Workers’ Compensation Third-Party Adjuster.docx

REQUEST FOR INFORMATION

PROJECT TITLE: Workers’ Compensation Third-Party Adjuster

RFI # 848371

This Request for Information (RFI) is issued by the University of Washington (the University) to solicit information for a third-party provider that can be part of a feasibility study that is being conducted to evaluate the costs and benefits of a worker injury self-insurance program. Self-insured claims must be managed in compliance with all Washington State industrial insurance laws and regulations. A third-party administrator (TPA) vendor is often contracted by the employer for claims management services, and this RFI is being utilized as part of the self-insurance application process where an employer must indicate a potential TPA.

If applicable the University intends to issue a resulting RFP for these services in the near future.

In drafting this RFI, the University has included many, but not all, specifications or details regarding baseline functionality of the Workers’ Compensation Third-Party Adjuster. The University’s expectation is to find information about vendors who can work with us as we apply to be self-insured for workers’ compensation. We need the vendors to be able to answer questions on the L&I self-insurance application.

This RFI is open to those Contractors that satisfy the minimum qualifications stated herein and that are available for work in Washington State.

Contents of this RFI

I. General Instructions

II. Requirements

Section I General Instructions

1.1 PURPOSE

The purpose of this RFI is to find out information about vendors who are able to answer questions on the L&I application.

1.2 RFI COORDINATOR

The RFI Coordinator is the sole point of contact at the University for this Procurement. All communication between the Contractor and the University upon release of this RFI shall be with the RFI Coordinator, in writing, as follows:

Silvia Andersen silvif@uw.edu

1.3 Definition of Terms

“Request for Information”, “RFI”

A written solicitation document which identifies the UW’s need, and Contractors are invited to submit information which outlines their solution to the need, their qualifications and experience to provide the services, and related costs or fees.

1.4 TIMETABLE

1.5 WORKDAY SUBMISSION

Contractors shall submit information in PDF or Word format, via the University’s Workday Strategic Sourcing website. Information must be submitted on or before the time specified in 1.4 Timetable. Any information received after that date and time may not be considered. All information shall remain valid for a minimum of 180 days following the RFI closing date.

Vendors can register for the sourcing event by visiting https://university-of-washington.public-portal.us.workdayspend.com/

Search using reference # 848371

Option 1 – Select Bid > Register

Option 2 – Select the title of the RFI and select Start Bid > Register

1.6 INQUIRIES

All questions must be submitted in writing via the Workday Strategic Sourcing website citing the RFI section and paragraph number, and utilizing the attached template/Attachment E. Depending upon the nature of the inquiry and the response, copies of the question and response may be distributed to all other potential Contractors. The closing date for asking questions is given in Paragraph 1.4. The University may exercise its option not to reply to Contractor inquiries; therefore, Contractors should be prepared to submit information based on the information as outlined in the RFI.

1.7 COMPLAINTS

A. Contractors may submit a complaint to the RFI Coordinator based on any of the following:

· The solicitation unnecessarily restricts competition;

· The solicitation evaluation or scoring process is unfair or flawed; or

· The solicitation requirements are inadequate or insufficient to prepare a response.

B. Contractors may submit complaints up to five (5) business days prior to the information due date. Complaints must meet the following requirements:

· Must be in writing;

· Must be sent to the RFI Coordinator, or designee;

· Should clearly articulate the basis for the complaint; and

· Should include a proposed remedy.

The RFI Coordinator or designee will respond to complaints in writing; the response to complaints including any changes to the solicitation will be posted as an amendment on WEBS, https://fortress.wa.gov/ga/webs/ and in Workday. The complaint may not be raised again during the protest period. The complaint process does not include an appeal process.

1.8 Interpretation of the RFI

Should any discrepancies be found in or omissions from the specifications, or doubt as to their meaning, the Contractor shall at once notify the RFI Coordinator, in writing. The RFI Coordinator will send written instructions or addenda as required to all interested parties. All addenda issued shall be incorporated into the contract. The University shall not be responsible for or bound by oral interpretations. Only questions answered by written addenda are binding. Questions received less than five (5) working days before the proposed due date for submission of information cannot be answered.

1.9 REVISIONS TO THE RFI

The University reserves the right to change the acquisition schedule or cancel the RFI at any time. The University reserves the right to make corrections or amendments due to errors identified in the RFI by the University or a Contractor. Any changes will be dated and attached to, and made a part of, the RFI. All changes must be coordinated in writing with, authorized by, and made by the RFI Coordinator.

All RFI corrections and amendments will be posted to https://fortress.wa.gov/ga/webs/ and also to the Workday Strategic Sourcing website. Contractors are responsible for checking the website for this information.

1.10 Cost of Information

Costs incurred in preparing and presenting the information or incurred in any other manner by the Contractor in responding to this solicitation are not reimbursable and may not be charged to the University.

1.11 Withdrawal or Modifications of Information

Any Contractor may withdraw their information upon written request at any time prior to the scheduled due date for submission of information.

