form DOA-10816), and policy can be found at https://det.wi.gov/Pages/Cloud_Brokerage.aspx. It is highly preferred vendor have and provide SOC 2 Type II reports.

5 COST STRUCTURE AND COST SHEET INSTRUCTIONS

5.1 COST SHEET INSTRUCTIONS

Bidder shall complete Attachment A - Cost Sheet and shall submit Cost per Item for each Item in Section 1. Total Cost will be auto calculated. In the event of errors in calculation, Cost per Item shall prevail.

Costs must be in U.S. dollars to two (2) decimal places unless otherwise indicated. Alternate cost formats shall not be accepted and may result in disqualification of the Bid. Only numerical values (i.e., 80) shall be accepted. Anything other than a numerical value (i.e., N/A) may disqualify your Bid.

Failure to provide costs for all required areas under Section 1 may result in the rejection of the Bid. Section 2 is for informational purposes only.

Bidders must not alter the Cost Sheet in any manner unless instructions on the Cost Sheet indicate otherwise.

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5.2 REQUESTING COST ADJUSTMENTS

Bid costs shall remain firm for the initial Contract period, which will begin on the date that the Contract is fully executed. DPM must review any adjustment of costs, whether an increase or decrease, before the beginning of a Contract renewal period.

Requests for cost increases must be made by the Contractor, in writing, to DPM, ninety (90) days prior to the renewal period. Cost increase requests must be justified with supporting documentation of industry-wide increases. Cost increase requests must be mutually agreed upon between DPM and the Contractor. If DPM deems the cost increases are not acceptable, DPM reserves the right to rebid the Contract in whole or in part. An acceptance of the cost increase must be in the form of an amendment to the Contract.

Any cost decreases must be provided to DPM within thirty (30) days of the effective date of the cost decrease.

6 BID PROCEDURE AND INSTRUCTIONS

6.1 CALENDAR OF EVENTS

Listed below are important dates and times by which actions related to this Request for Bid shall be completed. In the event that DPM finds it necessary to change any of these dates and times (except estimated dates and times), it shall do so by posting an amendment to this RFB on the Wisconsin eSupplier Portal.

November 30, 2023 RFB Issued

December 6, 2023 1:00 PM CT Questions Due

December 20, 2023 (estimated) Responses to Questions Posted

January 9, 2024 1:00 PM CT Bids Due from Bidders

January 10, 2023, 10:00 AM CT

Virtual Bid Opening via Teams dial 608-571-2209 and use Conference ID 667 155 346# See Section 7.1 Bid Opening, Review, and Acceptance

6.2 CORRESPONDENCE, CLARIFICATIONS AND QUESTIONS

If a Bidder discovers any significant ambiguity, error, conflict, discrepancy, omission, or other deficiency in this RFB, the Bidder must immediately notify the Procurement Specialist representative via the Wisconsin eSupplier Portal or via email at erin.schmitz@wisconsin.gov.

Bidder must include RFB #AD241024 on all email correspondence. Bidders are expected to raise any questions or clarifications concerning the RFB document by December 6, 2023, 1:00 PM CT.

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Any Bidder questions received will be documented and posted to the Supporting Documents as an amendment. It is the Bidder’s responsibility to check the Wisconsin eSupplier Portal for any questions and answers pertaining to this RFB. In the event it becomes necessary to provide additional clarifying data or information, or to revise any part of this RFB, amendments or addendums will be posted on the Wisconsin eSupplier Portal.

All contact or communication with any employee or officer of the State of Wisconsin concerning this RFB, except Erin Schmitz is strictly prohibited during the period from the date this RFB is released until the date the notice of intent to award is issued. Erin Schmitz may authorize in writing contact or communication with another state employee or officer as circumstances may dictate. Prospective Bidders who hold a current Contract with the DPM may continue to communicate with the DPM Contract Administrator regarding the performance of that current Contract only.

6.3 REASONABLE ACCOMMODATIONS

Upon request, DPM will provide reasonable accommodations, including the provision of informational material in an alternative format, for individuals with a disability. If accommodations are needed, please contact Erin Schmitz at erin.schmitz@wisconsin.gov, 608- 266-0462.

6.4 WISCONSIN eSUPPLIER PORTAL REGISTRATION

Only vendors currently registered on the State of Wisconsin’s eSupplier Portal (the State’s electronic purchasing information system) shall receive official notices throughout the procurement process for this RFB.

