RFP MED-26-002 Asset Verification System (AVS).pdf

REQUEST FOR PROPOSAL (RFP)

Asset Verification System

MED-26-002

Issuing Officer:

Jennifer Zepeda Iowa Department of Health and Human Services RFPMED-26-002@dhs.state.ia.us June 25, 2024 mailto:RFPMED-26-002@dhs.state.ia.us

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Table of Contents RFP Purpose

Duration of Contract

Procurement Timetable

Section 1 Background and Scope of Work

1.1 Background

1.2 RFP Definitions

1.3 Scope of Work

Section 2 Basic Information About the RFP Process

2.1 Issuing Officer

2.2 Restriction on Bidder Communication

2.3 Downloading the RFP from the Internet

2.4 Reserved. (Online Resources)

2.5 Intent to Bid

2.6 Reserved. (Bidders’ Conference)

2.7 Questions, Requests for Clarification, and Suggested Changes

2.8 Submission of Bid Proposal

2.9 Amendment to the RFP and Bid Proposal

2.10 Withdrawal of Bid Proposal

2.11 Costs of Preparing the Bid Proposal

2.12 Rejection of Bid Proposals

2.13 Review of Bid Proposals

2.14 Bid Proposal Clarification Process

2.15 Verification of Bid Proposal Contents

2.16 Reference Checks

2.17 Information from Other Sources

2.18 Criminal History and Background Investigation

2.19 Disposition of Bid Proposals

2.20 Public Records and Request for Confidential Treatment

2.21 Copyrights

2.22 Release of Claims

2.23 Reserved. (Presentations)

2.24 Notice of Intent to Award

2.25 Acceptance Period

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2.26 Review of Notice of Disqualification or Notice of Intent to Award Decision

2.27 Definition of Contract

2.28 Choice of Law and Forum

2.29 Restrictions on Gifts and Activities

2.30 Exclusivity

2.31 No Minimum Guaranteed

2.32 Use of Subcontractors

2.33 Bidder Continuing Disclosure Requirement

Section 3 How to Submit A Bid Proposal: Format and Content Specifications

3.1 Bid Proposal Formatting

3.2 Contents and Organization of Technical Proposal

3.3 Cost Proposal

Section 4 Evaluation Of Bid Proposals

4.1 Introduction

4.2 Evaluation Committee

4.3 Proposal Scoring and Evaluation Criteria

Attachment A: Release of Information

Attachment B: Primary Bidder Detail & Certification Form

Attachment C: Subcontractor Disclosure Form

Attachment D: Additional Certifications

Attachment E: Certification and Disclosure Regarding Lobbying Attachment

Attachment F: Cost Proposal

Attachment G: List of Financial and Real Property Resources

Attachment H: Bidder Proposal Form

Attachment I: Sample Contract

1.4 Insurance Coverage

1.5 Reserved. (Data and Security)

1.6 Reserved. (Labor Standards Provisions.)

1.7 Incorporation of General and Contingent Terms

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RFP Purpose.

The Iowa Department of Health and Human Services (referred to hereafter as “Agency”) is seeking proposals from responsible Bidders that are experienced in working with Medicaid eligibility files, or the equivalent, and have the capability to provide implementation and operation services of an Asset Verification System (AVS). The AVS will identify assets held at various Financial Institutions (FIs) as well as real property assets held by Iowa Medicaid’s Aged, Blind, and Disabled applicants and beneficiaries.

This RFP is being issued pursuant to both federal and state requirements. Section 1940 of the Social Security Act (42 U.S.C. §1396w) requires all states to implement an electronic asset verification program for verifying disclosed and undisclosed assets for purposes of determining and re-determining Medicaid eligibility of Aged (age 65 or over), Blind, or Disabled individuals. Section 1903 [42 U.S.C. 1396b] H(109)i and ii is also referenced as a funding source and oversight.

Bidders shall propose a solution that uses Web-based techniques (Web-based user login, callable web-services to integrate with the Agency’s systems, and system-to-system login with pass-through security) to identify assets that might not otherwise be discovered through the eligibility-determination process. Qualified Bidders are to present the State with a proposal that includes the following:

1. Establishment of a robust network of Financial Institutions (FIs)

2. Ability to identify real property assets

3. Implementation and operation of an electronic AVS

4. Tracking and reporting of verification activity

Duration of Contract.

The Agency anticipates executing a contract that will have an initial 5-year contract term with the ability to extend the contract for five (5) additional 1-year terms. The Agency will have the sole discretion to extend the contract.

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Procurement Timetable There are no exceptions to any deadlines for the Bidder; however, the Agency reserves the right to change the dates. Times provided are in Central Time.

Event Date

Agency Issues RFP Notice to Targeted Small Business Website (48 hours):

June 25, 2024

Agency Issues RFP to Bid Opportunities Website: June 27, 2024

Bidder Letter of Intent to Bid Due By: July 15, 2024 @ 3:00 p.m.

First Round Bidder Written Questions Due By: July 15, 2024 @ 3:00 p.m.

Agency Responses to First Round Bidder Questions Issued By: July 22, 2024

Second Round Bidder Written Questions Due By: August 9, 2024 @ 3:00 p.m.

