REQUEST FOR PROPOSAL (RFP)

Preadmission Screening and Resident Review (PASRR)
MHDS 23-031

								Issuing Officer
Eric W. DeTemmerman, MHA
Capitol Complex Hoover Building 5th Floor MHDS- State Operated Facilities 
1305 E Walnut St
Des Moines, IA 50319
Phone:  515-725-2237
edetemm@dhs.state.ia.us

RFP Purpose.
The purpose of this RFP is to solicit bids from experienced Preadmission Screening and Resident Review (PASRR) contractors to operate the State of Iowa’s comprehensive PASRR process, which includes Level I screenings and Level II evaluations 24 hours per day, 365 days per year for individuals who may seek admission to Medicaid certified Nursing Facilities (NFs) in Iowa.  The program includes training and support of a network of Independent Contractors who perform PASRR Level II assessments in Iowa.  The program also includes a wide variety of quality assurance activities, monitoring of compliance with care planning and service delivery, collection, and exchange of data with the Agency, tracking of NF admissions, transfers, and discharges, and development and delivery of PASRR related training.     

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

Bidder Eligibility Requirements.
Bidders must not have a direct or indirect affiliation or relationship with an Iowa Nursing Facility (NF).  Bidders must demonstrate delivery of current PASRR Level I and Level II services in at least one other state.

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

Event	Date	

Agency Issues RFP Notice to Targeted Small Business Website (48 hours):	
January 19, 2023	

Agency Issues RFP to Bid Opportunities Website	
January 21, 2023	

Bidder Letter of Intent to Bid Due By 	
February 10, 2023	

Bidders’ Conference Will Be Held on the Following Date and Time 	
February 15, 2023, 1:00 p.m.	

Bidder Written Questions Due By	
February 22, 2023	

Agency Responses to Questions Issued By	
March 3, 2023	

Bidder Proposals and any Amendments to Proposals Due By	
March 10, 2023, 4:30 p.m.	

Agency Announces Apparent Successful Bidder/Notice of Intent to Award 	
April 10, 2023	

Contract Negotiations and Execution of the Contract Completed 	
May 12, 2023	

Anticipated Start Date for the Provision of Services	
July 1, 2023, 12:00 a.m.	

Section 1 Background and Scope of Work	

1.1 Background.
Pre-admission Screening and Resident Review (PASRR) described in 42 C.F.R. §§ 483.100 through 483.138 is a federally required process to screen and evaluate all individuals, regardless of their payer source, who may admit to a Medicaid certified Nursing Facility (NF).  Individuals are screened for Mental Illness (MI), Intellectual or Developmental Disability (IDD), or Related Conditions (RC), (collectively, MI/IDD/RC). This Federal mandate was implemented as part of the 1987 Omnibus Reconciliation Act (OBRA), also known as the Nursing Facility Reform Act of 1987 to reduce or eliminate inappropriate placement of individuals with MI/IDD/RC in Medicaid certified NFs.  

The PASRR Level I (LI) process determines whether there is a suspicion of a PASRR disability, MI/IDD/RC, and if so, an in-depth Level II (LII) evaluation is required. If evidence of MI/IDD/RC exists, the Level II evaluation will determine whether the individual meets the Iowa Level of Care (LOC) criteria for placement in a NF or Nursing Facility for Persons with Mental Illness (NFMI) setting. In addition, the Level II will identify appropriate Specialized Services (SS) and Rehabilitative Services (RS) that will be needed if the individual enters a NF, and Community Placement Supports (CPS) that would be needed if/when the individual has potential for placement or transition to a lower level of care. NFs are prohibited from admitting individuals with MI/IDD/RC before the PASRR Level I and Level II are completed, and LOC approval is given.

Iowa’s current contract for PASRR was implemented on July 25, 2011.  The original contract was for Level II PASRR only, and Level I activities were added by an amendment effective September 26, 2011.  A web-based system for entry of all LI information became available to Iowa providers on January 1, 2012.  A web-based system for entry of all admission, transfer, and discharge notices was added to the PASRR database in 2015 and became mandatory for use of all Iowa providers as of February 1, 2016. A process, currently known as ServiceMatters, was added in 2015, which monitors the care planning process and reviews evidence of delivery of Specialized Services as well as adequacy of discharge/transition planning efforts. 

Iowa’s PASRR program has undergone many changes and several innovations have been added to the contract.  The current program includes:

•	A 24/7 web-based system that is available for hospitals, NFs, and other community provider organizations to gain access by setting up secure user IDs for appropriate staff members.  See Section 1.3.1.2, System Requirements.
•	Immediate access for viewing, downloading, and printing of PASRR outcomes and Summaries of Findings for all authorized system users, upon completion of PASRR activity by the Contractor.  See Section 1.3.1.9, Notices for Level I Determinations and Level II Summary of Findings.
•	Quality reviews of 2% of all LI outcomes for quality, errors, identification of concerns.  See Section 1.3.1.10, Links to Payment and Quality Assurance Activities.
•	Reporting to the Agency on the discovery of any individuals who may meet criteria for participation in the Agency’s Money Follows the Person initiative.  See Section 1.3.1.14, Reports.
•	A web-based system that links PASRR information to the Agency’s Medicaid eligibility determination processes.  See Section 1.3.1.10, Links to Payment and Quality Assurance Activities.  This process includes:
o	A system that requires NFs and NFMIs to submit information for all admissions, transfers, discharges, reasons and locations of admissions, discharges, and transfers, payment source and levels of care for all their residents.
o	Information sent, in real-time, to the Agency, where it is translated into a Case Activity Report (CAR) and transmitted to appropriate Agency staff that use it to match Medicaid records with NF/NFMI and PASRR compliance information. 
o	Utilization by all Medicaid Certified NFs and NFMIs in Iowa of the Links to Payment tracking system on 100% of their residents, including those with Medicaid, those with any other payment sources, and those with PASRRs that pre-date the current data system.  

•	A Services monitoring process for individuals with a need for PASRR identified services in their LII Summary of Findings.  See Section 1.3.1.11, Specialized Services Monitoring Process.  This monitoring process involves:
o	A web-based system for requesting care plans and documents that support/verify that SS, RS, and when appropriate, CPS are being delivered. 
o	Reviews are triggered on 100% of individuals for whom SS are identified in their PASRR. 
o	Reviews are triggered on 50% of individuals for whom no SS are identified in their PASRR.   
o	Ability of the NFs to receive an electronic notification when their PASRR compliant care plans are due and ability for NFs to upload their documents, including proof of delivery of SS and any other services if/when requested.
o	Contractor led review, reporting, and technical assistance regarding care planning, proof of delivery of SS, PASRR identified service delivery, transition planning, and other compliance issues discoverable during the process of review.
o	This process will include identifying and reporting on all compliance issues discovered during the full review, including but not limited to days of preadmission non-compliance, gaps/days between PASRR approvals, apparent time frames for non-compliance with care planning and service delivery, and failure to submit new screens when a status change has likely occurred.
o	Reporting to the Agency of all situations where full compliance with care planning, service delivery expectations, or other identified compliance concerns are not achieved after two reviews and provision of technical assistance.  

The charts below provide recent volume data regarding PASRR activities in Iowa.  

Level I (LI) Screens	
Fiscal Year	Total LI	Web Approved 1	No Status Change 2	Negative 3	Referred for Level II 4	
2018	41,918	35,263	438	3,250	2,967	
2019	43,465	35,350	1,394	3,426	3,295	
2020	43,735	32,086	3,487	5,735	2,427	
2021	38,051	28,628	1,066	6,194	2,163	

1 Web Approved = LI did not contain any indicators that the individual had MI/ID/RC and received an automatic PASRR approval.
2 No Status Change = The information submitted does not support that a change in status has occurred, so no LII is required.	
3 Negative = While the information submitted may suggest the presence of MI/ID/RC, the records do not support that the condition is significant enough to require a LII assessment.  
4 Refer for Level II = Information suggests the individual may have a diagnosis of MI/ID/RC for which PASRR services may need to be identified.	

Categorical Determinations	
Fiscal Year		
2018	9,818	
2019	11,710	
2020	13,689	
2021	12,834	

Level II (LII) Evaluations	

Fiscal Year	
Level II Onsite	

DBR	
Approved with SS	
2018	2,671	115	1,487	
2019	2,916	84	1,520	
2020	2,089	94	1,467	
2021	1,982	105	1,558	

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

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

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

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

“Contractor” means the Bidder who enters a Contract because of this Solicitation.

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

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

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

“ADL” means activities of daily living, which is a term used in healthcare to refer to people's daily self-care activities.  ADLs are "the things we normally do” such as feeding ourselves, bathing, dressing, grooming, work, homemaking, and leisure.

“Aging Appropriate Language” promoted within the community of professionals who work with older adults, use of the term “Older Adults,” rather than “elderly,” and otherwise avoiding language that might be perceived as ageist.  We expect to use such language in Iowa PASRR and in all documents associated with Iowa PASRR.  

“Appeal” means a process whereby an individual or their legal representative who is not in agreement with a PASRR LII determination may request in writing to have the determination reviewed and possibly amended or overturned.  Adverse PASRR determinations or LOC decisions may be appealed pursuant to 441 Iowa Admin. Code Chapter 7.  See 441 Iowa Admin. Code § 81.3(1)(c).

“Case Activity Report” or “CAR” is a form produced by the Agency using data submitted into the Contractor’s PASRR data system.  Agency staff use this form for Medicaid eligibility determinations as well as Level of Care and payment source changes.  A copy of the form is provided in Attachment G.

“Categorical Determinations” means a federal/state exemption from the need to have a full Level II evaluation prior to NF admission.  These determinations are time limited.

“Community Placement Supports” or “CPS” means services available in the community such as, but not limited to, mental health services, in-home health care, HCBS waiver services, housecleaning, yardwork, assistive technology, transportation, shopping assistance, meal preparation, and behavioral health supports.  These services would be needed when an individual returns to the community.

“Decision Portability” refers to whether a particular PASRR determination permits an individual to transfer from one NF to another without another PASRR determination.

“Document Based Reviews” or “DBR” means Level II evaluations that are not performed via a face-to-face interview but instead involve a review of documents pertaining to the individual, which are utilized when an out-of-state individual is seeking admission to an Iowa NF or at other times that the Agency may choose to approve.  

“HCBS” means Home and Community Based Services, usually referring to HCBS waivers, offered in Iowa Medicaid; individuals who meet the nursing facility level of care criteria for NF may also meet level of care criteria for HCBS waivers.

“Implementation Phase” means the activities required by the Scope of Work that ensure a smooth transition from the existing process to the Contractor.

“Instrumental Activities of Daily Living” or “IADL” means certain tasks that permit an individual to live independently in a community.  Examples include housework, preparing meals, taking medications as prescribed, managing money, shopping, use of telephone or other forms of communication, and transportation.

“Intellectual Disability” or “ID” means an individual that has a mild, moderate, severe, or profound level of   Intellectual Disability described in the American Association on Intellectual Disability’s Manual on Classification in Intellectual Disability (1983). Incorporation by reference of the 1983 edition of the American Association on Intellectual Disability’s Manual on Classification in Intellectual Disability was approved by the Federal Register in accordance with 5 U.S.C. 552(a) and 1 C.F.R. part 51 that govern the use of incorporations by reference.  See 42 C.F.R. § 483.102.     

 “Level I” or “LI” means a PASRR screening used to identify individuals with a potential or known diagnosis of MI/IDD/RC.  Hospitals, nursing facilities and other Level I system users submit information about the individual to be screened.  If the result of the screen finds the potential of a MI/IDD/RC, then the individual is referred for a Level II evaluation.  The screening is required for all individuals who may enter a NF.  

“Level II” or “LII” means a comprehensive PASRR evaluation or assessment that is used to confirm a diagnosis of serious MI/IDD/RC, to determine whether the individual meets LOC for Nursing Facility care, and to determine whether the applicant would benefit from PASRR identified Specialized Services or Rehabilitative Services and to identify what Community Placement Supports the individual is likely to need if/when they transition  to a lower level of care than in a NF.  

“Level of Care” or “LOC” means the portion of the PASRR process as defined in 441 Iowa Admin. Code § 81.3(1) though 81.3(1)(b). The PASRR Contractor performs the LOC for all individuals in the PASRR Level II population using the “Nursing facility level of care” definition in 441 Iowa Admin. Code § 81.1, which states the following conditions are met: 

1. The presence of a physical or mental impairment which restricts the member’s daily ability to perform the essential activities of daily living, bathing, dressing, and personal hygiene, and impedes the member’s capacity to live independently.
2. The member’s physical or mental impairment is such that self-execution of required nursing care is improbable or impossible.      

“Links to Payment” means the process described in Section 1.3.1.10, Links to Payment and Quality Assurance Activities.  This is a process that links PASRR dates and outcomes, admission, transfer, discharge, or other significant change data to the Iowa Medicaid system.  

“Managed Care Organizations” or “MCOs” means the entities under Contract with the Agency to manage Medicaid services for identified individuals, which are, as of December 2022, Amerigroup Iowa, Inc., and Iowa Total Care.  Beginning on July 1, 2023, Molina Healthcare of Iowa, Inc. will be Iowa’s third MCO.  

“Medication Administration Record” or “MAR” means a document that is widely used to report what medications have been given to an individual.  It is often required as part of a PASRR process.

“Serious Mental Illness” or “SMI” means a behavioral health condition that can be found in the current edition of the Diagnostic and Statistical Manual.  See 42 C.F.R. § 483.100(b)(1) for a more detailed definition. 

“Minimum Data Set” or “MDS” means a survey of NF resident status that must be administered to all residents of Medicaid-certified NF, regardless of insurance type.  To complete the MDS, NF staff must answer a variety of questions about resident health and functional ability. The MDS must first be administered within 14 days of NF admission. It is subsequently administered quarterly (in short form) and annually (in long form). 

“Money Follows the Person” means an Agency initiative that provides opportunities for individuals in Iowa to move out of Intermediate Care Facilities for Persons with Intellectual Disabilities (ICF/ID), NFs, or other settings into a less restrictive setting in the community. See Section 2.4, Online Resources for a link for more information about this initiative.  

“Nursing Facility” or “NF” means a Nursing Facility or may also mean Nursing Facility for persons with Mental Illness “NFMI”.  

“Nursing Facility for Persons with Mental Illness” or “NFMI” means a specialized type of NF meant to serve those individuals with very high needs for specialized behavioral health services and is subject to the Institute for Mental Disease (IMD) exclusion identified in the federal guidelines.

“Operations Phase” means the activities required by the Scope of Work, which are performed by the Contractor following the Implementation Phase.  

“Person First Language” popularized in the late 90’s and 2000’s within the disability community, the concept of speaking of the person ahead of the “disability” thus highlighting the personhood of the individual.  We endeavor to use such language in Iowa PASRR and in all documents associated with Iowa PASRR.  

“Program of All-Inclusive Care for the Elderly (Older Adults)” or “PACE” means a specialized managed care program that provides preventive care, primary care, social services, therapeutic recreation, acute and long-term care services. See Section 2.4, Online Resources for a link for more information about this initiative.  

“PASRR Technical Assistance Center” or “PTAC” is a resource for states on PASRR; see Section 2.4, Online Resources for a link and more information.  PTAC resources including the regularly updated “PASRR 101,” video webinar provided by PTAC, will be offered via link on the Iowa PASRR providers webpage.  

“Qualified Mental Health Professional” or “QMHP” means an individual who has either of the following qualifications:
a. The individual meets all the following requirements:

(1) The individual holds at least a master’s degree in a mental health field, including but not limited to psychology, counseling and guidance, nursing, and social work, or is an advanced registered nurse practitioner, a physician assistant, or a physician and surgeon or an osteopathic physician and surgeon.

(2) The individual holds a current Iowa license if practicing in a field covered by an Iowa licensure law.

(3) The individual has at least two years of post-degree clinical experience, supervised by another mental health professional, in assessing mental health needs and in providing appropriate mental health services.

b. The individual holds a current Iowa license if practicing in a field covered by an Iowa licensure and is a psychiatrist, an advanced registered nurse practitioner who holds a national certification in psychiatric mental health care licensed by the board of nursing, a physician assistant practicing under the supervision of a psychiatrist, or an individual who holds a doctorate degree in psychology and is licensed by the board of psychology.  See Iowa Code § 228.1(6) (definition of “Mental health professional”).  