1.12 Public Disclosure

The University is subject to RCW 42.56 (Public Records Act). All Contractor responses and any subsequent Contract will be “public records” as defined in RCW 42.56.010

The Contractor must clearly specify any specific information that it claims is confidential or proprietary. Marking of the entire response or entire sections as proprietary will not be honored. The University may not accept responses where pricing is marked as proprietary.

All responses received will remain confidential until the Contract, if any, resulting from this RFI is signed by the University and thereafter, the Responses will be deemed public records.

To the extent consistent with RCW 42.56, the University will maintain the confidentiality of all information marked confidential or proprietary. If a request is made to view the Contractor’s information, the University will notify the Contractor of the request and the date that such records will be released unless the Contractor obtains a court order enjoining that disclosure. The Contractor will have five (5) business days from receipt of notice to obtain the court order. If the Contractor fails to obtain the court order enjoining disclosure, the University will release the requested information on the date specified.

1.13 RESPONSIVENESS

All Information will be reviewed by the RFI Coordinator to determine compliance with administrative requirements and instructions specified in this RFI. The Contractor is specifically notified that failure to comply with any part of the RFI may result in rejection of the Information as non-responsive.

1.14 No Obligation to Contract

This solicitation does not obligate the University of Washington to contract for the solicited services specified herein.

1.15 PUBLICITY

Advertising, including use of the University marks and logos, press releases, or any other general public announcement by a Contractor, stating the availability of its products or services to University employees is strictly prohibited unless the Contractor has obtained prior written authorization from the UW Procurement Services Department.

1.16 NON-ENDORSEMENT

The Contractor agrees to make no reference to the University in any literature, promotional material, brochures, sales presentation or the like without express written consent of the University.

1.17 GRATUITIES

In accordance with RCW 42-52-150 and 160, Ethics in Public Service, no gifts, gratuities or any item of economic value may be accepted by University employees. Contractors agree to offer no such items to any University employee.

SECTION II

REQUIREMENTS

2.1 INFORMATION REQUIREMENTS AND INSTRUCTIONS

The services by a TPA are guided by the WA Department of Labor & Industries Claims Adjudication Guidelines. Additionally, we would expect the TPA to provide the University of Washington (UW) worker injury data and trends for the purposes of loss prevention and mitigation.

Hardline Requirements

· Financial strength/stability

· Regulatory compliance

· Approval of Excess Carrier

· Licensed to conduct business in WA

· Adjusters Certified to administer claims in WA

Consideration Criteria

· Industry Reputation

· Dedicated Client Services Manager

· Experience managing claims in your industry

· Reporting to Excess Carrier

· Medical Bill Repricing Services

· Subrogation Management

· RMIS Technology & Capabilities

· Data Analytics

· OSHA Reporting

· Claims Access

· Multi-tier Location Coding

· Local Presence/knowledge

· Culture

· Medical Community

· Vendor Relationships

· WC Department & Court Decisions

· After Hours resources for catastrophic losses

· Adjuster Turnover

· Adjuster Caseload

· Supervisor Oversight of Claims

· Bilingual Adjusters/Translation Services

· Legislative & significant Case Law updates

2.2 FUNCTIONAL, TECHNICAL AND PERFORMANCE REQUIREMENTS

1. Claims Processing:

· Initial Reporting: TPA receives and documents the initial claim report from the injured worker or employer.

· Investigation: Gather all necessary information, including medical records, witness statements, and accident reports, to determine the validity of the claim.

· Decision Making: Based on the investigation, TPA decide whether the claim is compensable under the workers’ compensation policy.

2. Regulatory Compliance:

· Timely Decisions: TPA must make decisions on claims within specific time frames set by state laws.

· Accurate Payments: Ensuring that all payments, including medical bills and wage replacement, are made accurately and on time.

· Documentation: Maintaining detailed records to demonstrate compliance with all regulatory requirements.

3. Coordination with Service Providers:

· Medical Providers: TPA works closely with doctors and hospitals to ensure that the injured worker receives appropriate medical care.

· Legal Professionals: TPA may coordinate with attorneys to handle disputes or litigation related to claims.

· Rehabilitation Services: Arranging for vocational rehabilitation or other services to help the injured worker return to work.

4. Data Analytics and Reporting:

· Trend Analysis: Using data to identify patterns in claims, such as common types of injuries or high-risk areas. Offers ideas on worker injury prevention for loss control purposes. Works with UW’s Environmental Health & Safety to analyze injuries to prevent recurrence.

· Fraud Detection: Analyzes data to detect potential fraudulent claims.

· Reporting: Generating regular reports for insurers and employers to provide insights into claim trends and outcomes.

5. Customer Service:

· Communication: Keeps claimants and employers informed throughout the claims process.

· Support: Provides assistance and answering questions to ensure a smooth and transparent process.

· Feedback: Gathers feedback to improve services and address any concerns.

6. Cost Management:

· Negotiation: Works with medical providers and other service providers to negotiate cost-effective solutions.