Agency Responses to Second Round Bidder Questions Issued By: August 16, 2024

Bidder Proposals and any Amendments to Proposals Due By: September 30, 2024 @ 3:00 pm

Agency Announces Apparent Successful Bidder/Notice of Intent to Award:

November 30, 2024

Contract Negotiations and Execution of the Contract Completed: December 30, 2024

Anticipated Start Date for the Provision of Services: July 1, 2025

Section 1 Background and Scope of Work

1.1 Background.

The Agency first procured an AVS in 2016 through a competitive procurement. At that time, the only requirement for an AVS was Title VII, Section 7001(d) of Public Law 110-252 (Supplemental Appropriations Act 2008) Section 1940 of the Social Security Act. States were required to implement an electronic mechanism for verifying the assets of Aged, Blind, or Disabled applicants and beneficiaries of Medicaid. The purpose of this requirement was to streamline Medicaid determinations.

There are approximately 115,000 individuals in Iowa currently receiving services with about 20,000 annual applicants who are considered Aged, Blind, or Disabled and are not receiving Social Security Supplemental Insurance. In 2023, there was an average of 10,150 AVS verification requests per month made through the Iowa AVS for Medicaid eligibility determinations.

This RFP is requesting offers from responsible Bidders to implement, maintain, and operate a Web-based AVS that interfaces to Agency systems. The Centers for Medicare and Medicaid Services (CMS), the USDA Food and Nutrition Service (FNS), and the Agency will provide oversight of the

AVS.

Agency Mission and Vision

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Iowa Medicaid’s Mission:

Iowa Medicaid is committed to ensuring that all members have equitable access to high quality services that promote dignity, barriers are removed to increase health engagement, and whole person health is improved across populations.

Iowa Medicaid’s Vision:

Iowa Medicaid works diligently to operate a fiscally responsible and sustainable program that improves the lives of its members through effective internal and external collaboration, innovative solutions to identified challenges, and data driven program improvement.

1.2 RFP Definitions.

General Definitions When appearing as capitalized terms in this RFP, including attachments, the following quoted terms (and the plural thereof, when appropriate) have the meanings set forth in this section.

“Agency” means Iowa Health and Human Services (HHS).

“Bid Proposal” or “Proposal” means the Bidder’s proposal submitted in response to the RFP.

“Bidder” means the entity that submits a Bid Proposal in response to this RFP.

“Contractor” means the Bidder who enters into a Contract as a result of this Solicitation.

“Deliverables” means all of the services, goods, products, work, work product, data (including data collected on behalf of the Agency), items, materials, and property to be created, developed, produced, delivered, performed, or provided by or on behalf of, or made available through, the Contractor (or any agent, contractor, or subcontractor of the Contractor) in connection with any contract resulting from this RFP.

“Invoice” means a Contractor’s claim for payment. At the Agency’s discretion, claims may be submitted on an original invoice from the Contractor or may be submitted on a claim form accepted by the Agency, such as a General Accounting Expenditure (GAX) form.

Definitions Specific to the RFP

"Aged, Blind, or Disabled" means an individual who is eligible for Medicaid due to being aged (age 65 or over), blind, or disabled and who is not an SSI recipient.

"Assets" means cash or other liquid resources or any real or personal property that is owned by an a person and is not legally restricted from using for support and maintenance, and that could be converted to cash to use for support and maintenance.

"Near Real-time" means a system response time of 0-2 minutes from the request sent by the Agency.

"Savings" means for the purpose of procurement, money saved due to the denial or closure of a Medicaid case solely due to the discovery of undisclosed assets that render the individual ineligible.

The savings may only be calculated based on the period of time the undisclosed assets would render the individual ineligible.

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"Secure Portal" means a Web-based application that meets the requirements outlined in 1.3.3.

“Web-based” means an external application that is accessed via a web browser over the internet. A Web-based application refers to any program that is accessed over a network connection using Secure Protocols (e.g., HTTPS, secure web Services, etc.) rather than existing within a device’s memory. Web-based applications often run inside a web browser. Web-based applications also may be client-based, where a small part of the program is downloaded to a user’s desktop, but processing is done over the internet on an external server.

“Security Incident” means is any event or situation involving the attempted or successful unauthorized access, use, disclosure, modification, destruction, or disruption of an electronic information asset, with the potential to compromise the confidentiality, availability, or integrity of Iowa’s resources including, but not limited to electronic data, applications, services, networks, mobile phones, computers, and devices. This includes incidents of lost or stolen physical data and assets, and incidents of information spillage which occurs when classified data is spilled either onto an unclassified information system or to an information system with a lower level of classification or different security category. An information system incident is a significant information system disruption which currently or may in the future result in a mission critical business impact.

1.3 Scope of Work.

1.3.1 Deliverables

The Bidder shall provide the following:

1.3.1.1 General Obligations

A. Required Technical Obligations

1. The Bidder shall deliver an AVS that meets all of the federal and State requirements including, but not limited to:

a) All requirements of the Centers for Medicare/Medicaid Services

b) Title VII, Section 7001(d) of P.L.110 252 (supplemental Appropriations Act 2008)

Section 1940 of the Social Security Act

1. The AVS shall send and receive inquiries and verifications electronically with the

FIs and the Agency.

2. The AVS shall not be based on mailing or faxing paper-based requests.

3. The AVS shall provide for both electronic submission of requests to FIs and the electronic receipt of responses from FIs.