“Reconsideration” means a process whereby an individual who is not in agreement with a PASRR determination may submit a written request, for good cause, to have the determination reviewed and possibly amended.  

“Rehabilitative Services” or “RS” means services that are provided in a Nursing Facility at the ordinary per diem reimbursement rate. These services, which can be identified in the Level II Summary of Findings, may involve hiring of additional staff or contractors, and include such things as occupational, speech, or physical therapy, or involve obtaining medical services such as those of eye care, dental care, or other non-behavioral health service related needs.

“Related Condition” or “RC” means a serious, chronic disability that meets all of the following conditions: It is attributable to— (1) Cerebral palsy or epilepsy; or (2) Any other condition, other than mental illness, found to be closely related to Intellectual Disability because this condition results in impairment of general intellectual functioning or adaptive behavior similar to that of  persons with intellectual disabilities, and requires treatment or services similar to those required for these persons. (b) It is manifested before the person reaches age 22. (c) It is likely to continue indefinitely. (d) It results in substantial functional limitations in three or more of the following areas of major life activity: (1) Self-care, (2) Understanding and use of language, (3) Learning, (4) Mobility, (5) Self-direction, (6) Capacity for independent living. See 42 C.F.R. § 435.1010

“Resident Review” or “RR” also known as “Status Change”, or “SC” triggered by submitting a PASRR LI screen and describes the process of rendering a LI outcome and/or completing a full LII evaluation for someone who is already a NF resident and who may be experiencing a significant change in their condition or has a previous PASRR approval that is about to expire.  A NF is expected to submit a new PASRR LI screen when appropriate due to changes in mental status, the MDS or other life changes such as inpatient psychiatric hospital admission.  Iowa has outlined when consideration of a RR or SC is appropriate in Informational Letter 1482.  See Section 2.4, Online Resources for a link to this letter.  

“Service Organization Control 2” or “SOC 2” means the internal controls in place at the third-party service organization. For a company to receive SOC 2 certification, it must have sufficient policies and strategies that satisfactorily protect the client’s data.

“Specialized Services” or “SS” means services, usually behavioral health services that may not ordinarily be provided by a Nursing Facility under its per diem rate. These services, which can be identified in the Level II Summary of Findings, are arranged by the Nursing Facility while the individual lives in the Nursing Facility and/or is preparing for discharge and are provided by licensed and/or certified providers either in the Nursing Facility or in various community settings.  Iowa PASRR will encourage strategies that permit continuity of care for individuals with behavioral health needs whenever possible.  

“Status Change” or “SC” – see “Resident Review”

“Summary of Findings” or “SOF” means a written report that is a result of a Level II PASRR evaluation and is sent to the individual, their physician when known, and their legal guardian when known, by regular mail and is available electronically.

1.3 Scope of Work. 
1.3.1 Deliverables.
1.3.1.1 General Obligations. 
The Contractor shall fulfill general obligations to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Perform all PASRR processes and functions in compliance with all federal regulations, applicable Iowa statutes and rules, and be on the forefront of anticipating emerging state and federal expectations. 

b. Prevent potential conflicts of interest by ensuring that the Contractor does not have a direct or indirect affiliation or relationship with any Iowa NF and by requiring Level II evaluators to also not have affiliations or relationships with NFs or providers of Specialized Services.

c. Maintain all systems, processes, functions, and trainings developed or customized during the Implementation Phase throughout the Operations Phase and all Contract extensions unless otherwise approved by the Agency.  

d. Maintain the staff positions hired or subcontracted during the Operations Phase and ensure adequate number of staff are retained throughout the Operations Phase and all Contract extensions.  

e. Notify the Agency in writing of any key staff resignations and dismissals within one (1) business day after initial knowledge of the change.   Key staff includes:  the project manager, webmaster, clinical director, Level I manager, Level II manager, primary Level I clinician, Iowa Help Desk staff, and primary ServiceMatters clinician.  

f. Allow the Agency to review and approve the resumes and credentials of all Iowa-based Level II evaluators. 

g. Attend conference calls with the Agency at least twice weekly during the Implementation Phase to review the implementation progress. 

h. Attend conference calls with the Agency twice monthly or as directed by the Agency throughout the Operations Phase and all Contract extensions to review contract deliverables, identify service trends, consult on issues of quality or concern, and engage in problem solving or program adjustments as needed.

I. Provide responses to Agency PASRR-related informational requests within one (1) working day, or as agreed upon with the Agency, throughout the entire Contract.

j. Complete at least one on-site consultation visit with the Agency on an annual basis.

k. Complete at least two (2) in-person training sessions for Iowa PASRR providers, including hospital, Nursing Facility, and other community-based system users annually, starting in October of 2023, in at least four locations across the state, and potential users, continuing annually throughout the entire Contract; the on-site consultation may be combined with the in-person training. Registration for all training events will be announced and available online via the Iowa PASRR providers webpage.  CEUs will be made available for nurses, through collaboration with the Iowa Board of Nursing, and certificates of attendance will be available, upon request, to others.  

l. Complete at least twenty web-based training events on timely and revolving topics, generally twice monthly in all months where in-person training is not offered, in partnership with the Agency, for Iowa PASRR providers including hospital, Nursing Facility, and other community-based system users and potential users annually, starting in July of 2023 and continuing annually throughout the entire Contract.  Registration for all training events will be announced and available online via the Iowa PASRR providers webpage.  

m. Complete at least two (2) in-person training sessions and at least two (2) online training events for the Iowa based PASRR evaluators, in partnership with the Agency, continuing annually throughout the entire Contract; the on-site training may be combined with the in-person training events for Iowa providers.   

k. Complete the Implementation Phase on June 30, 2023, by having all aspects of the Iowa PASRR process ready for the July 1, 2023, 12:01 a.m. roll-out.  

l. Develop a detailed implementation plan that identifies all Implementation Phase tasks, including a timeline with the target date for each task and a testing process that allows the Agency to provide feedback and to make corrections.  Contractor shall deliver to the Agency the final implementation plan, incorporating any changes requested by the Agency, within 15 days after the Contract execution date.  The Contractor shall execute, adhere to, and provide the services set forth in the Agency-approved implementation plan.  Changes to the implementation plan must receive prior approval from the Agency, and the Contractor shall adhere to the modified implementation plan once approved by the Agency.

IMPLEMENTATION PHASE
1.3.1.2 System Requirements. 
The Contractor shall implement Agency-approved technology to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Configure/Customize a web-based system for Iowa that is available to Level I users for data entry 24 hours per day, 365 days per year to support the PASRR determination process for Iowa NFs, skilled NFs, and NFMIs, data tracking, analysis, and reporting requirements identified in the Operations Phase Sections 1.3.1.5 through 1.3.1.14.  The system must utilize industry standard coding practices and be HIPAA compliant and secure.  

b. Provide full program expertise, staffing, web technologies, and management capabilities necessary to customize and maintain an automated web-based system that can be accessed in real time by system users statewide 24 hours per day, 365 days per year. 

c. Configure/Customize for Iowa, maintain, and regularly update a database that can store a record for each individual and every PASRR in a manner that each PASRR notice can be accessed and printed by Contractor staff, authorized Agency staff, and authorized system users.  The database must include enough fields to support the entire PASRR history, admission/transfer/discharge history, service matters/review history, and all attachments unique to these areas.   

1.3 Scope of Work, along with desirable data elements to support federal and state reporting along with rich analytics. 

d. Provide the system capability that allows users to upload scanned documents, as well as to fax in and attach an unlimited number of documents or scans on an individual’s system record.

e. Configure/Customize for Iowa a Level I software algorithm able to provide an immediate outcome for negative Level I screens on a high percentage of the cases.  

f. Provide the system capacity to save and store partially completed PASRRs and other entries, for up to 24 hours, so the user can later retrieve the partial entry and complete the submission.    

g. Host and provide all services including website with entry portal for providers, related hardware, bandwidth for access, back-up capabilities, firewalls, database software licenses, report generating software, and operating system software as part of the hosting service. 

h. Develop a visually understandable and user friendly, one-stop website for Iowa PASRR providers, where providers will log in to use the PASRR system and where they will find the comprehensive library of historical tools and resources, training materials, policy updates, announcements, manuals, tools, and archived emails that have been sent to providers since 7/25/2011.  The Contractor shall organize materials in a menu driven website that is searchable and uses intuitive names and headers.    

I. Enforce user role-based security that allows different users different levels of access within the system and permits facility-based access coordinators to grant access to other users within their agency/organization.  

j. Program the system to include data point(s) to identify PASRRs that pre-date 09/01/2011.

k. Program robust search capability, tied to user roles, to enable users to find all relevant information on individuals with PASRR history and for each nursing facility to find a queue that includes all individuals they have admitted and any tasks in need of completion.  

l. If applicable, transition and store all the previous contractor’s PASRR documents and determinations, data related to Sections 1.3.1.6 through 1.3.1.11 and on-line reports, in a manner that:
1. All original formatting is maintained.  
2. Searches will display both transitioned and new data when both types of data exist for the individual being searched.  
3. The distinction between transitioned and new data will be invisible to the user.  The user will be able to search, view and print the two types of data in the same way.   

m. Allow secure and timely web-based access to all Iowa Level II evaluators such that they may comply with expectations regarding review of PASRR history and documents and such that they may enter data collected during each evaluation. 

n. Provide the system capability to request and upload care plans and documents from NFs that support/verify that SS, RS, and when appropriate, CPS, are being delivered, as part of the service monitoring features within the system. 

o. Provide a NF view of system information that includes:
1. A listing of all persons residing in the NF at the present time, permit access to and printing of all PASRRs, and permit data entry of all information needed for admission, transfer, discharge, LOC, payment source and any other information needed to populate the CAR form.  
2. A notification system to alert the NF when it is necessary for the NF to upload their PASRR compliant care plan and documentation of delivery of PASRR identified Services.
3. A data entry process to allow NFs the ability to provide information needed to complete a Section 1.3.1.11 care planning and PASRR identified services monitoring process review.  

p. Provide users the ability to view on-line reports and data.  The Contractor shall collaborate with the Agency during Implementation Phase to finalize the on-line reporting style and detail.

q. Develop a way to capture email addresses of all system users and non-system users and a means for new individuals to request to be placed on a policy and training email list.  The Contractor shall share the sortable email list(s) with the Agency upon request.  The Contractor shall regularly send policy and training related emails to the provider and Level II evaluator email lists.

r. Provide to the Agency any data files requested in accordance with Agency requirements and work collaboratively with the Agency to develop and test the data file process incorporating Agency feedback into the final data file format(s).

s. Provide secure and continuous access to all information contained in the system to the PASRR Contract Manager and any others the Agency authorizes. 

t. Work collaboratively with the Agency to develop and test the notices identified in Section 1.3.1.9 and incorporate Agency feedback into the final notice template.

u. Meet the Agency and the Office of the Chief Information Officer’s security standards for data collection, storage, and secured electronic transmissions. This includes, but is not limited to, a minimum 256-bit encryption for both authentication and data transmission.  

v. Ensure security safeguards are in place to assure the integrity of system hardware, software, records, and files, including but not limited to:
1. Orienting new employees to security policies and procedures;
2. Conducting a minimum of yearly review sessions on security procedures;
3. Developing a list of personnel to be contacted in the event of a potential HIPAA or other suspected security breach;
4. Maintaining entry logs for limited access areas;
5. Limiting physical access to systems hardware, software, and libraries; and
6. Maintaining confidential and critical materials in limited access, secured areas.

w. Provide documentation of SOC 2 compliance or the following documentation prior to system implementation and annually thereafter:
1. Documentation that a security risk assessment has been completed and was successful;
2. Documentation of completed and successful network penetration scan; 
3. Documentation of successful web application security scan; and
4. Completion of the Attachment F Vendor Security Questionnaire. 

x. Develop and maintain a disaster recovery and business continuity plan to address recovery of business functions, business units, business processes, human resources, and the technology infrastructure. 
1. The Contractor shall protect against hardware and software failures, human error, natural disasters, and other emergencies that could interrupt services and operations and provide secure, off-site back up storage of all PASRR information and documents uploaded or generated.  

2. The disaster recovery and business continuity plan must assure the system essential functions are fully operational within 8 hours of any disaster or unforeseen event that causes an interruption of services.

3. The Contractor shall deliver to the Agency the final disaster recovery and business continuity plan, incorporating any changes requested by the Agency, within 15 days after the Contract start date.  The Contractor shall execute, adhere to, and provide the services set forth in the Agency approved disaster recovery and business continuity plan.  Changes to the disaster recovery and business continuity plan must receive prior approval from the Agency, and the Contractor shall adhere to the modified disaster recovery and business continuity plan once approved by the Agency.

1.3.1.3 Provider Training. 
The Contractor shall provide training for all providers, as directed by the Agency, to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Develop an Agency-approved comprehensive library of training materials for the approximately 460 nursing facilities, all Iowa hospitals, and health and human services agencies that utilize the Iowa PASRR system and make this training information available as approved by the Agency via webinar or face to face training and disseminated as approved by the Agency.

b. Develop an Agency-approved comprehensive Iowa PASRR provider manual that includes policies and procedures for Level I, Level II, Categorical and other short-term determinations, links to payment entries and activities, service monitoring entries and activities, and other issues as identified.  The Contractor shall keep this provider manual updated at least every six months throughout the life of the Contract.

c. Develop an authorization process to identify and approve access coordinators for each hospital, NF, or other provider.  These access coordinators will serve as the primary point of contact and will authorize all other users from that agency or facility.  

d. Provide initial training to access coordinators for each hospital, NF, or other providers on how to serve as the primary point of contact and how to authorize other users from the agency or facility.  

e. Develop and present full-day, face-to-face training sessions for hospitals, NFs, other system users and providers in at least four locations in Iowa during October 2023, utilizing web-based registration.  The Contractor shall continue this face-to-face training process twice per calendar year, dates at the discretion of Agency, for the remainder of the Contract, modifying future training content and presentation upon Agency request.

f. Develop and present 60–90-minute webinar training events for hospitals, NFs, other system users and providers on a variety of PASRR related topics utilizing web-based registration on an every-other-week basis, beginning June 1, 2023, and continuing through the remainder of the Contract, in partnership with the Agency, modifying future training content and presentations upon Agency request. 

g. Develop Agency-approved survey document(s) that will be provided to the attendees at each face-to-face training event and selected web-based events. 

h. Provide the Agency, within ten (10) days after each training event, a summary that includes names, organizations, and contacts for those who attended each training session and the results of the survey if a survey was utilized.  

I. Ensure that the provider community is ready to utilize the PASRR system at the start of the Operations Phase on July 1, 2023.

1.3.1.4 Project Staffing and Training. 
The Contractor shall provide project staffing and training to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Provide a project manager for Iowa who will serve as the primary staff person responsible for the implementation of all Contract deliverables.  The person will start work early in the Operations Phase.  The Contractor shall allow the Agency to be involved in the selection and approval of this key project individual initially and throughout the contract.  

b. Provide or subcontract a webmaster, the staff person responsible for the providers’ website.  

c. Hire or subcontract Iowa-based Level II evaluators, who meet QMHP or similar qualifications, to perform comprehensive Level II evaluations. Resumes, qualifications, and any conflict-of-interest concerns will be reviewed and approved by the Agency. 

d. Hire or subcontract Iowa-based Level II Intellectual Disability evaluators, who meet QMHP or similar qualifications, to perform Intellectual Disability evaluations when needed as part of the Level II process.  Resumes, qualifications, and any conflict-of-interest concerns will be reviewed and approved by the Agency.

e. Hire or subcontract at least one licensed and qualified psychiatrist.  A non-psychiatrist physician can be considered only with Agency review and approval.

f. Hire or subcontract qualified individuals to work on the Contract in the following full or part-time roles: helpdesk staff that are specialized in Iowa specific policy, helpdesk supervisor who is specialized in Iowa specific policy, Level I Manager and Level I clinical reviewers, Level II Manager, project support specialist(s), clinical director, PASRR policy specialist, and information technology specialist(s).  

g. Develop and present full-day face-to-face training sessions for Iowa-based Level II evaluators during June 2023, in partnership with the Agency.  The Contractor shall continue this training process at least twice per calendar year for the remainder of the Contract, modifying future training content and presentation upon Agency request.  Develop and present at least two (2) online training events for the Iowa based PASRR evaluators, in partnership with the Agency, continuing annually throughout the entire Contract; the on-site training may be scheduled in conjunction with the in-person training events for Iowa providers.   

h. Provide ongoing training to all Contractor staff so that they are knowledgeable in PASRR and the Iowa PASRR process and are competent to perform their jobs throughout the entire Contract.  Develop and present at least two (2) online training events for the entire Iowa PASRR team, in partnership with the Agency, continuing annually throughout the entire Contract.   

