CONSULTING SERVICES ITQ CONTRACT 4400007410 REQUEST … consideration on behalf of the Commonwealth...

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Rev. 03/25/2011 i CONSULTING SERVICES ITQ CONTRACT 4400007410 REQUEST FOR QUOTATIONS FOR Program, Policy and Resource Review and Maximization ISSUING OFFICE Commonwealth of Pennsylvania Department of Public Welfare Bureau of Financial Operations Division of Procurement Room 402 Health and Welfare Building 625 Forster Street Harrisburg, PA 17120 RFQ NUMBER 6100023916 DATE OF ISSUANCE November 26, 2012 This is a restricted solicitation under the Commonwealth’s Consulting Services, Invitation to Qualify (ITQ), - Contract #4400007410. Only those contractors qualified in the following service category(s) under Contract #4400007410 may submit a proposal in response to this RFQ. Management General Government Operations - Best Practice Analysis Management - Business Case Development and Modeling Management General Government Operations - Data Mining Management General Government Operations - Program Evaluation and Benchmarking Management General Government Operations - Measuring Process Performance/Improvement Outcomes Management General Government Operations - Strategic Planning Healthcare Services - General For more information about the Consulting Services ITQ, please click on the following link. http://www.portal.state.pa.us/portal/server.pt/community/invitation_to_qualify/4641/wher_to_star t/495422

Transcript of CONSULTING SERVICES ITQ CONTRACT 4400007410 REQUEST … consideration on behalf of the Commonwealth...

Page 1: CONSULTING SERVICES ITQ CONTRACT 4400007410 REQUEST … consideration on behalf of the Commonwealth of Pennsylvania ("Commonwealth") to satisfy a need for Program, Policy and Resource

Rev. 03/25/2011 i

CONSULTING SERVICES ITQ CONTRACT 4400007410

REQUEST FOR QUOTATIONS FOR

Program, Policy and Resource Review and Maximization

ISSUING OFFICE Commonwealth of Pennsylvania

Department of Public Welfare

Bureau of Financial Operations

Division of Procurement

Room 402 Health and Welfare Building

625 Forster Street

Harrisburg, PA 17120

RFQ NUMBER

6100023916

DATE OF ISSUANCE

November 26, 2012

This is a restricted solicitation under the Commonwealth’s Consulting Services, Invitation to Qualify (ITQ), - Contract #4400007410. Only those contractors qualified in the following service category(s) under Contract #4400007410 may submit a proposal in response to this RFQ.

Management General Government Operations - Best Practice Analysis Management - Business Case Development and Modeling Management General Government Operations - Data Mining Management General Government Operations - Program Evaluation and

Benchmarking Management General Government Operations - Measuring Process

Performance/Improvement Outcomes Management General Government Operations - Strategic Planning Healthcare Services - General

For more information about the Consulting Services ITQ, please click on the following link. http://www.portal.state.pa.us/portal/server.pt/community/invitation_to_qualify/4641/wher_to_start/495422

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Rev. 03/25/2011 ii

REQUEST FOR QUOTATIONS

FOR

Program, Policy and Resource Review and Maximization

TABLE OF CONTENTS CALENDAR OF EVENTS 3 Part I—GENERAL INFORMATION 4 Part II—PROPOSAL REQUIREMENTS 13 Part III—CRITERIA FOR SELECTION 21 Part IV—WORK STATEMENT 26 APPENDIX A, PROPOSAL COVER SHEET APPENDIX B, DOMESTIC WORKFORCE UTILIZATION CERTIFICATION APPENDIX C, COST MATRIX APPENDIX D, LOBBYING CERTIFICATION FORM APPENDIX E, TRADE SECRET/CONFIDENTIAL PROPRIETARY INFORMATION NOTICE APPENDIX F, AUDIT CLAUSE APPENDIX G, PROGRAM AND WAIVER DESCRIPTIONS APPENDIX H, CURRENT INTERNAL FOCUSED CASE REVIEW USER GUIDE APPENDIX I, DPW DATA AND SYSTEM INFORMATION APPENDIX J, BUSINESS ASSOCIATE ADDENDUM APPENDIX K, CORPORATE REFERENCE QUESTIONNAIRE

APPENDIX L, KEY PERSONNEL REFERENCE QUESTIONNAIRE

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CALENDAR OF EVENTS The Commonwealth will make every effort to adhere to the following schedule:

Activity Responsibility Date

Questions can be submitted via email to: [email protected].

Contractors 12/10/12 2:00 pm

Preproposal Conference: Pennsylvania Training and Technical Assistance Network (PaTTAN) 6340 Flank Drive, Suite 600 Susquehanna Room Harrisburg, PA 17112

Issuing Office/ Contractors

12/12/12 9:00 AM – 12:00 PM

Answers to all questions posted to www.emarketplace.state.pa.us no later than this date.

Issuing Office 12/19/12

Please monitor the DGS website for all communications regarding the RFQ.

Contractors Ongoing

Sealed proposal must be received by the Issuing Office at Bureau of Financial Operations

Division of Procurement ATTN: Dan Boyd

ROOM 402 Health & Welfare Building 625 Forster Street

Harrisburg, PA 17120

Contractors 1/08/2013

2:00 p.m.

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PART I

GENERAL INFORMATION I-1. Purpose This Request for Quotes ("RFQ") provides sufficient information to qualified Contractors to enable them to prepare and submit proposals for the Department of Public Welfare’s consideration on behalf of the Commonwealth of Pennsylvania ("Commonwealth") to satisfy a need for Program, Policy and Resource Review and Maximization ("Project"). I-2. Issuing Office The Department of Public Welfare ("Issuing Office" or “DPW”) has issued this RFQ on behalf of the Commonwealth. The sole point of contact in the Commonwealth for this RFQ shall be Cheryl Martin, the Project Officer for this RFQ. Please refer all inquiries to the Project Officer at [email protected]. I-3. Scope This RFQ contains instructions governing the requested proposals, including the requirements for the information and material to be included; a description of the service to be provided; requirements which Contractors must meet to be eligible for consideration; general evaluation criteria; and other requirements specific to this RFQ. I-4. Problem Statement DPW is focusing on improving the quality of service delivery and service efficiency within the existing organizational processes. DPW’s programs are supported by multiple funding streams and levels of program oversight which have historically caused programs to operate separately. In this infrastructure, it has been challenging to assess programs, services and recipients, as a whole, and to conduct analysis for potential improvements.

To that extent, DPW is seeking to gain insight into potential innovations for improving the current operations through reviewing innovative ideas proposed by bidding contractors, data mining analysis, and establishment of an ongoing case monitoring team. Additional detail is provided in Part IV of this RFQ.

I-5. Preproposal Conference. The Issuing Office will hold a preproposal conference as specified in the Calendar of Events. The purpose of this conference is to provide opportunity for clarification of the RFQ. Contractors should forward all questions to the Project Officer in accordance with Section I-6 to ensure adequate time for analysis before the Issuing Office provides an answer. Contractors may also ask questions at the conference. In view of the limited facilities available for the conference, Contractors should limit their representation to two (2) individuals per Contractor. The preproposal conference is for information only. Any answers furnished during the conference will not be official until they have been verified, in writing, by the Issuing Office. All questions and written answers will be posted on the

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DGS website as an addendum to, and shall become part of, this RFQ. Attendance at the Preproposal Conference is optional, but highly recommended. I-6. Questions and Answers If a Contractor has any questions regarding this RFQ, the Contractor must submit the questions by email (with the subject line "Consulting Services ITQ RFQ 6100023916 Question") to the Project Officer. If the Contractor has questions, they must be submitted via email no later than the date and time specified in the Calendar of Events. The Contractor shall not attempt to contact the Project Officer by any other means. The Issuing Officer shall post the answers to the DGS website. A Contractor who submits a question after the deadline date for receipt of questions indicated on the Calendar of Events assumes the risk that its proposal will not be responsive or competitive because the Commonwealth is not able to respond before the proposal receipt date or in sufficient time for the Contractor to prepare a responsive or competitive proposal. When submitted after the deadline date for receipt of questions indicated on the Calendar of Events, the Project Officer may respond to questions of an administrative nature by directing the questioning Contractor to specific provisions in the RFQ. To the extent that the Issuing Office decides to respond to a non-administrative question after the deadline date for receipt of questions indicated on the Calendar of Events, the answer will be provided to all Contractors through an addendum. All questions and responses as posted on the DGS website are considered as an addendum to, and part of, this RFQ. Each Contractor shall be responsible to monitor the DGS website for new or revised RFQ information. The Issuing Office shall not be bound by any verbal information nor shall it be bound by any written information that is not either contained within the RFQ or formally issued as an addendum by the Issuing Office. I-7. Addenda to RFQ If the Issuing Office deems it necessary to revise any part of this RFQ before the proposal response date, the Issuing Office will post an addendum to the DGS website. Answers to the questions asked during the Questions & Answers period also will be posted to the DGS website as an addendum to the RFQ. I-8. Electronic Version of RFQ This RFQ is being made available by electronic means. The Contractor acknowledges and accepts full responsibility to insure that no changes are made to the RFQ. In the event of a conflict between a version of the RFQ in the Contractor's possession and the Issuing Office's version of the RFQ, the Issuing Office's version shall govern. I-9. Response Date To be considered, proposals must arrive at the Issuing Office on or before the time and date specified in the RFQ Calendar of Events. Contractors who mail proposals should allow sufficient mail delivery time to ensure timely receipt of their proposals. If, due to inclement weather, natural disaster, or any other cause, the Issuing Office location to which proposals are to be returned is closed on the proposal response date, the deadline for submission

