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RFP #: 07-14 Due Date: May 28, 2015, 2:00 PM Department of Human Services Division of Procurement Room 402 Health and Welfare Building 625 Forster Street Harrisburg, PA 17120 Technical Submittal

From:

RFP #: 07-14 Due Date: May 28, 2014, 2:00 PM Department of Human Services Division of Procurement Room 402 Health and Welfare Building 625 Forster Street Harrisburg, PA 17120 Cost Submittal

From:

RFP #: 07-14 Due Date: May 28, 2015, 2:00 PM Department of Human Services Division of Procurement Room 402 Health and Welfare Building 625 Forster Street Harrisburg, PA 17120 Small Diverse Business Submittal

REQUEST FOR PROPOSALS FOR

Home & Community Based Services Independent Enrollment Broker

ISSUING OFFICE Department of Human Services Office of Administration Bureau of Financial Operations Division of Procurement Room 402 Health and Welfare Building 625 Forster Street Harrisburg, PA 17120

RFP NUMBER

07-14

DATE OF ISSUANCE

April 10, 2015

REQUEST FOR PROPOSALS FOR Home & Community Based Services Independent Enrollment Broker

TABLE OF CONTENTS

CALENDAR OF EVENTS

iv

Part I—GENERAL INFORMATION

1

Part II—PROPOSAL REQUIREMENTS

12

Part III—CRITERIA FOR SELECTION

22

Part IV—WORK STATEMENT

27

APPENDIX A:

STANDARD CONTRACT TERMS AND CONDITIONS

APPENDIX B:

DHS ADDENDUM TO STANDARD CONTRACT TERMS AND CONDITIONS

APPENDIX C:

BUSINESS ASSOCIATE ADDENDUM

APPENDIX D:

PROPOSAL COVER SHEET

APPENDIX E: NOTICE

TRADE SECRET/CONFIDENTIAL PROPRIETARY INFORMATION

APPENDIX F:

DOMESTIC WORKFORCE UTILIZATION CERTIFICATION

APPENDIX G: LOBBYING CERTIFICATION AND DISCLOSURE APPENDIX H: CORPORATE REFERENCE QUESTIONNAIRE APPENDIX I:

KEY PERSONNEL REFERENCE QUESTIONNAIRE

APPENDIX J:

SMALL DIVERSE BUSINESS LETTER OF INTENT SAMPLE

APPENDIX K: COST SUBMITTAL APPENDIX L:

HISTORICAL INTAKE/ENROLLMENT DATA

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APPENDIX M: REQUIREMENTS FOR NON-COMMONWEALTH HOSTED APPLICATIONS/SERVICES APPENDIX N:

NEEDS ASSESSMENT TOOL

APPENDIX O: INITIAL SERVICE PLAN DEVELOPMENT & SAMPLE

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

Responsibility

Date

Potential Offerors

April 24, 2015

Issuing Office/Potential Offerors

April 24, 2015 9:00 a.m.

Answers to Potential Offeror questions posted to the DGS website (http://www.dgsweb.state.pa.us/RTA/Search.aspx) no later than this date.

Issuing Office

May 1, 2015

Please monitor website for all communications regarding the RFP.

Potential Offerors

Ongoing

Sealed proposal must be received by the Issuing Office at Department of Human Services Division of Procurement Room 402 Health and Welfare Building 625 Forster Street Harrisburg, Pennsylvania 17120

Offerors

May 28, 2015 2:00 p.m.

Deadline to submit Questions via email to [email protected] . Pre-proposal Conference— The Pennsylvania Child Welfare Resource Center University of Pittsburgh, School of Social Work 403 East Winding Hill Road Mechanicsburg, PA 17055 Room Susquehanna B

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RA-

PART I GENERAL INFORMATION I-1. Purpose. This request for proposals (RFP) provides to those interested in submitting proposals for the subject procurement (“Offerors”) sufficient information to enable them to prepare and submit proposals for the Department of Human Services (DHS or Department) consideration on behalf of the Commonwealth of Pennsylvania (“Commonwealth”) to satisfy a need for an Independent Enrollment Broker for Home & Community Based Services. I-2. Issuing Office. The Department of Human Services, Office of Administration (“Issuing Office”) has issued this RFP on behalf of the DHS. The sole point of contact in the Commonwealth for this RFP shall be Michelle Herring [email protected], the Project Officer for this RFP. Please refer all inquiries to the Project Officer. I-3. Scope. This RFP contains instructions governing the requested proposals, including the requirements for the information and material to be included; a description of the service to be provided; requirements which Offerors must meet to be eligible for consideration; general evaluation criteria; and other requirements specific to this RFP. The HCBS waivers/programs included in this project are DHS’ Aging Waiver; Acquired Immune Deficiency Syndrome (AIDS) Waiver; Attendant Care Act 150 Program; Attendant Care Waiver; Community Care (COMMCARE) Waiver; Independence Waiver; and, Omnibus Budget Reconciliation Act (OBRA) Waiver. Offerors may submit proposals for one, all, or any combination of the four (4) Lots. The Lots are as follows: Lot 1: Lot 2: Lot 3: Lot 4:

Western Region North Central Region South Central Region Eastern Region

Appendix L contains the listing counties for each region. The procurement process for this RFP will be conducted in accordance with the federal laws and regulations and applicable procurement procedures established by the Commonwealth of Pennsylvania. NOTE: DHS continues to engage with various stakeholders in an effort to rebalance the Commonwealth’s Long Term Care system. Such changes may include a shift to Managed Long Term Care. If this or other program changes are implemented in the future, the selected Offeror(s) may be required to provide additional or different enrollment services than those described below. If any such contract changes prove necessary, DHS will negotiate with the selected Offeror(s) and effectuate those changes through the contract amendment process. I-4. Method of Award. Offerors may propose on one, all, or any combination of the four (4) Lots. Each Lot must be submitted as a separate proposal (Technical, Cost, and Small Diverse Business). After final evaluation of proposals, if it is determined to be in the Commonwealth’s best interest, the Commonwealth may request Offerors to submit integrated solutions for any combination or all Lots. 1