I. Maintain a list with each member of the Iowa PASRR team, including the Iowa-based Level II evaluator’s including name, phone, email address, qualifications and work location(s) and share the updated list with the Agency annually and upon request.

OPERATIONS PHASE
1.3.1.5 Helpdesk Functions. 
The Contractor shall fulfill helpdesk functions to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Maintain office hours to conduct business and operate the Iowa PASRR helpdesk five (5) days per week Monday through Friday between the hours of 7:00 a.m. and 4:00 p.m. CST at least 248 days per year.  

b. Post holidays and other business closures annually and at least 7-10 days in advance of each occurrence on the website.

c. Notify Iowa PASRR providers about unanticipated or emergency office closures as soon as practical via email and by posting a notice on the website.   

d. Notify the Agency Contract Manager about unanticipated or emergency office closures as soon as practical via phone and email.   

e. Install and maintain a high-capacity facsimile machine for the receipt of pertinent information and provide 24/7 facsimile availability.

f. Provide a process for uploaded or faxed information where submitters can scan information directly into the individual’s PASRR system record and where staff can upload the scan(s) to the individual’s PASRR system record if/when needed.

g. Staff the Iowa PASRR helpdesk that includes a toll-free telephone number and email address five (5) days per week Monday through Friday between the hours of 7:00 a.m. and 4:00 p.m. CST making efforts to provide at least two persons available throughout the bulk of each business day.  

h. Staff the Iowa PASRR helpdesk with professional, courteous, PASRR informed individuals who have high quality, current, and specific knowledge about the Iowa PASRR process and training opportunities, including all unique features of the Iowa PASRR process to accurately address a wide variety of questions that will come in from Iowa PASRR providers and others.  

I. Respond to Iowa PASRR helpdesk calls and emails within four (4) business hours.

1.3.1.6 Level I Screening. 
The Contractor shall provide Level I screening to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Accept Level I Screening information from PASRR system users by electronic submission 24 hours per day, every day of the year.

b. Provide technical assistance and support to all Level I system users via an Iowa PASRR provider’s website, email, and toll-free number.  See Section 1.3.1.5, Help Desk Functions for more detail. 

c. Review all Level I screens on all individuals who may seek admission to a Medicaid certified NF, regardless of payment source and determine if there is an indication or suspicion of MI/ID/RC. (If the Level I screen finds that MI/ID/RC is suspected then the individual will require a Level II evaluation and outcome.  See Section 1.3.1.8, Level II Evaluation.

d. Maintain and utilize the algorithm and system established in Section 1.3.1.2, System Requirements.

e. Issue an immediate web-approved electronic determination of a negative Level I outcome and authorization to proceed with NF placement when a Level II is not needed.  

f. Notify the Level I submitter of the Level I PASRR results electronically and by telephone if requested.

g. Issue written determinations to the individual, the Level I referral source, the physician, the guardian, or other substitute decision maker as authorized in a manner and language understandable to the individual based upon their cultural background, ethnic origin, and means of communication.

h. Utilize a clinical review process for the completion of Level I screens that cannot be completed via the Level I software algorithm.  

I. Utilize a Level I Screening process that permits requests for exemption from the full Level II evaluation. Approved exemptions include exempted hospital discharges and exemptions arising when there is a primary diagnosis of Dementia that is progressed to a degree that the individual would be unlikely to benefit from specialized services, no indication of MI/ID/RC, or if there is an indication of MI/ID/RC, but a reason for an appropriate Exemption or Categorical Determination is present and appropriately requested.

j. Correctly apply procedures relating to Categorical Determinations.  See Section 1.3.1.7, Categorical Determinations, for more detail. 

k. Utilize a Level I Screening process that permits the submitter to give an indication if they believe an individual may benefit from consideration of the NFMI level of care, if/when a Level II is triggered, and a text box for them to tell us why they believe the individual may benefit from that level of care.

l. Utilize a Level I Screening process that permits identification of pertinent information such as court ordered guardianship/conservatorship, current or known history of involuntary commitment, protective orders, known or suspected history of sexual offenses, other legal/criminal history, substance use history, and known or suspected child or dependent adult abuse history. 

m. Provide an electronic system notification of positive Level I screen, indicating that a Level II evaluation will be required.

n. Complete all Level I screens requiring clinical review and provide the outcome electronically to the referral source within eight (8) business hours.  Business hours are based on the helpdesk schedule.

o. Compile the results of the Level I screen information into a Level I or abbreviated Level II determination notice.  See Section 1.3.1.9, Notices for Level I Determinations and Level II Summary of Findings for more detail about the Level I determination notice.

p. Make the Level I determination notice immediately available electronically to the LI submitting entity and others entitled to the information. 

q. Send the Level I determination notice by US mail to the individual, any identified primary care physician, any identified guardian, or legal representative entitled to the report and as needed to the Level I submitter.

r. Report the number of Level I screens completed and turnaround times in the applicable reports listed in Section 1.3.1.14, Reports. 

1.3.1.7 Categorical Determinations. 
The Contractor shall give outcomes of Categorical Determinations when clinically appropriate for the individual and requested with appropriate evidence.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Maintain and utilize the system established in Section 1.3.1.2, System Requirements.

b. Correctly apply the following criteria in making Categorical Determinations when appropriate:
1. Exempted Hospital Discharge:  is a short-term (30 day or less) exemption from the full PASRR Level II evaluation for an individual with known or suspected MI/ID/RC who:
•	Was admitted and is expected to discharge from a medical hospital to a Nursing Facility after receiving medical (non-psychiatric) services, and,
•	Requires NF treatment for the same condition treated in the hospital, and, 
•	Whose physician has certified in writing that the anticipated length of stay in the NF is not expected to exceed 30 calendar days.
2.	60-day convalescence:  the individual who is expected to discharge from a medical hospital to a NF after being admitted to the hospital and receiving medical (non-psychiatric) services and:
•	Needs less than 60 days treatment in a NF for the condition treated in the hospital and, 
•	The attending physician certifies in writing that the anticipated length of stay in the NF is not expected to exceed 60 calendar days.

3. Seven (7) day Provisional Emergency Situations: the individual has an emergency requiring protective services related placement in the NF or the individual has an emergent need requiring temporary placement in a new or alternate NF setting due to natural disaster or other emergent reason for an evacuation, and the Agency has determined that the full Level II process should be waived for good cause for up to seven days.  
4. Terminal Illness: the individual must have been determined by a physician to have a prognosis for life expectancy of 6 months or less and is unlikely to benefit from any services that might otherwise be identified by PASRR.
5. 30-day Respite: the individual requires brief and finite NF care for the purpose of respite for an in-home caregiver and the individual is expected to return home following the brief NF stay.

c. Complete all Categorical Determinations within eight (8) business hours.

1.3.1.8 Level II Evaluation. 
The Contractor shall perform PASRR Level II Evaluations for individuals who appear to have a known or suspected PASRR condition after clinical review of the Level I submission.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Maintain and utilize the system established in Section 1.3.1.2, System Requirements.

b. Complete all Level II evaluations for persons identified by LI screening as potentially having a MI/ID/RC, prior to an individual’s admission to a NF.  If admission takes place prior to completion of the full evaluation, or other compliance issues are identified, any compliance issue will be captured and reported as part of the process.  

c. Complete a Status Change or Resident Review Level II evaluation whenever a change of status is requested and determined to be appropriate.  The Contractor shall assure a new LI is submitted for all Status Change requests and will render an outcome of “no status change,” when the request does not reflect a need for a new Level II evaluation.  

d. Complete the following tasks on each Level II evaluation:  

1. Obtain any needed documents or other information that has not been uploaded to the system by the Level I submitter.

2. Identify a Level II evaluator who will accept the assignment and complete the interview and data collection for the evaluation. 

3. Contact the Level 1 submitter, the individual and or staff where the individual resides to schedule the evaluation.

4. Conduct a face-to-face interview with the individual at the individual’s current location.  

5. Conduct Document Based Reviews when the individual is located outside of Iowa at the time of the LI submission.  

6. Conduct Document Based Reviews, or telehealth-based interviews under certain other circumstances that may be approved by the Agency. 

7. Ensure that all applicable federal and State of Iowa criteria are applied for Document Based Reviews and/or telehealth-based interviews as approved by the Agency for out-of-state individuals, or in-state individuals for whom a face-to-face interview is not possible or practical, who may be entering, transferring, or applying for possible admission to an Iowa NF. 

8. Obtain and upload documentation pertaining to guardianship or any other activated substitute decision makers, court orders relevant to commitment, treatment, placement, or protective issues, and educate providers regarding the need for this documentation.

9. Interview the guardian or other legal representatives whenever possible and document at least three attempts to make contact if the interview is not conducted.

10. Interview any family members or supportive others identified by the individual as time and scheduling permit.

11. Interview one or more persons involved in current delivery of care for the individual as time and scheduling permit and document efforts as part of the process.

12. Conduct a face-to-face interview of the individual as part of the Level II evaluation. The Level II evaluator shall make every effort to conduct on-site evaluations with the least possible amount of disruption to the hospital, NF, other residents, and individuals.  If the individual is not interviewed, the reasons will be captured and reported as part of the Level II evaluation and in the summary of findings.  

13. Perform on-site evaluations during the normal daytime business hours of the facility, agency, or organization where the interview will be conducted when possible and practical within the very tight turnaround times, and give the facility, agency, or organization where the interview will be conducted advanced notice when scheduling the evaluations whenever possible.

14. The Level II evaluator will review previous PASRR and placement history for the individual, available medical records including history and physical, psychiatric history, current psychiatric treatment records, MAR, MDS, court documents, and other records submitted during the Level I process.  Whenever possible, this review will take place prior to interviews, to inform the comprehensive process and identify any areas of focus.  

15. Use a person-centered approach, person first language, recovery oriented and aging appropriate language, both verbally and in writing in the Level II evaluator’s interview protocol and in reports. 

16. Explain the Level II evaluation process and determinations to the individual to whom it applies, family and/or individual’s representative.

17. Obtain releases of information for third-party sources such as the primary care physician, behavioral health services providers, other service providers, family members, and any other relevant sources. 

18. Collect other pertinent information such as legal/commitment history, criminal history, substance use history, and child or dependent adult abuse history.

19. Complete attestation forms pertaining to time and place of interviews and all persons interviewed.

20. Determine and confirm whether the individual has a MI/ID/RC for which PASRR services may need to be identified.			

21. Make the LOC determination for all individuals in the PASRR Level II population. 

22. Deny approval of NF level of care due to LOC determinations or the NFs ability to meet SS findings when appropriate and with additional review by a psychiatrist, generally when an individual continues to need hospitalization.  

23. Determine the individual’s behavioral health status and identify specialized services needed to address behavioral health needs.

24. Determine whether and how the individual’s behavioral health needs could be met by a NF and determine whether the person may also meet criteria for approval for the NFMI level of care. 

25. Determine which SS, RS and CPS are appropriate for the individual.  

26. Determine whether a short-term approval of 60, 90, 120, 150, 180, or 365 days may be appropriate in accordance with the evaluation of the individual’s potential for transition to a lower level of care.

27. Monitor short-term approvals and capture compliance data on the day after expiration and all subsequent days if/when the individual is still residing in a NF/NFMI and the NF/NFMI has not obtained approval for continued NF/NFMI level of care.  

28. Ensure that the Level II Summaries of Findings include all documentation and narrative required by the Agency in a format consistent with all reports currently contained in the existing Iowa PASRR database.  

29. Compile the individual’s information into a Summary of Findings.  See Section 1.3.1.9, Notices for Level I Determinations and Level II Summary of Findings for more detail about the Summary of Findings notice.

30. Provide, in the Summary of Findings, a detailed rationale for each service identified for the individual as well as a rationale for level of care that can be used to guide the delivery of person-centered services for the individual.  

31. Include standard language about Reconsiderations, Appeals, and Status Change on every PASRR Level II determination.

32. Issue Notice of Summary of Findings with, at minimum, the following possible global Level II outcomes: 

I. Approved No SS - individual meets NF LOC and MI/ID/RC criteria and needs Rehabilitative Services and/ or Community Placement Supports, but Specialized Services are not needed.

ii. Approved SS - individual meets NF LOC and MI/ID/RC criteria, and needs one or more Specialized Services, and Rehabilitative Services and/or Community Placement Supports.

iii. Approved SS/Reconsideration or Appeal - following a Reconsideration or Appeal, it is determined that the individual meets NF LOC and MI/ID/RC criteria, and needs Specialized Services, and Rehabilitative Services and/or Community Placement Supports.

iv. Approved SS/NFMI LOC - individual meets NF LOC and MI/ID/RC criteria and has very high needs for Specialized Services consistent with the Agency’s LOC requirements for NFMI and Rehabilitative Services and/ or Community Placement Supports.

v. Approved SS/Facility Specific – same as Approved SS when the individual is determined to need placement in a specific NF or meets NFMI level of care.

vi. Approved SS/Facility Specific Reconsideration or Appeal - same as Approved SS when the individual is determined to need placement in a specific NF or NFMI following a Reconsideration or Appeal.

vii. Denied SS or LOC - Nursing Facility Level of Care is denied, generally because individual continues to need hospitalization.  Denials require the additional review of a physician.

33. Complete the Level II evaluation, the LOC determination process, and issue the notice of Summary of Findings within an average of 120 hours from Level I submission timestamp and develop a process for daily or weekly notification to the Agency where any exceptions may be needed.

34. Make the Level II Summary of Findings immediately available electronically to the LI submitting entity and others entitled to the information. 

35. Send the Summary of Findings by US mail to the individual, any identified primary care physician, any guardian, or legal representative entitled to the report and as needed to the Level I submitter.

36. Report the number of Level II evaluations completed and turnaround time in the applicable reports listed in Section 1.3.1.14, Reports. 