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shall be automatically extended until the next Commonwealth business day on which the office is open, unless the Contractors are otherwise notified by the Commonwealth. The time for submission of proposals shall remain the same. Late proposals shall not be considered. I-10. Incurring Costs The Issuing Office is not liable for any costs the Contractor incurs in preparation and submission of its proposal, in participating in the RFQ process or in anticipation of receipt of the purchase order. I-11. Economy Of Preparation Contractors should prepare proposals simply and economically, providing a straightforward, concise description of the Contractor's ability to meet the requirements of the RFQ. Contractors must limit their Technical Submittals to no more than 100 pages, excluding attachments. Attachments include: Domestic Workforce Utilization form, Lobby Certification form, Trade Secret/Confidential Proprietary Information Notice, your company’s financial statements, resumes, Corporate Reference Questionnaires, and Key Personnel Reference Questionnaires. I-12. Small Diverse Business Information. The Issuing Office encourages participation by small diverse businesses as prime contractors, and encourages all prime contractors to make a significant commitment to use small diverse businesses as subcontractors and suppliers. A Small Diverse Business is a DGS-certified minority-owned business, woman-owned business, service-disabled veteran-owned business or veteran-owned business, or United States Small Business Administration-certified 8(a) small disadvantaged business concern, which qualifies as a small business. A small business is a business in the United States which is independently owned, not dominant in its field of operation, employs no more than 100 full-time or full-time equivalent employees, and earns less than $20 million in gross annual revenues ($25 million in gross annual revenues for those businesses in the information technology sales or service business). Questions regarding this Program can be directed to:

Department of General Services Bureau of Small Business Opportunities Room 611, North Office Building Harrisburg, PA 17125 Phone: (717) 783-3119 Fax: (717) 787-7052 Email: [email protected] Website: www.dgs.state.pa.us

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The Department’s directory of Bureau of Small Business Opportunities (BSBO)-certified minority-, women-, veteran- and service disabled veteran-owned businesses can be accessed from: http://www.portal.state.pa.us/portal/server.pt/community/under_construction_--_bureau_of_minority_and_women_business_opportunities/20986. The federal vendor database can be accessed at http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm by clicking on Dynamic Small Business Search (certified companies are so indicated). I-13. Proposals To be considered, Contractors must submit a complete proposal to this RFQ, using the format provided in PART II, providing eleven (11) paper copies of the Technical Submittal and two (2) paper copies of the Cost Submittal and two (2) paper copies of the Small Diverse Business Submittal. In addition to the paper copies of the proposal, Contractors shall submit two (2) complete and exact copies of the entire proposal (Technical, Cost and Small Diverse Business Submittals, along with all requested documents) on CD-ROM or Flash drives in Microsoft Office or Microsoft Office-compatible format. The electronic copy must be a mirror image of the paper copy and any spreadsheets must be in Microsoft Excel. The Contractors may not lock or protect any cells or tabs. The CD or Flash drive should clearly identify the Contractor and include the name and version number of the virus scanning software that was used to scan the CD or Flash drive before it was submitted. Contractors should ensure that there is no costing information in the technical submittal. Contractors should not reiterate technical information in the cost submittal. The Contractor shall make no other distribution of its proposal to any other Contractor or Commonwealth official or Commonwealth consultant. Each proposal page should be numbered for ease of reference. An official authorized to bind the Contractor to its provisions must sign the proposal. If the official signs the Proposal Cover Sheet (Appendix A to this RFQ) and the Proposal Cover Sheet is attached to the Contractor’s proposal, the requirement will be met. For this RFQ, the proposal must remain valid for one hundred and twenty (120) days or until a purchase order is issued. If the Issuing Office selects the Contractor’s proposal as the best value, the contents of the selected Contractor’s proposal will become, except to the extent the contents are changed through Best and Final Offers or negotiations, contractual obligations. Each Contractor submitting a proposal specifically waives any right to withdraw or modify it, except that the Contractor may withdraw its proposal by written notice received at the Issuing Office’s address for proposal delivery prior to the exact hour and date specified for proposal receipt. A Contractor or its authorized representative may withdraw its proposal in person prior to the exact hour and date set for proposal receipt, provided the withdrawing person provides appropriate identification and signs a receipt for the proposal. A Contractor may modify its submitted proposal prior to the exact hour and date set for proposal receipt only by submitting a new sealed proposal or sealed modification which complies with the RFQ requirements. I-14. Alternate Proposals.

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The Issuing Office has identified the basic approach to meeting its requirements, allowing Contractors to be creative and propose their best solution to meeting these requirements. The Issuing Office will not accept alternate proposals. I-15. Proposal Contents

a. Confidential Information. The Commonwealth is not requesting, and does not require, confidential proprietary information or trade secrets to be included as part of Contractors’ submissions in order to evaluate proposals submitted in response to this RFQ. Accordingly, except as provided herein, Contractors should not label proposal submissions as confidential or proprietary or trade secret protected. Any Contractor who determines that it must divulge such information as part of its proposal must submit the signed written statement described in subsection c. below and must additionally provide a redacted version of its proposal, which removes only the confidential proprietary information and trade secrets, for required public disclosure purposes.

b. Commonwealth Use. All material submitted with the proposal shall be considered

the property of the Commonwealth of Pennsylvania and may be returned only at the Issuing Office’s option. The Commonwealth has the right to use any or all ideas not protected by intellectual property rights that are presented in any proposal regardless of whether the proposal becomes part of a contract. Notwithstanding any Contractor copyright designations contained on proposals, the Commonwealth shall have the right to make copies and distribute proposals internally and to comply with public record or other disclosure requirements under the provisions of any Commonwealth or United States statute or regulation, or rule or order of any court of competent jurisdiction.

c. Public Disclosure. After the issuance of a purchase order pursuant to this RFQ, all

proposal submissions are subject to disclosure in response to a request for public records made under the Pennsylvania Right-to-Know-Law, 65 P.S. § 67.101, et seq. If a proposal submission contains confidential proprietary information or trade secrets, a signed written statement to this effect must be provided with the submission in accordance with 65 P.S. § 67.707(b) for the information to be considered exempt under 65 P.S. § 67.708(b)(11) from public records requests (See Appendix E, Trade Secret/Confidential Proprietary Information Notice). Financial capability information submitted in response to Part II, Section II-8 of this RFQ is exempt from public records disclosure under 65 P.S. § 67.708(b)(26).

I-16. Contractor’s Representations and Authorizations By submitting its proposal, each Contractor understands, represents, and acknowledges that:

a. All of the Contractor’s information and representations in the proposal are material and important, and the Issuing Office may rely upon the contents of the proposal in making a best value selection. The Commonwealth shall treat any misstatement,

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omission or misrepresentation as fraudulent concealment of the true facts relating to the proposal submission, punishable pursuant to 18 Pa. C.S. § 4904.

b. The Contractor has arrived at the price(s) and amounts in its proposal independently

and without consultation, communication, or agreement with any other Contractor or potential Contractor.

c. The Contractor has not disclosed the price(s), the amount of the proposal, nor the

approximate price(s) or amount(s) of its proposal to any other firm or person who is a Contractor or potential Contractor for this RFQ, and the Contractor shall not disclose any of these items on or before the proposal submission deadline specified in the Calendar of Events of this RFQ.

d. The Contractor has not attempted, nor will it attempt, to induce any firm or person to

refrain from submitting a proposal on this contract, or to submit a proposal higher than this proposal, or to submit any intentionally high or noncompetitive proposal or other form of complementary proposal.

e. The Contractor makes its proposal in good faith and not pursuant to any agreement

or discussion with, or inducement from, any firm or person to submit a complementary or other noncompetitive proposal.

f. To the best knowledge of the person signing the proposal for the Contractor, the

Contractor, its affiliates, subsidiaries, officers, directors, and employees are not currently under investigation by any governmental agency and have not in the last four years been convicted or found liable for any act prohibited by State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding or proposing on any public contract, except as the Contractor has disclosed in its proposal.

g. To the best of the knowledge of the person signing the proposal for the Contractor

and except as the Contractor has otherwise disclosed in its proposal, the Contractor has no outstanding, delinquent obligations to the Commonwealth including, but not limited to, any state tax liability not being contested on appeal or other obligation of the Contractor that is owed to the Commonwealth.

h. The Contractor is not currently under suspension or debarment and has not been

precluded from participation in any federally funded health care program by the Commonwealth, any other state or the federal government, and if the Contractor cannot so certify, then it shall submit along with its proposal a written explanation of why it cannot make such certification.

i. The Contractor has not made, under separate contract with the Issuing Office, any

recommendations to the Issuing Office concerning the need for the services described in its proposal or the specifications for the services described in the proposal.

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j. Each Contractor, by submitting its proposal, authorizes Commonwealth agencies to release to the Commonwealth information concerning the Contractor's Pennsylvania taxes, unemployment compensation and workers’ compensation liabilities.

k. Until the selected Contractor receives a fully approved purchase order from the

Issuing Office, there is no legal and valid contract, in law or in equity, and the Contractor shall not begin to perform work, for the Project.

I-17. Restriction Of Contact From the issue date of this RFQ until the Issuing Office selects a proposal as the best value, the Issuing Officer is the sole point of contact concerning this RFQ. Any violation of this condition may be cause for the Issuing Office to reject the offending Contractor's proposal. If the Issuing Office later discovers that the Contractor has engaged in any violations of this condition, the Issuing Office may reject the offending Contractor's proposal or rescind its purchase order. Contractors must agree not to distribute any part of their proposals beyond the Issuing Office. A Contractor who shares information contained in its proposal with other Commonwealth personnel and/or competing Contractor personnel may be disqualified. I-18. Prime Contractor Responsibilities The selected Contractor will be required to assume responsibility for all services offered in the proposal whether it produces them itself or by subcontract. The Issuing Office and Project Manager will consider the selected Contractor to be the sole point of contact with regard to contractual and purchase order matters. I-19. Resources The selected Contractor shall provide all services, supplies, facilities, and other support necessary to complete the identified work, except as otherwise provided in this Section I-19. The Commonwealth will assign a Project Manager to manage the administration, and monitoring of any purchase order issued as a result of this RFQ. The Commonwealth will provide all data as defined in Part IV, Part 2-A. The selected Contractor will interact with a variety of staff from multiple program offices. The selected Contractor will provide project reports and analysis to a core team of Commonwealth staff. I-20. Rejection Of Proposals The Issuing Office reserves the right, in its sole and complete discretion, to reject any proposal received in response to this RFQ, or to negotiate separately with competing Contractors. I-21. Discussions for Clarification Contractors may be required to make an oral or written clarification of their proposals to the Issuing Office to ensure thorough mutual understanding and contractor responsiveness to the RFQ requirements. The Project Officer will initiate requests for clarification. I-22. Best and Final Offer (BAFO)

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a. While not required, the Issuing Office reserves the right to conduct discussions with Contractors for the purpose of obtaining “Best and Final Offers.” To obtain Best and Final Offers from Contractors, the Issuing Office may do one or more of the following, in combination and in any order: 1. Schedule oral presentations;

2. Request revised proposals; and

3. Enter into pre-selection negotiations.

b. The following Contractors will not be invited by the Issuing Office to submit a Best and Final Offer:

1. Those Contractors which the Issuing Office has determined to be not responsible or

whose proposals the Issuing Office has determined to be not responsive.