I-5. Problem Statement. DHS’s Office of Long Term Living (OLTL) administers several HCBS waivers and programs. Program eligibility is determined based on clinical, program, and financial information requirements. These enrollment application components are reviewed and verified by multiple entities before an eligibility determination can be made. The Offeror must propose a strategy for the eligibility and enrollment process, which is standardized to ensure objective results and address all necessary programmatic elements. Additional detail is provided in Part IV, Statement of Work. I-6. Type of Contract. It is proposed that if the Department enters into a contract(s) as a result of this RFP, it will be a firm-fixed price contract(s), for the provision of services and tasks defined within Part IV, Work Statement of this RFP. All eligibility and enrollment services will be subject to performance standards, as defined in Part IV-6 Performance Standards. The contract(s) will include the RFP and all of the RFP Appendices including, but not limited to the Standard Contract Terms and Conditions as shown in Appendix A, the DHS Addendum to Standard Contract Terms and Conditions as shown in Appendix B, including its riders and the Business Associate Addendum as shown in Appendix C. The Department, in its sole discretion, may undertake negotiations with Offerors whose proposals, in the judgment of the Department, show them to be qualified, responsible and capable of performing the Project. I-7. Rejection of Proposals. The Department, in its sole and complete discretion, may reject any proposal received as a result of this RFP. I-8. Incurring Costs. The Department is not liable for any costs an Offeror incurs in the preparation and submission of its proposal(s), in participating in the RFP process or in anticipation of award of the contract(s). I-9. Pre-proposal Conference. The Department will hold a pre-proposal conference as specified in the Calendar of Events. The purpose of this conference is to provide opportunity for clarification of the RFP. Offerors should forward all questions to the Project Officer in accordance with Part I, Section I-10 to ensure adequate time for analysis before the Department provides an answer. Offerors may also ask questions at the conference. The Pre-proposal Conference is for information only. Any answers furnished during the conference will not be official until they have been verified, in writing, by the Department. All questions and written answers will be posted on the Department of General Services’ (DGS) website as an addendum to, and shall become part of, this RFP. Attendance at the Pre-proposal Conference is optional but highly recommended. I-10. Questions & Answers. If an Offeror has any questions regarding this RFP, the Offeror must submit the questions by email (with the subject line “RFP 07-14 Question”) to the Project Officer named in Part I, Section I-2 of the RFP. If the Offeror has questions, they must be submitted via email no later than the date indicated on the Calendar of Events. The Offeror shall not attempt to contact the Project Officer by any other means. The Department shall post the answers to the questions on the DGS website by the date stated in the Calendar of Events. An Offeror who submits a question after the deadline date for receipt of questions indicated in the Calendar of Events assumes the risk that its proposal(s) will not be responsive or competitive because the Commonwealth is not able to respond before the proposal(s) receipt date or in sufficient time for the Offeror to prepare a responsive or competitive proposal(s). When a 2

question is submitted after the deadline date for receipt of questions indicated in the Calendar of Events, the Project Officer may respond to questions of an administrative nature by directing the questioning Offeror to specific provisions in the RFP. To the extent that the Department decides to respond to a non-administrative question after the deadline date for receipt of questions indicated on the Calendar of Events, the answer must be provided to all Offerors through an addendum. All questions and responses as posted on the DGS website are considered as an addendum to, and part of, this RFP in accordance with RFP Part I, Section I-11. Each Offeror shall be responsible to monitor the DGS website for new or revised RFP information. The Department shall not be bound by any verbal information nor shall it be bound by any written information that is not either contained within the RFP or formally issued as an addendum by the Department. The Department does not consider questions to be a protest of the specifications or of the solicitation. The required protest process for the Department procurements is described in Part I, Section I-28. I-11. Addenda to the RFP. If the Department deems it necessary to revise any part of this RFP before the proposal response date, the Department will post an addendum to the DGS website at http://www.dgsweb.state.pa.us/RTA/Search.aspx. It is the Offeror’s responsibility to periodically check the website for any new information or addenda to the RFP. Answers to the questions asked during the Questions & Answers period also will be posted to the website as an addendum to the RFP. I-12. Response Date. To be considered for selection, hard copies of proposals must arrive at the Issuing Office on or before the time and date specified in the RFP Calendar of Events. The Department will not accept proposals via email or facsimile transmission. Offerors who send proposals by mail or other delivery service should allow sufficient delivery time to ensure timely receipt of their proposals. If, due to inclement weather, natural disaster, or any other cause, the Commonwealth office location to which proposals are to be returned is closed on the proposal response date, the deadline for submission will be automatically extended until the next Commonwealth business day on which the office is open, unless the Issuing Office otherwise notifies Offerors. The hour for submission of proposals shall remain the same. The Department will reject unopened, any late proposals. I-13. Proposals. To be considered, Offerors should submit a complete response to this RFP to the Issuing Office, using the format provided in Part II, providing seven (7) paper copies of the Technical Submittal and two (2) paper copies of the Cost Submittal and two (2) paper copies of the Small Diverse Business (SDB) participation Submittal. In addition to the paper copies of the proposal, Offerors shall submit two complete and exact copies of the entire proposal(s) (Technical, Cost and SDB submittals, along with all requested documents) on CDROM or Flash drive in Microsoft Office or Microsoft Office-compatible format. Additionally, on the two CD-ROMs or Flash drives, include separate folders which contain a complete and exact copy of the entire technical (excluding financial capability) and SDB submittals in PDF (portable document format). To the extent that an Offeror designates information as confidential or proprietary or trade secret protected in accordance with Part I, Section I-19, the Offeror must also include one (1) redacted version of the Technical Submittals on CD-ROM or Flash Drive, excluding financial capability information in Microsoft Office or Microsoft Office-compatible format. Except as provided in this section, the electronic copies must be a mirror image of the paper copy and any spreadsheets must be in Microsoft Excel. The Offerors may not lock or protect any cells or tabs. The CD or Flash drive should clearly identify the Offeror and include 3