2. Financial Accounts.

The Bidder shall deliver an AVS that has access to FIs. The list of FIs may include, but is not limited to, the following:

a) Checking account

b) Savings account

c) Investment accounts

d) Individual Retirement Accounts (IRAs)

e) Treasury notes

f) Annuities

g) Certificate of deposits (CDs).

h) Custodial accounts

i) Burial or funeral accounts

j) Money market accounts

k) Retirement plans

l) Rent securities

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m) Trusts

n) Life insurance cash values

o) Christmas club accounts

p) Direct Express accounts

q) Any other assets that may be held or managed by a FI

3. Look Back Review.

The Bidder shall deliver an AVS that:

a) Looks at accounts going back for a period of sixty (60) months prior to the month of application.

b) Requests information concerning both open and closed accounts.

c) Determines if the client's name appeared on any account as a single or joint owner during the look-back period.

4. Verification Requests.

The Bidder shall deliver an AVS that:

a) Allows for verification requests to be sent to FIs based on the applicant’s declaration or the Agency’s selection of possible banking activity.

b) Allows for verification requests to be sent to FI's other than those identified by the applicants and recipients based on, but not limited to the geographic proximity to the applicant's home address or residential history when it is determined by the Agency that the verification requests are needed to determine and re-determine the individual’s eligibility.

c) Provides an option for the Agency staff to specify an FI.

5. Cross State Responses.

The Bidder shall deliver an AVS that provides for cross state responses to queries regarding assets to include FIs located outside of Iowa.

6. Reporting.

a) The winning Bidder shall provide FI monthly documentary reports that include, at a minimum, the following information:

i. Transaction record

ii. AVS performance report

iii. AVS availability report

iv. FI network report

v. AVS customer service metrics

vi. High balance report

vii. Iowa inquiry list

b) The reports must contain information on all searches, even if no assets are found.

c) The Contractor shall collaborate with the Agency’s contract manager or delegated

Agency staff to correct any discrepancies between any of the Contractor’s provided reports and the Agency’s internal records prior to payment being issued.

d) Ad hoc reporting, upon Agency request.

7. Training and Support.

a) The Contractor shall provide Agency approved training to both the Agency and FI staff.

b) The Contractor shall provide Agency approved customer support to both the Agency and FI staff.

c) The Contractor shall develop, implement, and adhere to an Agency approved training plan.

B. Network of Financial Institutions

1. FI Network

a) The Bidder shall have an established network of geographically diverse FIs in Iowa that will participate in the AVS.

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b) The Bidder shall have an established network of geographically diverse FIs out-of-state that will participate in the AVS.

c) The Bidder shall maintain a letter of commitment from each FI that indicates the level of access and communication agreed to by the FI.

2. FI Recruiting

a) The Bidder shall have an established system for recruiting FIs.

b) The Bidder shall establish and maintain a good working relationship with FI's and professional associations.

c) The bidder shall have innovative and creative strategies to recruit FI.

C. Optional Technical Obligations

1. Real Property Assets.

If available. the Bidder may deliver real property information through an AVS that has access to real property assets. The list of real property assets may include, but is not limited to, the following:

a) Real-estate property

b) Motor Vehicle registration

c) Off-highway recreational vehicle registration including, but not limited to, motorcycles, snowmobiles, and all-terrain vehicles

d) Recreational vehicle registrations including, but not limited to, campers, motorhomes, campervans, and travel trailers

e) Watercraft information

f) Aircraft registration

2. Look Back Review.

If available, the Bidder may deliver real property information through an AVS that:

a) Looks at real property information that may go back for a period of at least sixty (60) months prior to the month of application.

b) Determines if the client's name appeared on any real property as a single or joint owner during the look-back period.

3. Cross State Responses.

If available, the Bidder may deliver real property information through the AVS that provides for cross state responses to queries regarding assets to include real property assets located outside of Iowa.

4. Reporting.

a) If real property information is available, the winning Bidder may provide real property monthly documentary reports that include, at a minimum, the following information:

1. Information to identify the property including, but not limited to:

a. Address location

b. Plat or tax identification number assigned to the property

c. Governing jurisdiction where the title is held

2. Assessed value of the property by the relevant taxing authority

3. Name of the taxing authority

4. Names of co-owners of the property

5. Transaction history of the property that includes, but is not limited to:

a. Date of transaction

b. Price of transaction

c. Parties involved in transaction

d. Type of transaction

6. Motor vehicle registration information

7. Off highway recreational vehicle registration information

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8. Recreational vehicle registration information

9. Watercraft registration information

10. Aircraft registration information

11. Requestor’s username and ID

12. Requestor’s supervisor name

13. Requestor’s district office number

b) If real property information is available, the reports must contain information on all searches, even if no assets are found.

c) If real property information is available, the winning Bidder may collaborate with the Agency’s contract manager or delegated Agency staff to correct any discrepancies between any of the Contractor’s provided reports and the Agency’s internal records prior to payment being issued.

d) Ad hoc reporting, upon Agency request.

5. Training and Support.

a) If real property information is available, the winning Bidder may provide Agency approved training to both the Agency and Providers of real property staff.

b) If real property information is available, the winning Bidder may provide Agency approved customer support to both the Agency and Providers of real property staff.

c) If real property information is available, the winning Bidder may develop, implement, and adhere to an Agency approved training plan.