· Expense Monitoring: Keeps track of all expenses related to claims to ensure they are within budget.

· Cost Reduction: Implements strategies to reduce overall claim costs, such as early intervention programs.

7. Expertise in Specialized Areas:

· Industry Knowledge: Has in-depth knowledge of higher education and healthcare to accurately assess claims.

· Specialized Claims: Handles specialized types of claims, such as those involving long-term disability or catastrophic injuries.

Section III Attachments

1. Attachment A. Data Processing Agreement

4. Attachment D. University of Washington General Terms and Conditions

5. Attachment E Question Template image1.emf

C-to-P-DPA.docx

UNIVERSITY OF WASHINGTON

CONTROLLER TO PROCESSOR

DATA PROCESSING AGREEMENT

Introduction, Parties, AND Effective Date

This Data Processing Agreement (the “DPA”) is hereby incorporated into and amends the [insert name of Underlying Agreement] (the “Agreement”) between the University of Washington, an agency of the State of Washington, with its main campus located in Seattle, Washington (the “University”) and [insert entity name], a [insert name of jurisdiction within which entity was formed (ex. Delaware)] [insert type of entity type (ex. corporation)], with a principal place of business at [insert entity’s address] as of the Effective Date below. With respect to Data Processing performed under the Agreement and this DPA, the University is the Controller and the [insert non-UW entity] is the Processor. The parties agree as follows:

Definitions

1. “Controller” refers to the person or entity that determines the purpose and means for Data Processing.

2. “Data Breach” means any technical or physical incident or set of circumstances that leads to the unauthorized, accidental or unlawful access to, or destruction, loss, alteration, or disclosure of, University Personal Data undergoing Data Processing by the Processor.

3. “Data Processing” means any operation(s) performed on University Personal Data, whether or not by automated means, such as collection, recording, organization, storage, adaptation, alteration, retrieval, consultation, access, use, disclosure by transmission, dissemination, combination, restriction or destruction.

4. "Data Request” means a request to exercise rights available under any applicable law with respect to University Personal Data.

5. “Processor” refers to the person or entity that performs Data Processing on behalf of the Controller.

6. “Sub-processor” means any person or entity appointed by or on behalf of the Processor to carry out any portion of the Work.

7. “University Personal Data” or “UPD” means any records or information relating to an identified or identifiable natural person, such as name, identification number, location data, online identifiers, or factor(s) specific to physical, physiological, genetic, mental, economic, cultural, or social identity or characteristics, or is identified as personally identifiable data (or a similar term) by any applicable law, that:

a. Is created, received, or maintained by the University and transmitted to, accessed by, or otherwise made available to the Processor in connection with the Processor’s performance of the Work;

b. Is created or compiled by the Processor in performing the Work; or

c. Is appended to, aggregated with, or associated with any University Personal Data originating from the University that was transmitted to or accessed by the Processor in connection with the Processor’s performance of the Work.

Notwithstanding the foregoing, UPD does not include personal data relating to the Processor’s or Sub- processor’s personnel or personal data that is acquired from non-UW sources and is processed by the Processor not in association with the Work.

8. “Processor” as used in this DPA includes both the Processor identified above, and any third party and/or entity that owns or controls, is owned or controlled by, or is under common ownership or control with the Processor, where control is defined as the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of an entity, whether through ownership of voting security, by contract, or otherwise.

9. “Work” refers to any and all activities carried out by the Processor or a Sub-processor in providing services, work product or deliverables under the Agreement, or in fulfilling any other obligations set forth in the Agreement.

standard of care

1. The Processor represents and warrants that any Data Processing shall be by personnel who (a) are obligated to maintain confidentiality under applicable law or job expectations, and (b) are sufficiently trained and experienced to use reasonable care commensurate with state-of-the-art professional practices to comply with the obligations in this DPA.

2. The Processor shall ensure that there are appropriate personnel-vetting processes, and appropriate policies and/or controls over activities as necessary to safeguard UPD per this DPA and applicable law.

3. Prior to the disclosure of UPD to, or the commencement of Data Processing by any Sub-processor, the Processor shall cause each Sub-processor to execute an agreement with the Processor that includes terms and conditions which establish at least the same level of protection for UPD as those set out in this DPA and applicable law. If a Sub-processor fails to fulfill its data protection obligations under this DPA or applicable law, the Processor shall remain fully liable to the University for the performance of that Sub-processor’s obligations.

purpose And LIMITS OF DATA PROCESSING

1. The Description of Data Processing Exhibit to this DPA sets forth certain information relating to the Data Processing by the Processor for the purpose of carrying out the Work. The Processor may only engage in Data Processing for the limited purpose described in the Description of Data Processing Exhibit (the “Purpose”). The Processor shall limit its Data Processing to include only the minimum UPD needed to fulfill the Purpose. The Processor’s Data Processing will not involve any secondary uses of UPD beyond the Purpose. Without limiting the generality of the foregoing, the Processor shall not use any UPD to market or sell goods or services to persons named or otherwise identified in UPD.