the name and version number of the virus scanning software that was used to scan the CD or Flash drive before it was submitted. Offerors should ensure that there is no costing information in the technical submittal. Offerors should not reiterate technical information in the cost submittal. The Offeror shall make no other distribution of its proposal(s) to any other Offeror or Commonwealth official or Commonwealth consultant. Each proposal page should be numbered for ease of reference. An official authorized to bind the Offeror to its provisions must sign the proposal(s). If the official signs the Proposal Cover Sheet (Appendix D to this RFP) and the Proposal Cover Sheet is attached to the Offeror’s proposal(s), the requirement will be met. For this RFP, the proposal must remain valid for 120 days or until the contract(s) is fully executed. If the Department selects the Offeror’s proposal(s) for award, the contents of the selected Offeror’s proposal(s) will become, except to the extent the contents are changed through Best and Final Offers or negotiations, contractual obligations. Each Offeror submitting a proposal specifically waives any right to withdraw or modify it, except that the Offeror may withdraw its proposal by written notice received at the Issuing Office’s address for proposal delivery prior to the exact hour and date specified for proposal receipt. An Offeror or its authorized representative may withdraw its proposal(s) in person prior to the exact hour and date set for proposal receipt, provided the withdrawing person provides appropriate identification and signs a receipt for the proposal(s). An Offeror may modify its submitted proposal(s) prior to the exact hour and date set for proposal receipt only by submitting a new sealed proposal(s) or sealed modification which complies with the RFP requirements. I-14. Small Diverse Business Information. The Department encourages participation by small diverse businesses as prime Offerors, and encourages all prime Offerors to make a significant commitment to use small diverse businesses as subcontractors and suppliers. A Small Diverse Businesses is a DGS-verified minority-owned business, woman-owned business, service-disabled veteran-owned business or veteran-owned business. A small business is a business in the United States which is independently owned, not dominant in its field of operation, employs no more than 100 full-time or full-time equivalent employees, and earns less than $7 million in gross annual revenue for building design, $20 million in gross annual revenues for sales and services and $25 million in gross annual revenues for those businesses in the information technology sales or service business. Questions regarding this Program can be directed to: Department of General Services Bureau of Small Business Opportunities Room 611, North Office Building Harrisburg, PA 17125 Phone: (717) 783-3119 Fax: (717) 787-7052 Email: [email protected] Website: www.dgs.state.pa.us The Department’s directory of BSBO-verified minority, women- veteran and service disabled veteran-owned businesses can be accessed from: Searching for Small Diverse Businesses.

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I-15. Economy of Preparation. Offerors should prepare proposals simply and economically, providing a straightforward, concise description of the Offeror’s ability to meet the requirements of the RFP. I-16. Alternate Proposals. The Department has identified the basic approach to meeting its requirements, allowing Offerors to be creative and propose their best solution to meeting these requirements. The Department will not accept alternate proposals. I-17. Discussions for Clarification. Offerors may be required to make an oral or written clarification of their proposals to the Departments to ensure thorough mutual understanding and Offeror responsiveness to the solicitation requirements. The Project Officer will initiate requests for clarification. Clarifications may occur at any stage of the evaluation and selection process prior to contract(s) execution. I-18. Prime Contractor Responsibilities. The contract(s) will require the selected Offeror(s) to assume responsibility for all services offered in its proposal(s) whether it produces them itself or by subcontract. The Department will consider the selected Offeror(s) to be the sole point of contact with regard to contractual matters. I-19.

Proposal Contents.

A. Confidential Information. The Commonwealth is not requesting, and does not require, confidential proprietary information or trade secrets to be included as part of Offerors’ submissions in order to evaluate proposals submitted in response to this RFP. Accordingly, except as provided herein, Offerors should not label proposal submissions as confidential or proprietary or trade secret protected. Any Offeror who determines that it must divulge such information as part of its proposal(s) must submit the signed written statement described in subsection C. below and must additionally provide a redacted paper and electronic version of its proposal(s) in accordance with Part I, Section I-13, which removes only the confidential proprietary information and trade secrets, for required public disclosure purposes. B. Commonwealth Use. All material submitted with the proposal shall be considered the property of the Commonwealth of Pennsylvania and may be returned only at the Department’s option. The Commonwealth has the right to use any or all ideas not protected by intellectual property rights that are presented in any proposal regardless of whether the proposal(s) becomes part of a contract. Notwithstanding any Offeror copyright designations contained on proposals, the Commonwealth shall have the right to make copies and distribute proposals internally and to comply with public record or other disclosure requirements under the provisions of any Commonwealth or United States statute or regulation, or rule or order of any court of competent jurisdiction. C. Public Disclosure. After the award of a contract(s) pursuant to this RFP, all proposal submissions are subject to disclosure in response to a request for public records made under the Pennsylvania Right-to-Know-Law, 65 P.S. § 67.101, et seq. If a proposal submission contains confidential proprietary information or trade secrets, a signed written statement to this effect must be provided with the submission in accordance with 65 P.S. § 67.707(b) for the information to be considered exempt under 65 P.S. § 67.708(b)(11) from public records requests. Refer to Appendix F of the RFP for a Trade Secret Form that may be used as the signed written statement, if applicable. If financial capability 5

information is submitted in response to Part II of this RFP, such financial capability information is exempt from public records disclosure under 65 P.S. § 67.708(b) (26). I-20.

Best and Final Offers.

A. While not required, the Department may conduct discussions with Offerors for the purpose of obtaining “best and final offers.” To obtain best and final offers from Offerors, the Department may do one or more of the following, in any combination and order: 1. Schedule oral presentations; 2. Request revised proposals; and 3. Enter into pre-selection negotiations. B. The following proposals of Offerors will not be considered by the Department for a Best and Final Offer: 1. The proposals of those Offerors which the Department has determined to be not responsible or the proposals the Department has determined to be not responsive. 2. The proposals of those Offerors which the Department has determined in accordance with Part III, Section III-5, from the submitted and gathered financial and other information, do not possess the financial capability, experience or qualifications to assure good faith performance of the contract(s). 3. A proposal with a score for its technical submittal that is less than 70% of the total amount of technical points allotted to the technical criterion. 4. The proposals of those Offerors which the Department has determined in accordance with Part III, Section III-5, from the submitted conflict free information, are not conflict free and either did not propose a plan to become conflict free or will not be conflict free within the first six months of the resulting contract(s). The Department may further limit participation in the best and final offers process to those remaining responsible Offerors which the Department has, within its discretion, determined to be within the top competitive range of responsive proposals. C. The Evaluation Criteria found in Part III, Section III-4, shall also be used to evaluate the Best and Final offers. D. Price reductions offered shall have no effect upon the Offeror’s Technical Submittal. Dollar commitments to Small Diverse Businesses can be reduced only in the same percentage as the percent reduction in the total price offered through any best and final offers or negotiations. I-21. News Releases. Offerors shall not issue news releases, Internet postings, advertisements or any other public communications pertaining to this Project without prior written approval of the Department, and then only in coordination with the Department. 6