D. Security and System Requirements.

1. Security Requirements

a) The Bidder shall ensure the highest level of security as set forth by NIST 800-53 Rev

5.

b) The Bidder shall comply with all state and Agency privacy and security requirements notified to the Bidder in advance.

c) The Bidder shall comply with the Health Insurance Portability and Accountability Act

(HIPAA) found at: https://hhs.iowa.gov/hipaa or such other terms and conditions as the parties may agree in writing if the Bidder is a Business Associate as defined by HIPAA.

d) The Bidder shall ensure that the system and Confidential Information is not accessed from outside the continental United States.

2. System Requirements.

a) The AVS shall meet at a minimum the following standards:

i. SAS 70

b) National Institute of Standards and Technology (NIST) 800-53 Rev 5 The Bidder shall assure seamless coordination between the Agency, the FIs, and other systems as necessary.

c) The Bidder shall establish and maintain back-up and recovery procedures to meet NIST standards.

d) The Bidder shall submit data file formats and data fields that will interface with Agency systems.

e) The Bidder shall encrypt data in transit and at rest. Encryption settings shall be set for the strongest encryption available.

f) The Bidder shall ensure access levels are set at least privilege.

g) The Bidder shall incorporate MFA and SSO at the state’s direction.

h) The Bidder shall classify and label all data according to the agency’s data classification and labeling policies.

i) The bidder shall ensure penetration testing and vulnerability testing is conducted prior to implementation and at a frequency as determined by the agency thereafter.

https://hhs.iowa.gov/hipaa

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j) The bidder shall ensure a process to report security incidents to the Agency within 72 hours.

E. Financial Statements.

The Contractor shall submit annually an electronic copy of the Contractor’s current fiscal year audited financial statement from independent auditors. If the Contractor is not required to have audited financial statements, the Contractor shall submit CPA-prepared unaudited financial statements. The financial statement shall be submitted to the Agency contract manager no more than nine (9) months past the close of the Contractor’s fiscal year.

1.3.1.2 Transition Phase

A. Planning The Contractor shall develop and comply with project work plans, subject to Agency approval that include the following:

1. A transition plan detailing the Contractor’s strategy to implement the staff, systems, and services contemplated by this contract.

2. A systems implementation plan detailing implementation, quality assurance, and testing activities related to the Contractor’s system solutions.

3. An operations plan detailing the daily performance of all required activities by the Bidder, including required coordination and safeguards.

4. A reporting plan detailing requirements for submitting reports to the Agency. This plan shall be developed in consultation with the Agency. Reporting plan requirements include but are not limited to:

a. Use of standard naming conventions,

b. Templates for standardized reports that may be necessary to implement the project.

The Contractor shall revise the report content as needed upon Agency request,

c. Detail of whom the reports should be delivered to for review and approval, as necessary, and

d. Frequency and due dates for reports.

5. A training plan detailing, at a minimum:

a. Training of FIs in system and operational procedures required to perform the

Contractor’s functions under the Contract,

b. Training of real property providers in system and operational procedures required to perform the Contractor’s functions under the Contract,

c. Continuous standard operating procedures training process for Contractor staff. At a minimum, the winning Bidder shall train Contractor staff when:

d. New Contractor staff or replacement staff are hired,

e. New policies or procedures are implemented, and

f. Changes are made to any existing policies or procedures prior to the change’s implementation if possible, and if not, concurrent with the change’s implementation.

g. Training of Agency employees, as requested. Such training shall be at no additional cost to the Agency.

B. Operational Readiness

1. The Contractor shall prepare for the onset of operations in the existing Agency environment. This includes but is not limited to the following:

a. Review the turnover plan from the outgoing contractor.

b. Utilize the Agency’s comprehensive operational readiness checklist of its start-up activities.

c. Develop and implement a corrective action plan for all outstanding activities for review and approval by the Agency.

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d. Conduct training for its staff.

e. Gather and document all Agency technical and operational requirements pertaining to work performed under this procurement.

f. Produce and update all operations documentation, to include SOPs, and obtain

Agency approval of each iteration.

g. Establish Agency-approved interfaces, as necessary.

h. Provide the Agency assurance that all checklist activities have been satisfactorily completed and signed-off by the Agency.

i. Obtain written approval from the Agency to start operations.

j. Provide all documentation as required for approval o the Department of

Management, Division of IT for the Assessment, Authorization and Monitoring Process. This includes a privacy impact analysis, system security plan, data flow diagrams, network diagrams, vendor assessment forms, PPSM and hardware/software/cloud list.

k. Provide a SOC 2 report to the Department of Management, DoIT, for review prior to implementation and annually thereafter.

2. The Contractor shall work proactively with the Agency and the outgoing Contractor to take over the management of any work that remains open when the outgoing contract ends on June 30, 2025.

1.3.1.3 Turnover Phase

Within this final phase of the Contract, the Contractor turns over operations to a new contractor near the end of the Contract term. This phase is activated when the Agency enters into a contract with a new entity (such as a newly awarded contractor) and begins the process of transferring responsibility for operations to that entity.

Once the turnover phase begins, the Contractor shall:

A. Fully cooperate with the Agency and new entity.

B. Develop and comply with a turnover plan detailing the activities necessary to transfer responsibility for operations to the new entity.