2. Those Contractors, which the Issuing Office has determined in accordance with Part III, Section III-4, from the submitted and gathered financial and other information, do not possess the financial capability, experience or qualifications to assure good faith performance of the Project.

3. Those Contractors whose score for their technical submittal of the proposal is less than 70% of the total amount of technical points allotted to the technical criterion.

The Issuing Office may further limit participation in the Best and Final Offers process to those remaining responsible Contractors which the Issuing Office has, within its discretion, determined to be within the top competitive range of responsive proposals.

c. Evaluation Criteria found in Part III, Section III-3, shall also be used to evaluate the Best and Final Offers.

d. Price reductions shall have no effect upon the Contractor’s Technical Submittal. Dollar

commitments to Small Diverse Businesses can be reduced only in the same percentage as the percent reduction in the total price offered through any BAFO or negotiations.

I-23. Notification of Selection The Issuing Office will notify the selected Contractor in writing of its selection as the best value contractor after the Issuing Office has determined, taking into consideration all of the evaluation factors, the proposal that is the most advantageous to the Issuing Office. The Commonwealth reserves the right to award all, some, or none of the elements of the project. I-24. Purchase Order The successful Contractor will be issued a purchase order with reference to Consulting Services ITQ Contract 4400007410. The term of the purchase order will commence on the

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Effective Date and will end on June 30, 2014. The Commonwealth, at its sole option, may extend the purchase order for additional one year periods; however, any such extension may not extend more than 90 days from the date of the expiration of the Consulting Services ITQ Contract No. 4400007410. No work may begin or be reimbursed prior to the date of issuance of the purchase order. The selected Contractor will be paid after submitting invoices, provided it is in accordance with the work plan and approved by the Commonwealth Project Manager. Final payment will not be made until all Project work has been successfully completed. I-25. Debriefing Conferences Contractors whose proposals are not selected will be notified of the name of the selected contractor and given the opportunity to be debriefed. The Project Officer will schedule the time and location of the debriefing. The debriefing will not compare the contractor with other contractors, other than the position of the Contractor's proposal in relation to all other contractor proposals. I-26. News Releases Contractors shall not issue news releases, internet postings, advertisements or any other public communications pertaining to this Project without prior written approval of the Issuing Office, and then only in coordination with the Issuing Office. I-27. Terms and Conditions The requirements and terms and conditions of Consulting Services ITQ #4400007410 shall govern all work conducted as a result of this RFQ. The Issuing Office is a Covered Entity and the updated Business Associate Addendum is attached as Appendix J, to this RFQ; and applies to the resulting Purchase Order.

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PART II

PROPOSAL REQUIREMENTS

II-1. General Requirements Contractors must submit their proposals in the format, including heading descriptions, outlined below. To be considered, the proposal must respond to all requirements in this part of the RFQ. Contractors should provide any other information thought to be relevant, but not applicable to the enumerated categories, as an appendix to the Proposal. All cost data relating to this proposal and all Small Diverse Business cost data should be kept separate from and not included in the Technical Submittal. Each Proposal shall consist of the following three separately sealed submittals:

a. Technical Submittal, which shall be a response to RFQ Part II, Sections II-1 through II-8;

b. Small Diverse Business Submittal, in response to RFQ Part II, Section II-9; and

c. Cost Submittal, in response to RFQ Part II, Section II-10.

Proposals must follow the following format:

a. Pages must be 8.5 by 11 inches with right and left margins of one (1) inch. b. Must adhere to page limit designated for the Technical Submittal. c. Must use Arial or Times New Roman font with a size of twelve (12). d. Tab and Section headings MUST be used. e. Each page of the proposal must include a page number and identification of the

Contractor in the page footer. f. Materials provided in any Appendix must be specifically referenced by page

number(s) in the body of the proposal.

Exceptions for paper and font sizes are permissible for project schedules (Microsoft Project) or for graphical exhibits and material in appendices which may be 11 by 17 inches. The Issuing Office may request additional information which, in the Issuing Office’s opinion, is necessary to assure that the Contractor’s competence, number of qualified employees, business organization, and financial resources are adequate to perform according to the RFQ. The Issuing Office may make investigations as deemed necessary to determine the ability of the Contractor to perform the Project, and the Contractor shall furnish to the Issuing Office all requested information and data. The Issuing Office may to reject any proposal if the evidence submitted by, or investigation of, such Contractor fails to satisfy the Issuing Office that such Contractor is properly qualified to carry out the obligations of the RFQ and to complete the Project as specified.

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II-2. Statement of the Problem State in succinct terms your understanding of the problem presented or the service required by this RFQ. Your response should demonstrate that the Contractor fully understands the scope of work, your responsibilities, and the performance requirements of this RFQ. II-3. Management Summary Include a narrative description of the proposed effort and a list of the items to be delivered or services to be provided. II-4. Work Plan Describe in narrative form your approach and methodologies for accomplishing the work. You should separately address each element as described in Part IV Work Statement, using the requirements and tasks as set forth for each element as your reference point. For the Innovative Ideas element, include an Innovative Ideas Table, as set forth in Part IV-Element 1, Part I-A, which provides a listing of innovative ideas for managing case quality and costs. Modifications of the task descriptions are permitted; however, reasons for changes should be fully explained. Indicate the number of person hours allocated to each task. Include a Program Evaluation and Review Technique (PERT) or similar type display, time related, showing each event for Element 2 Part 2-A and Element 3. If more than one approach is apparent, comment on why you chose this approach. Demonstrate your understanding and interpretation of all requirements and tasks, including the idea analysis, data analysis, implementation of selected ideas, and focused case monitoring. Additional discussion regarding your quality assurance and quality control process and methodologies for all tasks and deliverables identified in Part IV should be included. Describe your management controls that will be used to identify and manage risk, maintain project schedules, ensure the quality of the work, and meet performance expectations. II-5. Prior Experience Include experience in data analysis and data mining, health care, case management, program policy evaluation and revision, financial management and eligibility/member management, and implementation of options derived from these services. Describe experience with similar services for other states, federal agencies, the private sector, and your familiarity with Pennsylvania, PA DPW populations, DPW or similar systems, and DPW program offices, and with home and community-based services. Experience shown should be work done by individuals who will be assigned to this project as well as that of your company. Studies or projects referred to must be identified and the name of the customer shown, including the name, address, and telephone number of the responsible official of the customer, company, or agency who may be contacted. Corporate Background. The Contractor must describe the corporate history and relevant experience of the Contractor and any subcontractors. This section must detail information on the ownership of the company (names and percent of ownership), the date the company was established, the date the company began operations, the physical location of the

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company, and the current size of the company. The Contractor must provide a corporate organizational chart as part of this section.

Contractors must identify any current contracting or subcontracting relationship(s) that may result in a conflict of interest with the requirements of this RFQ. Contractors must provide similar organizational background information on any significant subcontractor (exclusive of affiliates). A significant subcontractor is defined as an organization undertaking more than ten percent (10%) on a total cost basis of the work associated with this RFQ. In addition, if the experience of any proposed subcontractor is being used to meet the qualifications and requirements of this RFQ, then the same information as above must be provided for the contracts cited and the experience must be presented separately within this section, clearly identifying the subcontractor experience and name of the subcontractor.

References. The Contractor must provide a list of at least three (3) relevant contracts within the past three (3) years to serve as corporate references. This list shall include the following for each reference:

i. Name of contractor ii. Type of contract iii. Contract description, including type of service provided iv. Total contract value v. Contracting officer’s name and telephone number vi. Role of subcontractor(s) (if any) vii. Time period in which service was provided

The Contractor must submit Appendix K, Corporate Reference Questionnaire, directly to the contacts listed. The references should return completed questionnaires in sealed envelopes to the Contractor. The Contractor must include these sealed references with its proposal.

The Contractor must disclose any contract cancellations, suspensions, current significant litigation, or debarments within five (5) years preceding the issuance of this RFQ. If a contract was canceled for lack of performance, the Contractor must provide details on the customer’s allegations, the Contractor’s position relevant to the allegations, and the final resolution of the contract cancellation. The Contractor must also include each customer’s:

• Company or entity name, • Address, • Contact name, • Phone number, and • Email address.

The contact must be able to address questions concerning the cancellation.