I-22. Restriction of Contact. From the issue date of this RFP until the Department selects the proposal(s) for award, the Project Officer is the sole point of contact concerning this RFP. Any violation of this condition may be cause for the Department to reject the offending Offeror’s proposal(s). If the Department later discovers that the Offeror has engaged in any violations of this condition, the Department may reject the offending Offeror’s proposal(s) or rescind its contract award. Offerors must agree not to distribute any part of their proposals beyond the Issuing Office. An Offeror who shares information contained in its proposal(s) with other Commonwealth personnel and/or competing Offeror personnel may be disqualified. I-23. Commonwealth Participation. Offerors shall provide all services, supplies, facilities, and other support necessary to complete the identified work, except as otherwise provided for in this Part I, Section I-23. The extent of Commonwealth participation is dependent upon the task involved. The Commonwealth will assign a DHS Contract Administrator to manage the administration, and monitoring of any contract(s) resulting from this RFP. DHS, will ensure that the selected Offeror(s) has access to the proper documentation, systems access, to facilitate the knowledge transition task. The Commonwealth will not provide the selected Offeror(s) with the following: • Office Hardware to include: Personal Computers (PCs), Local Area Network servers, printers, facsimile machines, copiers, scanners, shredders, notebooks, and desktop/cell phones. • General Office Software to include: Word Processing, Spreadsheet, Project Management, Email, and Presentation. • Office Supplies such as, pens, pencils, paper, and binders. • Office Furniture. • Technical support for the previously noted hardware and software. • Internet access and nationwide phone service for Offeror(s) staff. I-24. Term of Contract. The term of the contract(s) will commence on the Effective Date and will be for a period of two (2) years. Subject to the performance of the selected Offeror(s) and other considerations, the Department may renew the contract(s) on the same terms and conditions for up to three (3) additional one-year periods. The Issuing Office will fix the Effective Date after the contract(s) has been fully executed by the selected Offeror(s) and by the Commonwealth and all approvals required by Commonwealth and federal contracting procedures have been obtained. The selected Offeror(s) shall not start the performance of any work prior to the Effective Date of the contract(s), unless otherwise specified by the Commonwealth, and the Commonwealth shall not be liable to pay the selected Offeror(s) for any service or work performed or expenses incurred before the Effective Date of the contract(s). I-25. Offeror’s Representations and Authorizations. By submitting its proposal(s), each Offeror understands, represents, and acknowledges that: A. All of the Offeror’s information and representations in the proposal(s) are material and important, and the Commonwealth may rely upon the contents of the proposal(s) in awarding the contract(s). The Commonwealth shall treat any misstatement, omission or misrepresentation as fraudulent concealment of the true facts relating to the Proposal submission, punishable pursuant to 18 Pa. C.S. § 4904. 7

B. The Offeror has arrived at the price(s) and amounts in its proposal(s) independently and without consultation, communication, or agreement with any other Offeror or potential Offeror. C. The Offeror has not disclosed the prices, the amount of the proposal(s), nor the approximate prices or amounts of its proposal(s) to any other firm or person who is an Offeror or potential Offeror for this RFP, and the Offeror shall not disclose any of these items on or before the proposal submission deadline specified in the Calendar of Events of this RFP. D. The Offeror has not attempted, nor will it attempt, to induce any firm or person to refrain from submitting a proposal for a contract, or to submit a proposal higher than its proposal(s), or to submit any intentionally high or noncompetitive proposal or other form of complementary proposal. E. The Offeror makes its proposal(s) in good faith and not pursuant to any agreement or discussion with, or inducement from, any firm or person to submit a complementary or other noncompetitive proposal. F. To the best knowledge of the person signing the proposal(s) for the Offeror, the Offeror, its affiliates, subsidiaries, officers, directors, and employees are not currently under investigation by any governmental agency and have not in the last four years been convicted or found liable for any act prohibited by State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding or proposing on any public contract, except as the Offeror has disclosed in its proposal. G. To the best of the knowledge of the person signing the proposal(s) for the Offeror and except as the Offeror has otherwise disclosed in its proposal, the Offeror has no outstanding, delinquent obligations to the Commonwealth including, but not limited to, any state tax liability not being contested on appeal or other obligation of the Offeror that is owed to the Commonwealth. H. The Offeror is not currently under suspension or debarment and has not been precluded from participation in any federally funded health care program by the Commonwealth, any other state or the federal government, and if the Offeror cannot so certify, then it shall submit along with its proposal(s) a written explanation of why it cannot make such certification. I. The Offeror has not made, under separate contract with the Commonwealth, any recommendations to either Department concerning the need for the services described in its proposal(s) or the specifications for the services described in the proposal(s). J. Each Offeror, by submitting its proposal(s), authorizes Commonwealth agencies to release to the Commonwealth information concerning the Offeror's Pennsylvania taxes, unemployment compensation and workers’ compensation liabilities. K. Until the selected Offeror receives a fully executed and approved written contract(s) from the Issuing Office, there is no legal and valid contract, in law or in equity, and the Offeror shall not begin to perform. 8

I-26.

Notification of Selection.