2. When the University reasonably deems necessary to meet its own requirements and/or applicable laws, the University may make reasonable changes to the Data Processing by amending the Description of Data Processing Exhibit or providing the Processor with an additional exhibit in the same form as the Description of Data Processing Exhibit. Any material change to the Description of Data Processing Exhibit that increases the cost of the Work shall be subject to the mutual agreement of the parties.

3. The University shall have sole control over determinations related to (a) the lawfulness of the Data Processing, and (b) the necessity of any privacy notice to and/or solicitation of consent from individuals whose personal data will undergo Data Processing in relation to the Work.

Non-Disclosure AND DATA REQUESTS

1. UPD shall not be disclosed by the Processor (or any Sub-processor) to a third party, unless the University grants permission in writing to the Processor to disclose, or unless such disclosure is required by applicable law.

2. If the Processor receives any subpoena, discovery request, court order, or other legal request or order that calls for disclosure of any UPD, then the Processor shall promptly notify the University unless specifically prohibited by law from doing so. The Processor’s notification shall give the University sufficient time to object to the disclosure, obtain a protective order, or otherwise protect UPD by limiting disclosure. The Processor shall provide the University with prompt and full assistance in the University’s efforts to protect UPD. Any disclosure pursuant to this section shall be limited to the minimum disclosure required by law.

3. The Processor shall assist the University by implementing technical and organizational measures, to the extent practicable, in order for the University to meet its obligations (as understood by the University) to respond to Data Requests relating to UPD held by the Processor. The Processor shall promptly notify the University if the Processor receives a Data Request, assist the University in the University’s response, and respond to the Data Request directly only on the documented instructions of the University or as required by applicable laws to which the Processor is subject, in which case the Processor shall, to the extent permitted by applicable laws, inform the University of the Processor’s legal obligations before any response to the Data Request.

Compliance and Data Transfers

1. The Processor shall conduct all Work and Data Processing in full compliance with any and all applicable statutes, regulations, rules, standards and orders of any official body with jurisdiction over the Processor or the University. Applicable statutes, regulations, rules, or orders may include, but are not necessarily limited to:

a. The Family Educational Rights and Privacy Act (“FERPA”), 20 U.S.C. §1232g; 34 CFR Part 99;

b. The Health Insurance Portability and Accountability Act (“HIPAA”), 42 U.S.C. § 300gg and 29 U.S.C § 1181 et seq. and 42 USC 1320d et seq.; and/or the Washington Health Care Information Act, Ch. 70.02 RCW; and

c. European Union General Protection Data Regulation (“GDPR”), Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016. The University’s obligations and rights with respect to GDPR are set forth in the Agreement and this DPA. The Agreement, this DPA, and any directions contained in notices from the University to the Processor pursuant to § J.4 together constitute the University’s documented instructions to the Processor for the purposes of GDPR. The subject matter of the Data Processing with respect to GDPR is the Work, as defined above, in the Agreement, and/or in the Description of Data Processing Exhibit to this DPA (including any change(s) pursuant to § D.1). Compliance with GDPR includes, without limitation, the following:

i. The Processor shall provide the University with assistance and information required by GDPR, to the extent applicable, as it relates to Data Processing. As contemplated by GDPR, the Processor’s provision of assistance may relate to data protection impact assessments, prior consultations, demonstration of compliance with Article 28 of GDPR, and audits. The Processor will also immediately notify the University if, in its opinion, a University instruction infringes GDPR.

ii. The Sub-processors that are identified and described by the Processor in the Description of Data Processing Exhibit of this DPA are the only Sub-processors permitted to perform Data Processing. Prior to engaging a new Sub-processor for Data Processing, the Processor shall: (1) notify the University in writing of the intended addition or replacement of the Sub-processor; and (2) give the University the opportunity to object to such change.

2. For Data Processing that involves transfers of UPD from the European Economic Area, Switzerland, or the United Kingdom to a country that does not ensure an adequate level of data protection (including, but not limited to, the United States) within the meaning of the applicable laws of the foregoing territories, the Standard Contractual Clauses (accessible at https://privacy.uw.edu/design/agreements/dpa/ shall govern such transfers.

SAFEGUARDING DATA

1. Taking into consideration the state of the art, costs of implementation and the nature, scope, context and purposes of the Data Processing, the likelihood and potential severity of risks to the rights and freedoms of natural persons, and the risk of Data Breach, the Processor represents and warrants that it shall implement technical, physical, and administrative security measures appropriate to such risks, which may include, but are not necessarily limited to:

a. The de-identification, anonymization, pseudonymization, and encryption of UPD;

b. The ability to ensure the ongoing confidentiality, integrity, availability and resilience of processing systems, facilities, and services;

c. The ability to restore the availability of and access to UPD in a timely manner in the event of a physical or technical incident; and

d. A process for regularly testing, assessing, and evaluating the effectiveness of technical, physical, and administrative measures for ensuring the security of the Data Processing.

