REQUEST FOR PROPOSAL (RFP)

Civil Money Penalty Quality Improvement Initiative Grant
(CMPQII)
MED-23-019

Jeanne Schirmer
Iowa Medicaid 
Bureau of Quality and Innovation 
1305 East Walnut
Des Moines, IA  50319-0114
Phone:  515-321-7247
imecmp@dhs.state.ia.us

Table of Contents

Section A RFP Purpose …………………………………………………………………………………4
Section B Grant Funding ……………………………………………………………………………….4
    B.1 Use of Grant Funds …………………………………………………………………..……………4
    B.2 Grant Awards…………….………………………………………….……….………...……..……4
    B.3 Prohibited Uses of Grant Funds ……………….………………………….…...……………..……4
    B.4 Availability of Funds……………………………………………………………...….……....……5
Section C Duration of Contract…………………………………………………………………….…..5
Section D Applicant Eligibility Requirements ……………….………………………………………..5
    D.1 Types of Applicants ……………………………………………………………………………….5
    D.2 Applicant Requirements ……………………………………….………………….………..……..5
Section E Procurement Timetable……………………………………………..……………………….6
Section 1 Background and Scope of Work…………………………………………………………….7
1.1	Background………………………………………………...………………………..……….……7
1.2	RFP General Definitions ……………………………………………………….……………..…..7
1.3	 Scope of Work………………………………………………………….……...….….….……….8
1.3.1 Deliverables, Performance Measures and Monitoring ……………………….…………….8
1.3.1.1 Description of the Quality Improvement Initiatives. ……….…………...…...………….8
1.3.1.2 Performance Measures ……………………………………………….………………….8
1.3.1.3 Monitoring Reports …………………………………………………………………….. 8

1.3.2   Contract Payment Methodology ……………………………………….………………….9
Section 2 Basic Information about the RFP Process ………………...……………………….………9
    2.1   Issuing Officer ………………………………………………………………….……...…..….…9
    2.2   Restriction on Applicant Communication ……………………………………………………….9
    2.3   Downloading the RFP from the Internet………………………………………..……..…..…..…9
    2.4   Online Resources……………..…………………………………………………….…….…..…..9
    2.5   Reserve (Intent to Bid) …………………………………………………………………………..10
    2.6   Reserve (Applicant’s Conference) …………………………………………………...…………10
    2.7   Questions, Requests for Clarification and Suggested Changes…………………………………10
    2.8    Submission of Application ………………………………………………………….………….10
    2.9    Amendment to the RFP and Application……………………………………….………..….….10
    2.10   Withdrawal of Application …………………………………………………………………….11
    2.11   Costs of Preparing the Application……………………………………………….…….……...11
    2.12   Rejection of Applications……………………………………………………….…….……..…11
    2.13   Review of Applications ………………………………………………………………………..11
              2.13.1   Mandatory Requirements ……………………………………………….………….…11
              2.13.2   Reasons Proposal May be Disqualified ………………………………….……….…...11
    2.14   Application Clarification Process……………………………………………..………….…….12
    2.15   Verification of Application Contents…………………………………………..…….…………12
    2.16   Reference Checks ………………………………………………………………………………12
    2.17    Information from Other Sources ………………………………………………………………12
    2.18    Criminal History and Background Investigation………………………………….….….…….12
    2.19    Disposition of Applications……………………………………………………….…………...12
    2.20    Public Records and Request for Confidential Treatment……….………….………….………12
    2.21   Copyrights ……………………………………………………………………………………..13
    2.22   Release of Claims……………………………………………………….………….…………..13
    2.23   Reserved (Presentations)………………………………………………….………….………...13
    2.24   Notice of Intent to Award……………………………………………………….…….………..13
    2.25   Acceptance Period…………………………………………………………………….………..13
    2.26   Review of Notice of Disqualification or Notice of Intent to Award Decision………….……...13
    2.27   Definition of Contract…………………………………………………………………….…….14
    2.28   Choice of Law and Forum……………………………………………………………….……..14
    2.29   Restrictions on Gifts and Activities…………………………………………………….………14
    2.30   Exclusivity……………………………………………………………………………….……..14
    2.31   No Minimum Guaranteed………………………………………………………………………14
    2.32   Use of Sub-Contractors…………………………………………………………………………15
    2.33   Applicant Continuing Disclosure Requirement.………………………………………………..15
Section 3 How to Submit an Application:  Format and Content Specifications……..…..…………16
    3.1 Application Packet ……………………………………………….……………………………….16
    3.2 Application Formatting ……………………………………………..…………………………….16
Section 4 Evaluation of Applications……………………………………………..….…….………….17
    4.1    Introduction……………………………………………………………………………………..17
    4.2    Evaluation Committee…………………………………………………………………..………17
    4.3    Proposal Scoring and Evaluation Criteria……………………………………………………....17
    4.4    Recommendation of the Evaluation Committee…………………………………………..……18
Attachment A:  Sample Contract……………………………………………….…………………….19
Attachment B:  Civil Money Penalty Quality Improvement Application …………………………27
Attachment C:  CMPQII Grant Application Budget Template ……………………………………28
Attachment D:  Baseline and Quarterly Report Form……………………..………………………..29
Attachment E:  Final Report Form………………………………………………………..………….30
Section A RFP Purpose.