A. Contract Negotiations. DHS will notify all Offerors in writing of the Offeror(s) selected for contract negotiations after DHS has determined, taking into consideration all of the evaluation factors, the proposal(s) that is the most advantageous to the Commonwealth. B. Award. Offerors whose proposals are not selected will be notified when contract negotiations have been successfully completed and DHS has received the final negotiated contract(s) signed by the selected Offeror(s). I-27. Debriefing Conferences. Upon notification of award, Offerors whose proposals were not selected will be given the opportunity to be debriefed. The Project Officer will schedule the debriefing at a mutually agreeable time. The debriefing will not compare the Offeror with other Offerors, other than the position of the Offeror’s proposal(s) in relation to all other Offeror proposals. An Offeror’s exercise of the opportunity to be debriefed does not constitute nor toll the time for filing a protest (See Section I-28 of this RFP). I-28. RFP Protest Procedure. Offerors and prospective Offerors who are aggrieved in connection with the solicitation or award of a contract under this RFP may file a protest with the Department. Any such protest must be in writing and must comply with the requirements set forth in the Commonwealth Procurement Code at 62 Pa.C.S. §1711.1. Any protest filed in relation to this RFP must be delivered to: Department of Human Services Office of Administration, Bureau of Financial Operations Division of Procurement Room 402 Health and Welfare Building 625 Forster Street Harrisburg, Pennsylvania 17120 Attn: Daniel R. Boyd Email address: [email protected] Fax: 717-787-3560 Offerors and prospective Offerors may file a protest electronically or by facsimile, but also must simultaneously send a hard copy of the protest to the address listed above. I-29. Use of Electronic Versions of this RFP. This RFP is being made available by electronic means. If an Offeror electronically accepts the RFP, the Offeror acknowledges and accepts full responsibility to insure that no changes are made to the RFP. In the event of a conflict between a version of the RFP in the Offeror’s possession and the Issuing Office’s version of the RFP, the Issuing Office’s version shall govern. I-30. Information Technology Policies. Services provided as a result of this RFP are subject to the Information Technology Policies (ITP’s) issued by the Office of Administration, Office for Information Technology (OA-OIT); and the DHS Business and Technical Standards created and published by DHS. ITP’s may be found at: http://www.portal.state.pa.us/portal/server.pt?open=512&objID=416&PageID=210791&mode=2 The DHS Business and Technical Standards may be found at: http://www.dhs.state.pa.us/provider/doingbusinesswithdhs/busandtechstandards/index.htm 9

All proposals must be submitted on the basis that all ITP’s and DHS Business and Technical Standards are applicable to this procurement. It is the responsibility of the Offeror to read and be familiar with the ITP’s and DHS Business and Technical Standards. Notwithstanding the foregoing, if the Offeror believes that any ITP or DHS Business and Technical Standard is not applicable to this procurement, it must list all such ITP’s and/or DHS Business and Technical Standard in its technical response, and explain why it believes the ITP and/or DHS Business and Technical Standard is not applicable. DHS may, in its sole discretion, accept or reject any request that an ITP and/or DHS Business and Technical Standard not be considered to be applicable to the procurement. The Offeror’s failure to list an ITP and/or DHS Business and Technical Standard will result in its waiving its right to do so later, unless DHS, in its sole discretion, determines that it would be in the best interest of the Commonwealth to waive the pertinent ITPs and/or DHS Business and Technical Standard. I-31. Regulatory Requirements Compliance. Services provided as a result of this RFP are subject to all federal, state, Department, and OLTL laws, regulations, statutes, and policies relative to the HCBS waivers within the scope of this RFP. These Regulatory requirements may be found at the links provided below. • • • • • • • • • • • •

Aging Waiver Acquired Immune Deficiency Syndrome (AIDS) Waiver Attendant Care Act 150 Program Attendant Care Waiver Community Care (COMMCARE) Waiver Independence Waiver Omnibus Budget Reconciliation Act (OBRA) Waiver Older Adult Protective Services Act Adult Protective Services Act. PA-162 Notice 1768 Notice of Financial Eligibility Waiting List Bulletin

Information on each of the waivers can be found through the links for each of the waivers above. Additionally, a summary of all waivers can be found at: http://www.dhs.state.pa.us/forchildren/healthcaremedicalassistance/homeandcommunitybasedser vices/index.htm. All proposals must be submitted on the basis of all of the Regulatory requirements are applicable to this procurement. It is the responsibility of the Offeror to read and be familiar with the requirements, even those not specified within this RFP. I-32. Contractor Partnership Program (CPP). The Contractor Partnership Program (CPP) was created by DHS to create additional employment opportunities within the Commonwealth. The CPP is designed to leverage the economic resources of DHS to create jobs for individuals currently receiving Temporary Assistance to Needy Families (TANF) cash assistance by maximizing the recruitment, hiring and retention of those individuals by Commonwealth contractors, subcontractors and grantees. The CPP utilizes its partnerships with the local Workforce Investment Agencies (WIAs), County Assistance Offices (CAOs), service delivery providers and other community action agencies to advance this goal. 10

The CPP requires individuals contracting with DHS to make a commitment to fill their vacancies and new positions with individuals currently receiving TANF cash assistance. The CPP will work cooperatively to assist in these efforts by coordinating the resources of local service providers to assist in the identification of qualified individuals for employment opportunities. Through CPP, DHS expects not only to increase the employment rate for individuals receiving TANF cash assistance, but to continue to contribute to the economic growth of the Commonwealth. Eligibility Requirements The selected Offeror(s) must hire individuals receiving TANF cash assistance from DHS. This includes, but it is not limited to, individuals currently participating in any of DHS’s employment and training programs such as EARN (Work Support and Career Development), Supported Work, Supported Engagement, Industry Specific Initiatives, Keystone Education Yields Success (KEYS), as well as, those individuals in self-initiated activities at the CAO. Individuals receiving medical assistance or food stamps only are not eligible. For more information about the CPP please contact: Contractor Partnership Program PA Department of Human Services Health & Welfare Building 2nd Floor West 7th & Forster Streets Harrisburg PA 17105 Phone: 1-866-840-7214/Fax: (717) 787-4106 Email: [email protected]

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PART II

PROPOSAL REQUIREMENTS Offerors must submit their proposals in the format, including heading descriptions, outlined below. To be considered, the proposal must respond to all requirements in this part of the RFP. Offerors should provide any other information thought to be relevant, but not applicable to the enumerated categories, as an Appendix to the Proposal. All cost data relating to this proposal and all Small Diverse Business cost data should be kept separate from and not included in the Technical Submittal. Offerors may submit proposals on one, all, or any combination of the four (4) Lots; however, each Lot must be submitted as a separate proposal. Proposals shall consist of the following three separately sealed submittals: A.