1.3.2 Performance Measures.

1.3.2.1 General Requirements

A. The AVS shall provide an Agency approved response of the finding or non-finding of a match for one hundred percent (100%) of all requests.

B. When a match is found with one or more FI, results shall be provided in an Agency approved format within ten (10) calendar days for ninety-eight percent (98%) of the requests.

C. Contractor shall ensure that its Web-based verification system is accessible to the Agency twenty-four (24) hours per day, seven (7) calendar days per week and has an uptime of no less than ninety-eight percent (98%) as measured on a monthly basis.

D. Contractor shall provide a minimum of forty-eight (48) hours written notice in advance of a planned outage where the system will be unavailable.

E. Contractor shall provide a confirmation of any unplanned outage within one (1) hour of the system being unavailable.

F. Contractor shall provide dates that assets were made available to applicants or members as of the first day of each month, before any other transaction.

G. Reporting

1. Contractor shall deliver accurate and timely reports to the Agency. All submitted reports shall be clear, concise, and objective, free from typographical errors, and come to logical conclusions.

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2. Unless otherwise specified, the Contractor shall provide all identified reports in an Agency-approved format and in accordance with timeframes established in the Agency-approved reporting plan.

3. Contractor shall submit reports within the timeframes established in the Agency-approved reporting plan and according to the following schedule, unless otherwise specified within the Agency-approved reporting plan:

a. Weekly reports: within two business days of end of reporting period.

b. Monthly reports: within ten business days of end of reporting period.

c. Quarterly reports: within fifteen business days of end of reporting period.

d. Annual reports: within twenty business days of end of reporting period.

e. Ad hoc reports: within two business days of request, unless otherwise specified. The

Contractor will track ad hoc requests with due date and delivery date, reporting with monthly reporting.

f. Reporting log: The Contractor will include the monthly report a list of regularly occurring and ad hoc reports including data on reports requested, reports completed, reports submitted, who reports were submitted to, and relevant dates.

g. Revised reports shall be submitted within five business days of request unless otherwise indicated by the Agency.

1.3.2.2 Transition

A. The Contractor shall submit transition and operations plans to the Agency for approval within 15 business days of the execution of this procurement’s contract, unless otherwise specified.

B. The Contractor shall submit the reporting and training plans to the Agency for approval within 20 business days after the execution of this procurement’s contract.

1.3.3 Contract Payment Methodology.

The Agency will pay Contractor on an agreed upon time frame for services provided pursuant to this Contract. The total cost of services, whether they are billed on a yearly flat-fee basis or a per-lookup basis, or another proposed methodology may not exceed a maximum allowable Contract value determined by State appropriation.

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Section 2 Basic Information About the RFP Process

2.1 Issuing Officer.

The Issuing Officer is the sole point of contact regarding the RFP from the date of issuance until selection of the successful Bidder. The Issuing Officer for this RFP is:

Jennifer Zepeda 1305 E Walnut Street Des Moines, IA 50319 RFPMED-26-002@dhs.state.ia.us

2.2 Restriction on Bidder Communication.

From the issue date of this RFP until announcement of the successful Bidder, the Issuing Officer is the point of contact regarding the RFP. There may be no communication regarding this RFP with any State employee other than the Issuing Officer, except at the direction of the Issuing Officer or as otherwise noted in the RFP. This section shall not be construed as restricting communications related to the administration of any contract currently in effect between a Contractor and the Agency.

The Issuing Officer will respond only to questions regarding the procurement process. Questions pertaining to the interpretation of this RFP may be submitted in accordance with the Questions, Requests for Clarification, and Suggested Changes section of this RFP.

2.3 Downloading the RFP from the Internet.

The RFP and any related documents such as amendments or attachments (collectively the “RFP”), and responses to questions will be posted at the State of Iowa’s website for bid opportunities:

http://bidopportunities.iowa.gov/. Check this website periodically for any amendments to this RFP.

The posted version of the RFP is the official version. The Agency will only be bound by the official version of the RFP document(s). Bidders should ensure that any downloaded documents are in fact the most up to date and are unchanged from the official version.

2.4 Reserved. (Online Resources)

2.5 Intent to Bid.

The Agency requests that Bidders provide their intent to bid by email to the Issuing Officer by the date and time in the Procurement Timetable. The Bidder may wish to request confirmation of receipt of the email from the Issuing Officer to ensure delivery. Do not submit letters of intent by mail, shipping service, or hand delivery. The intent to bid should include the Bidder's name, contact person, mailing address, email address, telephone number, and a statement of intent to submit a bid in response to this RFP. Though it is not mandatory that the Agency receive an intent to bid, the Agency will only respond to questions about the RFP that have been submitted by Bidders who have expressed their intent to bid. The Agency may cancel an RFP for lack of interest based on the number of letters of intent to bid received.

2.6 Reserved. (Bidders’ Conference)

2.7 Questions, Requests for Clarification, and Suggested Changes.

Bidders who have provided their intent to bid on the RFP are invited to submit written questions, requests for clarifications, and/or suggestions for changes to the specifications of this RFP (hereafter “Questions”) by the due date and time provided in the Procurement Timetable. Bidders are not permitted to include assumptions in their Bid Proposals. Instead, Bidders shall address any perceived ambiguity regarding this RFP through the question-and-answer process. If the Questions http://bidopportunities.iowa.gov/

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The Agency will post responses to questions received on the State’s website at:

http://bidopportunities.iowa.gov/ by the dates provided in the Procurement Timetable. Follow-up questions to initial responses are permissible as long as all questions are received by the final due date and time for Bidder Questions as provided in the Procurement Timetable.