The Department of Health and Human Services (hereafter referred to as the Agency is issuing this Request for Proposal (RFP) to solicit proposals for the Civil Money Penalty Quality Improvement Initiative (CMPQII) Grant Program. The grant program's objective is to develop and implement quality improvement Initiatives that directly or indirectly improve the quality of care and/or quality of life for Nursing Facility residents. Grants awarded for Initiatives submitted on behalf of a specific Nursing Facility, a group of facilities or a stakeholder group will be distributed to a distinct entity that will be contractually responsible for the funds.  

To apply for funding from the CMPQII Grant Program, Eligible Entities must submit the application titled Application Packet for the Civil Money Penalty Quality Improvement Initiative that is posted with this RFP at the State of Iowa Bid Opportunities website. 

Section B Grant Funding 

All grant awards are subject to approval by Centers for Medicare & Medicaid Services (CMS).

B.1 Use of Grant Funds 
Civil Money Penalty (CMP) funds returned to the State must be reinvested to support projects or Initiatives that benefit nursing home residents and protect or improve their quality of care or quality of life.

B.2 Grant Awards
Grants may be awarded for short-term Quality Improvement Initiatives for one year and up to three years.

B.3 Prohibited Uses of Grant Funds 

•	Project not approved by CMS
•	General operations or administrative salaries
•	Payment of a trainer who is an existing employee of the nursing home
•	Capital improvements, construction projects or other activities that would increase square footage or increase in the assessed value to a nursing home
•	Survey and certification operations or state expenses
•	Facility maintenance activities
•	Nursing home supplies and services that are already the responsibility of the nursing home
•	Vendor payments and payroll obligations
•	Travel, bonuses or other direct employee benefits
•	Costs that are included in the facility’s cost report
•	Items or services that are not related to improving the quality of life and care of nursing home residents
•	Refreshments
•	Research and development as a primary focus or identified as a large portion of the budget
•	Incentives (e.g., for attending training or completing a survey – such as payments for gift cards) 
•	Supplementary or duplicative federal or state funding (e.g., Personnel performing the same duties as Ombudsman, nurse aide training programs)

B.4 Availability of Funds
Pursuant to 42 CFR 488.431, ninety percent of the collected civil money penalty funds are returned to the State of Iowa and held in escrow to be used entirely for activities that protect or improve the quality of care or quality of life for nursing home residents. 

At the beginning of each calendar year, the Agency sets aside an annual amount from the civil money penalty fund established pursuant to Iowa Code section 249A.57 to be awarded in the form of grants to Eligible Entities for approved Quality Improvement Initiatives. In any calendar year in which sufficient funds are available to support Quality Improvement Initiative grants, the Agency issues a Request for Proposal. As of November 15, 2021, the balance of available CMP funds was $10,602,090.

There is no entitlement to any funds available for grant awards through this initiative.  The Agency may award grants to the extent funds are available and to the extent that Proposals are approved by CMS. 

The entity or nursing home that requests CMP funding is accountable and responsible for all CMP funds entrusted to it.  If a change in ownership occurs after CMP funds are granted or during the course of the project, the project leader shall notify CMS and the State or territory Agency within five calendar days.  The new ownership shall be disclosed as well as information regarding how the project will be completed.  A written letter regarding the change in ownership and its impact on the CMPQII application award will be sent to the CMS branch office and the Agency.  If the Agency does not approve of a change in ownership, the Agency may terminate the Contract effective immediately without penalty and without advance notice or opportunity to cure for any of the reasons defined in Section 2 General Terms of Service Contracts. 

Section C Duration of Contract.

The Agency anticipates executing multiple contracts as a result of this RFP.  Each contract will have a one-year contract term beginning on or after January 1, 2023, with two optional one-year extensions pending approval by the Agency.   Contract duration will be determined based on the specific Initiative.   

Section D Applicant Eligibility Requirements

D.1 Types of Applicants 
Grant opportunities are available to various interested stakeholders, such as certified long term care facilities, consumer advocacy organizations, professional or State nursing home associations, resident or family councils, State agencies, private Applicants and academic institutions.  

D.2 Applicant Requirements
•	Be qualified and capable of carrying out the intended project
•	Not have
o	Any pending enforcement actions that could result in the closure of the facility
o	Any outstanding sanctions by IA Medicaid or the Centers for Medicare and Medicaid Services (CMS) 
o	Any outstanding or unresolved Class I Violations
•	Submit one application in response to this RFP.  There is a maximum of two grants within a five-year period.
•	Applicants previously awarded a CMPQII grant that failed to achieve the intended goals or outcomes are ineligible to apply for a period of five years
•	Cannot submit a request for or receive a grant for the same type of Initiative previously awarded a grant 
•	Applicants must not have a conflict-of-interest relationship with the entity who will benefit from the intended Initiative.  
•	Applicants must not receive funds from a State or federal source to perform the same function as the Initiative.
•	Projects cannot exceed three years. (CMS limitation)

Section E Procurement Timetable	

There are no exceptions to any deadlines for the Applicant; however, the Agency reserves the right to change the dates.  Times provided are in Central Time. There will be two opportunities to submit project proposals during this state fiscal year. There will only be one opportunity to submit written questions. 