Technical Submittal, which shall be a response to RFP Part II, Sections II-1 through II-8 and II-11 through II-14 The Technical Submittal must include a Transmittal Letter and include Tabs 1 through 15. Offerors must format their technical responses using the following guide: o Tab 1: Table of Contents o Tab 2: Statement of the Problem o Tab 3: Management Summary o Tab 4: Work Plan o Tab 5: Prior Experience o Tab 6: Personnel o Tab 7: Training o Tab 8: Financial Capability o Tab 9: Objections to Standard Terms and Conditions o Tab 10: Domestic Workforce Utilization Certification (Appendix F) o Tab 11: Lobbying Certification and Disclosure (Appendix G) o Tab 12: Contractor Partnership Program o Tab 13: Conflict Free o Tab 14: Corporate Reference Questionnaire (Appendix H) o Tab 15: Personnel Reference Questionnaire (Appendix I)

B.

Small Diverse Business participation submittal, in response to RFP Part II, Section II-9; and

C.

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

Proposals must follow the following format: a. Pages must be 8.5 by 11 inches with right and left margins of one (1) inch; and be double-sided. b. Must use Arial or Times New Roman font with a size of twelve (12). c. Tab and Section headings, show in Part II-A, General Proposal Requirements, MUST be used. d. Each page of the proposal must include a page number and identification of the Offeror in the page footer. 12

e. Materials provided in any Appendix must be specifically referenced by page number(s) in the body of the proposal. The Department may request additional information which, in the Department’s opinion, is necessary to assure that the Offeror’s competence, number of qualified employees, business organization, and financial resources are adequate to perform according to the RFP. The Department may make investigations as deemed necessary to determine the ability of the Offeror to perform the Project, and the Offeror shall furnish to the Department all requested information and data. The Department may reject any proposal if the evidence submitted by, or investigation of, such Offeror fails to satisfy the Department that such Offeror is properly qualified to carry out the obligations of the RFP and to complete the Project as specified. II-1. Tab 2 - Statement of the Problem. State in succinct terms the following: (1) the Offeror’s understanding of the services and related requirements of this RFP; (2) the Offeror’s qualifications for the work required in this RFP; and (3) the Offeror’s overall approach to this project. The Statement of the Problem should discuss specific issues/risks associated with the project and should include proposed solutions for each. Your response should demonstrate that the Offeror fully understands the scope of work, your responsibilities, and the performance requirements of this RFP and how the Offeror will effectively manage the project. II-2. Tab 3 - Management Summary. Include a narrative description of the proposed effort and a list of the items to be delivered or services to be provided. The summary will condense and highlight the contents of the technical proposal in a way that provides a broad understanding of the entire Technical Submittal. If the Offeror is proposing to subcontract any work included with the project, the Offeror should identify the subcontractor and describe the scope of work to be subcontracted. II-3. Tab 4 - Work Plan. The Offeror will include a detailed Work Plan detailing the sequencing of events and the time required to fully implement the project. The Offeror should describe in narrative form your technical plan for accomplishing the work. Use the task descriptions in Part IV of this RFP as your reference point. Modifications of the task descriptions are permitted; however, reasons for changes should be fully explained. Indicate the number of person hours allocated to each task. Include a Program Evaluation and Review Technique (PERT) or similar type display, time related, showing each event. If more than one approach is apparent, comment on why you chose this approach. The relationship between key staff and the specific tasks, assignments, and deliverables proposed to accomplish the scope of work should also be described. The Offeror must describe its project management approach and how the proposed work plan will be executed. Include detailed information to demonstrate that your work plan meets all requirements and tasks included in this RFP. Where possible, provide specific examples of methodologies or approaches that will be used to fulfill the various requirements and required tasks, and how these methodologies will be adapted and implemented for the contract(s). The Offeror shall describe the processes to be followed and the management controls that will be used to ensure the quality of the work as well as the ability to meet all performance standards. The Offeror must develop and demonstrate a Quality Management Strategy (QMS) solution in their proposal. The QMS must assure the accessibility, availability, and quality of the services provided under the Project. Also address your approach to internally monitor and evaluate your effectiveness in meeting the RFP requirements throughout the course of the contract(s). 13

Include a discussion on the formal and informal communication processes within a project of this nature. The work plan must include the planned approach/process for establishing and maintaining communication between all parties and a technical approach that is aligned with all written specifications, requirements, and tasks contained in Part IV, Statement of Work, including section IV-6. Performance Measures. Include meetings planned and communication vehicles. Describe the approach you will take to establish, capture, document, evaluate, and report on core performance measures (section IV-6) relative to the contract(s) and business operation performance, efficiencies, and effectiveness; and provide an outline of your process improvement procedures. II-4. Tab 5 - Prior Experience. The Offeror should include experience administering and facilitating community based or public programs, and assisting individuals in the enrollment process. Experience provided should be work done by individuals who will be assigned to this project as well as that of your company. Studies or projects referred to must be identified and the name of the customer shown, including the name, address, and telephone number of the responsible official of the customer, company, or agency who may be contacted. In addition, provide the following information: A. Corporate Background. The Offeror must describe the corporate history and relevant experience of the Offerors and any subcontractors. This section must detail information on the ownership of the company (names and percent of ownership), the date the company was established, the date the company began operations, the physical location of the company, and the current size of the company. The Offeror must provide a corporate organizational chart as part of this section. Offerors must state that they have no conflict of interest in providing services under a contract(s) resulting from this RFP. If unable to state, Offerors must identify any current contracting, subcontracting or other relationship(s) that may result in a conflict with the requirements of this RFP. B. References. The Offeror must provide a list of at least three (3) relevant contacts within the past three (3) years to serve as corporate references. The references must be outside clients (non-DHS). This list shall include the following for each reference: 1. Name of customer 2. Type of contract 3. Contract description, including type of service provided 4. Total contract value 5. Contracting officer’s name and telephone number 6. Role of subcontractor(s) (if any) 7. Time period in which service was provided The Offeror must submit Appendix H, Corporate Reference Questionnaire, directly to the contacts listed. The references should return the completed questionnaires in sealed envelopes to the Offeror. The Offeror must include these sealed references with its technical submittal under Tab 14. 14