2. The Processor’s measures for protecting UPD shall (a) meet or exceed industry best practices for safeguarding personal data, and (b) be based on the concepts of privacy by design and by default.

DATA BREACH responsE

1. The Processor shall have sufficient capabilities for detecting, identifying, and responding to a Data Breach.

2. If the Processor has reason to believe that a Data Breach has occurred, then, without undue delay, the Processor shall notify the University of said Data Breach. Such notification to the University shall include sufficient information to enable the University to meet its obligations under applicable law.

3. In the event of a Data Breach, the Processor shall cooperate with the University and immediately:

a. Investigate and identify the nature of the Data Breach;

b. Preserve relevant evidence;

c. Contain, remediate, and mitigate the Data Breach; and

d. Notify the University of any additional or newly-emerged information beyond the initial Data Breach notification to the University described in § H.2.

4. In the event of a Data Breach caused in whole or part by the Processor:

a. The University may instruct the Processor, at the Processor’s expense, to provide:

i. Notice when required by applicable law, or when a Data Breach could result in harm to individuals and/or risk to the University; and/or

ii. Services such as credit monitoring or identity theft protection to individuals when the absence of such services could result in harm to individuals and/or individuals would have a reasonable expectation that such services be provided.

b. Alternatively, the University may elect to provide the aforementioned notice and services itself.

5. Notwithstanding the foregoing, unless the Processor is required by law to provide the aforementioned notice and/or services in a particular manner, the University shall control the time, place, content, and manner of such notice and services.

DISPOSITION OF UPD UPON Termination OR FULFILLMENT OF PURPOSE

4. The duration of Data Processing by the Processor shall be no longer than the expiration or termination of the Agreement or fulfillment of the Purpose with respect to UPD, whichever is earlier.

5. Upon expiration or termination of the Agreement, or fulfillment of the Purpose with respect to UPD, whichever is earlier, the Processor shall transfer to the University any and all UPD, unless otherwise instructed by the University in writing.

gENERAL TERMS

1. SURVIVAL AND ORDER OF PRECEDENCE. This DPA shall survive the expiration or earlier termination of the Agreement. In the event the provisions of this DPA conflict with any provision of the Agreement, or the Processor’s warranties, support agreement, or service level agreement, the provisions of this DPA shall prevail.

2. SEVERABILITY. If any provision of this DPA is found to be unenforceable, the remainder of the Agreement and this DPA shall remain in effect.

3. HEADINGS FOR CONVENIENCE ONLY. Any and all subject headings are not substantive and are for convenience only.

4. NOTICES. Any notices or communications required or permitted to be given by this DPA must be (a) given in writing, and (b) personally delivered; mailed by prepaid, certified mail, or overnight courier; or transmitted by electronic mail (including PDF) with receipt acknowledged, to the party to whom such notice or communication is directed, or to the mailing address or regularly monitored electronic email address of such party.

IN WITNESS WHEREOF, this DPA has been executed as of the date of the last party to sign below (“Effective Date”). If signed in counterparts, then each shall be considered an original thereof.

University:

Signature

Processor:

Name and Title

Date

DESCRIPTION OF DATA PROCESSING EXHIBIT

This Description of Data Processing Exhibit to the Data Processing Agreement (the “DPA”) sets forth certain information relating to the Data Processing, current as of the date of the last signature below (including in a countersigned version of this Description of Data Processing Exhibit), that the Parties anticipate will be carried out in connection with the Work as defined in the DPA. This version of this Description of Data Processing Exhibit may be superseded by subsequent versions issued in accordance with Section § D.2 of the DPA.

1. NATURE AND PURPOSE

[Describe the nature (such as the operations to be undertaken by the Processor, volume of personal data, etc.) and the purpose (such as the University’s mission and the University department or unit’s specific objectives that will be fulfilled through the Processor’s Data Processing)]

2. CATEGORIES OF DATA SUBJECTS

[List the categories of individuals about whom personal data relates (such as currently enrolled undergraduate students, prospective academic personnel, alumni who have donated to the University between 2008-2018, etc.)]

3. TYPES OF PERSONAL DATA

[List the personal data points that will undergo Data Processing including any special categories of personal data. NOTE: special categories of personal data include information relating to racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, and the processing of genetic data, biometric data for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person’s sex life or sexual orientation.]

4. PROCESSOR CONTACT PERSON

[Insert name, title, mailing address, email address, and phone number]

5. UNIVERSITY DEPT/UNIT CONTACT PERSON

[Insert name, title, mailing address, email address, and phone number]

6. SUB-PROCESSORS

[The Processor must list all Sub-processors that will perform any GDPR-governed Data Processing (such as cloud storage providers, hosting providers, etc.), with an explanation of each Sub-processor’s Data Processing activities. If GDPR does not apply or the Processor does not use any Sub-processors for GDPR-governed Data Processing, insert “Not Applicable”.]