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II-6. Personnel Separately describe the number of executive and professional personnel, analysts, auditors, researchers, programmers, consultants, etc., who will be engaged in the work for each element of the Work Statement. For the Innovative Ideas element and the PA Data Analysis, Findings and Options element, include for both in the initial evaluation phase as well as during the implementation of DPW selected options. Show where these personnel will be physically located during the time they are engaged in the Project. For this project, key personnel include: 1.) Project Director, who is responsible for overall management of the work defined in Part IV, for resource direction and issue resolution; 2.) Project Manager, who provides team oversight and direction; and 3.) Case Lead Manager, who provides oversight for monthly monitoring team, provides direction and ownership for reporting and data analysis findings, manages data team, resolves issues with the data team, works with the Contractor’s Project Manager to implement options discovered by data analysis team that are selected by the Department, and provides monthly scorecards and analysis reports. For key personnel, include the employee’s name and, through a resume or similar document, the employee’s education and experience. For all other personnel performing work on the project; include position descriptions and qualifications. Indicate the responsibilities each individual will have in this project and how long each has been with your company. Identify by name any subcontractors you intend to use and the services they will perform. Identify main job functions/descriptions/qualifications of other notable positions such as case reviewer (individual information is not needed for this staff). Resumes are not to include personal information that will, or will be likely to, require redaction prior to release of the proposal under the Right to Know Law. This includes home addresses and phone numbers, Social Security Numbers, Drivers’ License numbers or numbers from state ID cards issued in lieu of a Drivers’ License, financial account numbers, etc. If the Commonwealth requires any of this information for security verification or other purposes, the information will be requested separately and as necessary. The Contractor must include an organizational chart specific to the personnel assigned to accomplish each element of the work described in this RFQ. The organization chart must illustrate the lines of authority, designate the individual(s) responsible and accountable for the completion of each component and deliverable in the RFQ, and indicate the names of the personnel that will be assigned to each role. The organizational chart must clearly indicate any functions that are subcontracted along with the name of the subcontracting entities and the services they will perform. A minimum of three (3) client references for each Key Staff must be identified. At least two (2) of the client references for each Key Staff must be outside clients who can give information on the individual’s experience and competence to perform project tasks similar to those requested in this RFQ. Key Staff may be a member of the Applicant’s organization, or any subcontractor included in the Contractor’s proposal. The Contractor/Key Staff must submit Appendix L, Personnel Reference Questionnaire, directly to the contacts listed. The references should return completed questionnaires in sealed envelopes to the Contractor. The Contractor must include these sealed references with its proposal.

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Key Staff Diversions or Replacement. Once key staff (Contractor and subcontractor staff) are approved by DPW, the Contractor may not divert or replace personnel without approval of the DPW Project Manager and in accordance with the following procedures. The Contractor must provide notice of a proposed diversion or replacement to the DPW Project Manager at least thirty (30) days in advance and provide the name, qualifications, and background check of the person who will replace the diverted or removed staff. The DPW Project Manager will notify the Contractor within ten (10) days of the diversion notice whether the proposed diversion is acceptable and if the replacement is approved. Divert or diversion is defined as the transfer of personnel by the Contractor or its subcontractor to another assignment within the control of either the Contractor or subcontractor. Advance notification and approval does not include changes in key personnel due to resignations, death and disability, dismissal for cause or dismissal as a result of the termination of a subcontract or any other causes that are beyond the control of the selected Contractor or its subcontractor. However, DPW must approve the replacement staff. The DPW Project Manager may request that the selected Contractor remove its staff person from this project at any time. In the event that the selected Contractor staff person is removed from the project, the selected Contractor will have ten (10) days to fill the vacancy with a staff person acceptable in terms of experience and skills, subject to the DPW Project Manager’s approval. II-7. Training If appropriate, indicate recommended training of agency personnel. Include the agency personnel to be trained, the number to be trained, duration of the program, place of training, curricula, training materials to be used, number and frequency of sessions, and number and level of instructors. II-8. Financial Capability Describe your company’s financial stability and economic capability to perform the Project requirements. Provide your company’s financial statements for the past three (3) fiscal years. If your company is a publicly traded company, please provide a link to your financial records on your company website; otherwise, provide three (3) years of your company’s audited financial statements. Financial statements must include the company’s Balance Sheet and Income Statement or Profit/Loss Statements. Also include a Dun & Bradstreet comprehensive report if available. II-9. Small Diverse Business Participation Submittal.

A. To receive credit for being a Small Diverse Business or for subcontracting with a Small Diverse Business (including purchasing supplies and/or services through a purchase agreement), a Contractor must include proof of Small Diverse Business qualification in the Small Diverse Business participation submittal of the proposal, as indicated below:

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1. A Small Diverse Business certified by BSBO as an MBE/WBE/VBE/SDVBE must

provide a photocopy of their active BSBO certificate. A Small Diverse Business certified by BSBO in more than one category should indicate for which category it wishes its participation to be counted for program recordkeeping purposes.

2. Businesses certified by the U.S. Small Business Administration pursuant to

Section 8(a) of the Small Business Act (15 U.S.C. § 636(a)) as an 8(a) Small Disadvantaged Businesses must submit proof of U.S. Small Business Administration certification. The owners of such businesses must also submit proof of United States citizenship.

3. All businesses claiming Small Diverse Business status, whether as a result of

BSBO certification, or U.S. Small Business Administration certification as an 8(a) small disadvantaged business, must attest to the fact that the business has no more than 100 full-time or full-time equivalent employees. This can be accomplished by including copies of IRS Form 941s or a letter from the small diverse business attesting to the number of employees.

4. All businesses claiming Small Diverse Business status, whether as a result of

BSBO certification, or U.S. Small Business Administration certification as an 8(a) small disadvantaged business, must submit proof that their gross annual revenues are less than $20,000,000 ($25,000,000 for those businesses in the information technology sales or service business). This can be accomplished by including a recent tax return, audited financial statement or a letter from a CPA attesting to the annual revenues.

B. In addition to the above verifications, the Contractor must include in the Small

Diverse Business participation submittal of the proposal the following information:

1. All Contractors must include a numerical percentage which represents the total percentage of the work (as a percentage of the total cost in the Cost Submittal) to be performed by the Contractor and not by subcontractors and suppliers.

2. All Contractors must include a numerical percentage which represents the total

percentage of the total cost in the Cost Submittal that the Contractor commits to paying to Small Diverse Businesses (SDBs) as subcontractors. To support its total percentage SDB subcontractor commitment, Contractor must also include:

a) The percentage and dollar amount of each subcontract commitment to a SDB; b) The name of each SDB. The Contractor will not receive credit for stating that

after the contract is awarded it will find a SDB. c) The services or supplies each SDB will provide, including the timeframe for

providing the services or supplies. d) The location where each SDB will perform services. e) The timeframe for each SDB to provide or deliver the goods or services.

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f) A signed subcontract or letter of intent for each SDB. The subcontract or letter of intent must identify the specific work, goods or services the SDB will perform and how the work, goods or services relates to the project.

g) The name, address and telephone number of the primary contact person for each SDB.

3. The total percentages and each SDB subcontractor commitment will become

contractual obligations once the purchase order is issued.

4. The name and telephone number of the Contractor’s project (contact) person for the SDB information.

C. The Contractor is required to submit two copies of its SDB participation submittal.

The submittal shall be clearly identified as SDB information and sealed in its own envelope, separate from the remainder of the proposal.

D. A SDB can be included as a subcontractor with as many prime contractors as it chooses in separate proposals.

E. Any Contractor that qualifies as a SDB and submits a proposal as a prime contractor is not prohibited from being included as a subcontractor in separate proposals submitted by other Contractors.

II-10. Cost Submittal The information requested in this Section II-10 and Appendix C (Cost Matrix) shall constitute the Cost Submittal. The Cost Submittal shall be placed in a separate sealed envelope within the sealed proposal and kept separate from the technical submittal. The total cost you are proposing must be broken down into the components listed on Appendix C. This RFQ will be priced on the following:

Innovative Idea or Option Analysis Report Deliverable. The selected contractor will provide the price to prepare an Innovative Idea or Option Analysis Report (High, Medium, or Low) from either the Innovative Ideas submitted with the proposal, or those derived from the Data Analysis and Findings Report that DPW selects for further analysis. Upon acceptance of the deliverable, DPW will pay the respective analysis price for each Innovative Idea or Option Analysis Report.

Data Analysis and Findings Report. The selected contractor will price the Data Analysis and Findings Report deliverable per the requirements outlined in Part IV, Work Statement.

Innovative Idea or Options Implementation. The selected contractor may be requested, as a result of DPW’s review of the Innovative Ideas Analysis Deliverable or the Data Analysis and Findings Report, to assist in the full or partial

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implementation of either an Innovative Idea or Data Analysis Options. DPW will use a work order process to define DPW’s and the selected Contractor’s responsibilities for implementation, a detailed implementation plan and the amount of hours required for implementation. The selected Contractor will submit a proposed work order for DPW’s prior written approval. The selected Contractor may not commence work until DPW has approved the work order. The contractor will propose an all-inclusive blended hourly rate for Innovative Idea and Data Options Findings Implementation services. The work order process will define the amount of hours per implementation, and the hours identified from the work order will be become a firm, fixed price for the work on the respective implementation.

Focused Case Monitoring Services. The contractor will provide a monthly firm, fixed price to perform the tasks presented in Element 3 of Part IV, Work Statement.

Please note that the work orders generated for innovative idea or option analysis implementation will include Turnover activities as defined in Part IV, Work Statement, Element 4: Project Turnover, with the exclusion of the Turnover Plan deliverable. Contractors should not include any assumptions in their cost submittals. If the Contractor includes assumptions in its cost submittal, the Issuing Office may reject the proposal. Contractors should direct in writing to the Issuing Office pursuant to Part I, Section I-6 of this RFQ, any questions about whether a cost or other component is included or applies. All Contractors will then have the benefit of the Issuing Office’s written answer so that all proposals are submitted on the same basis. II-11. Domestic Workforce Utilization Contractors must complete and sign the Domestic Workforce Utilization Certification attached to and made a part of this RFQ as Appendix B. Contractors who seek consideration for the Domestic Workforce Utilization Certification criterion must complete, sign and submit the Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal. II-12. Lobbying Certification and Disclosure of Lobbying Activities This Project will be funded, in whole or in part, with federal monies. Public Law 101-121, Section 319, prohibits federal funds from being expended by the recipient or by any lower tier sub-recipients of a federal contract, grant, loan, or a cooperative agreement to pay any person for influencing, or attempting to influence a federal agency or Congress in connection with the awarding of any federal contract, the making of any federal grant or loan, or entering into any cooperative agreement. All parties who submit proposals in response to this RFQ must sign the “Lobbying Certification Form,” (attached as Appendix D) and, if applicable, complete the “Disclosure of Lobbying Activities” form available at: http://www.whitehouse.gov/omb/assets/omb/grants/sflllin.pdf.