The Offeror must disclose any contract cancellations, suspensions or debarments within five (5) years preceding the issuance of this RFP. If a contract was canceled for lack of performance, the Offeror must provide details on the customer’s allegations, the Offeror’s position relevant to the allegations, and the final resolution of the contract cancellation. For any such cancellations, the Offeror must also include each customer’s Company or entity name, Address, Contact name, Phone number, and Email address. Failure to disclose such a cancelled or suspended contract may result in disqualification. If the Department learns about such a failure to disclose after the contract is awarded, the contract may be terminated and the Offeror will be liable for all costs associated with the re-procuring the services, including any increased costs. The Offeror must describe the corporate identity, legal status and forms, including the name, address, telephone number, and email address for the legal entity that is submitting the proposal(s). In addition, the Offeror must provide the name of the principal officers, a description of its major services, its legal status as a for-profit or not-for-profit company, and any specific licenses and accreditations held by the Offeror. Offerors must provide similar organizational background information on any significant subcontractor. A significant subcontractor is defined as an organization undertaking more than ten (10%) (on a total cost basis) of the work associated with this RFP. If an Offeror is proposing to use the services or products of one of its subsidiaries or affiliated firms, the Offeror must describe the business arrangement with that entity and the scope of the services the entity will provide. If the experience of any proposed subcontractor is being used to meet the qualifications and requirements of this RFP, the Offeror must provide the same information as listed above for the subcontractor. This information must be presented separately within this section, clearly identifying the subcontractor experience and name of the subcontractor. II-5. Tab 6 - Personnel. Include the number of executive and professional personnel, analysts, auditors, researchers, programmers, nurse consultants, etc., who will be engaged in the work. Show where these personnel will be physically located during the time they are engaged in the Project. Key personnel for this project includes a Contract Administrator/Project Manager, Enrollment Broker(s), and Enrollment Services Management Personnel. For key personnel, include the employee’s name and, through a resume or similar document, including appropriate license/certifications. Offeors should be sure to include the employee’s education and experience providing eligibility and enrollment services. Indicate the responsibilities each individual will have and how long each has been with your company. The Offeror may propose additional key personnel. For all other personnel, include job title, position descriptions, responsibilities and qualifications. Identify by name any subcontractors you intend to use and the services they will perform. Submitted resumes are not to include personal information that will, or will be likely to, require redaction prior to release of the proposal(s) under the Right-to-Know Law. This includes home addresses and phone numbers, Social Security Numbers, Drivers’ License numbers or numbers from state identification cards issued in lieu of a Drivers’ License, financial account numbers, etc. If the Commonwealth requires any of this information for security verification or other purposes, the information will be requested separately and as necessary. 15

Include organizational charts outlining the staffing, reporting relationships and staff members in its description. Show the total number of staff proposed and indicate the Full Time Equivalency (FTEs) to account for any staff that are not assigned on a full-time basis. Provide similar information for any subcontractors that are proposed. The organizational chart must illustrate the lines of authority, designate the position(s) responsible and accountable for the completion of each component in the RFP, indicate the names or job title and number of personnel that will be assigned to each role, and the number of hours per week each person is projected to work on the project. The organizational chart must clearly indicate any functions that are subcontracted along with the name of the subcontracting entities and the services they will perform. A minimum of three (3) client references for each Key Personnel must be identified. All client references for each Key Personnel must be outside clients (non-DHS) who can give information on the individual’s experience and competence to perform project tasks similar to those requested in this RFP. Key Personnel may be a member of the Offeror’s organization, or any subcontractor included in the Offeror’s proposal. The Offeror must submit Appendix I, Personnel Reference Questionnaire, directly to the contacts listed. The references should return completed questionnaires in sealed envelopes to the Offeror. The Offeror must include these sealed references with its proposal(s) under Tab 15. Key Personnel Diversions Or Replacement. Once key personnel are approved by DHS, the selected Offeror may not divert or replace personnel without approval of the DHS Contract Administrator and in accordance with the following procedures: The Offeror must provide notice of a proposed diversion or replacement to the DHS Contract Administrator at least thirty (30) days in advance and provide the name, qualifications, and background check (if required) of the person who will replace the diverted or removed personnel. The DHS Contract Administrator will notify the Offeror within ten (10) days of the diversion notice whether the proposed diversion is acceptable and if the replacement is approved. Divert or diversion is defined as the transfer of personnel by the Offeror or its subcontractor to another assignment within the control of either the Offeror or subcontractor. Advance notification and approval does not include changes in key personnel due to resignations, death and disability, dismissal for cause or dismissal as a result of the termination of a subcontract or any other causes that are beyond the control of the selected Offeror or its subcontractor. DHS must approve the replacement personnel. The DHS Contract Administrator may request that the selected Offeror remove a person from this project at any time. In the event that a person is removed from the Project, the selected Offeror will have ten (10) days to fill the vacancy with a person acceptable in terms of experience and skills, subject to the DHS Contract Administrator’s approval. II-6. Tab 7 - Training. If appropriate, indicate recommended training of Commonwealth, Provider and appropriate personnel. Include the agency personnel to be trained, the number to be trained, duration of the program, place of training, curricula, training materials to be used, number and frequency of sessions, and number and level of instructors. II-7. Tab 8 - Financial Capability. Describe your company’s financial stability and economic capability to perform the contract requirements. Provide your company’s financial statements (audited, if available) for the past three (3) fiscal years. Financial statements must 16

include the company’s Balance Sheet and Income Statement or Profit/Loss Statements. Also include a Dun & Bradstreet comprehensive report, if available. If your company is a publicly traded company, please provide a link to your financial records on your company website in lieu of providing hardcopies. The Commonwealth may request additional information it deems necessary to evaluate an Offeror’s financial capability. II-8. Tab 9 - Objections and Additions to Standard Contract Terms and Conditions. The Offeror will identify which, if any, of the terms and conditions (contained in Appendix A and Appendix B) it would like to negotiate and what additional terms and conditions the Offeror would like to add to the standard contract terms and conditions. The Offeror’ s failure to make a submission under this paragraph will result in its waiving its right to do so later, but the Department may consider late objections and requests for additions if to do so, in the Department’s sole discretion, would be in the best interest of the Commonwealth. The Department may, in its sole discretion, accept or reject any requested changes to the standard contract terms and conditions. The Offeror shall not request changes to the other provisions of the RFP, nor shall the Offeror request to completely substitute its own terms and conditions for Appendix A or Appendix B. All terms and conditions must appear in one integrated contract. The Department will not accept references to the Offeror’s, or any other, online guides or online terms and conditions contained in any proposal. Regardless of any objections set out in its proposal, the Offeror must submit its proposal, including the cost proposal, on the basis of the terms and conditions set out in Appendix A and Appendix B. The Department will reject any proposal that is conditioned on the negotiation of the terms and conditions set out in Appendix A or B. II-9. Small Diverse Business Participation Submittal. A. To receive credit for being a Small Diverse Business or for subcontracting with a Small Diverse Business (including purchasing supplies and/or services through a purchase agreement), an Offeror must include proof of Small Diverse Business qualification in the Small Diverse Business participation submittal of the proposal, as indicated below: A Small Diverse Business verified by BSBO as a Small Diverse Business must provide a photocopy of its DGS issued certificate entitled “Notice of Small Business SelfCertification and Small Diverse Business Verification” indicating its diverse status.