Vendors that register on the Wisconsin eSupplier Portal after the posting of this RFB will receive official notices of future procurement solicitation opportunities for the State of Wisconsin and University of Wisconsin System campuses.

To register on the Wisconsin eSupplier Portal access the following website for instructions https://esupplier.wi.gov/psp/esupplier/SUPPLIER/ERP/h/?tab=WI_GUEST&wimsg=Logo

Bidders may obtain additional State of Wisconsin purchasing information at https://doa.wi.gov/Pages/DoingBusiness/BidsProposals.aspx

Bidders without internet access may request to receive a hard copy.

6.5 SUBMITTING A BID

Bidders shall respond to the RFB in either the Wisconsin eSupplier Portal or by providing a hard copy Bid response. Faxed and emailed Bids shall not be accepted.

https://esupplier.wi.gov/psp/esupplier/SUPPLIER/ERP/h/?tab=WI_GUEST&wimsg=Logo https://doa.wi.gov/Pages/DoingBusiness/BidsProposals.aspx

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6.5.1 WISCONSIN eSUPPLIER PORTAL Submittal (Strongly Preferred)

Respond as directed herein and in the pages presented in the Wisconsin eSupplier Portal for this RFB. The State has developed questions providing online guidance for an electronic response to the RFB (Bid Factors). If responding electronically, do not submit a hard copy of any materials unless directed to do so elsewhere in the Bid document.

Bidders must click "Submit" in the Wisconsin eSupplier Portal to have their Bid received. Only clicking "Save" does not submit the Bid response; therefore, it will not be received or reviewed.

Certain qualifications and Requirements shall be presented as itemized questions requiring an affirmative response from the Bidder indicating these can be met (i.e., “yes/no” prompt; drop down menu; required attachment). Other requirements may be presented in a grouped manner (e.g., “Does your company meet requirements 2.1-2.8”). For any (itemized or grouped) Requirements that cannot be met, a “no” shall be checked.

Bidders submitting Bids via the Wisconsin eSupplier Portal must follow the instructions given in the eSupplier Portal system, including any Frequently Asked Questions (FAQs).

Bidders must allow time for entering a Bid Response in eSupplier. Keep in mind the following if an error occurs:

• File names must be no longer than 64 characters, including the file extension (e.g.,".docx").

• File names cannot contain any special characters (e.g., commas, percent signs, hash symbol).

• The maximum file size for any attachment is 80MB.

• The eSupplier system will not allow a file with macros included and enabled.

• Bidders may only upload a single file in response to a Bid Factor. Uploading additional files will overwrite the previous upload. If a Bidder has the need to attach multiple files, the Bidder shall consolidate the documents into a single file. Alternatively, the Bidder may upload one file in response to the Bid Factor and upload the rest of the documents using the Upload File button on the Submit Online Response page.

• In order to officially submit a bid response, the Bidder must click the Submit button and receive verification that the Bidder response has been submitted.

6.5.2 HARD COPY BID SUBMITTAL

The State strongly encourages electronic Bid submission (Section 6.5.1 Wisconsin eSupplier Portal Submittal) due to the potential decreased number of staff available to accept hand deliveries at State facilities or the potential for State building closures.

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If submitting a hard copy Bid (instead of the electronic Bid option described above), Bidders must submit an original signed Bid, marked as stated below of all materials required for acceptance of their Bid by the deadline to:

Erin Schmitz Department of Administration State Bureau of Procurement 101 E. Wilson Street, 6th floor Madison, WI 53703

All Bids must be received and time-stamped at the above location no later than January 9, 2023 1:00 PM CT. Bids not time-stamped shall be considered late and rejected. Receipt of a Bid by the State mail system does not constitute receipt of a Bid by the DOA CAPS Purchasing Office.

All Bids must be sealed and clearly marked with the following information on the outside of the package:

Bidder Name Bidder Address Background Check Services

RFB# AD241024

Due: January 9, 2023 1:00 PM CT

A Bid Box has been placed outside of 101 E. Wilson Street for the hard copy submittal of responses. This box is only opened at 1:00 PM CT on Tuesday, Wednesday, and Thursday.

The State is not responsible for deliveries that do not reach the Bureau of Procurement office by the required due date and time.