Event	Date	
Agency Issues RFP Notice to Targeted Small Business Website (48 hours):	August 15, 2022	
Agency Issues RFP to Bid Opportunities Website	August 17, 2022 	
Applicant Written Questions Due By	August 26, 2022, 4:30 p.m.	
Agency Responses to Questions Issued By	September 2, 2022	
Proposal Submission First Round		
Applicant Proposals and any Amendments to Proposals Due By	September 23, 2022, 4:30 p.m.	
Agency Identifies Selected Projects 	October 20, 2022	
Agency submits Applicant’s project application to CMS for final approval	October 21, 2022	
Agency announces Notice of Intent to Award awaiting CMS’ decision	October 21, 2022	
Agency announces Notice of Intent to Award for CMS approved projects	November 30, 2022	
Contract Negotiations and Execution of the Contract Completed 	December 16, 2022	
Anticipated Start Date for the Provision of Services	January 3, 2023	
Proposal Submission Second Round		
Applicant Proposals and any Amendments to Proposals Due by 	January 3, 2023, 4:30 p.m.	
Agency Identifies Selected Projects 	January 24, 2023	
Agency submits Applicant’s project application to CMS for final approval	January 30, 2023	
Agency announces Notice of Intent to Award awaiting CMS’ decision	January 30, 2023	
Agency announces Notice of Intent to Award for CMS approved projects	March 13, 2023	
Contract Negotiations and Execution of the Contract Completed	March 20, 2023	
Anticipated Start Date for the Provision of Services	April 1, 2023	

Section 1  Background and Scope of Work	

1.1  Background.
Section 1919 of the Social Security Act, 42 CFR 488.433 and Iowa Code section 249A.57 allows the Agency to impose civil money penalties when a long-term care facility is not in substantial compliance with one or more Medicare or Medicaid participation requirements. These penalties may range from $50 to $10,000 per day, depending on the kind of deficiency recorded by the Iowa Department of Inspections and Appeals (DIA).  The Centers for Medicare and Medicaid Services (CMS) returns a portion of the CMP funds to the state and permits the Agency to direct collected civil money penalty funds for quality improvement projects that enhance the quality of care and the quality of life for Nursing Facility residents. 

The Agency Civil Money Penalty Quality Improvement Initiative (CMPQII) Grant Program accepts proposals from certified long term care facilities, consumer advocacy organizations, resident and family councils, professional  or State nursing home associations, CMS-certified Long Term Care facilities, State agencies, private vendors, and academic institutions that are interested in promoting quality of care or quality of life for residents of nursing facilities licensed by the Iowa Department of Inspections and Appeals (DIA) and certified as meeting the requirements of participation for Medicaid and Medicare. 

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.  

“Application” or “Proposal” means the Applicant’s proposal submitted in response to the RFP.  

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

“Invoice” means an Applicant’s claim for payment.  At the Agency’s discretion, claims may be submitted on an original invoice from the Applicant 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.

"Applicant" or "Facility Applicant" or means an entity who submits a response to the RFP.

"Eligible Entities" means Nursing Facilities, state agencies, Nursing Facility advocacy groups, resident and family councils, and other Nursing Facility stakeholder groups as defined in Iowa Administrative Code rule 441-166.1(249A).

"Nursing Facility" or “Nursing Facilities" means a Medicaid-enrolled facility that is defined in Iowa Administrative Code rule 441—81.1(249A) as "facility."

"Qualify Improvement Initiative" or "Initiative" means a project in accordance with provisions of 42 CFR 488.433 that directly or indirectly supports and benefits the quality or care and quality of life of Nursing Facility residents as defined in Iowa Administrative Code rule 441—166.1(249A).

1.3 Scope of Work. 
1.3.1 Deliverables, Performance Measures and Monitoring

1.3.1.1 Description of the Quality Improvement Initiative 
The Applicant shall complete and fully describe each component of the Quality Improvement Initiative as outlined in the Application Packet for the Civil Money Penalty Quality Improvement Initiative.  Attachments may be used to provide supplemental materials related to the applications such as quotes, brochures, efficacy studies, and/or nursing facility letters of support.  Attachments should not be used to describe the applicant’s approach and project components.  

•	Project Description and Purpose
•	Direct Improvements to resident’s quality of care/quality of life
•	Performance Measurement, Goals, Objectives and Outcomes
•	Implementation Plan
•	Budget
•	Community Involvement and Sustainability
	
1.3.1.2 Performance Measures
The Applicant shall adhere to their respective Application's goals, objectives, measurement and monitoring, timelines and itemized budget. General performance measures include, but are not limited to:
•	Adherence to the project approved timeline 
•	Compliance with all deadlines no less than 95% of the time.
•	Timely submission of all required reports.
Specific performance measures for each Initiative may differ and will be defined in the contract following CMS approval.

1.3.1.3 Monitoring Reports
The Applicant is expected to monitor the progress of their Initiative.  Using the respective templates provided in the RFP, the Applicant shall submit the following reports to the Agency:

Title of Monitoring Report	Due Date	
Baseline Report	Within thirty (30) days of the start of the contract	
Quarterly Interim Report	By the 30th day following the end of the quarter.	
Final Report	Within 60 days of completion of the Initiative for each year.	