University:

Processor:

Controller to Processor Data Processing Agreement

Version September 2021 image1.gif image2.emf

Confidentiality Statement RFP.docx Attachment B

To be completed and returned with proposal

CONFIDENTIALITY STATEMENT

The provider of services shall keep all work and services carried out hereunder for the University of Washington entirely confidential and not use, publish or make known any information to any persons other than the personnel of the parties of the agreement. The confidentiality of such information will survive the conclusion of the provider’s work and the termination of the agreement.

AGREED TO:

Signature: ____________________________________________________

Printed Name: ________________________________________________

Date: ________________

RFQQ 11-0025 Attachment B image1.jpeg image3.emf

OMWBE RFP.doc

ATTACHMENT C

Complete and return with proposal

Minority and Women's Business Enterprise (MWBE) Response Form

This solicitation includes voluntary goals for MWBE participation. If the Vendor has been certified by the State of Washington Office of Minority and Women's Business Enterprises (OMWBE), please complete Part 1 below. If the Vendor is proposing to subcontract or joint venture with certified Minority Business Enterprises (MBE's) or Women's Business Enterprises (WBE's) please complete Part 2. If the Vendor proposes no MWBE participation in the bid, so indicate in Part 3.

1.

MWBE VENDOR:

Vendor is certified by the OMWBE as: (check as applicable)

MBE

FORMCHECKBOX

Both Minority and Woman Owned FORMCHECKBOX

WBE

FORMCHECKBOX

Combination 50% Minority / 50% Woman Owned FORMCHECKBOX

2.

MWBE SUBCONTRACT PARTICIPATION:

The voluntary goals for MWBE participation in this contract are established in the accompanying solicitation. Vendor proposes to include certified MWBE's in the contract as described below:

Certified MWBE Subcontract Participation

Name(s) of Participating MWBE: ______________________________________

Description of Participation: __________________________________________

Amount of Participation: $______________ Contract% Participation: ______%

3.

NO MWBE PARTICIPATION PROPOSED:

No certified MWBE participation is proposed by this vendor.

Signed: Vendor or authorized representative

Title:

Contact OMWBE at (360) 753-9693 or the University's MWBE Representative at (206) 543-5753 for details on certification.

For more description on State certification, see next page

Federal Small Business Certification Response

Please indicate (check) the appropriate selection:

_ Small Business _ Small Disadvantaged Business _ Small Woman Owned

Please include the four digit Standard Industrial Classification (SIC) code, if known: _________

For more description on Federal certification, see next page

State of Washington Office of Minority and Women Owned Business Certification and Federal Qualification

GENERAL STATEMENT: In accordance with the legislative findings and policies set forth in Chapter 39.19 RCW the State of Washington encourages participation in all of its contracts by MWBE firms certified by the Office of Minority and Women’s Business Enterprises (OMWBE). Participation may be either on a direct basis in response to this solicitation/invitation or as a subcontractor to a Vendor/Proposer. However, unless required by federal statutes, regulations, grants or contract terms referenced in the contract documents, no preference will be included in the evaluation of bids/proposals. No minimum level of MWBE participation shall be required as a condition for receiving an award and bids/proposals will not be rejected or considered non-responsive on that basis. Any affirmative action requirements set forth in federal regulations or statutes included or referenced in the contract documents will apply.

RECORD KEEPING: The Contractor shall maintain, for at least three years after completion of this contract, relevant records and information necessary to document the level of utilization of MWBEs and other businesses as subcontractors and suppliers in this contract as well as any efforts the contractor makes to increase the participation of MWBEs as listed below. The contractor shall also maintain, for at least three years after completion of this contract, a record of all quotes, bids, estimates, or proposals submitted to the Contractor by all businesses seeking to participate as subcontractors or suppliers in this contract. The State shall have the right to inspect and copy such records. If this contract involves federal funds, Contractor shall comply with all record keeping requirements set forth in any federal rules, regulations or statutes included or referenced in the contract documents.

AFFIRMATIVE EFFORTS TO INCREASE PARTICIPATION BY MWBE’s: Vendors/Proposers/Contractors are encouraged to:

1. Advertise opportunities for subcontractors or suppliers in a manner reasonably designed to provide MWBEs capable of performing the work with timely notice of such opportunities, and include a provision encouraging participation by MWBE bids/proposals directly from MWBEs.

2. Provide MWBEs that express interest with adequate and timely information about plans, specifications, and requirements of the Contract.

3. Break down total requirements into smaller tasks or quantities, where economically feasible, in order to permit maximum participation by MWBEs and other small businesses.

4. Establish delivery schedules, where the requirements of this contract permit, that encourage participation by MWBEs and other small businesses.

5. Reduce bonding requirements where practicable.

6. Utilize the services of available minority community organizations, minority contractors groups, local minority assistance offices and organizations that provide assistance in the recruitment and placement of MWBEs and other small businesses.

7. The actions described in this section should supplement efforts to provide information to all qualified firms, and nothing in this section is intended to prevent or discourage the Vendors/Proposers/Contractors from inviting proposals for participation from non-MWBE firms as well as MWBE firms.