1.3.1.9 Notices for Level I Determinations and Level II Summary of Findings. 
The Contractor shall issue notices for Level I Determinations and Level II Summary of Findings to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Maintain and utilize the system established in Section 1.3.1.2, System Requirements.

b. Include the following applicable information in a Level I determination:

Information	Description	
Individual’s Address	This section will populate multiple initial pages addressed to each party who should receive the PASRR Summary of Findings.  	
Regarding	List the name of individual.	
County	List the individual’s county based on their current residence at time of PASRR.	
State ID	List the Medicaid ID number of the individual if known.  	
ID Number	List the Contractor’s ID used to identify and look up all PASRR records about the individual.  	
Identifier	Use an identifier that the contractor will utilize to identify this unique PASRR.	
Mailing Date	List the date the PASRR determination was mailed and/or made available electronically.  The Contractor shall mail the same day as the determination date.  	
Date of Determination	List the date the PASRR decision was made.	
Number of Approved Days	List the number of approved days for time limited categorical approvals, or other short-term approvals which can be made for 7 - 365 days.	
Expiration Date	For any time-limited decisions, including EHDs and Categorically, the determination will be populated with a date of expiration of the current approval period.	
Notice of Negative Level I Screen Outcome, or Notice of Level I Categorical Determination	This header will be followed by standard language informing the reader that this individual is appropriate for placement in a NF without further PASRR activity, or that the individual has met criteria for a time limited Categorical Determination.	
PASRR Demographics	Demographic information is reported as captured in the Level I screen including full name, SSN, DOB, Gender, Race, County of Residence, source of payment, and Medicaid number if known.    Also includes living situation at time of the Level I, type of review, PAS or RR, and reason for screening. 	
Mental Illness	This section describes the primary questions about mental health diagnosis that have been screened for in the Level I, and the responses to the primary questions around mental health and substance use diagnoses.	
Symptoms	This section describes the responses to several of the Level I screening questions pertaining to current and past symptoms.	
History of Psychiatric Treatment/Dementia	This section describes current and history of treatment and services to address behavioral health issues, life disruptions, the presence of dementia, and any court history or testing related to mental health, cognitive capacity, or dementia.	
Psychotropic Medications	This section involves reporting on all psychoactive medications prescribed for behavioral health issues in the past six months, utilizing a drop-down menu for medication type, dosage, and condition treated, as well as reporting on any additional important information the Level I submitter has offered via text.	
Intellectual Disability and Developmental Disabilities	This section reports results of significant questions related to the presence of ID and DD including age of onset, adaptive functioning, any testing conducted to confirm the presence of ID/DD, and any history of services related to these conditions, and any functional limitations that do not arise from the medical condition, dementia, or Mental Illness.	
Exemptions and Categorical Decisions	This section, which applies only to those individuals with known or suspected Level II conditions, is utilized to report on indicators that address whether the individual may meet any qualifying criteria for any of Iowa’s Categorical Determinations.	
Individual’s Address	The address of the individual will appear on all copies of the Level I PASRR for all parties who receive it.	
Legal Guardian	There will be an indication about whether there is a legal guardian (or activated Power(s) of Attorney), whether court documents have been received and reviewed, and if one exists, the name and address of the guardian will appear on all copies of the Level I PASRR for all parties who receive it.	
Primary Physician
	The name and address of the physician will appear on all copies of the Level I PASRR for all parties who receive it.	
Current Location	The address where the individual is residing at the time of the Level I submission and the date they admitted to the current facility/location will be included on all copies of the Level I PASRR for all parties who receive it.	
Nursing Facility Admission Information	The address of the NF where the individual is currently residing or expected to reside in the very near future can be included, if known, along with the admission date if already admitted, or the anticipated date of placement, if known, will be included on all copies of the Level I PASRR for all parties who receive it.  The process will capture compliance information regarding preadmission or periods where there is a gap between approvals from PASRR.  	
Level I Attestation and Signature	This section will include standard language attesting to the accuracy of the information reported in the Level I screen and will be signed electronically by the Level I submitter, with address, phone, email, and date. 	
Additional Comments	This section is reserved for reporting of any information the Level I submitter wishes to add beyond the responses to the basic screening information.	
Outcome	This important summary section will include the name of the Level I clinician who finalized and approved the outcome, the actual outcome, the review date, the narrative describing the rationale for the outcome, and a standard statement indicating that the PASRR outcome must be forwarded to the receiving NF and that the outcome must be placed in the individual’s chart	
PASRR Identified Services and Supports	If the individual’s Level I outcome has included the identification of any services that this individual may find to be useful, then a standard section, like the services identification process utilized in a Level II PASRR outcome may be added to show any recommended SS, RS, or CPS for this individual, along with rationale for these services.	

c. Include the following applicable information in a Level II Summary of Findings:

Information	Description	
Individual’s Address	This section will populate multiple initial pages addressed to each party who should receive the PASRR Summary of Findings.  	
Regarding	List the name of individual.	
County	List the individual’s county based on their current residence at time of PASRR.	
State ID	List the Medicaid ID number of the individual if known.  	
ID Number	List the Contractor’s ID used to identify and look up all PASRR records about the individual.  	
Identifier	Use an identifier that the contractor will utilize to capture this unique PASRR.	
Date of Determination	List is the date the PASRR decision was made.	
Mailing Date	List the date the PASRR Summary of Findings was mailed.  The Contractor shall mail the same day as the determination date.  	
Initial Clinical Information Gathered By	List the Level II Independent Contractor/Evaluator’s name. This will be the person who reviewed the history, submitted records, and background information and then conducted the interviews.	
Number of Approved Days	List the number of approved days for time limited approvals, which can be made for 60, 90, 120, 150, 180, or 365 days.	
Expiration Date	List the expiration date for all time limited approvals.  	
MD	If a physician review has taken place as part of the PASRR, list the physician’s name and credentials.	
PASRR Notice of 	Indicate whether this is a time limited or non-time limited NF or NFMI approval.	
Reconsideration language	This standard text will be provided to the Contractor during the Implementation Phase.		
Appeal language	This standard text will be provided to the Contractor during the Implementation Phase.		
Status Change statement	This standard text will be provided to the Contractor during the Implementation Phase.	
Summary of Findings report	The Summary of Findings header is used on all Level II evaluations.    	
Individual’s Name	List the name of individual.	
Individual’s Date of Birth	List the Date of Birth of the individual.	
Ruled out	Indicate whether the individual is ruled out of the PASRR LII population.	
Intellectual Disability/Related Condition	Indicate whether the individual meets criteria for a diagnosis of ID, DD, or RC.	
Mental Health	Indicate whether the individual meets criteria for a diagnosis of SMI.	
Mental Health Diagnoses	There are separate diagnostic sections for Axis I primary, Axis I secondary, Axis I tertiary, Axis I quaternary, Axis II primary, and Axis II secondary.  List the individual’s diagnoses information in the applicable diagnostic area.	
Related Conditions	Indicate whether the individual meets criteria for and list any qualifying RC diagnoses for the individual.	
General Social History	This detailed narrative summary includes age, gender, current primary living arrangements for at least the past two years, family composition, support network, prior service history, description of what has led to NF consideration, presence of guardian, conservator, activated power of attorney, or other substitute decision makers, and other relevant information.	
PASRR and Placement History	Any known placement history available to us at the time of this PASRR, and any previously known to us will be included.  This section will include all admissions, discharges, transfers, and outcomes of service reviews contained in the PASRR system.
All prior PASRR history known to the PASRR database will also be included.  	
Legal History	List any applicable or known legal history including commitments, guardianship/conservatorship, criminal history, or sex offender history, when a search has been completed.  A search may be conducted on any individual and will be conducted when any such history is acknowledged or suspected in the process of gathering information. 
If there is a known or suspected child, or dependent adult abuse history, appropriate statements will be made regarding whether any checks have been conducted.  	
Medical Diagnoses	List all current medical diagnoses, surgical history, and any current or known history of hospitalizations.	
Psychiatric History	List current and historical mental health diagnoses, history and onset, hospitalizations, and treatment history, recent psychiatric symptoms, current psychotropic medications.  Efforts will be made to identify current or previous providers and preferences regarding providers of behavioral health services, such that continuity of care can be encouraged whenever possible.	
Family Mental Health History	This may be included with psychiatric history or written as a separate section if the family history is significant.	
Substance use/abuse	This topic may be included with psychiatric history or written as a separate section if the substance uses, or treatment history is significant.	
Cognitive Capacity	This topic will be included whenever concerns regarding capacity are identified during the process, dementia or intellectual/developmental disability are noted, testing has occurred or may be needed, if courts have already determined a person lacks capacity or is involuntarily committed, or it may be useful to address a need for consideration of substitute decision makers.	
Symptoms  	Detailed descriptions of current symptoms, history, life impacts, attempted and effective medications and strategies for management, presence of any behavioral health advanced directives, preferences and history of providers and continuity of care.	
Unique personal characteristics, skills, talents	Description of important activities, hobbies, areas of interest, cultural and socialization preferences or needs, activities that may be important or improve quality of live, facilitate maintenance or recovery of skills, education & employment history, any known risks the individual may present to themselves or others, and other unique characteristics of the individual.	
Specific limitations and needs	Description of assistive devices utilized or potentially needed, specific support needs related to ADLs and IADLs, and any identified areas of need or targets for maintenance or recovery of abilities and areas where supervision or support may facilitate recovery or is needed.	
Summary Outcome	Indicate whether an individual is approved time limited or non-time limited NF or time limited for NFMI LOC and whether the determination is the result of a Reconsideration or Appeal.	
Denials must be reviewed by MD	Indicate the reasons for any denial of LOC and provide the name of the psychiatrist who reviewed and approved the denial.	
Decision Portability	Indicate whether a facility specific determination has been made and whether a new PASRR will be needed before any transfer can occur.	
Rationale for Placement Decision	This written summary includes specific individualized information regarding the reasons for approval or denial of LOC, kinds of support and assistance the individual will need if/when placed in a NF or NFMI including information about health, mobility, ADL, IADL, behavioral health and other disability specific needs, goals,  strategies, and steps to be taken if/when the individual expresses a desire to work toward placement at a lower level of care.	
Date of Final Determination	List the date of the final determination.	
Final Summary and Determinations by 	List the name of clinician who finalized the Summary of Findings report.	
PASRR Identified Services and Supports	This section will appear near the end of the Summary of Findings and will identify separate sections for identification of all the SS, RS, and CPS, along with a rationale for each service.  Only those SS, RS, and CPS identified for the named individual will appear in this final area of the Summary of Findings.	
PASRR Identified Specialized Services	List applicable Specialized Services identified for the individual and the rationale for each.	
PASRR Identified Rehabilitative Services	List applicable Rehabilitative Services identified for the individual and the rationale for each.	
Community Placement Supports Statement	Prior to the section that identifies all CPS that the individual will need to transition successfully to a lower level of care, there is a standard statement that informs the reader of which circumstances will dictate when the NF must include CPS in the care plan of the individual.	
Community Placement Supports to Enhance Community Transition and Placement	
This is a section where all CPS that an individual will need to transition successfully to a lower level of care will be indicated.   	
Environmental Management	This is a subset of the CPS section where the SOF will indicate service needs around heath care, housecleaning, chore assistance, yardwork, finances, laundry, or other areas.	
Access to Community Resources	This is a subset of the CPS section where the SOF will indicate service needs around transportation, shopping, meal preparation, home care, support from family, friends, or neighbors.	
Behavioral Health Supports	This is a subset of the CPS section where the SOF will indicate behavioral health service needs that are expected to exist and optimize potential for recovery if/when the individual transitions to a lower level of care. 	

1.3.1.10 Links to Payment and Quality Assurance Activities. 
The Contractor shall be responsible for Links to Payment and quality assurance activities to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Maintain and utilize the system established in Section 1.3.1.2, System Requirements. 

b. Provide the Agency specific data, which the Agency will use to populate into the Case Activity Report - CAR form, via a real-time web service application program interface using a secure file transfer process.  See Attachment I for the file layout specification. 

c. Utilize the PASRR dates, as well as admission, transfer and discharge data entered by the NFs to track, identify, and monitor and report specific preadmission and other PASRR compliance issues and the location of all NF residents in all NFs throughout the state.  

d. Implement a quality assurance program to confirm whether NF/NFMI(s) are following all aspects of the PASRR process.  Collect data pertaining to any non-compliance discovered and report all data pertaining to compliance to the Agency monthly using the applicable reports listed in Section 1.3.1.14, Reports or more frequently as requested by the Agency.

e. Conduct quality reviews on 2% of all negative Level I Screens to monitor that the process is correctly making the automated or clinician reviewed Level I decision.  

f. Report on the results of Level I quality reviews to the Agency in each calendar quarter using the Quarterly Quality and Activity Report.  See Section 1.3.1.14, Reports.

1.3.1.11 PASRR Identified Specialized Services Monitoring Process. 
The Contractor shall be responsible for care planning and services monitoring process to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Maintain and utilize the system established in Section 1.3.1.2, System Requirements.

b. Utilize a services monitoring process that is respectful of provider burden for completion of each review and requires limited provider data entry while focusing primarily on provision/uploading of a compliant care plan and evidence that Specialized Services are being delivered, other PASRR identified services are adequate, and any other compliance issues are being addressed.  The process triggers a review for 100% of individuals for whom one or more SS are identified in their PASRR and 50% of other individuals who are included in the Level II population.  The Contractor shall initiate this review 21 to 45 days after the Level II has been completed and will offer two opportunities to respond, two weeks apart.  

c. Offer a second full two-step review when compliance is not achieved upon the conclusion of a first review. 

d. Send NF/NFMIs an electronic notification when their PASRR compliant care plans, proof of service delivery, and other documents are due, and permit NF/NFMIs to upload their care plans, proof of service delivery, and other documents.

e. Conduct a thorough review, identify any other compliance issues that are discovered during the review process, provide in-depth technical assistance to the NF/NFMI, review care planning and service delivery, resolve questions about where and how to find appropriate services, address how to document delivery of these within the facility care plan, and report outcomes to the facility and the Agency.

f. Initiate electronic letters to the NF/NFMI outlining the outcome of first, second, and any subsequent services reviews, generate outcomes electronically to the facility at the conclusion of each phase of the review process.  Each outcome letter will include language that the facility must include the review outcome in the individual’s PASRR record.   

g. Review and approve or deny the use of alternative providers of SS, if requested via the care plan or as part of the technical assistance to the facility.

h. Maintain a list of each PASRR resident by NF including details of SS, RS, and CPS.  The Contractor shall make the list available to the Agency upon request and as part of required reports.

I. Report to the Agency any situations where full compliance with PASRR care planning and service delivery are not achieved after two reviews and provision of technical assistance.    

1.3.1.12 Data Process for the MCOs. 
The Contractor shall be responsible for collaboration with the Agency or Agency’s designee to facilitate the exchange of data to the Medicaid Managed Care Organizations - MCOs.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following. The Contractor shall:

a. Collaborate with the Agency or Agency’s designee in a process that involves matching PASRR information to Medicaid member/MCO data. 

b. Receive a data file from the Agency or Agency’s designee monthly, using a secure file transfer process that provides a tilde delimited text file formatted based on the Attachment J file layout specification.    

c. Perform a data match that compares the Agency file to the PASRR database and returns the matched data to the Agency or Agency’s designee, using a secure file transfer process that provides a tilde delimited text file formatted based on the Attachment K file layout specification.  

d. Prepare and deliver PASRR related training to the staff of the MCOs upon request of the Agency.

1.3.1.13 Reconsideration and Appeal Processes.
The Contractor shall be responsible for collaborating with the Agency in the Reconsideration and Appeal processes to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Perform Reconsiderations in accordance with Iowa policy upon appropriate written request by an individual who may access the Reconsideration process within ten days following the PASRR determination.  

b. Complete the Reconsideration determination within an average of five calendar days from receipt of a verified written request for Reconsideration with all information necessary to complete the Reconsideration.   

c. Participate in all aspects of preparation for appeals including downloading documents from Agency Appeals System, responding within specified timeframes, storing all appeals related documents within an identified Appeal or Reconsideration section of the database, timely preparation of appeal summaries, participate in pre-hearing teleconferences or meetings as needed, providing expert testimony from appropriate staff.  

d. Attend and represent the PASRR process and the Agency in hearings with Administrative Law Judges as requested or required by the Agency in accordance with timeframes specified by the Agency.  

e. Require staff with involvement in the determination under appeal to testify if it is determined by the Agency that their testimony is needed.  

f. Provide training to the Iowa PASRR staff to prepare them to give testimony in a professional manner using guidelines for appropriate testimony.

1.3.1.14 Reports. 
The Contractor shall be responsible for reporting to facilitate the State of Iowa’s comprehensive PASRR process.  The Contractor’s obligations in this regard include, but are not necessarily limited to, the following.  The Contractor shall:

a. Collaborate with the Agency during Implementation Phase to finalize the reporting style and detail.     

b. Provide on-demand reports and data requests as requested by the Agency.

c. Provide the following reports:

Title	Due Date	Report Description	
Annual Activity Report	Due to the Agency with the monthly invoice on the 15th day of the month following the end of the year.  	This narrative report includes annual information including the status of PASRR Level I Screens, and Level II evaluations completed and average annual turnaround times. This report does not include any client level data so that it can be shared publicly.  	
Brain Injury/Intellectual Disability Report for MFP	Due to the Agency with the monthly invoice on the 15th day of the month following the month being reported.	Provide information on individuals identified in a month who may be able to participate in Iowa’s Money Follows the Person program.	
Level I and Level II Detail Monthly Report	Due to the Agency with the monthly invoice on the 15th day of the month following the month being reported.	This will include monthly details on all individuals with Level I and Level II outcomes.	
Level I QA Detail Report	Due to the Agency with the monthly invoice on the 15th day of the month following the month being reported.	Report on the 2% of Level I screens monitored in the month and outcome information	
Links to Payment, Resident Tracking Report	Due to the Agency with the monthly invoice on the 15th day of the month following the month being reported.	This will include all NF admissions, transfers, discharges, LOC, and payment source changes submitted each month, and may include a report on any NFs that appear not to be entering all information for their residents in a timely manner. 	
Monthly Activity Report	Due to the Agency with the monthly invoice on the 15th day of the month following the month being reported.	This narrative report describes all monthly activities including the number of PASRR Level I screens completed, number of Categorical Determinations completed, number of Level II evaluations completed, average monthly turnaround times, system outages, calculation of monthly system availability, contacts, and turnaround times for the Help Desk, and a list of all positions hired or subcontracted during the month.  This report does not include any client level data so that it can be shared publicly.  	
Nursing Facility Compliance Report	Due to the Agency with the monthly invoice on the 15th day of the month following the month being reported.	This will include all issues where any type of non-compliance has been identified: PAS, RR/SC, care planning, service delivery, gaps between periods of approval of PASRR and LOC, or any others that may be identified.  
Whenever possible, the number of days of non-compliance will also be tracked and reported.	
Quarterly Quality and Activity Report	Quarterly for periods ending September, December, March, and June.  Due to the Agency with the monthly invoice on the 15th day of the month following the end of the quarter.  	This narrative report addresses all quality related activities for each quarter, provider training and communication, Appeals, Reconsiderations, and quality activities or complaints information. It also describes the status of PASRR Level I Screens, and Level II evaluations completed and average quarterly turnaround times. This report does not include any client level data so that it can be shared publicly.  	
Specialized Services Review Detail Report	Quarterly for periods ending September, December, March, and June.  Due to the Agency with the monthly invoice on the 15th day of the month following the end of the quarter.  	This report will include details on all individual monitoring reviews of NF/NFMI care plans and delivery of SS, RS, and CPS, compliance issues, and outcomes. It will also include the number of reviews started, cancelled, in-progress and completed and any other identified elements requested by the Agency.	
Specialized Services Review Report	Due to the Agency with the monthly invoice on the 15th day of the month following the month being reported.	This report will include aggregate data elements related to the review of facility care plans and delivery of SS, RS, and CPS, other identified compliance issues, and outcomes.	

1.4 Performance Measures.  
In relation to Scope of Work Section 1.3.1.1 

a. Notify the Agency in writing of any key staff resignations, and within one (1) business day after initial knowledge of the change 100% of the time.

b. Provide a successful roll-out of the Iowa PASRR process on July 1, 2023. 

c. Participate in the required conference calls 100% of the time.

d. The positions hired or subcontracted will demonstrate adequate staffing 90% of the time as measured monthly. Adequacy of staffing will be measured, at least in part, by reviewing expected turnaround times for all LI and LII outcomes.  

e. Provide timely submission of the final implementation plan within 15 days after the Contract start date.  

f. Follow the timeline identified in the implementation plan 100% of the time unless prior Agency approval is given for deviation from the implementation plan.

In relation to Scope of Work Section 1.3.1.2

g. Maintain system availability 24 hours per day, 365 days per year 99% of the time.

h. The Contractor shall provide timely submission of the final disaster recovery and business continuity plan within 15 days after the Contract start date.  

I. If circumstances necessitate the implementation of the disaster recovery and business continuity plan, the Contractor shall follow the plan 100% of the time, unless prior Agency approval is given for deviation from the plan.

In relation to Scope of Work Section 1.3.1.3

j. Provide drafts of the comprehensive library of training materials and comprehensive Iowa PASRR provider manual to the Agency during the Implementation Phase by the due date identified in the implementation plan and incorporate Agency feedback into the final versions of the documents.

k. Provide drafts of the proposed survey document(s) to the Agency during the Implementation Phase by the due date identified in the implementation plan and incorporate Agency feedback into the final versions of the survey document(s).

l. Maintain a 70% satisfaction percentage based on evaluations, which will be completed by the trainees at the completion of each face-to-face and as requested by the Agency, online training event.

In relation to Scope of Work Section 1.3.1.4

m. Hire or subcontract Iowa PASRR staff who have excellent skills and meet the required qualifications for the various Iowa PASRR positions 100% of the time as measured monthly.   

In relation to Scope of Work Section 1.3.1.5

n. Schedule the Iowa helpdesk business hours so the helpdesk is open to conduct business 248 days per year 100% of the time. 

o. Respond and work collaboratively with the Agency to resolve 100 % of the website issues identified though Agency monitoring.   

p. Maintain a four (4) business hours turnaround time on helpdesk calls and emails 99% of the time as measured and reported monthly.   

In relation to Scope of Work Section 1.3.1.6

q. Maintain an eight (8) business hour turnaround time on all Level I screenings requiring a clinical review 95% of the time as measured monthly.   

In relation to Scope of Work Section 1.3.1.7

r. Maintain an eight (8) business hour turnaround time on all Categorical Determinations and exemptions 95% of the time as measured monthly.   

In relation to Scope of Work Section 1.3.1.8

s. Complete the Level II evaluation, the LOC determination process, and issue the notice of Summary of Findings within 120 hours from Level I submission timestamp 75% of the time as measured monthly. 

In relation to Scope of Work Section 1.3.1.9

t. During the Implementation Phase work collaboratively with the Agency to develop and test the notices and incorporate Agency feedback into the final notice template providing all required information 100% of the time.

In relation to Scope of Work Section 1.3.1.10

u. Conduct quality reviews on 2% of all negative Level I Screening and show they were completed accurately 99% of the time as measured on a quarterly basis. 

In relation to Scope of Work Section 1.3.1.11	

v. Maintain a review schedule where initial reviews are started between 21 to 45 days after the Level II has been completed 99% of the time as measured monthly.  

In relation to Scope of Work Section 1.3.1.13

w. Complete all Reconsiderations within five calendar days (120 hours) after receipt of a legitimate request for Reconsideration 95% of the time as measured on a quarterly basis. 

In relation to Scope of Work Section 1.3.1.14

x. Reports will be submitted by the required due dates 100 % of the time.

1.5 Contract Payment Methodology.
The Contractor will be paid a fixed annual amount in accordance with the pricing set forth in the Cost Proposal, in equal monthly installments starting in July 2023.  The Contractor may invoice up to ninety percent (90%) of the monthly amount.  The Invoice shall be submitted at the same time as the monthly reports identified in Section 1.3.1.14, Reports for the same period.  The remaining ten percent (10%) may be invoiced separately within 30-days of the Contract year end and will be paid if the Agency has confirmed that all Deliverables and performance measures were met satisfactorily within the Contract year.

Section 2 Basic Information About the RFP Process	

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

Eric W. DeTemmerman, MHA
Capitol Complex Hoover Building 5th Floor MHDS
1305 E Walnut St
Des Moines, IA 50319
Phone:  515-725-2237
edetemm@dhs.state.ia.us

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

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

2.3 Downloading the RFP from the Internet.
The RFP and any related documents such as amendments or attachments (collectively the “RFP”), and responses to questions will be posted at the State of Iowa’s website for bid opportunities:  http://bidopportunities.iowa.gov/.  Check this website periodically for any amendments to this RFP.  The posted version of the RFP is the official version.  The Agency will only be bound by the official version of the RFP document(s).  Bidders should ensure that any downloaded documents are in fact the most up to date and are unchanged from the official version.  

2.4 Online Resources. 
Resources for this RFP are available at the following website :  http://bidopportunities.iowa.gov/.

2.5 Intent to Bid.
The Agency requests that Bidders provide their intent to bid to the Issuing Officer by the date and time in the Procurement Timetable.  Email is the preferred delivery method.  The intent to bid should include the Bidder's name, contact person, mailing address, email address, fax number, telephone number, and a statement of intent to submit a bid in response to this RFP.  Though it is not mandatory that the Agency receive an intent to bid, the Agency will only respond to questions about the RFP that have been submitted by Bidders who have expressed their intent to bid.  The Agency may cancel an RFP for lack of interest based on the number of letters of intent to bid received.    

2.6 Bidders’ Conference. 
The Bidders’ conference will be conducted as a conference call on the date and time listed in the Procurement Timetable.  The purpose of the Bidders’ conference is to inform prospective Bidders about the work to be performed and to provide prospective Bidders an opportunity to ask questions regarding the RFP.  Verbal discussions at the conference shall not be considered part of the RFP unless incorporated into the RFP by amendment.  Questions asked at the conference that cannot be adequately answered during the conference may be deferred and responded to in writing.  Participation in this conference call is mandatory as this will be the only opportunity to ask verbal questions regarding this RFP.

The call-in information to access the Bidders’ Conference call will be provided by the Agency to all qualified bidders prior to the conference. 

2.7 Questions, Requests for Clarification, and Suggested Changes. 
Bidders who have provided their intent to bid on the RFP are invited to submit written questions, requests for clarifications, and/or suggestions for changes to the specifications of this RFP (hereafter “Questions”) by the due date and time provided in the Procurement Timetable.  Bidders are not permitted to include assumptions in their Bid Proposals.  Instead, Bidders shall address any perceived ambiguity regarding this RFP through the question-and-answer process.  If the Questions pertain to a specific section of the RFP, the page and section number(s) must be referenced.  The Agency prefers to receive Questions by email.  The Bidder may wish to request confirmation of receipt from the Issuing Officer to ensure delivery.

Written responses to questions will be posted at http://bidopportunities.iowa.gov/ by the date provided in the Procurement Timetable.    

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

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

Bid Proposals are to be submitted in accordance with the Bid Proposal Formatting section of this RFP.  Bidders mailing Bid Proposals shall allow ample mail delivery time to ensure timely receipt of their Bid Proposals.  It is the Bidder’s responsibility to ensure that the Bid Proposal is received prior to the deadline.  Postmarking or submission to a courier by the due date shall not substitute for actual receipt of the Bid Proposal by the Agency. 

2.9 Amendment to the RFP and Bid Proposal.    
Each Bidder is responsible for ensuring that the Issuing Officer receives the Bid Proposal and any permitted amendments by the established deadlines at the address provided in the RFP for the Issuing Officer.       

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

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

2.10 Withdrawal of Bid Proposal.
The Bidder may withdraw its Bid Proposal prior to the closing date for receipt of Bid Proposals by submitting a written request to withdraw to the Issuing Officer.  Email and faxed requests to withdraw will not be accepted.    

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

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

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

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

•	The Issuing Officer must receive the Bid Proposal, and any amendments thereof, prior to or on the due date and time (See RFP Sections 2.8 and 2.9).
•	The Bidder is not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from receiving federal funding by any federal department or agency (See RFP Additional Certifications Attachment).
•	The Bidder is eligible to submit a bid in accordance with the Bidder Eligibility Requirements of this RFP (See RFP Bidder Eligibility Requirements Section).  
•	The Bidder attended the Bidders’ conference. (See Section 2.6). 

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

•	Bidder initiates unauthorized contact regarding this RFP with employees other than the Issuing Officer (See RFP Section 2.2).
•	Bidder fails to comply with the RFP’s formatting specifications so that the Bid Proposal cannot be fairly compared to other bids (See RFP Section 3.1).
•	Bidder fails, in the Agency’s opinion, to include the content required for the RFP.
•	Bidder fails to be fully responsive in the Bidder’s Approach to Meeting Deliverables Section, states an element of the Scope of Work cannot or will not be met, or does not include information necessary to substantiate that it will be able to meet the Scope of Work specifications (See RFP Section 3.2.3). 
•	Bidder’s response materially changes Scope of Work specifications.
•	Bidder fails to submit the RFP attachments containing all signatures (See RFP Section 3.2.6).
•	Bidder marks entire Bid Proposal confidential, makes excessive claims for confidential treatment, or identifies pricing information in the Cost Proposal as confidential (See RFP Section 3.1).
•	Bidder includes assumptions in its Bid Proposal (See RFP Section 2.7); or
•	Bidder fails to respond to the Agency’s request for clarifications, information, documents, or references that the Agency may make at any point in the RFP process.
•	Bidder is a “scrutinized company” included on a “scrutinized company list” created by a public fund pursuant to Iowa Code §12J.3. This list is maintained by the Iowa Public Employees’ Retirement System. The list is currently found here: https://www.ipers.org/about-us/investments/restrictions-regarding-companies-boycotting-israel#main-content. 

The determination of whether to disqualify a proposal and not consider it for award of a contract for any of these reasons, or to waive or permit cure of variances in Bid Proposals, is at the sole discretion of the Agency.  No Bidder shall obtain any right by virtue of the Agency’s election to not exercise that discretion.  In the event the Agency waives or permits cure of variances, such waiver or cure will not modify the RFP specifications or excuse the Bidder from full compliance with RFP specifications or other contract requirements if the Bidder enters a contract.  

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

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

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

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

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

2.19 Disposition of Bid Proposals.    
Opened Bid Proposals become the property of the Agency and will not be returned to the Bidder.  Upon issuance of the Notice of Intent to Award, the contents of all Bid Proposals will be in the public domain and be open to inspection by interested parties subject to exceptions provided in Iowa Code chapter 22 or other applicable law.    

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

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

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

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

2.21 Copyrights.
By submitting a Bid Proposal, the Bidder agrees that the Agency may copy the Bid Proposal for purposes of facilitating the evaluation of the Bid Proposal or to respond to requests for public records.  By submitting a Bid Proposal, the Bidder acknowledges that additional copies may be produced and distributed and represents and warrants that such copying does not violate the rights of any third party.  The Agency shall have the right to use ideas or adaptations of ideas that are presented in the Bid Proposals.    

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

2.23 Reserved.  (Presentations)  

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

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

2.26 Review of Notice of Disqualification or Notice of Intent to Award Decision.
Bidders may request reconsideration of either a notice of disqualification or notice of intent to award decision by submitting a written request to the Agency:    

Bureau Chief
c/o Bureau of Service Contract Support
Department of Human Services 
Hoover State Office Building, 1st Floor
1305 E. Walnut Street
Des Moines, Iowa 50319-0114
email:  reconsiderationrequest@dhs.state.ia.us

The Agency must receive the written request for reconsideration within five days from the date of the notice of disqualification or notice of intent to award decision, whichever is earlier.  The written request may be mailed, emailed, or delivered.  It is the Bidder’s responsibility to assure timely delivery of the request for reconsideration.  The request for reconsideration shall clearly and fully identify all issues being contested by reference to the page and section number of the RFP.  If a Bidder submitted multiple Bid Proposals and requests that the Agency reconsider a notice of disqualification or notice of intent to award decision for more than one Bid Proposal, a separate written request shall be submitted for each.  At the Agency’s discretion, requests for reconsideration from the same Bidder may be reviewed separately or combined into one response.  The Agency will expeditiously address the request for reconsideration and issue a decision.  The Bidder may choose to file an appeal with the Agency within five days of the date of the decision on reconsideration in accordance with 441 IAC 7.41 et seq.  

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

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

2.29 Restrictions on Gifts and Activities.    	
Iowa Code chapter 68B restricts gifts that may be given or received by state employees and requires certain individuals to disclose information concerning their activities with state government.  Bidders must determine the applicability of this Chapter to their activities and comply with the requirements.  In addition, pursuant to Iowa Code § 722.1, it is a felony offense to bribe or attempt to bribe a public official.    

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

2.31 No Minimum Guaranteed.
The Agency anticipates that the selected Bidder will provide services as requested by the Agency.  The Agency does not guarantee that any minimum compensation will be paid to the Bidder or any minimum usage of the Bidder’s services. 

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

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

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

3.1 Bid Proposal Formatting.
	
Subject		Specifications	
Paper Size	8.5" x 11" paper (one side only).  Charts or graphs may be provided on legal-sized paper.	
Font	Bid Proposals must be typewritten.  The font must be 11 point or larger (excluding charts, graphs, or diagrams).  Acceptable fonts include Times New Roman, Calibri and Arial. 	
 Page Limit	Pages included in Proposal Tab 3 and any attachments the Bidder creates in a “Tab 3 Attachments” section is limited to 200 pages.  See Section 3.2 for further information about Tab 3 Attachments.  	
Pagination	All pages in Proposal Tabs 1-5 are to be sequentially numbered from beginning to end (do not number these Proposal sections independently of each other).  The contents in Proposal Tab 6 may be numbered independently of other sections.	
Bid Proposal General Composition
	•	Bid Proposals shall be divided into two parts: Technical Proposal and Cost Proposal. 
•	Technical Proposals submitted in multiple volumes shall be numbered in the following fashion: 1 of 4, 2 of 4, etc.
•	If mailed, Bid Proposals must be bound and use tabs to label sections.	