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PART III

CRITERIA FOR SELECTION III-1. Mandatory Responsiveness Requirements To be eligible for selection, a proposal must be:

a. Timely received from a Contractor; and b. Properly signed by the Contractor.

III-2. Technical Nonconforming Proposals The two (2) Mandatory Responsiveness Requirements set forth in Part III-1 above (a-b) are the only RFQ requirements that the Commonwealth will consider to be non-waivable. The Issuing Office may, in its sole discretion, (1) waive any other technical or immaterial nonconformities in a Contractor's proposal, (2) allow the Contractor to cure the nonconformity, or (3) consider the nonconformity in the scoring of the Contractor’s proposal. III-3. Evaluation Criteria The following criteria will be used in evaluating each proposal.

a. Technical: The Issuing Office has established the weight for the Technical criterion for this RFQ as 50% of the total points. Evaluation will be based upon the following:

Contractor Qualification/Experience, Soundness of Approach, Personnel Qualifications, and Understanding the Problem.

The final Technical scores are determined by giving the maximum number of Technical points available to the proposal with the highest raw technical score. The remaining proposals are rated by applying the Technical Scoring Formula set forth at the following webpage: http://www.portal.state.pa.us/portal/server.pt/community/RFQ scoring formulas overview/20124

b. Cost: The Issuing Office has established the weight for the Cost criterion for this RFQ

as 30% of the total points. The Cost criterion is rated by giving the proposal with the lowest total cost the maximum number of Cost points available. The remaining proposals are rated by applying the Cost Formula set forth at the following webpage: http://www.portal.state.pa.us/portal/server.pt/community/RFQ_scoring_formulas_overvie

w/20124

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c. Small Diverse Business Participation: BSBO has established the weight for the SDB participation criterion for this RFQ as 20% of the total points. Each SDB participation submittal will be rated for its approach to enhancing the utilization of SDBs in accordance with the below-listed priority ranking and subject to the following requirements:

1. A business submitting a proposal as a prime contractor must perform 60% of the

total purchase order value to receive points for this criterion under any priority ranking.

2. To receive credit for an SDB subcontracting commitment, the SDB subcontractor

must perform at least fifty percent (50%) of the work subcontracted to it. 3. A significant commitment is a minimum of five percent (5%) of the total purchase

order value.

4. A commitment less than five percent (5%) of the total purchase order value is considered nominal and will receive reduced or no additional SDB points depending on the priority ranking.

Priority Rank 1: Proposals submitted by SDBs as prime Contractors will receive 75% of the available SDB points. In addition, SDB Contractors that have significant subcontracting commitments to additional SDBs may receive up to an additional 25% of available SDB points. Additional subcontracting commitments to SDBs are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Contractors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below. Priority Rank 2: Proposals submitted by SDBs as prime contractors, with no or nominal subcontracting commitments to additional SDBs, will receive 75% of the available SDB points. Priority Rank 3: Proposals submitted by non-small diverse businesses as prime contractors, with significant subcontracting commitments to SDBs, will receive up to 50% of available SDB points. Proposals submitted with nominal subcontracting commitments to SDBs will receive points equal to the percentage level of their total SDB subcontracting commitment. SDB subcontracting commitments are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Contractors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below.

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Priority Rank 4: Proposals by non-small diverse businesses as prime contractors with no SDB subcontracting commitments shall receive no points under this criterion. To the extent that there are multiple SDB Participation submittals in Priority Rank 1 and/or Priority Rank 3 that offer significant subcontracting commitments to SDBs, the proposal offering the highest total percentage SDB subcontracting commitment shall receive the highest score (or additional points) available in that Priority Rank category and the other proposal(s) in that category shall be scored in proportion to the highest total percentage SDB subcontracting commitment. Proportional scoring is determined by applying the following formula:

SDB % Being Scored x Points/Additional = Awarded/Additional Highest % SDB Commitment Points Available* SDB Points

Please refer to the following webpage for an illustrative chart which shows SDB scoring based on a hypothetical situation in which the Commonwealth receives proposals for each Priority Rank: http://www.portal.state.pa.us/portal/server.pt/community/RFQ_scoring_formulas_overview/20124

d. Domestic Workforce Utilization: Any points received for the Domestic Workforce

Utilization criterion are bonus points in addition to the total points for this RFQ. The maximum bonus points for this criterion is 3% of the total points for this RFQ. To the extent permitted by the laws and treaties of the United States, each proposal will be scored for its commitment to use domestic workforce in the fulfillment of the contract. Maximum consideration will be given to those Contractors who will perform the contracted direct labor exclusively within the geographical boundaries of the United States or within the geographical boundaries of a country that is a party to the World Trade Organization Government Procurement Agreement. Those who propose to perform a portion of the direct labor outside of the United States and not within the geographical boundaries of a party to the World Trade Organization Government Procurement Agreement will receive a correspondingly smaller score for this criterion. Contractors who seek consideration for this criterion must submit in hardcopy the signed Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal. The certification will be included as a contractual obligation when a purchase order is issued.

III-4. Contractor Responsibility To be responsible, a Contractor must submit a responsive proposal and possess the capability to fully perform the purchase order requirements in all respects and the integrity and reliability to assure good faith performance of the Project.

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In order for a Contractor to be considered responsible for this RFQ and therefore eligible for selection for Best and Final Offers or selection as the best value contractor:

a. The total score for the technical submittal of the Contractor’s proposal must be greater than or equal to 70% of the available technical points.

b. The Contractor’s financial capability information must demonstrate that the Contractor possesses the financial capability to assure good faith performance of the Project. The Issuing Office may assess each Contractor’s financial capacity based on industry standard analysis of the Contractor’s financial statements requested with the technical submittal. The Issuing Office reserves the right, in its sole discretion, to reject the proposal of any Contractor who fails to achieve acceptable Dun & Bradstreet ratings.

Further, the Issuing Office will issue a purchase order only to a Contractor determined to be responsible in accordance with the most current version of Commonwealth Management Directive 215.9, Contractor Responsibility Program. III-5. Evaluation The Issuing Office has selected a committee of qualified personnel to review and evaluate timely submitted proposals. Independent of the committee, BSBO will evaluate the Small Diverse Business Submittal and provide the Issuing Office with a rating for this component of each proposal. After taking into consideration all of the evaluation factors, the Issuing Office will determine which proposal offers the best value to the Commonwealth. The Issuing Office will notify in writing the responsible Contractor selected as the best value contractor. III-6. Final Ranking and Award. A. After any best and final offer process is conducted, the Issuing Office will combine the

evaluation committee’s final technical scores, BSBO’s final small diverse business participation scores, the final cost scores, and (when applicable) the domestic workforce utilization scores, in accordance with the relative weights assigned to these areas as set forth in this Part.

B. The Issuing Office will rank responsible Contractors according to the total overall

score assigned to each, in descending order. C. The Issuing Office must select for negotiations the Contractor with the highest

overall score; PROVIDED, HOWEVER, THAT AN AWARD WILL NOT BE MADE TO AN CONTRACTOR WHOSE PROPOSAL RECEIVED THE LOWEST TECHNICAL SCORE AND HAD THE LOWEST COST SCORE OF THE RESPONSIVE PROPOSALS RECEIVED FROM RESPONSIBLE CONTRACTORS. IN THE EVENT SUCH A PROPOSAL ACHIEVES THE HIGHEST OVERALL SCORE, IT SHALL BE ELIMINATED FROM CONSIDERATION AND AWARD SHALL BE MADE TO THE CONTRACTOR WITH THE NEXT HIGHEST OVERALL SCORE.

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D. The Issuing Office has the discretion to reject all proposals or cancel the request for

quotes, at any time prior to the time a purchase order, when it is in the best interests of the Commonwealth. The reasons for the rejection or cancellation shall be made part of the file.

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PART IV

WORK STATEMENT IV-1. Objectives.

a. General. DPW’s mission is to promote, improve and sustain the quality of family life; break the cycle of dependency; promote respect for employees; protect and serve Pennsylvania's most vulnerable citizens; and manage our resources effectively. To that extent, DPW is seeking a Contractor to provide innovative ideas based on experience and knowledge, including successful programs in other states, innovative options based on analysis of PA-specific data, and ongoing monitoring of case information to identify trends and patterns for improvements across all DPW program areas, including but not limited to those DPW programs and waivers found in Appendix G.

b. Specific. DPW is seeking innovative Contractors to provide ideas and

options, analysis work, and potentially implementation of innovative options across all of its program areas. Specifically, the following objectives are the desired outcomes of this RFQ:

i) Obtain a list of innovative ideas based on experience, research, or

work performed for governmental entities for the Commonwealth’s consideration and evaluation.

ii) Identify a Contractor to perform detailed cross program data analysis on DPW systems to identify trends and patterns within the data that would identify process efficiencies and other innovative options for DPW to consider.

iii) Identify a Contractor to provide focused case review team members to provide ongoing analysis of case data. The selected Contractor will provide service management, validation of appropriateness of services, setting, quality of service delivery, improvement plans, and appropriate use of funding sources.

IV-2. Nature and Scope of the Project. As stated in Section IV-1. Objectives, the scope of this project entails four primary elements:

1. Innovative Ideas: Contractors are asked to provide a listing of innovative ideas to achieve efficiencies while maintaining or improving the quality of services across programs administered by DPW based on experiences with other states, federal agencies, the private sector, and Pennsylvania. If selected, the Contractor may be asked to further refine specific ideas. Implementation services of DPW selected ideas may be requested as part of this RFQ.