NON-DISCRIMINATION: Contractors, Vendors and Proposers shall not create barriers to open and fair opportunities for all businesses including MWBEs to participate in all State contracts and to obtain or compete for contracts and subcontracts as sources of supplies, equipment, construction and services. In considering offers from and doing business with subcontractors and suppliers, the Contractor shall not discriminate on the basis of race, color, creed, religion, sex, age, nationality, marital status, or the presence of any mental or physical disability in an otherwise qualified disabled person.

FEDERAL Small, Small Disadvantaged or Small Woman Owned Business Certification accordance with Public Law 95-507, Federal Contracts that contain Federal Acquisition Regulations (FAR) clause 52.219-8 (Utilization of Small Business Concerns and Small Disadvantaged Business Concerns) impose requirements regarding subcontracting with small businesses and small business subcontracting plans. Refer to FAR 19.001 for guideline definitions. With regards to certification, the Small Business Administration (SBA) classifies small businesses on an industry-by-industry basis, utilizing a Standard Industrial Classification (SIC) code as described in the Code of Federal Regulations (CFR) Title 13, Part 121.The offeror certifies that the information is true and understands that whoever, for the purpose of securing a contract or subcontract is accountable under Public Law 99-661 and the CFR Title 13, Part 124 & 125. If a firm misrepresents the status of any concern or person as a small business owned and controlled by a minority or woman owned business, they shall (1) be punished by imposition of a fine, imprisonment, or both; (2) be subject to administrative remedies including suspension and disbarment; and (3) be ineligible for participation in programs conducted under the authority of the Small Business Act. If you need assistance in determining whether your business is considered to be small, contact the Seattle branch of the U.S. Small Business Administration at (206) 553-7310, or the University’s Representative at (206) 543-5753.

OMWBE

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UW General Terms and Conditions - 9.26.19(rev)cc.pdf

UW General Terms & Conditions rev: 9-26-19_cc 1

UNIVERSITY OF WASHINGTON GENERAL TERMS AND CONDITIONS

1. DEFINITIONS – As used throughout this Contract, the following terms shall have the meaning set forth below:

a. “Contract” means purchase order and/or the entire written agreement between the UW and the Contractor, including any exhibits, Riders, and other materials incorporated by reference.

b. "The Contractor" means that firm, provider, organization, individual or other entity providing goods and/or performing service(s) under this Contract.

c. “Contractor Group” means, collectively, the Contractor and all Subcontractors.

d. “Debarment” means an action taken by a federal official to exclude a person or business entity from participating in transaction involving certain federal funds.

e. “Improper Influence” means any influence that induces or intends to induce a UW employee or officer to give special consideration or award a Contract on any basis other than the merits of the matter.

f. “Materials” means all information in any format and includes, but is not limited to, data, reports, documents, pamphlets, advertisements, books, magazines, surveys, studies, computer programs, films, tapes, and sound reproductions.

g. “Ownership” includes the right to copyright, patent, and register, and the ability to transfer, these rights.

h. “RCW” means the Revised Code of Washington. All reference in this Contract to RCW chapters or sections shall include any successor, or replacement statute.

i. “Regulation” means any federal, state, local, or UW regulation, law, rule, or ordinance.

j. “Rider” means additional terms and conditions, other than General Terms and Conditions that address a specific

UW requirement based on the scope and nature of Work.

k. “Subcontract” means any separate agreement or contract between the Contractor and an individual or entity

(“Subcontractor”) to perform all or portion of the duties and obligations that the Contractor is obligated to perform pursuant to this Contract.

l. "Subcontractor" means one not in the employment of the Contractor, and/or entity that owns or controls, is owned or controlled by, or is under common ownership or control of the Contractor, who is performing all or part of those services under this Contract under a separate contract with the Contractor, and/or any person or entity appointed by or on behalf of the Contractor to carry out any portion of the Work. The terms "Subcontractor" and "Subcontractors" means Subcontractor(s) in any tier. Control for the context of this paragraph, shall mean the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of an entity, whether through ownership of voting security, by contract, or otherwise.

m. "UW" means the University of Washington, any division, section, office, unit, or other entity of the University of Washington, or any of the officers or other officials lawfully representing the University of Washington.

n. “Work” refers to all services, work, and activities involved in providing the materials, work product deliverables, or other obligations that are the subject of the Contract.

2. ACCESSIBILITY - Contractor represents that it is committed to promoting and improving accessibility of all its products as specified in the University of Washington IT Accessibility Guidelines (https://uw.edu/accessibility/guidelines), and will remain committed throughout the term of this Contract. If the Products and Services are not in conformance with all applicable federal and state disability laws, policies, and regulations as of the Effective Date, Contractor shall use reasonable efforts to update the Products and Services so as to be in conformance therewith. In the event any issues arise regarding Contractor’s compliance with applicable federal or state disability laws, policies and regulations, University may send communications to Contractor as specified who will assign a person with accessibility expertise to reply to University within two (2) business days.