Envelope Contents and Labeling 	•	If mailed, envelopes shall be addressed to the Issuing Officer.
•	If mailed, the envelope containing the original Bid Proposal shall be labeled “original” and each envelope containing a copy of the Bid Proposal shall be labeled “copy.”  Each envelope must be numbered to correspond with the number of copies of Proposals.
•	If mailed, the Technical and Cost Proposals must be packaged separately with each copy in its own envelope.  All envelopes may be included in the same box	

Number of Hard Copies	If mailed, submit one (1) original hard copy of the Proposal and 5 identical copies of the original.  The original hard copy must contain original signatures.  	
USB Flash Drive	•	If emailed, the Technical Proposal and Cost Proposal must be provided on separate USB flash drives.  The USB flash drives must be placed in the envelope with the original Bid Proposal.  
•	If emailed, the Technical Proposal must be saved in less than three files, with a preference for the entire Technical Proposal in one file.  Proposals shall be provided in either PDF or Microsoft Word format.  Files shall be text-based and not scanned image(s) and shall be searchable and not password protected or contain restrictions that prevent copying, saving, highlighting, or printing of the contents.   	
Request for Confidential Treatment	Requests for confidential treatment of any information in a Bid Proposal must meet these specifications:
•	The Bidder will complete the appropriate section of the Primary Bidder Detail Form & Certification which requires the specific statutory citation supporting the request for confidential treatment and an explanation of why disclosure of the information is not in the best interest of the public. 
•	The Bidder shall submit one (1) complete paper copy of the Bid Proposal from which confidential information has been redacted.  This copy shall be clearly labeled on the cover as a “public copy”, and each page upon which confidential information appears shall be conspicuously marked as containing confidential information.  The confidential material shall be redacted in such a way as to allow the public to determine the general nature of the material removed.  To the extent possible, pages should be redacted sentence by sentence unless all material on a page is clearly confidential under the law.  The Bidder shall not identify the entire Bid Proposal as confidential.    
•	The Cost Proposal will be part of the ultimate contract entered into with the successful Bidder.  Pricing information may not be designated as confidential material.  However, Cost Proposal supporting materials may be marked confidential if consistent with applicable law.   
•	The transmittal letter may not be marked confidential.   
•	The Bidder shall submit a USB flash drive containing an electronic copy of the Bid Proposal from which confidential information has been redacted.  This USB flash drive shall be clearly marked as a “public copy”.  
•	The Technical Proposal must be saved in less than three files, with a preference for the entire Technical Proposal in one file.  Proposals shall be provided in either PDF or Microsoft Word format.  Files shall be text-based and not scanned image(s) and shall be searchable and not password protected or contain restrictions that prevent copying, saving, highlighting, or printing of the contents.  	
Exceptions to RFP/Contract Language
	If the Bidder objects to any term or condition of the RFP or attached Sample Contract, specific reference to the RFP page and section number shall be made in the Primary Bidder Detail & Certification Form.  In addition, the Bidder shall set forth in its Bid Proposal the specific language it proposes to include in place of the RFP or contract provision and cost savings to the Agency should the Agency accept the proposed language.
The Agency reserves the right to either execute a contract without further negotiation with the successful Bidder or to negotiate contract terms with the selected Bidder if the best interests of the Agency would be served. 	

3.2 Contents and Organization of Technical Proposal.
This section describes the information that must be in the Technical Proposal.  Bid Proposals should be organized into sections in the same order provided here.  If mailed, hard copies of Bid Proposals should use tabs to separate each section.  If a Bidder chooses to provide information in attachments to respond to any section below, please create a new tabbed attachment section immediately behind the applicable section.  For example, to add attachments related to information asked for in Section 3.2.3 Information to Include Behind Tab 3: Bidder’s Approach to Meeting Deliverables, the Bidder would create a new tab in the Technical Proposal that is called Tab 3 Attachments and place the attachment(s) there.  The Bidder would follow suit by creating new tabbed sections for attachments created to respond to any other section below in their bid proposal

3.2.1 Information to Include Behind Tab 1: Transmittal Letter.
The transmittal letter serves as a cover letter for the Technical Proposal.  It must consist of an executive summary that briefly reviews the strengths of the Bidder and key features of its proposed approach to meet the specifications of this RFP.  

3.2.2 Information to Include Behind Tab 2: Proposal Table of Contents.
The Bid Proposal must contain a table of contents.

3.2.3 Information to Include Behind Tab 3: Bidder’s Approach to Meeting Deliverables.
The Bidder shall address each Deliverable that the successful contractor will perform as listed in Section 1.3, Scope of Work, by first restating the Deliverable from the RFP and then detailing the Bidder’s planned approach to meeting each contractor Deliverable immediately after the restated text.  Bid responses should provide sufficient detail so that the Agency can understand and evaluate the Bidder’s approach and should not merely repeat the Deliverable.    

Bidders are given wide latitude in the degree of detail they offer or the extent to which they reveal plans, designs, examples, processes, and procedures.  Bidders do not need to address any responsibilities that are specifically designated as Agency responsibilities.

Note:
•	Responses to Deliverables shall be in the same sequence as presented in the RFP.  
•	Bid Proposals shall identify any deviations from the specifications the Bidder cannot satisfy.  
•	Bid Proposals shall not contain promotional or display materials unless specifically required.

If a Bidder proposes more than one method of meeting the RFP requirements, each method must be drafted and submitted as separate Bid Proposals.  Each will be evaluated separately.  

3.2.4 Information to Include Behind Tab 4: Bidder’s Experience.  

3.2.4.1 Level of technical experience in providing the types of services sought by the RFP.

3.2.4.2 Description of all services like those sought by this RFP that the Bidder has provided to the Agency and other businesses or governmental entities within the last twenty-four (24) months. 

3.2.4.3 Letters of reference from three (3) of the Bidder’s previous clients knowledgeable of the Bidder’s performance in providing services like those sought in this RFP, including a contact person, telephone number, and email address for each reference.  It is preferred that letters of reference are provided for services that were procured in a competitive environment.  Form letters of reference that do not elaborate on the Bidder’s performance under the specific relationships addressed in the reference letter may negatively impact the Bidder’s evaluation/score.  Persons who are currently employed by the Agency are not eligible to be references.  

3.2.4.4 Description of experience managing subcontractors, if the Bidder proposes to use subcontractors.

3.2.5 Information to Include Behind Tab 5:  Personnel.  
The Bidder shall provide the following information regarding personnel:  

3.2.5.1 Tables of Organization.
Illustrate the lines of authority in two tables:
•	One showing overall operations
•	One showing staff who will provide services under the RFP  

3.2.5.2 Reserved.  (Names and Credentials of Key Corporate Personnel)

3.2.5.3 Information About Project Manager and Key Project Personnel.
•	Include names and credentials for the project manager and any additional key project personnel who will be involved in providing services sought by this RFP.  Include resumes for these personnel. The resumes shall include name, education, and years of experience and employment history, particularly as it relates to the scope of services specified herein.  Resumes shall also include the percentage of time the person would be specifically dedicated to this project monthly, if the Bidder is selected as the successful Bidder.  Resumes should not include social security numbers.
•	Include the project manager’s experience managing subcontractor staff if the Bidder proposes to use subcontractors.

3.2.5.4 Disclosures.
List any details of whether the Bidder or any owners, officers, primary partners, staff providing services or any owners, officers, primary partners, or staff providing services of any subcontractor who may be involved with providing the services sought in this RFP, have ever had a founded child or dependent adult abuse report, or been convicted of a felony.  

3.2.6 Information to Include Behind Tab 6: RFP Forms.
The forms listed below are attachments to this RFP.  Fully complete and return these forms behind Tab 6:
•	Release of Information Form
•	Primary Bidder Detail & Certification Form
•	Subcontractor Disclosure Form (one for each proposed subcontractor)
•	Certification and Disclosure Regarding Lobbying

3.2.7 Reserved.  (Financial Statements)

3.3 Cost Proposal. 
Content and Format.
The Bidder shall provide the following information in the Cost Proposal: 

The Cost Proposal shall be submitted using the Cost Proposal form Attachment G of this RFP Bidders shall include all costs to complete the Scope of Work, Section 1.3.  The Grand Total from this form will be used to score the Cost Proposal Pricing.  

Section 4 Evaluation of Bid Proposals

4.1 Introduction.
This section describes the evaluation process that will be used to determine which Bid Proposal provides the greatest benefit to the Agency.  When making this determination, the Agency will not necessarily award a contract to the Bidder offering the lowest cost to the Agency or to the Bidder with the highest point total.  Rather, a contract will be awarded to the Bidder that offers the greatest benefit to the Agency. 

4.2 Evaluation Committee.
The Agency intends to conduct a comprehensive, fair, and impartial evaluation of Bid Proposals received in response to this RFP.  In making this determination, the Agency will be represented by an evaluation committee.  

4.3 Proposal Scoring and Evaluation Criteria.  
The evaluation committee will use the method described in this section to assist with initially determining the relative merits of each Bid Proposal.

Scoring Guide.
Points will be assigned to each evaluation component as follows, unless otherwise designated:
4	Bidder has agreed to comply with the requirements and provided a clear and compelling description of how each requirement would be met, with relevant supporting materials.  Bidder’s proposed approach frequently goes above and beyond the minimum requirements and indicates superior ability to serve the needs of the Agency.	
3	Bidder has agreed to comply with the requirements and provided a good and complete description of how the requirements would be met.  Response clearly demonstrates a high degree of ability to serve the needs of the Agency.	
2	Bidder has agreed to comply with the requirements and provided an adequate description of how the requirements would be met.  Response indicates adequate ability to serve the needs of the Agency.	
1	Bidder has agreed to comply with the requirements and provided some details on how the requirements would be met.  Response does not clearly indicate if all the needs of the Agency will be met.	
0	Bidder has not addressed any of the requirements or has provided a response that is limited in scope, vague, or incomplete.  Response did not provide a description of how the Agency’s needs would be met.	

Technical Proposal Components.
When Bid Proposals are evaluated, the total points for each component are comprised of the component’s assigned weight multiplied by the score the Bid Proposal earns.  Points for all components will be added together.  The evaluation components, including maximum points that may be awarded, are as follows:

Technical Proposal Components	Weight	Score (0-4)	Potential Maximum Points	
General Obligations 
(Section 1.3.1.1)	15
	-------	60	
Implementation Phase 
(Sections 1.3.1.2 through 1.3.1.4)	45
	-------	180	
Operations Phase 
(Sections 1.3.1.5 through 1.3.1.14)	140
	-------	560	
Database fields, schematic and written summary (Section 3.2.4.1)	15
	-------	60	
Level 1 software algorithm
(Section 3.2.4.2)	15
	-------	60	
Draft Implementation Plan 
(Section 3.2.4.2)	15
	-------	60	
Draft disaster recovery and business continuity plan (Section 3.2.4.4)	15
	-------	60	
Experience (Section 3.2.5.1) and Transmittal Letter (Section 3.2.1)	20
	-------	80	
Personnel 
(Section 3.2.5.2)	10
	-------	40	

Scoring of Cost Proposal Pricing.
Cost Proposal pricing will be scored based on a ratio of the lowest Cost Proposal versus the cost of each higher priced Bid Proposal.  Under this formula, the lowest Cost Proposal receives all the points assigned to pricing.  A Cost Proposal twice as expensive as the lowest Cost Proposal would earn half of the available points.  The formula is:

Weighted Cost Score = (price of lowest Cost Proposal/price of each higher priced Cost Proposal) X (points assigned to pricing)

Total Points Assigned to Pricing: 340

Total Points Possible for Technical and Cost Proposals: 1,500

4.4 Recommendation of the Evaluation Committee.  
The evaluation committee shall present a final ranking and recommendation(s) to the Division Administrator for consideration.  In making this recommendation, the committee is not bound by any scores or scoring system used to assist with initially determining the relative merits of each Bid Proposal.  This recommendation may include, but is not limited to, the name of one Bidder recommended for selection or a recommendation that no Bidder be selected.  The Division Administrator shall consider the committee’s recommendation when making the final decision but is not bound by the recommendation.  

Attachment A: Release of Information
(Return this completed form behind Tab 6 of the Bid Proposal.)

	_________________________________ (name of Bidder) hereby authorizes any person or entity, public or private, having any information concerning the Bidder’s background, including but not limited to its performance history regarding its prior rendering of services like those detailed in this RFP, to release such information to the Agency.    

	The Bidder acknowledges that it may not agree with the information and opinions given by such person or entity in response to a reference request.  The Bidder acknowledges that the information and opinions given by such person or entity may hurt its chances to receive contract awards from the Agency or may otherwise hurt its reputation or operations.  The Bidder is willing to take that risk.  The Bidder agrees to release all persons, entities, the Agency, and the State of Iowa from any liability whatsoever that may be incurred in releasing this information or using this information.    

_______________________________
Printed Name of Bidder Organization

_______________________________		___________________________
Signature of Authorized Representative 		Date

_______________________________		
Printed Name		

Attachment B: Primary Bidder Detail & Certification Form
(Return this completed form behind Tab 6 of the Proposal.  If a section does not apply, label it “not applicable”.)

Primary Contact Information (individual who can address issues re: this Bid Proposal)	
Name:		
Address:		
Tel:		
Fax:		
E-mail:		
Primary Bidder Detail	
Business Legal Name (“Bidder”):		
“Doing Business As” names, assumed names, or other operating names:		
Parent Corporation Name and Address of Headquarters, if any:		
Form of Business Entity (i.e., corp., partnership, LLC, etc.):		
State of Incorporation/organization:		
Primary Address:		
Tel:		
Local Address (if any):		
Addresses of Major Offices and other facilities that may contribute to performance under this RFP/Contract:		
Number of Employees:		
Number of Years in Business:		
Primary Focus of Business:		
Federal Tax ID:		
DUNS #:  		

Bidder’s Accounting Firm:		
If Bidder is currently registered to do business in Iowa, provide the Date of Registration:  		
Do you plan on using subcontractors if awarded this Contract?  {If “YES,” submit a Subcontractor Disclosure Form for each proposed subcontractor.}		
	(YES/NO)	

Request for Confidential Treatment (See Section 3.1)	
Check Appropriate Box:                  
  Bidder Does Not Request Confidential Treatment of Bid Proposal 
  Bidder Requests Confidential Treatment of Bid Proposal	
Location in Bid Proposal (Tab/Page)	Specific Grounds in Iowa Code Chapter 22 or Other Applicable Law Which Supports Treatment of the Information as Confidential	Justification of Why Information Should Be Kept in Confidence and Explanation of Why Disclosure Would Not Be in The Best Interest of the Public	

	

Exceptions to RFP/Contract Language (See Section 3.1)	
RFP Section and Page	Language to Which Bidder Takes Exception	Explanation and Proposed Replacement Language:	Cost Savings to the Agency if the Proposed Replacement Language is Accepted	

PRIMARY BIDDER CERTIFICATIONS 

1.	BID PROPOSAL CERTIFICATIONS.  By signing below, Bidder certifies that:  

1.1	Bidder specifically stipulates that the Bid Proposal is predicated upon the acceptance of all terms and conditions stated in the RFP and the Sample Contract without change except as otherwise expressly stated in the Primary Bidder Detail & Certification Form.  Objections or responses shall not materially alter the RFP.  All changes to proposed contract language, including deletions, additions, and substitutions of language, must be addressed in the Bid Proposal.  The Bidder accepts and shall comply with all Contract Terms and Conditions contained in the Sample Contract without change except as set forth in the Contract.
1.2	Bidder has reviewed the Additional Certifications, which are incorporated herein by reference, and by signing below represents that Bidder agrees to be bound by the obligations included therein.
1.3	Bidder has received any amendments to this RFP issued by the Agency. 
1.4	No cost or pricing information has been included in the Bidder’s Technical Proposal. 
1.5	If Bidder requests confidential treatment of any information submitted in its Proposal, the Bidder expressly acknowledges and agrees that the Agency’s evaluation document(s) may reference information of which the Bidder requested confidential treatment in the Bid Proposal.  These Agency evaluation documents may then be in the public domain and be open to inspection by interested parties upon the Agency’s issuance of a Notice of Intent to Award.  The Agency will not redact information or references to information in evaluation documents even in instances which a Bidder requested confidential treatment in the Bid Proposal; and,
1.6	The person signing this Bid Proposal certifies that he/she is the person in the Bidder’s organization responsible for or authorized to make decisions regarding the prices quoted and, Bidder guarantees the availability of the services offered and that all Bid Proposal terms, including price, will remain firm until a contract has been executed for the services contemplated by this RFP or one year from the issuance of this RFP, whichever is earlier.