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2. PA Data Analysis, Findings, and Options: Contractors are asked to provide their methodology and approach to performing data analysis and mining in determining patterns and trends. The selected Contractor will be asked to mine DPW data to provide options to improve DPW processes. Further refinement of efficiencies may be requested by DPW that may potentially lead to implementation services.

3. Focused Case Monitoring Services: Contractors are asked to provide their

methodology and approach to providing a team of resources to monitor case work to identify ongoing areas of improvement. The selected Contractor will be asked to provide additional members to the existing DPW team and will provide focused case management monitoring services and monthly monitoring reports, and implement improvements to continually enhance DPW case quality and efficiency.

4. Project Turnover: Contractors are asked to provide their methodology and

approach to providing project turnover.

This project will consist of the tasks and deliverables as detailed in PART IV, Section 4 of this RFQ. IV-3. Requirements. The selected Contractor must adhere to the following requirements:

Document Security. The nature of the project requires the handling of

confidential and sensitive information. The selected Contractor must establish a process to ensure the protection and confidentiality of all assessment results, records and other related information. Describe the process you will use to meet the following requirements:

i. Confidential and Sensitive information will need to be transferred

from the Commonwealth or other agencies and shared with the selected Contractor during the term of the purchase order, and turned over to a successor Contractor or Commonwealth staff at the conclusion of this purchase order. The selected Contractor must follow Commonwealth procedures for information handling and sharing.

ii. Comply with applicable federal and state laws, regulations, and rules

regarding the security and confidentiality of information pertaining to all DPW programs.

iii. All individuals with access to confidential or sensitive information

must sign a non-disclosure agreement. Personnel policies must address disciplinary procedures relevant to violation of the signed confidentiality agreement.

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iv. The selected Contractor is responsible for implementing and maintaining measures to prevent unauthorized access, copying and distribution of information during work on this project.

v. The selected Contractor is responsible for proper disposal (i.e. shred,

surrender) of both hard and electronic copies of confidential and sensitive information during work on this project, as well as any remaining information upon the completion of the project.

Personnel Screening: The selected Contractor will maintain highest levels of

screening for all staff and systems dedicated to this program including, but not limited to:

i. Staff Clearances. The selected Contractor must arrange for, at its

own expense, criminal background clearances from the Pennsylvania State Police for all staff that perform work related to this RFQ-ITQ prior to providing services. Criminal background checks are conducted via the Criminal History Request Online found at the Pennsylvania State Police Website, under PSP Services, http://www.psp.state.pa.us.

ii. Health Insurance Portability and Accountability Act (HIPAA)

Regulations (HIPAA). The selected Contractor must comply with all federal or state laws related to the use and disclosure of information, including information that constitutes Protected Health Information (PHI) as defined by the Health Insurance Portability and Accountability Act (HIPAA). The Business Associate Addendum contained in Appendix J replaces the Business Associate Agreement of Consulting Services ITQ #4400007410.

Information regarding recipients is strictly confidential. Cases should be de-identified to comply with privacy laws and protect the anonymity of all parties identified through this process. Cases should be assigned tracking numbers, also known as case numbers which should act as the unique identifiers in all references and related activities conducted for each case.

Disaster Recovery Plan. The Contractor must establish a disaster recovery plan regarding computer failure (loss of data) and destruction to the facility. The selected Contractor’s disaster recovery plan must include, at a minimum:

a. The rapid return to limited operations; b. The accuracy of software and data at return to operation;

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c. The ability to return to full capacity as soon as possible; d. A complete backup of all non-software data sets at the end of each

production day; e. The resultant tapes/disks will be removed to an external secure site. These

back-up tapes/disks must be cycled on a weekly basis; f. Upon the installation of any software (new or upgraded), a complete

backup (copy) of the software must be made with the resultant tapes/disks removed to an external secure site. The backups must be retained in the grandfather, father, son scheme;

g. The server must be designed to employ a method of redundancy for

operational integrity and production; h. All workstations attached to the network must have sufficient processing

capability to be used interchangeably and must be able to backup one another until repair or replacement can be affected;

i. The server must be connected to an Uninterrupted Power Supply (UPS)

system, which will condition incoming power to the server and provide sufficient processing time for the server to be correctly shutdown in the event of a power failure;

j. In the event of damage of a sufficient magnitude to the primary operational

site, a second company location must be able to be modified to accommodate the system;

k. There must be a description of the change of communication and

command, by level, in the case of a systems or power failure; and l. There must be a Business Continuity Plan (BCP) to maintain business

operations via a semi-automated and/or manual mode to mitigate complete disruption of services until systems have been restored to normal operating capacities.

Deliverable Submission: Deliverables, as stated in Section IV-4 Tasks, should be

delivered electronically to the Commonwealth in Microsoft Office suite format (Word, Excel, Project, etc.)

IV-4. Tasks. The following tasks provide the detailed work deliverables as indicated by the Commonwealth. The tasks are segmented by the four elements as defined in Section IV-2 Nature and Scope of the Project.

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In addition to details contained within IV-1 through IV-3, the Technical Submittal should address each element separately and include the following:

Element 1: Innovative Ideas o Part 1-A: Innovative Ideas Table o Part 1-B and 1-C: Methodology and Approach, Experience and knowledge,

including that of programs in other states, federal agencies, private sector and Pennsylvania, in providing similar activities

Element 2: PA Data Analysis, Findings, and Options

o Part 2-A: Understanding of the Commonwealth’s goals and objectives, your approach to data mining and analytics, approach to understanding of DPW systems and data relationships, and any current experience in working with DPW data

o Part 2-B and 2-C: Methodology and Approach, Experience and knowledge, including that of programs in other states, federal agencies, private sector and Pennsylvania, in providing similar activities (if different than detail provided in Element 1, Part 1-B and 1-C)

Element 3: Focused Case Monitoring Services

o Methodology and Approach to Case Monitoring team, proposed organizational structure of the team, and understanding of the Commonwealth’s objectives

Element 4: Project Turnover

o Methodology and Approach to project turnover, and understanding of the Commonwealth’s objectives

Element 1: Innovative Ideas Contractors are asked to provide a listing of innovative ideas on how DPW can achieve efficiencies while maintaining or improving the quality of services across programs administered by DPW based on experiences with other states, federal agencies, private sector, and Pennsylvania. These ideas should be targeted toward improving service delivery, providing cost efficiencies in case management, and recommendations to improve DPW processes, policies, procedures, laws, etc. The selected Contractor may be asked to provide a detailed analysis of DPW selected ideas that may lead to implementation of the ideas. DPW may use that the selected Contractor, another contractor or state staff to provide zero, partial, or full implementation services associated with a selected idea. To present responses to this RFQ, the Contractor should respond to Element 1 in three parts (1-A, 1-B, and 1-C) as indicated below:

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Part 1-A: Innovative Ideas Table The listing of innovative ideas should be provided in table form, similar to the following example:

Idea # Idea Title

Idea Description

High Level milestones &

implementation timeframe

Complexity (HML)

Potential barriers to

implementation

ROM efficiencies

estimate

The table headers are defined as follows:

Table Column Name Table Column Description

Idea # The unique number of the innovative idea.

Idea Title A brief title of the innovative idea.

Idea Description A concise comprehensive description of the innovative idea, including background on the rationale of the idea, and examples of where the idea was used.

High Level milestones & implementation timeframe

High level milestones to provide an order of magnitude for implementation. Milestones should be based on the Contractor’s experience with similar idea implementations. In addition to the milestones, the Contractor should provide a high level timeframe for implementation of the idea.

Complexity (HML) The Contractor should provide an estimate on the complexity of the innovative idea. Complexity may be High, Medium, or Low (HML). Contractors must use the following scale in defining complexity:

HIGH: Meets all of the following criteria: Implementation expected to exceed six (6) months Number of total resource hours involved is greater

than 10,000 Requires legislation or regulation promulgation

MEDIUM: Meets the following criteria:

Implementation expected to be between three (3) to six (6) months

Number of total resource hours involved is between 5,001 and 10,000

LOW: Meets the following criteria:

Implementation expected to be up to three (3) months Number of total resource hours involved is up to 5,000

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Table Column Name Table Column Description

Potential barriers to implementation

A high level analysis of potential barriers or obstacles to implementing the idea. These barriers or obstacles should be based on the Contractor’s experience in similar implementations or research from other states, federal agencies, private sector, or Pennsylvania knowledge.

Rough Order of Magnitude (ROM) efficiencies estimates

A high level ROM estimate on the potential efficiencies that the Commonwealth could potentially recognize by implementation of the innovative idea.

Part 1-B: Innovative Idea Analysis After issuance of a purchase order, DPW may request that the selected Contractor provide a detailed analysis on certain ideas proposed in response to Part 1-A. To provide a response to this task, Contractors are asked to discuss their methodology and approach to further refining the innovative ideas proposed. To understand the work to be performed, the deliverable for this task is a comprehensive report for each idea selected for further analysis by DPW that contains the following information:

Report Element Report Element Description

Detailed Work Plan A Microsoft Project 2010 file and PDF file outlining the necessary steps and timeframes to implement the proposed idea. The file should be resource loaded with the number of anticipated hours, as well as the types of roles required to perform the work.

Commonwealth Resources

A listing of the type of Commonwealth resources and expertise required or available to implement the idea

Risk and Benefit Analysis

A detailed assessment of the risks and benefits associated with the idea.

Each benefit should be quantified using a standard cost/benefit analysis methodology, including but not limited to Return on Investment.

Each identified risk should be quantified using standard risk assessment guidelines as defined by the Project Management Institute (PMI). For risks that are considered Medium-High to High, risk mitigations should be proposed with the analysis.

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Report Element Report Element Description

Stakeholder Analysis The stakeholder section should contain an assessment of the recipient populations impacted by the idea. Additionally, the section should identify internal and external partners, agencies, or organizations that may be impacted by the idea. Furthermore, the section should contain an engagement and communication strategy for working with the stakeholders identified.

Major Barriers to implementation with Mitigations

This section should identify potential barriers to the successful implementation of the idea. For each barrier defined, mitigation should be proposed by the selected Contractor.

Efficiencies Analysis This section should include an analysis of the efficiencies achieved, including but not limited to any resulting program efficiencies, and cost savings or avoidance in terms of direct or indirect costs, associated with the idea. Costs should account for Commonwealth resource allocations, in addition to other costs as identified by the Contractor.

Management and Performance Controls

The Contractor should specify specific management and performance controls for the implementation, including, but not limited to:

Risk and Issue Management Plan: Plan outlining how Risks and Issues should be managed in regards to this idea.

Schedule Management Plan: Plan outlining how project schedule will be managed to avoid schedule overruns and variances.

Quality Assurance Plan: Plan outlining how project quality in deliverables and processes will be maintained and improved throughout the project.

Implementation Cost A detailed estimate of total number of hours for the selected Contractor to perform the implementation, including costs associated with the Commonwealth to operate after implementation, including but not limited to training.

The Contractor must provide the detailed report within the timeframes stated below, unless otherwise approved by the Department.

Low complexity idea: Five (5) business days Medium complexity idea: Ten (10) business days High complexity idea: 20 business days

The complexity of the idea is defined by the complexity of the idea as provided in Part 1-A earlier.

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It should be noted, that the Commonwealth may or may not proceed with implementation of the detailed idea. The Commonwealth may potentially use the detailed plan to implement several ways, including, but not limited to: internally without contractor support, internally with some selected contractor support, through another existing contract, or through a new procurement. Part 1-C: Innovative Idea Implementation The selected Contractor may be asked to implement in whole or in part an idea based on the report provided in Part 1-B. To provide a response to this task, Contractors are asked to discuss their experiences in implementation activities, as well as their methodology in approaching implementation projects. The selected Contractor may be asked to provide zero, partial, or full implementation services associated with an idea. If the Commonwealth chooses to have the selected Contractor perform a partial or full implementation of an idea as agreed upon between the selected Contractor and the Department, the deliverable will be the implementation of the idea. The Commonwealth will use a work order process to define responsibilities, timeline and maximum price.

Element 2: PA Data Analysis, Findings, and Options The selected Contractor will provide data mining services and analytics on DPW system data to determine potential options for achieving efficiencies in DPW processes across program areas. The selected Contractor will provide a report detailing its analysis and findings and proposing options for achieving efficiencies in DPW processes. Information on some of the DPW systems may be found in Appendix I. After DPW’s acceptance of the report, the selected Contractor may be asked to provide a more detailed analysis of Commonwealth selected options relating to the potential implementation of the proposed option. DPW may use the selected Contractor, another contractor or state resources to implement, in whole or part an option. To present responses to this RFQ, the Contractor should respond to Element 2 in three parts (2-A, 2-B, and 2-C) as indicated below: Part 2-A: Data Analysis and Findings Report The deliverable of this task is a Data Analysis and Findings Report providing a listing of options for DPW improvement based on the patterns and trends analyzed in the PA Specific data. Contractors should propose areas of research for data mining within their technical proposal. Additionally, the selected Contractor may provide suggested areas for analysis during the execution of the purchase order. At a minimum, the selected Contractor must research:

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Analyzing Person/Family Directed Supports waiver recipients to determine what additional state funded services are being provided to recipients and by what funding sources.

o As an example, the waiver is capped at $30,000 federal/state dollars per year per individual. DPW has a need to analyze what other state funded services are being provided and by what funding source.

The types of questions that the selected Contractor may be asked to research include, but are not limited to:

Analyzing various categories of utilization and cost data, including:

o High individual recipient of services (utilization and cost) o High household recipient of services (utilization and cost) o Overall highest utilization in services o High program administrative costs o Low or medium cost services/items with high utilization o Ad hoc

The Data Analysis and Findings Report should include the following elements:

An abstract/summary of the results of the study A description of the data collection, analytical process, and other techniques used in

study A listing of the options in table form All supporting documentation (flow-charts, forms, questionnaires, etc.)

The Option table for the report should be in the following format: Option

# Options

Title Option Desc.

High Level milestones &

implementation timeframe

Complexity (HML)

Potential barriers to implement

ROM efficiencies

estimate

The table headers are defined as follows:

Table Column Name Table Column Description

Option # The unique number of the option.

Option Title A brief title of the option.

Option Description A concise comprehensive description of the option, including background on the rationale of the description.

High Level milestones & implementation timeframe

High level milestones to provide an order of magnitude for implementation. Milestones should be based on the Contractor’s experience with similar implementations. In addition to the milestones, the Contractor should provide a high level timeframe for implementation of the option.

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Table Column Name Table Column Description

Complexity (HML) The Contractor should provide an estimate on the complexity of the innovative idea. Complexity may be High, Medium, or Low (HML). Contractors must use the following scale in defining complexity:

HIGH: Meets all of the following criteria: Implementation expected to exceed six (6) months Number of total resource hours involved is greater

than 10,000 Requires legislation or regulation promulgation

MEDIUM: Meets the following criteria:

Implementation expected to be between three (3) to six (6) months

Number of total resource hours involved is between 5,001 and 10,000

LOW: Meets the following criteria:

Implementation expected to be up to three (3) months Number of total resource hours involved is up to 5,000

Potential barriers to implementation

A high level analysis of potential barriers or obstacles to implement the option. These barriers or obstacles should be based on the Contractor’s experience in similar implementations or research from other states, federal agencies, private sector, or Pennsylvania knowledge.

Rough Order of Magnitude (ROM) efficiencies estimates

A high level ROM estimate on the potential efficiencies that the Commonwealth could potentially recognize by implementation of the option.

Responses to this task should focus on the Contractor’s understanding of the Commonwealth’s goals and objectives, the Contractor’s approach to data mining and analytics, the Contractor’s approach to understanding of DPW systems and data relationships, and any current experience in working with DPW data. Once selected, the Contractor is responsible for requesting all relevant data runs within 30 calendar days from the Purchase Order start date. Following delivery of the requested data, the selected Contractor is responsible for delivering the Data Analysis and Findings Report within 60 calendar days.

Part 2-B: Option Analysis DPW may request the selected Contractor provide detailed analysis on certain options proposed in the Data Analysis and Findings Report. To provide a response to this task, Contractors are asked to discuss their methodology and approach to further refining the

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options proposed, if different from their approach defined in Part 1-B. If the approach is similar, Contractors should reference their earlier response. To understand the work to be performed, the deliverable for this task is a comprehensive report for each option selected by DPW that contains the following information:

Report Element Report Element Description

Detailed Work Plan A Microsoft Project 2010 file and PDF file outlining the necessary steps and timeframes to implement the proposed option. The file should be resource loaded with the number of anticipated hours, as well as the types of roles required to perform the work.

Commonwealth Resources

A listing of the type of Commonwealth resources and expertise required or available to implement the idea

Risk and Benefit Analysis

A detailed assessment of the risks and benefits associated with the idea.

Each benefit should be quantified using a standard cost/benefit analysis methodology, including but not limited to Return on Investment.

Each identified risk should be quantified using standard risk assessment guidelines as defined by the Project Management Institute (PMI). For risks that are considered Medium-High to High, risk mitigations should be proposed with the analysis.

Stakeholder Analysis The stakeholder section should contain an assessment of the recipient populations impacted by the option. Additionally, the section should identify internal and external partners, agencies, or organizations that may be impacted by the option. Furthermore, the section should contain an engagement and communication strategy for working with the stakeholders identified.

Major Barriers to implementation with Mitigations

This section should identify potential barriers to the successful implementation of the option. For each barrier defined, mitigation should be proposed by the Contractor.

Efficiencies Analysis This section should include an analysis of the efficiencies achieved, including but not limited to any resulting program efficiencies, and cost savings or avoidance in terms of direct or indirect costs, associated with the idea. Costs should account for Commonwealth resource allocations, in addition to other costs as identified by the Contractor.

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Report Element Report Element Description

Management and Performance Controls

The Contractor should specify specific management and performance controls for the implementation, including, but not limited to:

Risk and Issue Management Plan: Plan outlining how Risks and Issues should be managed in regards to this option.

Schedule Management Plan: Plan outlining how project schedule will be managed to avoid schedule overruns and variances.

Quality Assurance Plan: Plan outlining how project quality in deliverables and processes will be maintained and improved throughout the project.

Implementation Cost A detailed estimate of total number of hours for the selected Contractor to perform the implementation, including costs associated with the Commonwealth to operate after implementation, including but not limited to training.

The Contractor must provide the detailed report within the timeframes stated below, unless otherwise approved by the Department.

Low complexity option: Five (5) business days Medium complexity option: Ten (10) business days High complexity option: 20 business days

The complexity of the option is defined by the complexity of the option as provided in Part 2-A earlier. It should be noted, that the Commonwealth may or may not proceed with implementation of the detailed option. The Commonwealth may potentially use the detailed plan to implement several ways, including, but not limited to: internally without selected Contractor support, internally with some selected Contractor support, through another existing contract, or a new procurement. Part 2-C: Option Implementation DPW may request that the selected Contractor implement an option based on the report provided in Part 2-B. To provide a response to this task, Contractors are asked to discuss their experiences in implementation activities, as well as their methodology in approaching implementation projects, if different than the response provided in Part 1-C. If the approach is similar, Contractors should reference their earlier response. The selected Contractor may be asked to provide zero, partial, or full implementation services associated with an idea. If the Commonwealth chooses to have the selected Contractor perform a partial or full implementation of an idea as agreed upon between the selected Contractor and the Department, the deliverable will be the implementation of the

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idea. The Commonwealth will use a work order process to define responsibilities, timeline and maximum price.