3. ADVANCE PAYMENTS PROHIBITED – No payments in advance of or in anticipation of goods or services to be provided under this Contract shall be made by the UW except as authorized by law.

4. AMENDMENTS –

a. This Contract may be amended by mutual agreement of the parties. No material alterations in any of the terms, conditions, delivery, price, quality, quantity or specifications shall be effective unless the alteration is expressly acknowledged and accepted in writing by the UW.

b. Automatic extensions and renewals are not authorized unless stated in writing and included in Contract issued by the UW.

https://uw.edu/accessibility/guidelines

UW General Terms & Conditions rev: 9-26-19_cc 2

5. ANTITRUST ASSIGNMENTS – The Contractor hereby assigns to the UW any and all claims for price fixing or overcharges relating to goods, products, services and/or materials purchased under this Contract, except as to overcharges that result from antitrust violations commencing after the price is established under this Contract and that are not passed on to the UW under an escalation clause.

6. ASSIGNMENT – The work to be provided under this Contract, and any claim arising thereunder, is not assignable or delegable by the Contractor without prior written consent by the UW. Provision of monies due under this Contract shall only be assignable with prior written permission of the UW.

7. ATTORNEYS’ FEES – In the event of litigation or other action brought to enforce contract terms, each party shall bear its own attorney’s fees and costs.

8. BREACH, DEFAULT, TERMINATION

a. Breach: A breach of a term or condition of this Contract shall mean any one or more of the following events:

i. The Contractor fails to perform the services by the date required or by a later date as may be agreed to in a written amendment to this Contract signed by the UW;

ii. The Contractor breaches any warranty or fails to perform or comply with any term or agreement in this Contract;

iii. The Contractor makes any general assignment for the benefit of creditors;

iv. In the UW ’s sole opinion, the Contractor becomes insolvent or in an unsound financial condition so as to endanger performance hereunder;

v. The Contractor becomes the subject of any proceeding under any law relating to bankruptcy, insolvency or reorganization, or relief from creditors and/or debtors;

vi. Any receiver, trustee, or similar official is appointed for the Contractor or any of the Contractor’s property;

vii. The Contractor is determined to be in violation of any regulations and that such determination, in the

UW’s sole opinion, renders the Contractor unable to perform any aspect of this Contract.

b. Default: The Contractor may be declared in default for a material breach of any term or condition.

c. Termination for Convenience: The UW may terminate this Contract, in whole or in part, at any time and for any reason by giving thirty (30) calendar days written notice to the Contractor. Termination charges shall not apply unless they are mutually agreed by both parties. Where termination charges are applicable, both parties agree to negotiate in good faith and to limit the extent of negotiations to valid documented expenses incurred by the Contractor prior to date of termination. Should the parties not agree to a satisfactory settlement, the matter shall be handled in accordance with Section 17 (“Dispute Resolution”).

d. Termination for Breach and/or Default: Except in the case of delay or failure resulting from circumstances beyond the control and without the fault or negligence of the Contractor or the Contractor’s suppliers or subcontractors, the UW shall be entitled, by written or oral notice, to cancel and/or terminate this Contract in its entirety or in part for breach and/or for default of any of the terms herein and to have all other rights against the Contractor by reason of the Contractor’s breach as provided by law.

e. Termination Due to Change in Funding: If the funds the UW relied upon to establish this Contract are withdrawn, reduced or limited, or if additional or modified conditions are placed on funding by the entity funding the UW, the UW may immediately terminate this Contract by providing written notice to the Contractor. The termination shall be effective on the date specified in the termination notice.

f. Termination by Mutual Agreement: The UW or the Contractor may terminate this Contract in whole or in part, at any time, by mutual agreement.

9. COMPLIANCE WITH APPLICABLE LAW – At all times during the term of this Contract, the Contractor shall comply with all applicable federal, state and local laws and regulations, including but not limited to, nondiscrimination laws and regulations. To the extent that Contractor will provide performance to any UW Medicine entity, Contractor agrees to comply with all UW Medicine Compliance policies and the UW Medical Center Corporate Compliance Plan. Any violation of this section shall be considered a material breach of this Contract. Contractor agrees to indemnify and hold the UW harmless from any and all damages or claims caused by Contractor’s failure to comply with law.

UW General Terms & Conditions rev: 9-26-19_cc 3

10. COMPLIANCE WITH FEDERAL CIVIL RIGHTS LAW—The Contractor and Subcontractor shall abide by the requirements of 41 CFR §§ 60-1.4(a), 60-300.5(a) and 60-741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color, religion, sex, sexual orientation, gender identity or national origin.

Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status or disability.

11. CONFIDENTIALITY – The Contractor may use information gained by reason of this Contract only for the purpose of this Contract. The Contractor shall not disclose, transfer, or sell any such information to any party, except as provided by law. The Contractor shall maintain the confidentiality of all confidential information gained by reason of this Contract and shall return or certify the destruction of such information if requested in writing by the UW.

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