B. In addition to the above certificate, the Offeror must include in the Small Diverse Business participation submittal of the proposal the following information: 1. All Offerors must include a numerical percentage which represents the total percentage of the work (as a percentage of the total cost in the Cost Submittal) to be performed by the Offeror and not by subcontractors and suppliers. 2. All Offerors must include a numerical percentage which represents the total percentage of the total cost in the Cost Submittal that the Offeror commits to paying to Small Diverse Businesses (SDBs) as subcontractors. To support its total percentage SDB subcontractor commitment, Offeror must also include: a. The percentage and dollar amount of each subcontract commitment to a Small Diverse Business; 17

b. The name of each Small Diverse Business. The Offeror will not receive credit for stating that after the contract is awarded it will find a Small Diverse Business. c. The services or supplies each Small Diverse Business will provide, including the timeframe for providing the services or supplies. d. The location where each Small Diverse Business will perform services. e. The timeframe for each Small Diverse Business to provide or deliver the goods or services. f. A subcontract or letter of intent signed by the Offeror and the Small Diverse Business (SDB) for each SDB identified in the SDB Submittal. The subcontract or letter of intent must identify the specific work, goods or services the SDB will perform, how the work, goods or services relates to the project, and the specific timeframe during the term of the contract and any option/renewal periods when the work, goods or services will be performed or provided. In addition, the subcontract or letter of intent must identify the fixed percentage commitment and associated estimated dollar value that each SDB will receive based on the total value of the initial term of the contract as provided in the Offeror's Cost Submittal. Attached is a letter of intent template (Appendix J) which may be used to satisfy these requirements. g. The name, address and telephone number of the primary contact person for each Small Diverse Business. C. The Offeror is required to submit two copies of its Small Diverse Business participation submittal. The submittal shall be clearly identified as Small Diverse Business information and sealed in its own envelope, separate from the remainder of the proposal. D. A Small Diverse Business can be included as a subcontractor with as many prime contractors as it chooses in separate proposals. E. An Offeror that qualifies as a Small Diverse Business and submits a proposal as a prime contractor is not prohibited from being included as a subcontractor in separate proposals submitted by other Offerors. II-10. Cost Submittal. The information requested in this Part II, Section II-10 and Appendix K shall constitute the Cost Submittal portion of a proposal. Instructions for completing the cost submittal are included in Appendix K. The cost submittal shall be placed in a separate, sealed envelope within the sealed proposal and kept separate from the technical portion of the proposal. Offerors should not include any assumptions in their cost submittals. If the Offeror includes assumptions in its cost submittal, the Department may reject the proposal. Offerors should direct any questions in writing to Project Officer pursuant to Part I, Section I-10 about whether a cost or other component is included or applies. All Offerors will then have the benefit of the Department’s written answer so that all proposals are submitted on the same basis. Pricing should be inclusive of tasks and requirements as outlined in Part IV, Work Statement of this RFP. The pricing for tasks is as follows: TRANSITION TASK 18

Offeror may include pricing for the transition deliverable as defined in Part IV, Work Statement of the RFP. The price should be all inclusive of all costs associated with completing the task as described in the Work Statement. TURNOVER TASK Offeror may include pricing for the turnover deliverable as defined in Part IV, Work Statement of the RFP. The price should be all inclusive of all costs associated with completing the task as described in the Work Statement. FIRM, FIXED MONTHLY PRICE Offeror must include firm, fixed monthly pricing for the all tasks as defined in Part IV, Work Statement of the RFP. The price should be all inclusive of all costs associated with completing the tasks as described in the Work Statement. ENROLLMENT FEE Offeror must include a firm, fixed per enrollment fee for each successful enrollment; as defined in Part IV, Work Statement of the RFP. Additionally, the Cost Submittal also has a Cost Verification Tab; this is for internal DHS use only, and will not be part of the final contract(s) as awarded to the selected Offeror. For the Cost Verification Tabs of the Cost Submittal, total costs should be broken down into the following components: A. Direct Labor Costs. Itemize to show the following for each category of personnel with a different hourly rate: 1. Category (e.g., partner, project manager, analyst, senior auditor, research associate). 2. Estimated hours. 3. Rate per hour. 4. Total cost for each category and for all direct labor costs. B. Labor Overhead. Specify what is included and rate used. C. Travel and Subsistence. Itemize transportation, lodging and meals per diem costs separately. D. Consultant Costs. Itemize as in (a) above. E. Subcontract Costs. Itemize as in (a) above. F. Cost of Supplies and Materials. Itemize. G. Other Direct Costs. Itemize. H. General Overhead Costs. Overhead includes two major categories of cost, operations overhead and general and administrative overhead. Operations overhead includes costs that are not 100% attributable to the service being completed, but are generally associated with the recurring management or support of the service. General and administrative overhead includes salaries, equipment and other costs related to headquarters management external to the service, but in support of the activity being completed. Specify what specific items are included and the rates used. I. Fee or Profit. J. Audit Costs. K. Total Cost. The Commonwealth will reimburse the selected Offeror for work satisfactorily performed after execution of a written contract(s) and the start of the contract(s) term, in accordance 19

with contract(s) requirements, and only after the Department has issued a notice to proceed. II-11. Tab 10 - Domestic Workforce Utilization Certification. Complete and sign the Domestic Workforce Utilization Certification contained in Appendix F of this RFP. Offerors who seek consideration for this criterion must submit in hardcopy the signed Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal as Tab 10. II-12. