RFR 2103. Criminal Background Screening Services.pdf

Criminal Background Screening Services

RFR LOT# 2103 Page 1 of 21

The Commonwealth of Massachusetts

Massachusetts State Lottery Commission 150 Mount Vernon St., Dorchester, MA 02125

REQUEST FOR RESPONSE

Document Title:

COMMBUYS Bid Number: BD-20-1062-LOT-LOTDO-49154 MSLC Document Number: RFR LOT # 2103

RFR Release Date: March 12, 2020 RFR Response Due Date/Time: April 22, 2020 at 3:00 PM

Please note: This is a single document associated with a complete Bid (also referred to as

Solicitation) that can be found on www.COMMBUYS.com. All Bidders are responsible for reviewing and adhering to all information, forms and requirements for the entire Bid, which are all incorporated into the Bid. Bidders may also contact the COMMBUYS Helpdesk at

COMMBUYS@state.ma.us or the COMMBUYS Helpline at 1-888-MA-STATE. The Helpline is staffed from 8:00 a.m. to 5:00 p.m. Monday through Friday Eastern Standard or Daylight time, as applicable, except on federal, state and Suffolk county holidays.

http://www.commbuys.com/ mailto:COMMBUYS@state.ma.us

RFR LOT# 2103 Page 2 of 21

Table of Contents

1 REQUEST FOR RESPONSE INFORMATION

1.1 SUMMARY AND PURPOSE

1.2 RFR CALENDAR/TIMELINE

1.3 RFR INSTRUCTIONS

1.3.1 Response Submission:

1.3.2 Response Format:

1.3.3 Cost Proposal

1.3.4 Response Provisions:

1.3.5 Disqualification of Responses:

1.4 RFR EVALUATION PROCESS

1.4.1 Evaluation Process:

1.5 ORAL PRESENTATIONS / INTERVIEWS

1.6 RFR TERMS AND CONDITIONS

1.6.1 RFR General Information

1.6.2 Procurement Specifications

1.7 COMPONENTS OF PROCUREMENT

1.7.1 Duration and Renewal Options

1.7.2 Single or Multiple Contracts

1.7.3 Contract Guidelines

1.7.4 Contract Performance and Additional Business Specifications

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2 PHASE ONE REQUIREMENTS

2.1 MINIMUM QUALIFICATIONS

2.2 LEGAL AND OTHER REQUIREMENTS

2.3 DISCLOSURE STATEMENT

2.4 MANDATORY FORMS AND ENCLOSURES

2.5 COST PROPOSAL

3 PHASE II REQUIREMENTS

3.1 PERFORMANCE SPECIFICATIONS AND REQUIREMENTS

3.1.1 Important

3.1.2 Required Submissions

3.1.3 Vendor Requirements

RFR LOT# 2103 Page 4 of 21

1 REQUEST FOR RESPONSE INFORMATION

1.1 SUMMARY AND PURPOSE

The Massachusetts State Lottery Commission (MSLC) is soliciting Bidders for the acquisition of a criminal background screening service and system in accordance with MSLC statutory and regulatory mandates (M.G.L. c. 10, §§ 22-35; 961 CMR 2.00, et seq.).

The MSLC performs criminal background screening records checks on persons/applicants (to include any natural person, joint venture, partnership, corporation or other business or legal entity) who have applied to be licensed as a Lottery Retail Sales Agent to sell Lottery products. Said criminal record screening must be conducted in all states in which the applicant has resided, been employed, or attended school. The MSLC, at its discretion, may identify other grounds to establish a nexus between the applicant and a locale. The Massachusetts State Lottery Commission (MSLC) is seeking responses for criminal background screening services and a technical solution to track criminal background screening information in accordance with MSLC statutory and regulatory mandates

(M.G.L. c. 10, §§ 22-35, 37-40, 56-58; 961 CMR 2.00, et seq.).

The MSLC anticipates that the selected Bidder will conduct criminal background screening records checks on all new Lottery Retail Sales Agent applicants, and/or upon a change of corporate officers or substantial authority at an existing Lottery Retail Sales Agent location. The MSLC reserves the right to also request a criminal background screening record check on existing Lottery Retails Sales

Agents during the routine update of their Lottery account or at other permissible times.

1.2 RFR CALENDAR/TIMELINE

The following is the tentative time schedule for the MSLC’s selection of qualified Bidders under this

RFR. All dates are subject to change by the MSLC with notice on COMMBUYS.

Issuance of RFR March 12, 2020

Bidder Question Deadline March 26, 2020 at 5PM

Post Answers to Bidder Questions April 2, 2020

(posted on COMMBUYS at http://commbuys.com)

RFR Bidder Submission Deadline April 22, 2020 at 3PM

Approximate Notification of June 2020 Apparent Selected Bidder

NOTE: Questions concerning the RFR must be submitted in writing to:

Lee Conroy, Procurement Manager Massachusetts State Lottery Commission

ATTN: RFR LOT# 2103

E-mail Address: lotteryprocurement@masslottery.com

Contact with any other Lottery employee is expressly prohibited.

http://commbuys.com/

RFR LOT# 2103 Page 5 of 21

1.3 RFR INSTRUCTIONS

1.3.1 Response Submission:

The original, four (4) copies and two (2) USB sticks (or equivalent USB storage device) of the Bidder’s responses and attachments must be delivered in the same sealed package no later than April 22, 2020 at 3PM EDT.

THE COST PROPOSAL(S) MAY BE SUBMITTED IN THE SAME PACKAGE AS THE REST OF THE RESPONSE, BUT MUST BE SUBMITTED UNDER SEPARATE COVER IN A SEPARATE SEALED ENVELOPE LABELED

“COST PROPOSAL – RFR LOT# 2103”. DO NOT INCLUDE ANY COST PROPOSALS ON THE MEMORY

STICKS OR WITHIN THE ORIGINAL PROPOSAL SUBMISSION. FAILURE TO MEET THIS REQUIREMENT

MAY RESULT IN DISQUALIFICATION OF THE BID.

Responses and attachments received after this deadline date and time will not be evaluated. A facsimile or email response will not qualify as a “submission” for deadline purposes in advance of or in lieu of a hard copy submission. Facsimile and email responses will not be accepted.

Responses and attachments should be delivered to:

Lee Conroy, Procurement Manager Massachusetts State Lottery Commission

ATTN: RFR LOT# 2103

150 Mount Vernon Street

Suite 300 Dorchester, MA 02125

1.3.2 Response Format:

Failure to follow these requirements may result in the disqualification of the Bidder’s response.

Bidders are required to use the Response Templates which can be downloaded from COMMBUYS.

Required elements of a valid proposal response incorporate the following:

(a) Cover Letter

(b) Statement of Minimum Qualifications

(c) Representations and Warranties

(d) Legal and Other Requirements

(e) Disclosure Statement

(f) Mandatory Forms and Enclosures

(g) Specifications Narrative

(h) Cost Response(s) (Separate envelopes)

NO COST INFORMATION SHALL BE INCLUDED ANYWHERE IN THE RESPONSE EXCEPT IN A

SEPARATE SEALED ENVELOPE.

1.3.3 Cost Proposal.

THE COST PROPOSAL(S) MAY BE SUBMITTED IN THE SAME PACKAGE AS THE REST OF THE RESPONSE, BUT MUST BE SUBMITTED UNDER SEPARATE COVER IN A SEPARATE SEALED ENVELOPE LABELED

“COST PROPOSAL – RFR LOT# 2103”. FAILURE TO MEET THIS REQUIREMENT MAY RESULT IN

DISQUALIFICATION OF THE BID. PLEASE ALSO NOTE THAT THE COST PROPOSAL MUST HAVE AN

RFR LOT# 2103 Page 6 of 21

ORIGINAL SIGNATURE BY A PERSON AUTHORIZED TO BIND THE FIRM WITH RESPECT TO THIS RFR.

1.3.4 Response Provisions:

When responding to this RFR, Bidders should take note of the following provisions:

1.3.4.1 The MSLC reserves the right to request additional information from Bidders responding to this request. Additionally, upon reviewing the responses the Procurement Management

Team (“PMT”) may decide to have Bidders make oral presentations.

1.3.4.2 The MSLC reserves the right to reject any and all responses to this request, to waive any minor informality in a response, and to request clarification of information from any Bidder responding. The MSLC reserves the right to amend or cancel this RFR at any time.

1.3.4.3 All responses and their contents will become the sole property of the

Commonwealth/MSLC upon receipt and will not be returned to the Bidder.

1.3.4.4 The MSLC will not reimburse any Bidder for any costs associated with the preparation or submittal of any response to this request or for any travel and/or per diem incurred in any presentation of such responses.

1.3.4.5 The narrative response should address all items included in each section of the RFR.

1.3.5 Disqualification of Responses:

1.3.5.1 Late Proposals: Proposals that are received after the deadline date and time shall be automatically disqualified.

1.3.5.2 Non-responsive Proposals: A response that fails to meet any material term, condition, requirement or procedure of this RFR may be deemed unresponsive and disqualified. The

MSLC reserves the right to waive or permit cure of non-material errors or omissions. Non-responsive proposals shall also include, but are not limited to those responses which fail to address or meet any mandatory item.

1.3.5.3 Collusion: Collusion by two or more Bidders agreeing to act in a manner intended to avoid or frustrate fair and open competition is prohibited and shall be grounds for rejection or disqualification of a proposal or termination of this contract. Bidders will be required to complete a “Certificate of Non-Collusion” as one of the mandatory forms to this RFR.

1.3.5.4 Debarred Bidders or Subcontractors: A Bidder, who is currently subject to any

Commonwealth or federal debarment order or determination, shall not be considered for evaluation by the PMT. If a Bidder’s proposal is dependent upon the services of a named subcontractor and the disqualification of this named subcontractor would materially alter the proposal, then that proposal shall be deemed unresponsive if the named subcontractor is found to be debarred. Proposals that indicate that subcontractors will be used but do not rely on any specifically named subcontractor shall not be deemed unresponsive if the disqualification of a proposed subcontractor will not materially alter the proposal.

1.4 RFR EVALUATION PROCESS

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1.4.1 Evaluation Process:

The RFR Evaluation Process will be conducted in three phases. A review team, comprised of members from the PMT, will complete the Phase I Review for all proposal submissions. The purpose of the Phase I Review is to eliminate any bids that are non-responsive to the requirements of the

RFR. Bids that are deemed to be qualified based on the Phase I Review will be submitted to the PMT for additional review. The PMT will consist of staff from the MSLC. The PMT will make recommendations to the Executive Director who then makes a recommendation to the

Commissioners of the MSLC who will accept or reject the recommendation. (Phase I, Phase II and

Phase III of this RFR will be evaluated separately.)

1.4.1.1 Phase I Review:

Bidders’ responses will be reviewed based on listed criteria and completeness of response, including mandatory forms and compliance to submission criteria. Bids that do not comply with these components will be rejected and will not proceed to the Phase II Review. The MSLC reserves the right to waive or permit cure of non-material errors or omissions.

1.4.1.2 Phase II Review:

Qualified bids, based on the Phase I Review, will be considered for additional review in Phase II by the PMT. The Phase II Review may also include any oral presentation/interview as may be requested by the PMT; the PMT may adjust a Bidder’s score based on any clarification of the Bidder’s response at any such oral presentation/interview.

1.4.1.3 Phase III Review:

Cost will be evaluated in relationship to the Phase II Review and scoring of Bidders' responses. The selected bid will be determined based on the one that represents the "best value" overall and achieves the procurement goals.

1.5 ORAL PRESENTATIONS / INTERVIEWS

The PMT shall have the option to invite any or all of the Bidders to make oral presentations/come in for interviews. Oral presentations/interviews provide the PMT with an opportunity to evaluate the

Bidder through the presentation of their proposal. The decision to engage in oral interviews will solely be in the purview of the PMT. It will be within the full discretion of the PMT to determine the

Bidders to move on to oral presentations /interviews. If the decision is made to request oral presentations/interviews, then only Bidders that receive an invitation to participate in oral presentations/interviews will proceed to cost evaluation and Phase III. Bidders that do not receive an invitation to oral interviews will be eliminated from further consideration under this RFR. Bidders will not be informed of their rank at the time of the oral presentation/interview.

The time allotments and the format shall be the same for all oral presentations/interviews. The PMT may waive the location and medium requirements of an oral presentation/interview upon the written request of a Bidder due to special hardships, such as a Bidder with disabilities or limited resources. In these circumstances the PMT may conduct oral presentations through an alternative written or electronic medium (e.g., telephone, videoconference, TTY or Internet).

A Bidder is limited to the presentation of material contained in its proposal, with the limited exception that a Bidder may incorporate information relating to and which address specific

RFR LOT# 2103 Page 8 of 21 questions posed by the PMT. Any other correction or modification of the proposal or the presentation of supplemental information shall not be permitted. A Bidder’s attempt to submit such corrections, modifications or supplemental information during an oral presentation/interview may subject the Bidder’s proposal to disqualification. A Bidder’s failure to agree to an oral presentation/interview may result in disqualification from further consideration. Oral presentations may be recorded by the MSLC as a matter of public record.

On-Site Visits (Optional)

The PMT reserves the right to conduct on-site inspections of any or all Bidder locations at any time prior to the awarding of this contract to verify the Bidder’s ability to perform the services required.

The PMT shall schedule the time of these site visits and shall provide notice of at least three (3) business days before a visit. Failure to agree to a site visit may result in disqualification of a Bidder’s proposal. Only those firms that were evaluated in Phase II and were invited for an oral presentation

/interview will be the subject of an on-site inspection, in the event the PMT elects to conduct such an on-site inspection.

1.6 RFR TERMS AND CONDITIONS

1.6.1 RFR General Information

To the maximum extent possible and subject to the best interests of the MSLC, the MSLC follows the rules and regulations set forth in 801 Code of Massachusetts Regulations (“CMR”) 21.00:

Procurement of Commodities and Services in this RFR. Words used in this RFR shall have the meanings defined in 801 CMR 21.00. Additional definitions may also be identified in this RFR. All terms, conditions, requirements, and procedures included in this RFR must be met for a response to be qualified as responsive. A response that fails to meet any material term, condition, requirement or procedure of this RFR, at the sole discretion of the MSLC, may be deemed unresponsive and disqualified. The MSLC reserves the right to waive or permit cure of non-material errors or omissions. The MSLC and/or the PMT reserves the right to modify, amend or cancel the terms of the

RFR at any time.

Unless otherwise specified, all communications, responses, and documentation regarding this RFR must be in English, all measurements must be provided in feet, inches, and pounds, equipment must be new and of current manufacturing models and unused, and all cost proposals or figures in U.S.

Currency. All responses must be submitted in accordance with the specific terms of this RFR.

1.6.2 Procurement Specifications

1.6.2.1 Alternatives

A response which fails to meet any material term or condition of the RFR, including the submission of required forms, may lose points or be deemed unresponsive and disqualified. Unless otherwise specified, Bidders are encouraged to submit responses proposing alternatives that provide equivalent, better or more cost-effective performance than achievable under the stated RFR specifications. Such response should describe how any alternative achieves substantially equivalent or better performance to the RFR specification. These alternatives may include related services that may be available to enhance performance during the period of the contract. The response should

RFR LOT# 2103 Page 9 of 21 describe how any alternative achieves substantially equivalent or better performance to that of the

RFR specifications. The MSLC will determine if a proposed alternative method of performance achieves substantially equivalent or better performance. The goal of this RFR is to provide the best value of commodities and services to achieve the procurement goals of the MSLC. Bidders that propose discounts, uncharged commodities and services or other benefits in addition to the RFR specifications may receive a preference or additional points under this RFR as specified.

1.6.2.2 Best Value Selection and Negotiation

The PMT may select the response(s) that demonstrates the “Best Value” overall including proposed

Alternatives that will achieve the procurement goals of the Lottery. The Lottery and selected

Bidder(s) may negotiate a change in any element of performance, cost and/or deliverable pursuant to awarding of a contract, subsequent thereto if mutually agreed upon in writing, which results in lower costs or is more cost effective or is an overall better value.

1.6.2.3 Bidder Communication

Bidders are prohibited from communicating directly with any employees of the MSLC, including any

MSLC departments and divisions and affiliated commissions, boards, and trusts,1 or any member of the PMT regarding this RFR and may be disqualified for doing so at the discretion of the PMT, except as specified in this RFR, and no other individual Commonwealth employee or representative is authorized to provide any information or respond to any question or inquiry concerning this RFR.

Bidders may communicate with the contact person for this RFR in the event this RFR is incomplete or the Bidder is having trouble obtaining any required forms electronically through COMMBUYS

(https://www.commbuys.com).

1.6.2.4 Brand Name or Equal

Unless otherwise specified in this RFR, any reference to a particular trademark, trade name, patent, design, type, specification, producer or supplier is not intended to restrict this RFR to any manufacturer or proprietor or to constitute an endorsement of any service. The MSLC will consider clearly identified offers of substantially equivalent services submitted in response to such reference.

1.6.2.5 Change in Financial Condition

Bidders shall be required to immediately inform the Executive Director of the MSLC in writing of any major change in the financial condition or organization of the company. Misrepresentation or failure of the Bidder to notify the MSLC shall be grounds for contract award cancellation and/or termination.

1.6.2.6 COMMBUYS Market Center

COMMBUYS is the official source of information for this RFR and is publicly accessible at no charge at www.commbuys.com. Information contained in this document and in COMMBUYS, including file attachments, and information contained in the related Bid Questions and Answers (Q&A), are all components of the RFR, as referenced in COMMBUYS, and are incorporated into the RFR and any

1 For purposes of this RFR, “MSLC” includes the following departments, divisions, boards, trusts, and commissions: Office of the State Treasurer and Receiver General (“Treasury”), Advisory Board to the

Comptroller, State Retirement Board, Board of Bank Incorporation (Division of Banks and Loan Agencies), Water Pollution Abatement Trust (now known as the Clean Water Trust), Pension Reserves Investment

Management Board, Massachusetts Convention Center Authority, Massachusetts School Building Authority, Teachers’ Retirement Board, Alcoholic Beverages Control Commission, Health Care Security Trust, Commissioners on Fireman’s, Economic Empowerment Trust Fund, Mass Cannabis Control Commission http://www.commbuys.com/

RFR LOT# 2103 Page 10 of 21 resulting contract.

Bidders are solely responsible for obtaining all information distributed for this RFR via COMMBUYS.

RFR Q&A supports Bidder submission of written questions associated with a RFR and publication of official answers.

It is each Bidder's responsibility to check COMMBUYS for:

Any amendments, addenda or modifications to this RFR, and

Any RFR Q&A records related to this RFR.

The Commonwealth accepts no responsibility and will provide no accommodation to Bidders who submit a response based on an out-of-date RFR or on information received from a source other than

COMMBUYS.

Bidders may not alter (manually or electronically) the RFR language or any RFR component files.

Modifications to the body of the RFR, its specifications, or terms and conditions, which change the intent of this RFR are prohibited and may disqualify a response.

1.6.2.7 COMMBUYS Subscription

Bidders may elect to obtain a free COMMBUYS Seller subscription which provides value-added features, including automated email notification associated with postings and modifications to

COMMBUYS records.

All Bidders submitting a response to this RFR agree that, if awarded a contract: (1) they will maintain an active seller account in COMMBUYS; (2) they will, when directed to do so by the procuring entity, activate and maintain a COMMBUYS-enabled catalog using Commonwealth Commodity Codes; (3) they will comply with all requests by the procuring entity to utilize COMMBUYS for the purposes of conducting all aspects of purchasing and invoicing with the Commonwealth, as added functionality for the COMMBUYS system is activated; and (4) in the event the Commonwealth adopts an alternate market center system, selected Bidders will be required to utilize such system, as directed by the procuring entity. Commonwealth Commodity Codes are based on the United Nations Standard

Products and Services Code (“UNSPSC”).

The COMMBUYS system introduces new terminology, which bidders must be familiar with in order to conduct business with the Commonwealth. To view this terminology and to learn more about the

COMMBUYS system, please visit the COMMBUYS Resource Center.

1.6.2.8 Conflict of Interest

Prior to an award of any contract, the Bidder shall certify in writing to the MSLC that no relationship exists between the Bidder and the MSLC that interferes with fair competition or is a conflict of interest, and no relationship exists between the Bidder and another person or organization that constitutes a conflict of interest with respect to a state contract. No official or employee of the

Commonwealth who exercises any function or responsibility in the review or approval of the undertaking or carrying out of this project shall, prior to the completion of the project, voluntarily acquire any personal interest, either directly or indirectly, in this contract or proposed contract.

The Bidder shall provide assurance that it presently has no interest and shall not acquire any interest, either directly or indirectly, which will conflict in any manner or degree with the

RFR LOT# 2103 Page 11 of 21 performance of its services hereunder. The Bidder shall also provide assurances that no person having any such known interests shall be employed during the performance of this contract.

1.6.2.9 Costs

Costs that are not specifically identified and defined in the Bidder's response, and accepted by the

MSLC, will not be compensated. The MSLC is not responsible for any costs or expenses incurred by

Bidders in responding to this RFR.

1.6.2.10 Electronic Communication/Update of Bidder’s/Contractor’s Contact Information

It is the responsibility of the prospective Bidder and qualified company to keep current the E-mail address of the Bidder’s contact person and/or prospective contract manager, if awarded a contract, and to monitor that E-mail inbox for communications from the PMT, including requests for clarification. The PMT and the MSLC assume no responsibility if a prospective Bidder’s/awarded

Contractor’s designated E-mail address is not current, or if technical problems, including those with the prospective Bidder’s/awarded Contractor’s computer, network or Internet service provider

(“ISP”) cause E-mail communications sent to/from the prospective Bidder/awarded Contractor and the PMT to be lost or rejected by any means including E-mail or spam filtering.

1.6.2.11 Environmental Response Submission Compliance

In an effort to promote greater use of recycled and environmentally preferable products and minimize waste, all responses submitted should comply with the following guidelines:

- All copies should be printed double sided.

- All submittals and copies should be printed on recycled paper with a minimum post-consumer content of 30% or on tree-free paper (i.e., paper made from raw materials other than trees, such as kenaf). To document the use of such paper, a photocopy of the ream cover/wrapper should be included with the response.

- Unless absolutely necessary, all responses and copies should minimize or eliminate use of non-recyclable or non-reusable materials such as plastic report covers, plastic dividers, vinyl sleeves, and GBC binding. Three ringed binders, glued materials, paper clips, and staples are acceptable.

- Bidders should submit materials in a format which allows for easy removal and recycling of paper materials.

- Bidders are encouraged to use other products that contain recycled content in their response documents. Such products may include, but are not limited to, folders, binders, paper clips, diskettes, envelopes, boxes, etc. Where appropriate, bidders should note which products in their responses are made with recycled materials.

- Unnecessary samples, attachments, or documents not specifically asked for should not be submitted.

1.6.2.12 Estimated Provisions

The MSLC makes no guarantee that any commodities or services will be purchased from any qualification resulting from this RFR. Any estimates and/or past or current procurement volumes referenced in this RFR are included only for the convenience of Bidders, and are not to be relied upon as any indication of future purchase levels.

1.6.2.13 Freight

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Unless otherwise specified herein, all products and services shall be “FOB Destination”. The MSLC will not assume any separate freight, mileage, travel time or any other associated charges in addition to the bid price. Any charges of this nature must be included in the bid price.

1.6.2.14 Mandatories and Desirables

Mandatory specifications in this RFR are identified with the words "must", "shall", "will", "mandatory", or "is required". A mandatory specification is one that must be met in order for a response to be considered responsive. Any response, which fails to meet a mandatory specification of the RFR, will be deemed non-responsive and will be disqualified. Desirable specifications are designated with the words, "is desired", "desirable", and "highly desirable". Unless there is an explicit indication to the contrary stated in this RFR, Bidders may receive evaluation points for

“desirable” goods and services.

1.6.2.15 Minimum Bid Duration

Bidder must certify in their response that the submitted response, including costs, will remain in effect for 150 days from the date of bid submission until either the Bidder withdraws the response in writing, a contract is executed or the procurement is canceled, whichever occurs first.

1.6.2.16 News Releases

The selected Bidder shall not issue any news releases, advertising or promotional materials pertaining to the performance of the contract without prior approval by the Executive Director of the MSLC.

1.6.2.17 Payments

Payment shall be made for services only after such services have been delivered and accepted by the

MSLC. Payments shall be made only in arrears. No advance payments can be made to Contractors.

Payment will be made 45 days after acceptance and following receipt of invoice.

1.6.2.18 Prime Contractor Responsibility

The MSLC requires a single point of contact; Bidder acknowledges and accepts responsibility for performance of any Contract that may result from this RFQ. Subcontractors may be used, but the

Bidder accepts full responsibility for the subcontractor's performance. All subcontractors must be identified by the Bidder and the Bidder must describe the type of contractual arrangement that will exist with all subcontractors. The Bidder shall be responsible for meeting all of the terms of the

Contract resulting from the RFQ. Prior approval of the department is required for any subcontracted service of the contract. Bidders are responsible for the satisfactory performance and adequate oversight of its subcontractors. Subcontractors are required to meet the same state and federal financial and program reporting requirements and are held to the same reimbursable cost standards as selected Bidders.

1.6.2.19 Public Records

All responses and information submitted in response to this RFR are subject to the Massachusetts

Public Records Law, Massachusetts General Laws (“M.G.L.”), Chapter 66, Section 10, and Chapter 4, Section 7, Subsection 26. Any statements in submitted responses that are inconsistent with these statutes will be disregarded, and all submissions will be treated as confidential until the contract is awarded, all terms are negotiated and documents are executed.

1.6.2.20 Reasonable Accommodation

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Bidders with disabilities or hardships that seek reasonable accommodation, which may include the receipt of RFR information in an alternative format, must communicate such requests in writing to the RFR contact person. Requests for accommodation will be addressed on a case-by-case basis. A

Bidder requesting accommodation must submit a written statement which describes the Bidder’s disability and the requested accommodation to the contact person for the RFR. The PMT reserves the right to reject unreasonable requests.

1.6.2.21 Restriction on the Use of the Commonwealth Seal

Bidders and contractors are not allowed to display the Commonwealth of Massachusetts Seal in their response package or in any subsequent marketing materials if they are awarded a contract.

Use of the Coat of Arms and the Great Seal of the Commonwealth for advertising or commercial purposes is prohibited by law.

1.6.2.22 Prohibition Against Selling or Distributing Information

Any Bidder awarded a contract under this RFR is prohibited from selling or distributing any information collected or derived from the contract and/or procurement process, including lists of participating or eligible Commonwealth of Massachusetts employee names, telephone numbers, email addresses or mailing addresses.

1.7 COMPONENTS OF PROCUREMENT

1.7.1 Duration and Renewal Options

The MSLC intends to enter into a three (3) year contract with the selected Bidder(s) for the purchase of products outlined in this RFR. The MSLC may, at its option, extend the contract for two (2) additional one year period(s) for a maximum contract term not exceeding five (5) years, under the same or better terms and conditions as negotiated if deemed in the best interest of the MSLC.

Bidders who offer price guarantees for the life of the contract will be held to that offer or such better terms as may be negotiated and agreed upon by and between the MSLC and the selected

Bidder.

1.7.2 Single or Multiple Contracts

The MSLC reserves the right to award any contract to a single vendor or multiple vendors, in the best interest of the MSLC. The Bidder must agree to cooperate with such other Bidders, and must not commit or permit any act that may interfere with the performance of work by any other Bidder.

1.7.3 Contract Guidelines

It is the intent of this contract that the MSLC is the only user.

1.7.4 Contract Performance and Additional Business Specifications

1.7.4.1 Evaluation and Selection of Contractor

The MSLC shall have sole authority to evaluate and make the final selection of Bidder(s) for contract negotiation(s) pursuant to this RFR. The selection will be made after evaluation of both technical

(Phase I & II) and cost proposals (Phase III) by the PMT and final approval by the Commissioners of the MSLC.

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1.7.4.2 Change in Terms

The MSLC reserves the right to change, and/or amend the specifications identified in the RFR at any time prior to the closing date. The MSLC reserves the right to negotiate with the selected Bidder(s) as to any element of cost or performance, including without limitation, elements identified in the

RFR and/or the selected Bidder’s response in order to achieve the best value for the

Commonwealth. The MSLC reserves the right to procure some, all, or none of the services specified in this RFR.

1.7.4.3 Termination or Suspension

Once retained, a vendor’s service may be terminated or suspended from the MSLC’s contract for poor performance, failure to perform, fraud or other cause, including MSLC’s sole determination of performance, at any time without prior notice. Vendors may be terminated from the contract without cause with sixty (60) day prior written notice. The vendor may not terminate the contract or performance except upon a minimum of 150 days written notice to the MSLC.

1.7.4.4 Permits and Compliance

The vendor shall procure and pay for all permits, licenses and approvals necessary to perform the services solicited in this RFR. The Bidder shall comply with all applicable laws, ordinances, rules, orders and regulations related to the performance of the services solicited. The MSLC may, at its option, request documentation evidencing the vendor’s compliance.

1.7.4.5 Rejection of Proposals

The MSLC reserves the right to reject any and all proposals submitted under this solicitation.

1.7.4.6 Fees Subject to MSLC Signatory Authorization

All fees must be approved by the Executive Director or his designee and are subject to verification of performance.

1.7.4.7 Confidentiality Policy Regarding Bidder’s Support Staff and/or Vendors

The MSLC may require Bidders’ support staff or outside vendors to sign a confidentiality agreement for the confidential information they will have or have access to.

1.7.4.8 Concurrent Contracts Running (Renewals and Transitions)

The MSLC shall cancel the contract if funds are not appropriated or otherwise made available to support continuation of performance in any fiscal year succeeding the first year, in the sole determination of the MSLC, if awarded Bidder’s performance fails to meet contract requirements.

Any assistance required for this transition must be provided in a smooth and timely manner. If at any time the contract is canceled, terminated or expires, and a contract is subsequently executed with a firm other than the contractor, the contractor has the affirmative obligation to assist in the smooth transition of contract services to the subsequent contractor.

1.7.4.9 Price Limitation

The Bidder must agree that no other state or public entity customer within the Commonwealth of

Massachusetts of similar size and with similar terms and conditions shall receive a lower price for the same commodity and service during the contract period, unless this same lower price is immediately effective for the MSLC. Upon request by MSLC, the Bidder must agree to provide current or historical pricing offered or negotiated with other state or public entities at any time during the contract period in the absence of proprietary information being part of such contracts.

RFR LOT# 2103 Page 15 of 21

1.7.4.10 Submission of Proposal Materials and Oral Presentation

All materials, representations and submissions made within the proposal and at the oral presentation are subject to becoming part of the contract binding the selected Bidder to uphold the materials, representations and submissions made by the selected Bidder within the proposal and at the oral presentations.

1.7.4.11 Fiduciary Status of the Bidder/Firm; Chapter 268A

With respect to the performance of its duties and responsibilities hereunder, if awarded the contract, the Bidder/Firm acknowledges that it is a fiduciary, and that the Bidder/Firm will discharge its duties and responsibilities under this Agreement in accordance with the fiduciary standards of conduct and other requirements as they apply to the Bidder. The Bidder in submitting a response acknowledges and agrees to be subject to Massachusetts General Laws, Chapter 268A (the

Massachusetts "Conflict of Interest" statute), and is required to act and perform its duties in accordance with such provisions.

1.7.4.12 Security Breach Law, M.G.L. c. 93H

The Bidder hereby acknowledges and agrees to comply with the requirements and responsibilities, including those of providing notice and response, as set forth in G.L. c. 93H concerning Security

Breaches and any regulations implemented to effectuate security of “personal information” as defined in § 1 of G.L. c. 93H. Qualified Bidders must agree to protect the information, documents, materials (hard copy or digital) and selected Bidder(s) shall provide the same standards of care or better from disclosure as it would its own information, documents and or materials.

2 PHASE ONE REQUIREMENTS

Compliance with all criteria listed below is mandatory in order for a bid to be accepted for further review. Lack of compliance with the Phase One criteria will automatically disqualify the Bidder.

Phase One of Bidder’s response should demonstrate compliance with each of the conditions qualifying an institution to propose as outlined below.

2.1 MINIMUM QUALIFICATIONS

Bidders submitting Proposals must meet the following minimum qualifications to be given further consideration. Failure of a Bidder to meet the minimum qualifications applicable to this RFR will result in immediate rejection. The Bidder’s response to each minimum qualification component should be “yes” or “no” followed by a detailed statement of explanation. Please be advised that

Bidders are requested to specifically describe how the Bidder meets each of these minimum qualifications.

- Bidder must have been in a business similar to that described in this RFR for a minimum of five (5) years within the industry and have the demonstrated experience and capacity to handle the requirements herein.

2.2 LEGAL AND OTHER REQUIREMENTS

Subject to the following legal and contract requirements, all bidders must certify and/or provide in their response to the following:

1. As required in Phase I Response Template pp. 8-9.

RFR LOT# 2103 Page 16 of 21

2. Compliance with standards: Bidder shall ensure that all deliverables adhere and comply with industry standards.

3. Security and Confidentiality: Bidder shall hold in strictest confidence any information and material which is related to MSLC other than that information which is now in the public domain through no fault of the bidder, prior disclosure received by 3rd party, subsequent lawful disclosure or obligated to be produced by order of court of competent jurisdiction.

2.3 DISCLOSURE STATEMENT

As required in Phase I Response Template pp. 10-12

2.4 MANDATORY FORMS AND ENCLOSURES

Phase I of the Bidder’s response shall include the completed mandatory forms listed in the Phase I

Response Template pp. 13 –20. The Phase I Response Template and the subject forms can be found on COMMBUYS with this RFR. All mandatory forms and enclosures must be signed by an individual having authority to bind the bidding company and the “originals” should have an original signature in blue ink. Furthermore, the signatory must be listed on the Contractor Authorized Signatory Listing form provided in the RFR Response Template.

2.5 COST PROPOSAL

The original (including a handwritten signature using blue ink) and one (1) copy of the cost proposal must be placed in a separate, sealed envelope, clearly identified on the outside as “Cost Proposal –

RFR LOT# 2103 submitted by (COMPANY NAME).”

The Bidder must offer a fixed cost one (1) charge per person/applicant search which will cover any and all records checks (including known alias, prior names, or maiden name). (A fixed cost per person/applicant search). Cost Tables – Attachment M must be fully completed.

3 PHASE II REQUIREMENTS

3.1 PERFORMANCE SPECIFICATIONS AND REQUIREMENTS

Bidders must provide a narrative to the specifications below that acknowledges their methodology of compliance.

Bidders must include a completed copy of the Attachment N – Bidder Questionnaire. The Bidder

Questionnaire shows either compliance or non-compliance with the referenced paragraphs of the

Technical Specifications. In addition, Bidders must indicate the Section and page in which the compliance or non-compliance is stated.

3.1.1 Important

The MSLC, in its sole discretion, will identify the principal(s) deemed to have “substantial authority” in the Agents’ operation. For each such person identified, the MSLC will request that a criminal background screening records check be performed. The MSLC will provide the selected Bidder with the following information for each criminal background screening records check request in an encrypted file:

RFR LOT# 2103 Page 17 of 21

1) Last name (to include known alias or prior names, including maiden name);

2) Middle Name;

3) First Name;

4) Current Home Street Address;

5) Current Home City Address;

6) Current Home State Address;

7) Current Home Zip Code;

8) Social Security Number (SSN);

9) Date of Birth (DOB);

10) MSLC Reference Number(s); and

11) Applicant Business Name.

In response to each criminal background screening records check request submitted by the MSLC, the selected Bidder must do the following:

1. Must verify the identity and SSN of the person/applicant; (SSN validation).

2. Must determine all states in which the person/applicant has previously resided, been employed or attended school.

3. Must perform current criminal background screening records check in all such states where the person/applicant has an established nexus this should also contain a multi-state or national criminal database search and county criminal search. The scope of the search should be as far back as the record(s) allows, and must be detailed on invoicing.

4. Must submit an electronic response, in a format approved by the Lottery’s MIS Unit to a secure file server, for each person individually; grouping of records will not be permitted. Said response must include all of the information provided by the MSLC (detailed as 1-11 in the section above). A listing of all states in which it was determined that the person/applicant had a nexus, as well as a notation of “criminal record” or “no criminal record.”

a) If the person/applicant has “no record,” the selected Bidder will be required to maintain the official criminal background screening records check return documents, and simply report that there is no negative information concerning the applicant.

b) If the person/applicant has a criminal record, the selected Bidder must supply the MSLC with the actual criminal background screening records check report including but not limited to case/docket number of county searches and dispositions.

c) If the selected Bidder determines that the person/applicant’s name does not match his/her Social Security Number (SSN), the MSLC shall be notified immediately for clarification or additional information if required.

d) The selected Bidder agrees it shall maintain all of the criminal background screening data for not less than the life of the contract and for as long as is required by statute in a format that is easily accessible and agreeable to the MSLC and in compliance with all state federal and local laws and regulations such as: 201 CMR 17.00: Standards for the Protection of Personal Information of residents of the Commonwealth and other statutes and regulations that relate to the protection of personally identifiable information.

e) The selected Bidder agrees it shall transfer the criminal background screening data to the MSLC and/or to another vendor as specified by the MSLC at the end of the contract term. The manner of transfer of criminal background screening data must be approved by the MSLC in advance. The selected bidder is expected to provide

RFR LOT# 2103 Page 18 of 21 assistance to ensure a full transition in the event the MSLC decides to engage with another criminal background check provider.

5. Must be able to accept data from MSLC in an encrypted format.

6. Must complete investigations within fifteen (15) days or less, unless mutually agreed upon by the MSLC.

7. Must provide a real time “Status Report” available on-line to review the standing of a submitted request within one (1) business day of submittal.

8. Individual person/applicant results must be returned upon completion; and not invoiced prior to completion.

9. Must have the ability to perform approximately twenty (20) to fifty (50) criminal background screening records checks per week, although the Lottery makes no representations or guarantees about the number of checks/searches to be conducted.

10. The Docket Number, or other reference number, must be included on all returns with records.

3.1.2 Required Submissions

1. Bidders must provide a detailed description of how they perform a criminal background screening records check both locally and nationally including the sources of information used or contacted in the course of such criminal background screening records check.

2. Bidders must provide a sample report similar to the report required by this RFR with all names and privileged information redacted. This should include a representative sample of each service offering.

3. Bidders must provide a detailed narrative description of the work performed for other private clients, government agencies, etc., where the work was similar to the requirements specified herein and/or where the Bidder feels the work would provide the MSLC a better understanding of their capabilities.

4. Bidders must identify the specific individual(s), who will coordinate and perform the services for the MSLC and include a detailed resume of the individual’s or individuals’ educational and professional background, experience and accomplishments. The selected Bidder shall commit to providing a team and a team Lead for the MSLC. If the Team Lead(s) are re-assigned or no longer assigned to the MSLC account, the Bidder shall fill the vacant position with an individual who has comparable or better experience, and training. That replacement shall be made subject to MSLC’s approval.

5. Bidder must provide detail on internal staff that would be assigned to ensure full online integration with the MSLC’s online licensing system. Staff should include, but not be limited to technical project manager, IT analyst, etc.

6. Bidders must provide a summary description of their company (entity) including but not limited to, the structure (proprietorship, partnership, corporation, etc.), principals of the entity, number of employees, locations, etc. Bidders must also provide a description of the resources available to the entity to assist in performing the work required in this RFR, such as computer resources and proper records retention.

7. It is highly desirable that the selected Bidder’s reputation be of the highest quality and integrity. Please provide any evidence of the firm’s reputation locally, nationally, and internationally. Please also provide a brief overview of the history/background of the firm.

8. Bidders must, if applicable, list and describe all litigation (including outcome) for the last five

(5) years which relates to any action taken by a private, state or federal actor against the Bidder as a whole or an employee(s) specifically, which emanates from the improper conduct of any employee/former employee(s) during their term of employment with the Bidders. This must include, but not be limited to, actions of perjury, bribery, corruption, conflict of interest, RFR LOT# 2103 Page 19 of 21 larceny, environmental violation, and other civil and/or criminal actions which would be contrary to the accepted conduct of a Vendor working in partnership with a State Agency. The selected Bidder must continue to provide any such new information, including but not limited to notices of bankruptcy, litigation, and contract defaults, during the life of the contract period.

9. The Bidder must provide audited financial statements (income statements, balance sheets, and cash flow statements) for the most recent three years.

The MSLC reserves the right to reject a response based on the bidder(s) financial strength.

10. Bidders must, if applicable, list and describe any security breaches, which they have had any involvement with, that have occurred in the last five (5) years. Please describe action taken to stop the breach, effectively notify those affected and the recovery plan implemented.

11. Bidders must describe the format they intend to use to invoice the Lottery. The invoices must provide the Lottery with easily understood information to be able to properly and completely monitor project status relative to payments. This must include, but not be limited to: MSLC Reference Number, Contract Number, dates of service, a unique Invoice Number, specific tasks, etc. Invoice should specify all counties searched relevant to applicants’ social security number. Electronic submission of invoices is acceptable to the MSLC’s Finance Accounts Payable Division upon request of the format. Invoices must be sent via email to accountspayable@masslottery.com

3.1.3 Vendor Requirements

1. The selected Bidder must be a member of the Professional Background Screening Association

(PBSA).

a. It is highly desirable that the Bidder be accredited by the PBSA and should submit documentation of accreditation and provide the most recent audit report resulting from the accreditation program.

2. Bidders must provide a copy of their current security policy, data retention, and disposal policies and how they comply with the State of Massachusetts retention laws as an Attachment.

3. The Bidder must exercise due diligence when handling, transmitting or otherwise disclosing confidential person/applicant information, to properly protect the confidentiality of all personally identifiable information (PII) contained in any disclosure and dispose of confidential information appropriately and securely as mandated by law. Please detail how this is accomplished.

4. Bidders must describe how data is stored and securely accessed.

5. Bidder must provide a detailed description to define the training program for…