2.	SERVICE AND REGISTRATION CERTIFICATIONS.  By signing below, Bidder certifies that:  

2.1	Bidder certifies that the Bidder’s organization has sufficient personnel and resources available to provide all services proposed by the Bid Proposal, and such resources will be available on the date the RFP states services are to begin.  Bidder guarantees personnel proposed to provide services will be the personnel providing the services unless prior approval is received from the Agency to substitute staff.
2.2	Bidder certifies that if the Bidder is awarded the contract and plans to utilize subcontractors at any point to perform any obligations under the contract, the Bidder will (1) notify the Agency in writing prior to use of the subcontractor, and (2) apply all restrictions, obligations, and responsibilities of the resulting contract between the Agency and contractor to the subcontractors through a subcontract.  The contractor will remain responsible for all Deliverables provided under this contract.
2.3	Bidder either is currently registered to do business in Iowa or agrees to register if Bidder is awarded a Contract pursuant to this RFP. 
2.4	Bidder certifies it is either: 1) registered or will become registered with the Iowa Department of Revenue to collect and remit Iowa sales and use taxes as required by Iowa Code chapter 423; or 2) not a “retailer” of a “retailer maintaining a place of business in this state” as those terms are defined in Iowa Code subsections 423.1(42) & (43).  The Bidder also acknowledges that the Agency may declare the Bid Proposal void if the above certification is false.  Bidders may register with the Department of Revenue online at:  http://www.state.ia.us/tax/business/business.html; and,
2.5 Bidder certifies it will comply with Davis-Bacon requirements if applicable to the resulting contract.

3.	EXECUTION.

By signing below, I certify that I have the authority to bind the Bidder to the specific terms, conditions and technical specifications required in the Agency’s Request for Proposals (RFP) and offered in the Bidder’s Proposal.  I understand that by submitting this Bid Proposal, the Bidder agrees to provide services described herein which meet or exceed the specifications of the Agency’s RFP unless noted in the Bid Proposal and at the prices quoted by the Bidder. The Bidder has not participated, and will not participate, in any action contrary to the anti-competitive obligations outlined in the Additional Certifications.  I certify that the contents of the Bid Proposal are true and accurate, and that the Bidder has not made any knowingly false statements in the Bid Proposal.  

Signature:	
	
Printed Name/Title:	
	
Date:	

Attachment C: Subcontractor Disclosure Form
(Return this completed form behind Tab 6 of the Bid Proposal.  Fully complete a form for each proposed subcontractor.  If a section does not apply, label it “not applicable.” If the Bidder does not intend to use subcontractor(s), this form does not need to be returned.)

Primary Bidder (“Primary Bidder”):		
Subcontractor Contact Information (individual who can address issues re: this RFP)	
Name:		
Address:		
Tel:		
Fax:		
E-mail:		

Subcontractor Detail	
Subcontractor Legal Name (“Subcontractor”):		
“Doing Business As” names, assumed names, or other operating names:		
Form of Business Entity (i.e., corp., partnership, LLC, etc.)		
State of Incorporation/organization:		
Primary Address:		
Tel:		
Fax:		
Local Address (if any):		
Addresses of Major Offices and other facilities that may contribute to performance under this RFP/Contract:		
Number of Employees:		
Number of Years in Business:		
Primary Focus of Business:		
Federal Tax ID:		
Subcontractor’s Accounting Firm:		
If Subcontractor is currently registered to do business in Iowa, provide the Date of Registration:  		
Percentage of Total Work to be performed by this Subcontractor pursuant to this RFP/Contract.		
General Scope of Work to be performed by this Subcontractor	

Detail the Subcontractor’s qualifications for performing this scope of work	

By signing below, Subcontractor agrees to the following:

1.	Subcontractor has reviewed the RFP, and Subcontractor agrees to perform the work indicated in this Bid Proposal if the Primary Bidder is selected as the winning Bidder in this procurement.
2.	Subcontractor has reviewed the Additional Certifications and by signing below confirms that the Certifications are true and accurate, and Subcontractor will comply with all such Certifications.
3.	Subcontractor recognizes and agrees that if the Primary Bidder enters a contract with the Agency because of this RFP, all restrictions, obligations, and responsibilities of the contractor under the contract shall also apply to the subcontractor. 
4.	Subcontractor agrees that it will register to do business in Iowa before performing any services pursuant to this contract, if required to do so by Iowa law; and,
5.	Subcontractor certifies that it will comply with Davis-Bacon requirements if applicable to the resulting contract.  

The person signing this Subcontractor Disclosure Form certifies that he/she is the person in the Subcontractor’s organization responsible for or authorized to make decisions regarding the prices quoted and the Subcontractor has not participated, and will not participate, in any action contrary to the anti-competitive obligations outlined in the Additional Certifications.

I hereby certify that the contents of the Subcontractor Disclosure Form are true and accurate, and that the Subcontractor has not made any knowingly false statements in the Form.

Signature for Subcontractor:	
	
Printed Name/Title:	
	
Date:	

Attachment D: Additional Certifications
(Do not return this page with the Bid Proposal.)

1.	 CERTIFICATION OF INDEPENDENCE AND NO CONFLICT OF INTEREST
By submission of a Bid Proposal, the Bidder certifies (and in the case of a joint proposal, each party thereto certifies) that:

1.	The Bid Proposal has been developed independently, without consultation, communication or agreement with any employee or consultant of the Agency who has worked on the development of this RFP, or with any person serving as a member of the evaluation committee.
2.	The Bid Proposal has been developed independently, without consultation, communication or agreement with any other Bidder or parties for the purpose of restricting competition.
3.	Unless otherwise required by law, the information in the Bid Proposal has not been knowingly disclosed by the Bidder and will not knowingly be disclosed prior to the award of the contract, directly or indirectly, to any other Bidder.
4.	No attempt has been made or will be made by the Bidder to induce any other Bidder to submit or not to submit a Bid Proposal for the purpose of restricting competition.
5.	No relationship exists or will exist during the contract period between the Bidder and the Agency that interferes with fair competition or is a conflict of interest.
6.	The Bidder and any of the Bidder’s proposed subcontractors have no other contractual relationships which would create an actual or perceived conflict of interest.

2.	CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION -- LOWER TIER COVERED TRANSACTIONS
By signing and submitting this Bid Proposal, the Bidder is providing the certification set out below:

1.	The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered.  If it is later determined that the Bidder knowingly rendered an erroneous certification, in addition to other remedies available to the federal government the Agency or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.
2.	The Bidder shall provide immediate written notice to the person to whom this Bid Proposal is submitted if at any time the Bidder learns that its certification was erroneous when submitted or had become erroneous by reason of changed circumstances.
3.	The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principle, proposal, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and Coverage sections of rules implementing Executive Order 12549.  You may contact the person to which this Proposal is submitted for assistance in obtaining a copy of those regulations.
4.	The Bidder agrees by submitting this Proposal that, should the proposed covered transaction be entered, it shall not knowingly enter any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the Agency or agency with which this transaction originated.
5.	The Bidder further agrees by submitting this Proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.
6.	A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knows that the certification is erroneous.  A participant may decide the method and frequency by which it determines the eligibility of its principals.  A participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Non-procurement Programs.
7.	Nothing contained in the foregoing shall be construed to require establishment of a system of records to render in good faith the certification required by this clause.  The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
8.	Except for transactions authorized under paragraph 4 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the federal government, the Agency or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

3.	CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND/OR VOLUNTARY EXCLUSION--LOWER TIER COVERED TRANSACTIONS
1.	The Bidder certifies, by submission of this Proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency.
2.	Where the Bidder is unable to certify to any of the statements in this certification, such Bidder shall attach an explanation to this Proposal.

4.	CERTIFICATION OF COMPLIANCE WITH PRO-CHILDREN ACT OF 1994
By signing and submitting this Bid Proposal, the Bidder is providing the certification set out below:

The Bidder must comply with Public Law 103-227, Part C Environmental Tobacco Smoke, also known as the Pro-Children Act of 1994 (Act).  This Act requires that smoking not be permitted in any portion of any indoor facility owned or leased or contracted by an entity and used routinely or regularly for the provision of health, day care, education, or library services to children under the age of 18 if the services are funded by federal programs either directly or through State or local governments.  Federal programs include grants, cooperative agreements, loans or loan guarantees, and contracts. The law also applies to children’s services that are provided in indoor facilities that are constructed, operated, or maintained with such federal funds.  The law does not apply to children’s services provided in private residences; portions of facilities used for inpatient drug or alcohol treatment; service providers whose sole source of applicable federal funds is Medicare or Medicaid; or facilities (other than clinics) where WIC coupons are redeemed.

The Bidder further agrees that the above language will be included in any subawards that contain provisions for children’s services and that all subgrantees shall certify compliance accordingly.  Failure to comply with the provisions of this law may result in the imposition of a civil monetary penalty of up to $1000 per day.

5.	CERTIFICATION REGARDING DRUG FREE WORKPLACE
1.	Requirements for Contractors Who are Not Individuals.  If the Bidder is not an individual, by signing and submitting this Bid Proposal the Bidder agrees to provide a drug-free workplace by:
a.	publishing a statement notifying employees that the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited in the person’s workplace and specifying the actions that will be taken against employees for violations of such prohibition.  
b.	establishing a drug-free awareness program to inform employees about:
(1)  the dangers of drug abuse in the workplace.  
(2)  the person’s policy of maintaining a drug- free workplace.  
(3)  any available drug counseling, rehabilitation, and employee assistance programs; and  
(4)  the penalties that may be imposed upon employees for drug abuse violations.  
c.	making it a requirement that each employee to be engaged in the performance of such contract be given a copy of the statement required by subparagraph (a).    
d.	notifying the employee in the statement required by subparagraph (a), that as a condition of employment on such contract, the employee will:
(1)  abide by the terms of the statement; and 
(2)  notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than 5 days after such conviction.  
e.	notifying the contracting agency within 10 days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction.  
f.	imposing a sanction on, or requiring the satisfactory participation in a drug abuse assistance or rehabilitation program by, any employee who is so convicted, as required by 41 U.S.C. § 703; and  
g.	making a good faith effort to continue to maintain a drug-free workplace through implementation of subparagraphs (a), (b), (c), (d), (e), and (f).  
2.	Requirement for Individuals.  If the Bidder is an individual, by signing and submitting this Bid Proposal the Bidder agrees to not engage in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance in the performance of the contract.  
3.	Notification Requirement. The Bidder shall, within 30 days after receiving notice from an employee of a conviction pursuant to 41 U.S.C. § 701(a)(1)(D)(ii) or 41 U.S.C. § 702(a)(1)(D)(ii):
a.	take appropriate personnel action against such employee up to and including termination; or  
b.	require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency.  

6.	NON-DISCRIMINATION
The Bidder does not discriminate in its employment practices regarding race, color, religion, age (except as provided by law), sex, sexual orientation, marital status, political affiliation, national origin, or disability.

Attachment E: Certification and Disclosure Regarding Lobbying Attachment
(Return this executed form behind Tab 6 of the Bid Proposal.)

Instructions: 
Title 45 of the Code of Federal Regulations, Part 93 requires the bidder to include a certification form, and a disclosure form, if required, as part of the bidder’s proposal.  Award of the federally funded contract from this RFP is a Covered Federal action.  

1)	The bidder shall file with the Agency this certification form, as set forth in Appendix A of 45 CFR Part 93, certifying the bidder, including any subcontractor(s) at all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) have not made, and will not make, any payment prohibited under 45 CFR § 93.100.  
2)	The bidder shall file with the Agency a disclosure form, set forth in Appendix B of 45 CFR Part 93, in the event the bidder or subcontractor(s) at any tier (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) has made or has agreed to make any payment using non-appropriated funds, including profits from any covered Federal action, which would be prohibited under 45 CFR § 93.100 if paid for with appropriated funds.  All disclosure forms shall be forwarded from tier to tier until received by the bidder and shall be treated as a material representation of fact upon which all receiving tiers shall rely.

Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of  any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to  influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the  undersigned shall complete and submit Standard Form-LLL, ‘‘Disclosure Form  to Report  Lobbying,’’ in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into.  Submission of this certification is a prerequisite for making or entering this transaction imposed by section 1352, title 31, U.S. Code.  Any person who fails to file the required certification shall be   subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance
The undersigned states, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, ‘‘Disclosure Form to Report Lobbying,’’ in accordance with its instructions.
Submission of this statement is a pre-requisite for making or entering this transaction imposed by section 1352, title 31, U.S. Code.  Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 for each such failure.

I certify that the contents of this certification are true and accurate, and that the bidder has not made any knowingly false statements in the Bid Proposal.  I am checking the appropriate box below regarding disclosures required in Title 45 of the Code of Federal Regulations, Part 93.

  The bidder is NOT including a disclosure form as referenced in this form’s instructions because the bidder is NOT required by law to do so. 
  The bidder IS filing a disclosure form with the Agency as referenced in this form’s instructions because the bidder IS required by law to do so.  If the bidder is filing a disclosure form, place the form immediately behind this in the Proposal. 

Signature:	
	
Printed Name/Title:	
	
Date:	

Attachment F: State of Iowa Department of Human Services
Vendor Security Questionnaire
Vendor Name:	Completed by:	Date:	
		Updated:	
Question	Response	
Data Protection	
1	In what geographic location(s) will DHS data be stored? Specify the timeframe in which DHS will be notified if this changes.		
2	How does the vendor detect changes to the integrity of DHS data and what measures are in place to ensure DHS data is not lost, modified, or destroyed?     		
3	How does the vendor ensure deleted data cannot be recoverable?		
4	How does the vendor detect degradation of DHS data?		
5	Define a security incident. 		
6	Describe the vendor’s incident response and reporting program. 		
Cloud Service Providers	
7	Will DHS data be stored in a cloud? 		
8	Who is the cloud service provider?		
9	Is the cloud service provider FedRAMP authorized and if so, specify the impact level.		
10	If not FedRAMP authorized, specify the security framework for which the cloud service provider is certified.  		
11	How can DHS be assured cloud service providers meet the same security standards as that of the vendor?		
Access Control	
12	Who has access to the systems providing DHS data and services? How is this access controlled?		
13	What authentication method is required to access DHS data and applications (e.g., username and password)?	

14	Which multi-factor authentication methods does the vendor support?	

15	Does the vendor allow the use of personal devices for access to DHS data?		
16	Specify the frequency vendor staff access to DHS data is reviewed.		
17	Which access control methodology does the vendor support: Role-based access control (RBAC), mandatory access control (MAC), or discretionary access control (DAC)? Define how you meet this methodology.		
Regulatory Compliance	
18	Is the vendor a HIPAA covered entity?  		
19	Is the vendor a business associate of DHS? If yes, does the vendor have downstream business associate agreements with subcontractors?		
20	Define the vendor’s HIPAA training. List the training modules and the time allotted for each module.		
21	Is the vendor audited or assessed by a third party? If yes, specify the security framework.  		
22	Explain how the vendor performs an information security risk assessment. What is the frequency?	

23	Explain how the vendor manages their information security risk assessment program.		
Business Continuity and Resiliency	
24	Does the vendor have a business continuity plan? 		
25	How often is the business continuity plan tested?	