The Quarterly Interim Report shall contain updates on all deliverables, performance measures, and funds expended during the reporting period. 

The Final Report shall provide evidence of successful completion or progress (multiple year contracts) of the Quality Improvement Initiate and must address the following:

a)  Purpose of the grant
b)  Expected outcomes of the Initiative
c)  Actual outcomes of the Initiative
d)  Challenges or risks encountered during the Initiative and how they were addressed, 
e)  Number of residents and facilities who benefitted from the Initiative, 
f)   Impact on the resident's quality of care/quality of life, 
g)  Lessons learned, and
h)  Status of the action plan for sustainability if the Initiative will continue beyond the grant  funding.

1.3.2 Contract Payment Methodology.
The Applicant is obligated to perform all of the responsibilities and meet all of the performance measures of the contract. The Applicant shall submit Invoices for expenses as incurred during the Contract period. The Agency may withhold up to 10% of the invoiced amount to assure the Applicant meets the required Deliverables and Performance measures. In order to claim any withhold amount, the Applicant must show in the quarterly interim report that each measure has been met.  No amount shall be withheld when the failure to perform is due solely to another party's action or failure to act, including without limitation, the Agency's action or failure to act. The amount withheld for failure to perform or to meet a performance measure shall be released to the Applicant upon presentation to the Agency of a successful completion of a corrective action plan to correct the performance failure for which the amount was withheld. 

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 Applicant.  The Issuing Officer for this RFP is:
Jeanne Schirmer
Iowa Medicaid 
Bureau of Quality and Innovation
1305 East Walnut
Des Moines, IA  50319-0114
Phone:  515-321-7247
imecmp@dhs.state.ia.us

2.2  Restriction on Applicant Communication. 
From the issue date of this RFP until announcement of the successful Applicant, 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 an Applicant 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).  Applicants 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 related to this RFP are available at the following website:  http://bidopportunities.iowa.gov/ .  Materials available electronically include:
•	The RFP and any related documents such as amendments or attachments (collectively the "RFP") 
•	Responses to questions will be posted at the State of Iowa's website for bid opportunities. 
•	Application Packet for the Civil Money Penalty Quality Improvement Initiative
•	CMPQII Grant Application Budget Template

2.5  Reserved.  (Intent to Bid)

2.6  Reserved.  (Applicants’ Conference)

2.7  Questions, Requests for Clarification, and Suggested Changes. 
Applicants 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.  Applicants are not permitted to include assumptions in their Applications.  Instead, Applicants 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.  Applicants shall submit questions to the Issuing Officer by email.  The Applicant may wish to request confirmation of receipt from the Issuing Officer to ensure delivery.  Do not submit questions by mail, shipping service, or hand delivery.

Written responses to Questions will be posted at http://bidopportunities.iowa.gov/ by the date provided in the RFP’s 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 the Application.

Each Applicant is responsible for ensuring that the Issuing Officer receives the Application 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 Application received after this deadline will be rejected and will not be evaluated.  

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

2.9  Amendment to the RFP and Application.    

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

Applicants may amend a previously submitted Application at any time before the bid submission date and time.  Any such amendment must be in writing and signed by the Applicant.  The Applicant shall provide the same number of copies of the amended Application as is required for the original Application, for both hardcopy and electronic copies, in accordance with the Application 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 Applications, the Agency may, in its sole discretion, allow Applicants to amend their Applications

2.10  Withdrawal of Application.
The Applicant may withdraw its Application prior to the closing date for receipt of Applications by submitting a written request to withdraw signed by the Applicant, scanned, then emailed to the Issuing Officer.  The Applicant should request confirmation of receipt of the email from the Issuing Officer to ensure delivery.

2.11  Costs of Preparing the Application.
The costs of preparation and delivery of the Application are solely the responsibility of the Applicant.      

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

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

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

•	The Issuing Officer must receive the Application, and any amendments thereof, prior to or on the due date and time (See RFP Sections 2.8 and 2.9).
•	The Applicant is not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from receiving federal funding by any federal department or agency (See RFP Additional Certifications Attachment).

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

•	Applicant initiates unauthorized contact regarding this RFP with employees other than the Issuing Officer (See RFP Section 2.2);
•	Applicant fails to comply with the RFP’s formatting specifications so that the Application cannot be fairly compared to other bids (See RFP Section 3.1);
•	Applicant fails, in the Agency’s opinion, to include the content required for the RFP;
•	Applicant fails to be fully responsive in the Applicant’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); 
•	Applicant’s response materially changes Scope of Work specifications;
•	Applicant fails to submit the RFP attachments containing all signatures (See RFP Section 3.2.6);
•	Applicant marks entire Application confidential, makes excessive claims for confidential treatment, or identifies pricing information in the Cost Proposal as confidential (See RFP Section 3.1);
•	Applicant includes assumptions in its Application (See RFP Section 2.7); or
•	Applicant 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.
•	Applicant is a “scrutinized company” included on a “scrutinized company list” created by a public fund pursuant to Iowa Code §12J. This list is maintained by the Iowa Public Employees’ Retirement System. The list is currently found here: https://ipers.org/investments/restrictions. 

The determination of whether or not to disqualify a proposal and not consider it for award of a contract for any of these reasons, or to waive or permit cure of variances in Applications, is at the sole discretion of the Agency.  No Applicant 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 Applicant from full compliance with RFP specifications or other contract requirements if the Applicant enters into a contract.  

2.14  Application Clarification Process.    	
The Agency may request clarifications from Applicants for the purpose of resolving ambiguities or questioning information presented in the Applications.  Clarifications may occur throughout the Application 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 Application Contents.    
The contents of a Application submitted by a Applicant are subject to verification.  

2.16  Reference Checks.
The Agency reserves the right to contact any reference to assist in the evaluation of the Application, to verify information contained in the Application, to discuss the Applicant’s qualifications, and/or to discuss the qualifications of any sub-Applicant identified in the Application.    

2.17  Information from Other Sources.
The Agency reserves the right to obtain and consider information from other sources concerning a Applicant, such as the Applicant’s capability and performance under other contracts, and the Applicant’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 Applicant, its officers, directors, shareholders, or partners and managerial and supervisory personnel retained by the Applicant for the performance of the resulting contract.  The Agency reserves the right to conduct criminal history and other background investigations of the Applicant’s staff and sub-Applicants providing services under the resulting contract.    

2.19  Disposition of Applications.    
Opened Applications become the property of the Agency and will not be returned to the Applicant.  Upon issuance of the Notice of Intent to Award, the contents of all Applications 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 Applicant may be treated as public information by the Agency following the conclusion of the selection process unless the Applicant properly requests that information be treated as confidential at the time of submitting the Application.  See the Application Formatting Section for the proper method for making such requests.  The Agency’s release of information is governed by Iowa Code chapter 22.  Applicants are encouraged to familiarize themselves with Chapter 22 before submitting a Application.  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 Applicant shall certify by signing and returning RFP Attachment B its understanding that any Agency references to Application 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 Applicant seventy-two (72) hours prior to the release of the information to allow the Applicant to seek injunctive relief pursuant to Iowa Code § 22.5 or 22.8.    

The Applicant’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 Applicant may have had.    

2.21  Copyrights.
By submitting a Application, the Applicant agrees that the Agency may copy the Application for purposes of facilitating the evaluation of the Application or to respond to requests for public records.  By submitting a Application, the Applicant 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 Applications.    

2.22  Release of Claims.
By submitting a Application, the Applicant 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 Applicant with pertinent information as intended by this RFP.    

2.23  Reserved.  (Presentations)  Not applicable 

2.24  Notice of Intent to Award.
Notice of Intent to Award will be sent to all Applicants that submitted a Application 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 Applicant.    

2.25  Acceptance Period.
The Agency shall make a good faith effort to negotiate and execute the contract.  If the apparent successful Applicant 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 Applicant 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.
Applicants 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.  The written request may be emailed or delivered by postal service or other shipping service.  Do not deliver any requests for reconsideration to the office in person.  It is the Applicant’s responsibility to ensure that the request for reconsideration is received prior to the deadline.  Postmarking or submission to a shipping service by the due date shall not substitute for actual receipt of a request for reconsideration by the Agency. 

The request for reconsideration shall clearly and fully identify all issues being contested by reference to the page and section number of the RFP.  If a Applicant submitted multiple Applications and requests that the Agency reconsider a notice of disqualification or notice of intent to award decision for more than one Application, a separate written request shall be submitted for each.  At the Agency’s discretion, requests for reconsideration from the same Applicant may be reviewed separately or combined into one response.  The Agency will expeditiously address the request for reconsideration and issue a decision.  The Applicant 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 Applicant shall acquire any legal or equitable rights relative to the contract services until the contract has been fully executed by the apparent successful Applicant 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.  Applicants are responsible for ascertaining pertinent legal requirements and restrictions.  Any and all litigation or actions commenced in connection with this RFP shall be brought and maintained in the appropriate Iowa forum.    

2.29  Restrictions on Gifts and Activities.    	
Iowa Code chapter 68B restricts gifts that may be given or received by state employees and requires certain individuals to disclose information concerning their activities with state government.  Applicants 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 Applicant will provide services as requested by the Agency.  The Agency does not guarantee that any minimum compensation will be paid to the Applicant or any minimum usage of the Applicant’s services. 

2.32  Use of Sub-Applicants.
The Agency acknowledges that the selected Applicant may contract with third parties for the performance of any of the Applicant’s obligations.  The Agency reserves the right to provide prior approval for any sub-Applicant used to perform services under any contract that may result from this RFP.

2.33 Applicant Continuing Disclosure Requirement.
To the extent that Applicants 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 Application, and with respect to the successful Applicant 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 An Application: Format and Content Specifications

3.1 Application Packet 
To respond to this RFP, Applicants must fully complete and submit the document entitled Application Packet for the Civil Money Penalty Quality Improvement Initiative that is posted jointly with this RFP at the State’s procurement website for bid opportunities:  http://bidopportunities,iowa.gov
   
3.2 Application Formatting

Subject		Specifications	
Paper Size	8.5" x 11" paper (one side only).  Charts or graphs may be provided on legal-sized paper.	
Font	The Application 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 	The CMPQII Application under Tab 5 is limited to 30 pages.  Material in Tabs 1-4 & 6-8 are not included in the page limit. 	
Pagination	All pages of the Application are to be sequentially numbered from beginning to end (do not number the Application sections independently of each other). The contents in Application Tab 5 may be numbered independently of other sections. 	
Application General Composition
	•	Applications must be bound or securely fastened and use tabs to label the sections. 
•	Applications submitted in multiple volumes shall be numbered in the following fashion: 1 of 4, 2 of 4, etc.