The Agency assumes no responsibility for verbal representations made by its officers or employees unless such representations are confirmed in writing and incorporated into the RFP. In addition, the Agency’s written responses to Questions will not be considered part of the RFP. If the Agency decides to change the RFP, the Agency will issue an amendment.

2.8 Submission of Bid Proposal.

Each Bidder is responsible for ensuring that the Issuing Officer receives the Bid Proposal by the time and date specified in the Procurement Timetable at the address provided in the RFP for the Issuing Officer. The Agency will not waive this mandatory requirement. Any Bid Proposal received after this deadline will be rejected and will not be evaluated.

Bid Proposals are to be submitted in accordance with the Bid Proposal Formatting section of this RFP. Bid Proposals may not be hand-delivered to the Issuing Officer. Rather, Bid Proposals are to be mailed through the postal service or shipping service.

2.9 Amendment to the RFP and Bid Proposal.

Each Bidder is responsible for ensuring that the Issuing Officer receives the Bid Proposal and any permitted amendments by the established deadlines at the address provided in the RFP for the Issuing Officer. Amendments must be received utilizing the same delivery method as set forth in the RFP for the submission of the original Bid Proposal.

Bidders may amend a previously submitted Bid Proposal at any time before the bid submission date and time. Any such amendment must be in writing and signed by the Bidder. The Bidder shall provide the same number of copies of the amended Bid Proposal as is required for the original Bid Proposal, for both hardcopy and electronic copies, in accordance with the Bid Proposal Formatting Section.

The Agency reserves the right to amend or provide clarifications to the RFP at any time. RFP amendments will be posted to the State’s website at http://bidopportunities.iowa.gov/. If an RFP amendment occurs after the closing date for receipt of Bid Proposals, the Agency may, in its sole discretion, allow Bidders to amend their Bid Proposals.

2.10 Withdrawal of Bid Proposal.

The Bidder may withdraw its Bid Proposal prior to the closing date for receipt of Bid Proposals by submitting a written request to withdraw signed by the Bidder, scanned, then emailed to the Issuing Officer. The Bidder should request confirmation of receipt of the email from the Issuing Officer to ensure delivery.

2.11 Costs of Preparing the Bid Proposal.

The costs of preparation and delivery of the Bid Proposal are solely the responsibility of the Bidder.

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2.12 Rejection of Bid Proposals.

The Agency reserves the right to reject any or all Bid Proposals, in whole and in part, and to cancel this RFP at any time prior to the execution of a written contract. Issuance of this RFP in no way constitutes a commitment by the Agency to award or enter into a contract.

2.13 Review of Bid Proposals.

Only Bidders that meet the mandatory requirements and are not subject to disqualification will be considered for award of a contract.

2.13.1 Mandatory Requirements.

Bidders must meet these mandatory requirements or will be disqualified and not considered for award of a contract:

• The Issuing Officer must receive the Bid Proposal, and any amendments thereof, prior to or on the due date and time (See RFP Sections 2.8 and 2.9).

• The Bidder is not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from receiving federal funding by any federal department or agency (See RFP Additional Certifications Attachment).

2.13.2 Reasons Proposals May be Disqualified.

Bidders are expected to follow the specifications set forth in this RFP. However, it is not the Agency’s intent to disqualify Bid Proposals that suffer from correctible flaws. At the same time, it is important to maintain fairness to all Bidders in the procurement process. Therefore, the Agency reserves the discretion to permit cure of variances, waive variances, or disqualify Bid Proposals for reasons that include, but may not be limited to, the following:

• Bidder initiates unauthorized contact regarding this RFP with employees other than the Issuing Officer (See RFP Section 2.2).

• Bidder fails to comply with the RFP’s formatting specifications so that the Bid Proposal cannot be fairly compared to other bids (See RFP Section 3.1).

• Bidder fails, in the Agency’s opinion, to include the content required for the RFP.

• Bidder fails to be fully responsive in the Bidder’s Approach to Meeting Deliverables Section, states an element of the Scope of Work cannot or will not be met, or does not include information necessary to substantiate that it will be able to meet the Scope of Work specifications (See RFP Section 3.2.3).

• Bidder’s response materially changes Scope of Work specifications.

• Bidder fails to submit the RFP attachments containing all signatures (See RFP Section 3.2.6).

• Bidder marks entire Bid Proposal confidential, makes excessive claims for confidential treatment, or identifies pricing information in the Cost Proposal as confidential (See RFP Section 3.1).

• Bidder includes assumptions in its Bid Proposal (See RFP Section 2.7); or

• Bidder fails to respond to the Agency’s request for clarifications, information, documents, or references that the Agency may make at any point in the RFP process.

• Bidder is a “scrutinized company” included on a “scrutinized company list” created by a public fund pursuant to Iowa Code §12J. This list is maintained by the Iowa Public Employees’ Retirement System. The list is currently found here: https://ipers.org/investments/restrictions.

The determination of whether or not to disqualify a proposal and not consider it for award of a contract for any of these reasons, or to waive or permit cure of variances in Bid Proposals, is at the sole discretion of the Agency. No Bidder shall obtain any right by virtue of the Agency’s election to not exercise that discretion. In the event the Agency waives or permits cure of variances, such https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fipers.org%2Finvestments%2Frestrictions&data=04%7C01%7Cclindgr%40dhs.state.ia.us%7Cfcd3552ae92b40bb63cd08d92c45b41c%7C8d2c7b4d085a4617853638a76d19b0da%7C1%7C1%7C637589500152528885%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C0&sdata=O4vbidy2uv6CeZD8dKZ6YSFZr4xof1GsKvkHC0H2v3U%3D&reserved=0

Page | 16 waiver or cure will not modify the RFP specifications or excuse the Bidder from full compliance with RFP specifications or other contract requirements if the Bidder enters into a contract.

2.14 Bid Proposal Clarification Process.

The Agency may request clarifications from Bidders for the purpose of resolving ambiguities or questioning information presented in the Bid Proposals. Clarifications may occur throughout the Bid Proposal evaluation process. Clarification responses shall be in writing and shall address only the information requested. Responses shall be submitted to the Agency within the time stipulated at the occasion of the request.

2.15 Verification of Bid Proposal Contents.

The contents of a Bid Proposal submitted by a Bidder are subject to verification.

2.16 Reference Checks.

The Agency reserves the right to contact any reference to assist in the evaluation of the Bid Proposal, to verify information contained in the Bid Proposal, to discuss the Bidder’s qualifications, and/or to discuss the qualifications of any subcontractor identified in the Bid Proposal.

2.17 Information from Other Sources.

The Agency reserves the right to obtain and consider information from other sources concerning a Bidder, such as the Bidder’s capability and performance under other contracts, and the Bidder’s authority and ability to conduct business in the State of Iowa. Such other sources may include subject matter experts.

2.18 Criminal History and Background Investigation.

The Agency reserves the right to conduct criminal history and other background investigations of the Bidder, its officers, directors, shareholders, or partners and managerial and supervisory personnel retained by the Bidder for the performance of the resulting contract. The Agency reserves the right to conduct criminal history and other background investigations of the Bidder’s staff and subcontractors providing services under the resulting contract.

2.19 Disposition of Bid Proposals.

Opened Bid Proposals become the property of the Agency and will not be returned to the Bidder.

Upon issuance of the Notice of Intent to Award, the contents of all Bid Proposals will be in the public domain and be open to inspection by interested parties subject to exceptions provided in Iowa Code chapter 22 or other applicable law.

2.20 Public Records and Request for Confidential Treatment.

Original information submitted by a Bidder may be treated as public information by the Agency following the conclusion of the selection process unless the Bidder properly requests that information be treated as confidential at the time of submitting the Bid Proposal. See the Bid Proposal Formatting Section for the proper method for making such requests. The Agency’s release of information is governed by Iowa Code chapter 22. Bidders are encouraged to familiarize themselves with Chapter 22 before submitting a Bid Proposal. The Agency will copy public records as required to comply with public records laws.

The Agency will treat the information marked confidential as confidential information to the extent such information is determined confidential under Iowa Code chapter 22 or other applicable law by a court of competent jurisdiction. However, the Bidder shall certify by signing and returning RFP Attachment B its understanding that any Agency references to Bid Proposal information marked confidential made during the evaluation process may become part of the public domain.

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In the event the Agency receives a request for information marked confidential, written notice shall be given to the Bidder seventy-two (72) hours prior to the release of the information to allow the Bidder to seek injunctive relief pursuant to Iowa Code § 22.5 or 22.8.

The Bidder’s failure to request confidential treatment of material pursuant to this section and the relevant law will be deemed, by the Agency and State personnel, as a waiver of any right to confidentiality that the Bidder may have had.

2.21 Copyrights.

By submitting a Bid Proposal, the Bidder agrees that the Agency may copy the Bid Proposal for purposes of facilitating the evaluation of the Bid Proposal or to respond to requests for public records.

By submitting a Bid Proposal, the Bidder acknowledges that additional copies may be produced and distributed and represents and warrants that such copying does not violate the rights of any third party. The Agency shall have the right to use ideas or adaptations of ideas that are presented in the Bid Proposals.

2.22 Release of Claims.

By submitting a Bid Proposal, the Bidder agrees that it shall not bring any claim or cause of action against the Agency based on any misunderstanding concerning the information provided herein or concerning the Agency's failure, negligent or otherwise, to provide the Bidder with pertinent information as intended by this RFP.

2.23 Reserved. (Presentations)

2.24 Notice of Intent to Award.

Notice of Intent to Award will be sent to all Bidders that submitted a Bid Proposal by the due date and time. The Notice of Intent to Award does not constitute the formation of a contract between the Agency and the apparent successful Bidder.

2.25 Acceptance Period.

The Agency shall make a good faith effort to negotiate and execute the contract. If the apparent successful Bidder fails to negotiate and execute a contract, the Agency may, in its sole discretion, revoke the Notice of Intent to Award and negotiate a contract with another Bidder or withdraw the RFP. The Agency further reserves the right to cancel the Notice of Intent to Award at any time prior to the execution of a written contract.

2.26 Review of Notice of Disqualification or Notice of Intent to Award Decision.

Bidders may request reconsideration of either a notice of disqualification or notice of intent to award decision by submitting a written request to the Agency:

Bureau Chief c/o Bureau of Service Contract Support Department of Health and Human Services Lucas State Office Building 321 E 12th Street Des Moines, Iowa 50319-0075 email: reconsiderationrequest@dhs.state.ia.us

The Agency must receive the written request for reconsideration within five calendar days of the date of either a disqualification notice or a notice of intent to award, exclusive of Saturdays, Sundays, and mailto:reconsiderationrequest@dhs.state.ia.us

Page | 18 legal state holidays. The written request may be emailed or delivered by postal service or other shipping service. Do not deliver any requests for reconsideration to the office in person. It is the Bidder’s responsibility to ensure that the request for reconsideration is received prior to the deadline.

Postmarking or submission to a shipping service by the due date shall not substitute for actual receipt of a request for reconsideration by the Agency.

The request for reconsideration shall clearly and fully identify all issues being contested by reference to the page and section number of the RFP. If a Bidder submitted multiple Proposals and requests that the Agency reconsider a notice of disqualification or notice of intent to award decision for more than one Proposal, a separate written request shall be submitted for each. At the Agency’s discretion, requests for reconsideration from the same Bidder may be reviewed separately or combined into one response. The Agency will expeditiously address the request for reconsideration and issue a decision.

The Bidder may choose to file an appeal with the Agency within five calendar days of the date of the decision on reconsideration, exclusive of Saturdays, Sundays, and legal state holidays, and in accordance with 441 Iowa Admin. Code Ch. 7.

2.27 Definition of Contract.

The full execution of a written contract shall constitute the making of a contract for services and no Bidder shall acquire any legal or equitable rights relative to the contract services until the contract has been fully executed by the apparent successful Bidder and the Agency.

2.28 Choice of Law and Forum.

This RFP and the resulting contract are governed by the laws of the State of Iowa without giving effect to the conflicts of law provisions thereof. Changes in applicable laws and rules may affect the negotiation and contracting process and the resulting contract. Bidders are responsible for ascertaining pertinent legal requirements and restrictions. Any and all litigation or actions commenced in connection with this RFP shall be brought and maintained in the appropriate Iowa forum.

2.29 Restrictions on Gifts and Activities.

Iowa Code chapter 68B restricts gifts that may be given or received by state employees and requires certain individuals to disclose information concerning their activities with state government. Bidders must determine the applicability of this Chapter to their activities and comply with the requirements.

In addition, pursuant to Iowa Code § 722.1, it is a felony offense to bribe or attempt to bribe a public official.

2.30 Exclusivity.

Any contract resulting from this RFP shall not be an exclusive contract.

2.31 No Minimum Guaranteed.

The Agency anticipates that the selected Bidder will provide services as requested by the Agency.

The Agency does not guarantee that any minimum compensation will be paid to the Bidder or any minimum usage of the Bidder’s services.

2.32 Use of Subcontractors.

The Agency acknowledges that the selected Bidder may contract with third parties for the performance of any of the Contractor’s obligations. The Agency reserves the right to provide prior approval for any subcontractor used to perform services under any contract that may result from this

RFP.

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2.33 Bidder Continuing Disclosure Requirement.

To the extent that Bidders are required to report incidents when responding to this RFP related to damages, penalties, disincentives, administrative or regulatory proceedings, founded child or dependent adult abuse, or felony convictions, these matters are subject to continuing disclosure to the Agency. Incidents occurring after submission of a Bid Proposal, and with respect to the successful Bidder after the execution of a contract, shall be disclosed in a timely manner in a written statement to the Agency. For purposes of this subsection, timely means within thirty (30) calendar days from the date of conviction, regardless of appeal rights.

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Section 3 How to Submit A Bid Proposal: Format and Content Specifications These instructions provide the format and technical specifications of the Bid Proposal and are designed to facilitate the submission of a Bid Proposal that is easy to understand and evaluate.

3.1 Bid Proposal Formatting.

Subject Specifications Paper Size 8.5" x 11" paper (one side only). Charts or graphs may be provided on legal-sized paper.

Font Bid Proposals must be typewritten. The font must be 11 point or larger

(excluding charts, graphs, or diagrams). Acceptable fonts include Times New Roman, Calibri and Arial.

Page Limit Pages included in Proposal Tab 3 and any attachments the Bidder creates in a “Tab 3 Attachments” section is limited to 50 pages. See Section 3.2 for further information about Tab 3 Attachments.

Pagination All pages in Proposal Tabs 1-5 are to be sequentially numbered from beginning to end (do not number these Proposal sections independently of each other).

The contents in Proposal Tab 6 may be numbered independently of other sections.

Bid Proposal General Composition

• Bid Proposals shall be divided into two parts: Technical Proposal and Cost Proposal.

• Technical Proposals submitted in multiple volumes shall be numbered in the following fashion: 1 of 4, 2 of 4, etc.

• Bid Proposals must be bound and use tabs to label sections.

Envelope Contents and Labeling

• Envelopes shall be addressed to the Issuing Officer.

• The envelope containing the original Bid Proposal shall be labeled “original.”

The Technical and Cost Proposal must be packaged separately.

Number of Hard Copies

Submit one (1) original hard copy of the Proposal (separate Technical and Cost proposals). The original hard copy must contain original signatures.

USB Flash Drive

• The Technical…