26	How does the vendor ensure DHS can continue doing business at all times, even if there is a permanent catastrophic failure or natural or man-made disaster where DHS data or services are located?	

27	What guarantees does the vendor provide for recovery time objectives (RTO) and recovery point objectives (RPO)?	

Service and Data Integrity	
28	Is DHS data encrypted in transit? If so, specify the encryption algorithm and cipher strength. 
Who owns the encryption key?		
29	Is DHS data encrypted at rest? Is so, specify the encryption algorithm and cipher strength. 
Who owns the encryption key?		
30	Specify the network security tools used to monitor data flow into the vendor’s network for malware or cyber-attacks.		
31	What tools and procedures does the vendor utilize for intrusion detection and at what frequency? How is this capability tested for functionality at the hardware, network, and database levels?   		
Multi-Tenancy	
32	How does the vendor separate DHS data and services from those of other clients?	

33	In what ways could the vendor’s other client’s affect the quality of the service or service levels provided to DHS?	

34	What resources will DHS share with other clients?	

Infrastructure and Application Security	
35	Who owns and operates the vendor’s data centers and what physical and environment security measures are in place?	
	
36	What parts of the vendor’s infrastructure are owned and operated by the vendor and what parts are obtained from a colocation service?	

37	What standards are followed for hardening network equipment, operating systems, and applications?	

38	Specify the tools used to perform vulnerability scans and the frequency. What is the timeframe to re-mediate high and critical findings?	

39	Specify the frequency of third-party penetration tests to assess infrastructure security. Include the type of third-party report received. 	

40	What specifications does the vendor follow to purge data when equipment is retired or replaced? How does the vendor purge any resident DHS data?		
41	Does the vendor utilize a web application for this service? If so, does the vendor follow the OWASP Top 10 List?		
Non-production Environment Exposure	
42	Is DHS data loaded to a test environment? If so, who has access to the test environment?		
43	Which copies are de-identified and which are not?		
44	Is live DHS data used in testing?		

Attachment G: Sample Contract

(These contract terms contained in the Special Terms, General Terms, and Contingent Terms for Services Contracts are not intended to be a complete listing of all contract terms but are provided only to enable Bidders to better evaluate the costs associated with the RFP and the potential resulting contract.  Bidders should plan on such terms being included in any contract entered because of this RFP.  All costs associated with complying with these terms should be included in the Cost Proposal or any pricing quoted by the Bidder.  See RFP Section 3.1 regarding Bidder exceptions to contract language.)

This is a sample form.  DO NOT complete and return this attachment.

CONTRACT DECLARATIONS AND EXECUTION

RFP #	Contract #	
MHDS 23-031	{To be completed when contract is drafted.}	

Title of Contract	
{To be completed when contract is drafted.}	

This Contract must be signed by all parties before the Contractor provides any Deliverables.  The Agency is not obligated to make payment for any Deliverables provided by or on behalf of the Contractor before the Contract is signed by all parties.  This Contract is entered into by the following parties:

Agency of the State (hereafter “Agency”)	
Name/Principal Address of Agency:   
Iowa Department of Human Services
1305 E. Walnut
Des Moines, IA 50319-0114

	Agency Billing Contact Name / Address:
{To be completed when contract is drafted.}
	
Agency Contract Manager (hereafter “Contract Manager”) /Address (“Notice Address”): 
{To be completed when contract is drafted.}
 
	Agency Contract Owner (hereafter “Contract Owner”) / Address:  
{To be completed when contract is drafted.}

Contractor: (hereafter “Contractor”)	
Legal Name: {To be completed when contract is drafted.}	Contractor’s Principal Address:
{To be completed when contract is drafted.}	
Tax ID #: {To be completed when contract is drafted.}	Organized under the laws of: {To be completed when contract is drafted.}	
Contractor’s Contract Manager Name/Address (“Notice Address”):  
{To be completed when contract is drafted.}	Contractor’s Billing Contact Name/Address:  
{To be completed when contract is drafted.}	

Contract Information	
Start Date: {To be completed when contract is drafted.}	End Date of Base Term of Contract:  
End Date of Contract: {To be completed when contract is drafted.}	
Possible Extension(s): {To be completed when contract is drafted.}	
Contract Contingent on Approval of Another Agency:  
No
	ISPO Number:  ISPO-23-17	
Contract Include Sharing SSA Data?  No
	DoIT Number:  "ADD IT NUMBER"

Contract Execution	
This Contract consists of this Contract Declarations and Execution Section, the Special Terms, any Special Contract Attachments, the General Terms for Services Contracts, and the Contingent Terms for Service Contracts.

In consideration of the mutual covenants in this Contract and for other good and valuable consideration, the receipt, adequacy, and legal sufficiency of which are hereby acknowledged, the parties have entered this Contract and have caused their duly authorized representatives to execute this Contract.

SECTION 1: SPECIAL TERMS

1.1 Special Terms Definitions.
{To be completed when contract is drafted.}
1.2 Contract Purpose. 
{To be completed when contract is drafted.}

1.3 Scope of Work. 
1.3.1 Deliverables.
The Contractor shall provide the following:  
{To be completed when contract is drafted.}

1.3.2 Performance Measures.  
{To be completed when contract is drafted.}

1.3.3 Monitoring, Review, and Problem Reporting.   

1.3.3.1 Agency Monitoring Clause.  The Contract Manager or designee will:
•	Verify Invoices and supporting documentation itemizing work performed prior to payment.
•	Determine compliance with general contract terms, conditions, and requirements; and 
•	Assess compliance with Deliverables, performance measures, or other associated requirements based on the following:
In relation to all Scope of Work Sections 
a. Review the reports identified in Section 1.3.1.14 and system data for statistics and turnaround times.  

In relation to Scope of Work Section 1.3.1.1 
b. Attend conference calls with the Contractor to discuss PASRR related topics.
c. Monitor the positions hired or subcontracted reporting and review for adequate staffing.
d. Review the draft implementation plan and provide timely edits to the Contractor if applicable. 
e. Review the final implementation plan and give approval of the plan.
f. Monitor for adherence to the implementation plan timeline. 

In relation to Scope of Work Section 1.3.1.2
g. Review the system outages monthly report.
h. Review the draft disaster recovery and business continuity plan and provide timely edits to the Contractor if applicable. 
I. Review the final disaster recovery and business continuity plan and give approval of the plan.

In relation to Scope of Work Section 1.3.1.3
j. Review the Contractor’s proposed comprehensive library of training materials and comprehensive Iowa PASRR provider manual, provide feedback, and approve the documents after the Agency feedback has been incorporated.
k. Review the Contractor’s proposed survey document(s), provide feedback, and approve the survey document after the Agency feedback has been incorporated.
l. Attend and participate in as many training events as time and scheduling permit.    

In relation to Scope of Work Section 1.3.1.4
m. Attend and participate in as many training events as time and scheduling, review materials, and provide suggestions for improvements to current and future training.  
n. Review the credentials provided by the Contractor for Iowa-based Level II evaluators to confirm that conflicts of interest are adequately addressed, and the individuals selected meet the qualifications required for the positions.  

In relation to Scope of Work Section 1.3.1.5
o. Monitor the Iowa specific PASRR website to review for compliance with the website related deliverables in Section 1.3.1.2 and 1.3.1.5 and provide feedback to the Contractor on any issues that need correction. 

In relation to Scope of Work Section 1.3.1.14
p. Monitor for timely submission of the reports.

1.3.3.2 Agency Review Clause.  The Contract Manager or designee will use the results of monitoring activities and other relevant data to assess the Contractor’s overall performance and compliance with the Contract.  At a minimum, the Agency will conduct a review semi-annually; however, reviews may occur more frequently at the Agency’s discretion.  As part of the review(s), the Agency may require the Contractor to provide additional data, may perform on-site reviews, and may consider information from other sources. 

The Agency may require one or more meetings to discuss the outcome of a review.  Meetings may be held in person.  During the review meetings, the parties will discuss the Deliverables that have been provided or are in process under this Contract, achievement of the performance measures, and any concerns identified through the Agency’s contract monitoring activities.  

1.3.3.3 Problem Reporting.  As stipulated by the Agency, the Contractor and/or Agency shall provide a report listing any problem or concern encountered.  Records of such reports and other related communications issued in writing during Contract performance shall be maintained by the parties.  At the next scheduled meeting after a problem has been identified in writing, the party responsible for resolving the problem shall provide a report setting forth activities taken or to be taken to resolve the problem together with the anticipated completion dates of such activities.  Any party may recommend alternative courses of action or changes that will facilitate problem resolution.  The Contract Owner has final authority to approve problem-resolution activities.

The Agency’s acceptance of a problem report shall not relieve the Contractor of any obligation under this Contract or waive any other remedy.  The Agency’s inability to identify the extent of a problem or the extent of damages incurred because of a problem shall not act as a waiver of performance or damages under this Contract.  

1.3.3.4 Addressing Deficiencies.  To the extent that Deficiencies are identified in the Contractor’s performance and notwithstanding other remedies available under this Contract, the Agency may require the Contractor to develop and comply with a plan acceptable to the Agency to resolve the Deficiencies.

1.3.4 Contract Payment Clause.
1.3.4.1 Pricing.  In accordance with the payment terms outlined in this section and the Contractor’s completion of the Scope of Work as set forth in this Contract, the Contractor will be compensated as follows:  
{To be determined.}

1.3.4.2 Payment Methodology.
{To be completed when contract is drafted.}

1.3.4.3 Timeframes for Regular Submission of Initial and Adjusted Invoices.  The Contractor shall submit an Invoice for services rendered in accordance with this Contract.  Invoice(s) shall be submitted monthly.  Unless a longer timeframe is provided by federal law, and in the absence of the express written consent of the Agency, all Invoices shall be submitted within six months from the last day of the month in which the services were rendered.  All adjustments made to Invoices shall be submitted to the Agency within ninety (90) days from the date of the Invoice being adjusted.  Invoices shall comply with all applicable rules concerning payment of such claims.  

1.3.4.4 Submission of Invoices at the End of State Fiscal Year.  Notwithstanding the timeframes above, and absent (1) longer timeframes established in federal law or (2) the express written consent of the Agency, the Contractor shall submit all Invoices to the Agency for payment by August 1st for all services performed in the preceding state fiscal year (the State fiscal year ends June 30).  

1.3.4.5 Payment of Invoices.  The Agency shall verify the Contractor’s performance of the Deliverables and timeliness of Invoices before making payment.  The Agency will not pay Invoices that are not considered timely as defined in this Contract.  If the Contractor wishes for untimely Invoice(s) to be considered for payment, the Contractor may submit the Invoice(s) in accordance with instructions for the Long Appeal Board Process to the State Appeal Board for consideration.  Instructions for this process may be found at:  http://www.dom.state.ia.us/appeals/general_claims.html.  

The Agency shall pay all approved Invoices in arrears and in conformance with Iowa Code 8A.514.  The Agency may pay in less than sixty (60) days, but an election to pay in less than sixty (60) days shall not act as an implied waiver of Iowa law.

1.3.4.6 Reimbursable Expenses.  Unless otherwise agreed to by the parties in an amendment or change order to the Contract that is executed by the parties, the Contractor shall not be entitled to receive any other payment or compensation from the State for any Deliverables provided by or on behalf of the Contractor pursuant to this Contract.  The Contractor shall be solely responsible for paying all costs, expenses, and charges it incurs in connection with its performance under this Contract. 

1.4 Insurance Coverage.  
The Contractor and any subcontractor shall obtain the following types of insurance for at least the minimum amounts listed below: 

Type of Insurance	Limit	Amount	
General Liability (including contractual liability) written on occurrence basis	General Aggregate

Product/Completed
Operations Aggregate

Personal Injury

Each Occurrence	$2 Million

$1 Million

$1 Million

$1 Million	
Automobile Liability (including any auto, hired autos, and non-owned autos)
	Combined Single Limit
	$1 Million	
Excess Liability, Umbrella Form	Each Occurrence

Aggregate	$1 Million

$1 Million	
Workers’ Compensation and Employer Liability	As required by Iowa law	As Required by Iowa law	
Property Damage
	Each Occurrence

Aggregate	$1 Million

$1 Million	
Professional Liability	Each Occurrence

Aggregate	$2 Million

$2 Million	

1.5 Data and Security.  If this Contract involves Confidential Information, the following terms apply:
1.5.1 Data and Security System Framework.  The Contractor shall comply with either of the following: 
•	Provide certification of compliance with a minimum of one of the following security frameworks, if the Contractor is storing Confidential Information electronically: NIST SP 800-53, HITRUST version 9, SOC 2, COBIT 5, CSA STAR Level 2 or greater, ISO 27001 or PCI-DSS version 3.2 prior to implementation of the system and again when the certification(s) expire, or
•	Provide attestation of a passed information security risk assessment, passed network penetration scans, and passed web application scans (when applicable) prior to implementation of the system and again annually thereafter.  For purposes of this section, “passed” means no unresolved high or critical findings.

1.5.2 Vendor Security Questionnaire.  If not previously provided to the Agency through a procurement process specifically related to this Contract, the Contractor shall provide a fully completed copy of the Agency’s Vendor Security Questionnaire (VSQ).

1.5.3 Cloud Services.  If using cloud services to store Agency Information, the Contractor shall comply with either of the following:
•	Provide written designation of FedRAMP authorization with impact level moderate prior to implementation of the system, or
•	Provide certification of compliance with a minimum of one of the following security frameworks: HITRUST version 9, SOC 2, COBIT 5, CSA STAR Level 2 or greater or PCI-DSS version 3.2 prior to implementation of the system and again when the certification(s) expire.

1.5.4 Addressing Concerns.  The Contractor shall timely resolve any outstanding concerns identified by the Agency regarding the Contractor’s submissions required in this section.

1.6 Reserved.  (Labor Standards Provisions.)  

1.7 Incorporation of General and Contingent Terms.  
1.7.1 General Terms for Service Contracts (“Section 2”).  The version of the General Terms for Services Contracts Section posted to the Agency’s website at https://dhs.iowa.gov/contract-terms that is in effect as of the date of last signature in the Contract Declarations and Execution section, or a more current version if agreed to by amendment, is incorporated into the Contract by reference.  The General Terms for Service Contracts may be referred to as Section 2.  

The contract warranty period (hereafter "Warranty Period") referenced within the General Terms for Services Contracts is as follows:  The term of this Contract, including any extensions. 
1.7.2 Contingent Terms for Service Contracts (“Section 3”). The version of the Contingent Terms for Services Contracts posted to the Agency’s website at https://dhs.iowa.gov/contract-terms that is in effect as of the date of last signature in the Contract Declarations and Execution section, or a more current version if agreed to by amendment, is incorporated into the Contract by reference.  The Contingent Terms for Service Contracts may be referred to as Section 3.  

All the terms set forth in the Contingent Terms for Service Contracts apply to this Contract unless indicated otherwise in the table below:

Contract Payments include Federal Funds?  Yes
{The items below will be completed if the Contract includes Federal Funds}  
The Contractor for federal reporting purposes under this Contract is a: {To be completed when contract is drafted.} 
Office of Child Support Enforcement (“OCSE”) Funded Percentage: {To be completed when contract is drafted.}
Federal Funds Include Food and Nutrition Service (FNS) funds?  {To be completed when contract is drafted.}
DUNS #: {To be completed when contract is drafted.}
The Name of the Pass-Through Entity: {To be completed when contract is drafted.}
CFDA #: {To be completed when contract is drafted.}
Grant Name: {To be completed when contract is drafted.}
Federal Awarding Agency Name: {To be completed when contract is drafted.}  
	
Contractor a Business Associate?  Yes	Contractor a Qualified Service Organization?  No	
Contractor subject to Iowa Code Chapter 8F?   No	Contract Includes Software (modification, design, development, installation, or operation of software on behalf of the Agency)? Yes	
Index of RFP Attachments 
The remaining attachments to this RFP are available on the Bid Opportunities website.

Attachment H: Cost Proposal Form: This form must be completed and returned with the Bid Proposal.  
Attachment I: 470-5386 - PASRR Case Activity Report (CAR)
Attachment J:  Vendor questionnaire  
Attachment K: Links to Payment file layout specification 
Attachment L: Initial MCO file layout specification 
Attachment M: MCO file layout specification