Envelope Contents and Labeling 	•	Envelopes shall be addressed to the Issuing Officer.
•	The envelope containing the original Application shall be labeled “original” and each envelope containing a copy of the Application shall be labeled “copy.”  	

Number of Hard Copies	Submit one (1) original hard copy of the Application.  The original hard copy must contain original signatures.  	
USB Flash Drive	•	The Application must be provided on an USB flash drive and placed in the envelope with the original Application.  
•	The Application must be saved in less than three files, with a preference for the entire Application 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 an Application must meet these specifications:
•	The Applicant will complete the appropriate section of the Primary Applicant 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 Applicant shall submit one complete paper copy of the Application 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 Applicant shall not identify the entire Application as confidential.     
•	The transmittal letter may not be marked confidential.   
•	The Applicant shall submit a USB flash drive containing an electronic copy of the Application from which confidential information has been redacted.  This USB flash drive shall be clearly marked as a “public copy”.  
	
Exceptions to RFP/Contract Language
	If the Applicant 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 Applicant Detail & Certification Form.  In addition, the Applicant shall set forth in its Application 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 Applicant or to negotiate contract terms with the selected Applicant if the best interests of the Agency would be served. 	

Section 4 Evaluation of Applications

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

4.2  Evaluation Committee.
The Agency intends to conduct a comprehensive, fair, and impartial evaluation of Applications 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 Application.

Scoring Guide.
Points will be assigned to each evaluation component as follows, unless otherwise designated:
4 	Applicant 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.  Applicant’s proposed approach frequently goes above and beyond the minimum requirements and indicates superior ability to serve the needs of the Agency.	
3	Applicant 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	Applicant 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	Applicant 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	Applicant 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.	

Application Components.
When Applications are evaluated, the total points for each component are comprised of the component’s assigned weight multiplied by the score the Application 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	
Project Description and Purpose	5
	-------	20	
Direct improvements to Quality of Care/Quality of Life	5
	-------	20	
Performance Measurement, Goals, Objectives and Outcomes	5
	-------	20	
Implementation Plan	4
	-------	16	
Budget	3
	-------	12	
Community Involvement and sustainability 	3
	-------	12	

Total Points Possible:  100

4.4  Recommendation of the Evaluation Committee.  
The evaluation committee shall review the Applications collectively and determine a consensus score for each component of the application.  Each component score will be calculated to a final score.  Scoring thresholds will be established by the committee to separate out high and low application scores.  Applications that score above the threshold will be forwarded to the Medicaid Director for a decision. 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 Application.  This recommendation may include, but is not limited to, the name of one or more selected Applicants or a recommendation that no Applicant be selected.  The Medicaid Director shall consider the committee’s recommendation and make a determination of the Applications that will be forwarded to CMS for final approval of grant award.  The Director is not bound by the evaluation committee’ recommendation. 

Since CMS has the final authority regarding approval of the funding of CMP grant initiatives, all Applications approved by the DHS Medicaid Director shall be submitted to CMS for the final decision. Notice of intent to award will be posted following Agency receipt the CMS decision.  

Attachments Specific to this RFP: 

A 	Sample Contract
B	Civil Money Penalty Quality Improvement Initiative Application
C	CMPQII Grant Application Budget Template
D	Baseline and Quarterly Interim Report Template
E	Final Report Template

Attachment A: Sample Contract

CONTRACT DECLARATIONS AND EXECUTION

Procurement Type/Number	Contract #	
MED-23-019	***Contract #***	

Title of Contract	
Civil Money Penalty Quality Improvement Initiative	

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”)
Transition Period.  Effective July 1, 2022, through July 1, 2023, the Iowa Department of Human Services (DHS) and the Iowa Department of Public Health (IDPH) shall be in a transition period as the agencies develop and implement transition plans to merge the agencies and become a new state agency, the Iowa Department of Health and Human Services (DHHS).  For purposes of this Contract throughout the transition period, “Agency” or “Department” means either DHS or DHHS.  Throughout the transition period, DHS and DHHS shall have and may exercise all legal powers and duties of DHS, including executing all contractual rights and obligations.

Effective July 1, 2023, the Iowa Department of Human Services (DHS) and the Iowa Department of Public Health shall merge and become the Iowa Department of Health and Human Services (DHHS).  For purposes of this Contract on and after July 1, 2023, “Agency” or “Department” means DHHS.  On and after July 1, 2023, DHHS shall have and may exercise all legal powers and duties of the former DHS, including executing all contractual rights and obligations. 