Element 3: Focused Case Monitoring Services Contractors are asked to provide team members, to supplement the existing DPW review team, to continually evaluate cases on a monthly basis. The goal of the Focused Case Review Monitoring is to promote the effective and efficient delivery of care to individuals served by DPW—the right service at the right time in the most appropriate setting. The current DPW review team consists of members from across DPW program offices. Case data is currently extracted from multiple systems and reviewed for efficiency of delivery of service. For further information regarding the DPW team, refer to Appendix H which contains the current User Guide for the case data collection and case management steps used in the internal process. The User Guide is merely an example and should not restrict the nature of responses in capturing different data or capturing data through other methods. The following items identify the work to be completed within this element:

1. Provide team members to supplement the existing DPW Focused Case Monitoring Services team.

2. Analyze individual case data as determined by the Department’s case review methodology. Areas of consideration may include, but are not limited to:

Is the recipient utilizing the appropriate services in the appropriate delivery

method? Is the recipient placed in the 1915(c) waiver best able to meet their needs in

the most cost effective manner? Is there a similar service in another delivery method to a utilized service that

would result in cost savings? Is the recipient utilizing a high level of state plan services and a low level of

1915(c) waiver services when the 1915(c) waiver’s increased eligibility level is what authorized the recipient to receive state plan services?

Is the county delivering service above the state specified 1915(c) waiver cap in 1915(c) waiver services?

Is the county delivering services when a similar service is available through the state plan or 1915(c) waiver which is eligible for federal participation?

Is the recipient receiving a service that is being paid for as part of another service?

Does the recipient have private insurance that does not cover the service utilized but will cover a similar service that may produce the same desired outcome?

Is a family member receiving a similar service that is duplicative of the recipient’s service?

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Is a family member receiving a similar service that could be delivered in conjunction with the recipient’s service at a reduced rate?

Is a recipient receiving 1915(c) waiver services that are inconsistent with state plan or county delivered services, and vice versa?

Is a recipient receiving services of a short term nature for an unexpected length of time?

3. Conduct additional case study activities as necessary to understand data trends and

patterns, including but not limited to: visits with providers (e.g. physical and behavioral healthcare providers, transportation providers, case managers, care managers, Service Coordination Entities, Area Agencies on Aging, county mental health and intellectual disability offices, private Children and Youth Agencies, Administrative Entities, social workers, employers, trainers, family members, other external resources, residential services and other MA certified waiver providers); interviewing direct care workers; when available, identifying assessment of need criteria such as Activities of Daily Living and Instrumental Activities of Daily Living and researching and evaluating how the needs are tied to the service plan.

4. Identify root causes of each unique dependency. The selected Contractor will

research, document, analyze and report all benefits received and amount (include any other environmental items of note and incidental findings e.g. employable cash assistance with “right size” score).

5. At the Department’s direction, the selected Contractor may be asked to participate in appeal hearings in relation to its findings in the detailed case monitoring reviews.

6. Provide monthly reporting around activities and progress of case analysis. To present responses to this RFQ, the Contractor should respond as indicated below: Element 3 Response The objective of this task is a Monthly Monitoring team that provides ongoing analysis, investigation, communication and coordination of potential changes to specific cases. To respond fully to this part of the RFQ, the Contractor should provide an organizational chart indicated the team staffing characteristics and size. Additionally, the Contractor should describe their methodology and approach in using the team members to evaluate case data and report findings, as well as their understanding of the Commonwealth’s objectives and deliverables with this task. The following deliverables are a requirement of this task:

Monthly Analysis Report Monthly Scorecard

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The Monthly Analysis Report should include the following elements:

Case Data Analysis Summary and Findings o An abstract/summary of the results of the study o A description of the case data collection, analytical process, and other

techniques used in study o Identified root causes of findings o Identified patterns and trends

The Focused Case Monitoring team will coordinate and report status of achieving improvements as stated in the Monthly Analysis Report.

The Monthly Scorecard should include the following elements at a minimum:

Report on number of individual cases analyzed Report on number of cost initiatives taken Report on actual savings to date and projected savings by FY Issues and Problems

The format for the Monthly Scorecard will be established by DPW and the selected Contractor within 20 business days of the Purchase Order start date.

Element 4: Project Turnover To present responses to this RFQ, the Contractor should respond to Element 4 as indicated below: Prior to expiration or termination of the purchase order, the selected Contractor shall provide for a smooth and timely turnover of its services, information (including raw data), records, and reports to the DPW and its contractors, as applicable. In addition, the selected Contractor must:

1. Turnover Scope During turnover, the selected Contractor must ensure that program stakeholders do not experience any adverse impact from the transfer of services. Two (2) months prior to the end of the purchase order, the selected Contractor must develop and submit a comprehensive Turnover Plan that details the proposed schedule, activities, and resource requirements associated with the turnover tasks identified. Turnover activities include, but are not limited to:

Transfer of information including documentation relating to functional

business process flows; and operational information concerning subcontractors;

The implementation of a quality assurance process to monitor turnover activities;

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The plan for training the State and/or its designated agent’s staff in the delivery of services;

Appoint, with State approval, a manager to manage and coordinate all turnover activities outlined in the Turnover Plan approved by the State.

The selected Contractor must:

Execute the approved Turnover Plan. Maintain service delivery staffing levels (no reduction in staffing) during the

turnover period; all changes require prior approval by the DPW Project Manager;

Notify the DPW Project Manager of reassignment or termination of employment or contract with any of its staff during Turnover prior to reassignment or termination of the staff.

Provide to DPW or its agent, within 15 business days of the request, all updated scripts and other documentation and records required by the DPW or its agents.

Turn over the operation and management of all service delivery functions to DPW or its designee. This turnover must be planned and managed in an orderly fashion so that no disruption of service to stakeholders takes place.

Work closely with DPW to ensure that this turnover of responsibilities and the necessary knowledge transfer are completed by the end of the purchase order period.

Submit turnover deliverables as outlined in the tables below. Respond to all DPW requests regarding turnover information, in the

timeframe defined by the Commonwealth at the time of the request.

2. Turnover Deliverables The following deliverables are associated with Turnover:

a. Turnover Plan

Turnover Plan Deliverable

Turnover Plan

Activity Turnover

Expected Delivery Submitted for approval no later than 2 months prior to the end of the purchase order expiration or within 2 months of request by DPW

Frequency Once

Description The selected Contractor must develop and implement a DPW-approved Turnover Plan covering the possible turnover of the business activities to either DPW or its designee. The Turnover Plan must be a comprehensive document detailing the proposed schedule, activities, and resource requirements associated with the turnover tasks. Additionally, the Turnover Plan, must be provided in a format and media specified by DPW. The Turnover Plan must include: Turnover of copies of all relevant data, documentation, or other pertinent

information necessary for DPW or its designee to take over and successfully assume operational business activities

Turnover of correspondence, documentation of outstanding issues, and other

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documentation A description of the Contractor’s approach and schedule for transfer of

information A description of information required to continue the project Turnover Inventory of Documents and Plan Turnover Completion Report Training Plan

Turnover Required Items:

The Selected Contractor must describe in detail: 1) The resources including skill sets, training, and experience required, 2) The associated turnover organizational chart, 3) A turnover plan outline defining the key points and considerations, turnover success criteria, and the major tasks and subtasks they believe are pertinent to ensuring a successful turnover with minimal impact to business operations, and 4) How they would manage the plan, accurately assess progress, and mitigate variances for a successful turnover.

IV-5. Reports and Project Control. The selected Contractor is responsible for providing monthly progress reports to DPW for each element defined in section IV-4. Tasks. It is expected that the selected Contractor will provide project management activities as defined by the Project Management Institute (PMI) in the execution of this RFQ. Contractors should provide a brief description within their Technical proposal regarding their Project Management approach and framework to managing these work activities. Specific reports that should be provided, outside of the elements defined in Section IV-4, include:

a. Monthly Status Report. A monthly progress report covering activities, problems and recommendations. This report should include progress made on current activities, planned activities, issue management concerns, and percent complete towards activities defined in the four elements contained in Section IV-4.

b. Final Report. The Final report providing a summary of each element detailed the activities completed, open, and/or not started within Section IV-4. If available, provide actual cost savings, benefits, and efficiencies achieved through the ideas and options implemented by the Department.

IV-6. Contract Requirements—Small Diverse Business Participation All purchase orders containing Small Diverse Business participation must also include a provision requiring the selected contractor to meet and maintain those commitments made to Small Diverse Businesses at the time of proposal submittal or contract negotiation, unless a change in the commitment is approved by the BSBO. All purchase orders containing Small Diverse Business participation must include a provision requiring Small Diverse Business subcontractors to perform at least 50% of the subcontracted work.

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The selected contractor’s commitments to Small Diverse Businesses made at the time of proposal submittal or contract negotiation shall, to the extent so provided in the commitment, be maintained throughout the term of the purchase order and through any renewal or extension of the contract. Any proposed change must be submitted to BSBO, which will make a recommendation to the Contracting Officer regarding a course of action. If a purchase order is assigned to another contractor, the new contractor must maintain the Small Diverse Business participation of the original purchase order. The selected contractor shall complete the Prime Contractor’s Quarterly Utilization Report (or similar type document containing the same information) and submit it to the contracting officer of the Issuing Office and BSBO within 10 workdays at the end of each quarter the purchase order is in force. This information will be used to determine the actual dollar amount paid to Small Diverse Business subcontractors and suppliers. Also, this information will serve as a record of fulfillment of the commitment the selected contractor made and for which it received Small Diverse Business participation points. If there was no activity during the quarter then the form must be completed by stating “No activity in this quarter.” NOTE: EQUAL EMPLOYMENT OPPORTUNITY AND CONTRACT COMPLIANCE STATEMENTS REFERRING TO COMPANY EQUAL EMPLOYMENT OPPORTUNITY POLICIES OR PAST CONTRACT COMPLIANCE PRACTICES DO NOT CONSTITUTE PROOF OF SMALL DIVERSE BUSINESS STATUS OR ENTITLE AN OFFEROR TO RECEIVE CREDIT FOR SMALL DIVERSE BUSINESS UTILIZATION.