Name/Principal Address of Agency:   
Iowa Department of Human Services
1305 E. Walnut
Des Moines, IA 50319-0114
	Agency Billing Contact Name / Address:
***IF CM different from Billing = FALSE******IF CM different from Billing***Phone: ***IF CM different from Billing = FALSE******IF CM different from Billing***	
Agency Contract Manager (hereafter “Contract Manager” ) /Address (“Notice Address”): 
***Agency Manager Name***
***Agency Contract Manager's Address***
Phone:  ***Agency Manager's Phone***
E-Mail: ***Agency Contract Manager's e-mail***	Agency Contract Owner (hereafter “Contract Owner”) / Address:  
***Agency Owner Name***
***Agency Contract Owner's Address*** 
E-Mail:  ***Agency Contract Owner's e-mail***	

Contractor:  (hereafter “Contractor”)	
Legal Name:  ***Contractor's Legal Name***
***IF DBA Names***	Contractor’s Principal Address:
***Contractor Principal Address***	
Tax ID #:  ***IF Individual = FALSE*** ***IF Individual***	Organized under the laws of:  ***IF Individual = FALSE******IF Individual***	
Contractor’s Contract Manager Name/Address (“Notice Address”):  
***Contractor Contract Manager***
***Contractor contract manager address***
Phone:  ***Contractor Contract Manager's Phone*** 
E-Mail:  ***Contractor Contract Manager's e-mail***	Contractor’s Billing Contact Name/Address:  
***IF Contractor Billing = FALSE******IF Contractor Billing***Phone:  ***IF Contractor Billing******IF Contractor Billing = FALSE***	

Contract Information	
Start Date:  ***Start Date***	End Date of Base Term of Contract:  ***Duration End Date***	
Possible Extension(s):  The Agency shall have the option to extend this Contract up to 2 additional 1-year extensions.  ***IF Extensions to Contract AND Final End Date > Start Date + 72.1 MONTHS***	
Contract Contingent on Approval of Another Agency:  
No
	ISPO Number:  N/A
	
Contract Include Sharing SSA Data?  No	DoIT Number:  N/A

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 into this Contract and have caused their duly authorized representatives to execute this Contract.

Contractor, ***Contractor's Legal Name***   	Agency, Iowa Department of Human Services	
Signature of Authorized Representative:  	Signature of Authorized Representative:  
                                                            	
Printed Name:  ***IF Authorized Rep Contractor***	Printed Name:  ***IF Director******IF Director = FALSE***	
Title:  ***IF Authorized Rep Contractor***	Title:  ***IF Director*** ***IF Director = FALSE***	
Date:	Date:	

***IF Additional signature AND Signature Blocks = "One"******IF Additional signature AND Signature Blocks = "Two"*** ***IF EightF***

SECTION 1: SPECIAL TERMS

1.1 Special Terms Definitions.

1.2 Contract Purpose. 
The Agency is issuing this Request for Proposal (RFP) to solicit proposals for the Civil Money Penalty Quality Improvement Initiative (CMPQII) Grant Program. Grant opportunities are available to various interested stakeholders such as certified long term care facilities, consumer advocacy organizations, professional associations, resident or family councils, ombudsmen and private contractors. Grants awarded for Initiatives submitted on behalf of a specific facility, a group of facilities or a stakeholder group will be distributed to a distinct entity that will be contractually responsible for the funds. 

The grant program's objective is to develop and implement quality improvement initiatives that directly or indirectly improve the quality of care and/or quality of life for Nursing Facility residents.

1.3 Scope of Work. 
1.3.1 Deliverables.
The Contractor shall provide the following:  
1.3.1 Deliverables, Performance Measures, and Monitoring Activities

1.3.1.1 Description of the Quality Improvement Initiative
The Contractor shall complete and fully describe each component of the Quality Improvement Initiative as outlined in the Application Packet for the Civil Money Penalty Quality Improvement Initiative. 
•	Project Description and Purpose
•	Quality of Care/Quality of Life
•	Performance Measurement, Objectives and Outcomes
•	Implementation Plan
•	Budget
•	Community Involvement and Sustainability

1.3.1.2 Performance Measures
The Contractor shall adhere to their respective Application's goals, objectives, measurement and monitoring, timelines, and adherence to the itemized budget. Specific performance measures for each Initiative may differ. However, the Contractor is expected to meet the performance measures identified in its Application while performing services under the Contract.

1.3.1.3 Monitoring Reports
The Contractor is expected to monitor the progress of their initiative and shall submit the following reports to the Agency:

1.3.1.3.1 Baseline report within thirty (30) days of the start of the Contract using the report template provided by the Agency. 
1.3.1.3.2 Quarterly interim monitoring reports on all Deliverables, performance measures, and funds expended using the report template provided by the Agency. 
1.3.1.3.3 Final Report within sixty (60) days of completion of the Initiative using the report template provided by the Agency.  The final report must provide evidence of successful completion of the Quality Improvement Initiate and must address the following:

a)  Purpose of the grant
b)  Expected outcomes of the Initiative
c)  Actual outcomes of the Initiative
d)  Challenges or risks encountered during the Initiative and how they were addressed, 
e)  Number of residents and facilities who benefitted from the Initiative, 
f)   Impact on the resident's quality of care/quality of life, 
g)  Lessons learned, and
h)  Status of the action plan for sustainability if the Initiative will continue beyond the grant  funding.

Report Performance Measures.  
•	Contractor shall submit the baseline report within thirty days of the start of the contract
•	Contractor shall submit the quarterly interim report with thirty days of the end of each calendar quarter
•	Contractor shall submit the final report within sixty days of completion of the Initiative.

1.3.2 Performance Measures.  
The Contractor shall adhere to their respective Application's goals, objectives, measurement and monitoring, timelines, and adherence to the itemized budget. Specific performance measures for each Initiative may differ. However, the Contractor is expected to meet the performance measures identified in its application while performing services under the Contract.

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:
The Contractor is expected to monitor the progress of their initiative and shall submit the following reports to the Agency:

1.3.1.3.1 Baseline report within thirty (30) days of the start of the Contract using the report template provided by the Agency. 
1.3.1.3.2 Quarterly interim monitoring reports on all Deliverables, performance measures, and funds expended using the report template provided by the Agency. 
1.3.1.3.3 Final Report within sixty (60) days of completion of the Initiative using the report template provided by the Agency.  The final report must provide evidence of successful completion of the Quality Improvement Initiate and must address the following:

a)  Purpose of the grant
b)  Expected outcomes of the Initiative
c)  Actual outcomes of the Initiative
d)  Challenges or risks encountered during the Initiative and how they were addressed, 
e)  Number of residents and facilities who benefitted from the Initiative, 
f)   Impact on the resident's quality of care/quality of life, 
g)  Lessons learned, and
h)  Status of the action plan for sustainability if the Initiative will continue beyond the grant  funding.

Report Performance Measures.  
•	Contractor shall submit the baseline report within thirty days of the start of the contract
•	Contractor shall submit the quarterly interim report with thirty days of the end of each calendar quarter
•	Contractor shall submit the final report within sixty days of completion of the Initiative.

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 Quarterly; 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 the course of 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 Contractor’s completion of the Scope of Work as set forth in this Contract, the Contractor will be compensated an amount not to exceed the amount specified in the approved project during the entire term of this Contract, which includes any extensions or renewals thereof.  Payment will occur as follows:  

1.3.4.2 Payment Methodology.
The payment methodology will be determined based on the proposed project. 

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 quarterly.  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 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. 

1.3.4.7 Travel Expenses. If the Contract requires the Agency to reimburse the Contractor for costs associated with transportation, meals, and lodging incurred by the Contractor for travel, such reimbursement shall be limited to travel directly related to the services performed pursuant to this Contract that has been approved in advance by the Agency in writing.  Travel-related expenses shall not exceed the maximum reimbursement rates applicable to employees of the State of Iowa as set forth in the Department of Administrative Services’ State Accounting Policy and Procedures Manual, Section 210 https://das.iowa.gov/state-accounting/sae-policies-procedures-manual, and must be consistent with all Iowa Executive Orders currently in effect. The Contractor agrees to use the most economical means of transportation available and shall comply with all travel policies of the State.  The Contractor shall submit original, itemized receipts and any other supporting documentation required by Section 210 and Iowa Executive Orders to substantiate expenses submitted for reimbursement.  

To be reimbursed for lodging that occurred at a lodging provider that must pay Iowa hotel/motel taxes, prior to the lodging event, the Contractor shall confirm that the lodging provider has received the Human Trafficking Prevention Training Certification at the website maintained by the Iowa Department of Public Safety, currently at  https://stophtiowa.org/certified-locations, as required by Iowa Code § 80.45A(5). The Contractor shall submit to the Agency a screen shot of this verification showing the lodging provider is a certified location with the claim for reimbursement.

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, COBIT 5, CSA STAR Level 2 or greater, or ISO 27001 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: 
NIST SP 800-53, HITRUST version 9, COBIT 5, CSA STAR Level 2 or greater, or ISO 27001 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.)  Not applicable

1.7  Reserved.  (Performance Security.) Not applicable

1.8 Incorporation of General and Contingent Terms.  
1.8.1 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.

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

Contractor a Business Associate?  No	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)? No	
Contract Payments include Federal Funds?  No

1.9  Reserved.  (Additional  Terms.)  

Attachment B: 
Application Packet for the Civil Money Penalty Quality Improvement Initiative

      The Civil Money Penalty Quality Improvement Initiative Application packet is posted separately on the State of Iowa bid opportunities web site:   http://bidopportunities,iowa.gov

Attachment C:  
CMPQII Grant Application Budget Template
The CMPQII Application Budget Template is posted separately on the State of Iowa bid opportunities web site:   http://bidopportunities,iowa.gov   

Final Report Form, page 2
Resident Quality of Life/Quality of Care:

Number of facilities that benefitted from this project: _____________________________________
Number of residents that benefitted from the project: _____________________________________

Describe the impact of this project to the quality of care and/or quality of life of Nursing Facility residents. 

Describe any resident successes or issues:

Resident Satisfaction:  Summarize the results of the resident satisfaction surveys conducted with residents related to this project. 

Sustainability: Address the status of the action plan for sustainability if the project will continue beyond the grant funding: 

Funding:   Complete the table below with the funding amounts. 
Total Funds Awarded	Total Funds from other sources used for this project. 	

Name: ________________________________________________________ Date: ______________

Title:  _________________________Phone Number: __________________Email: _____________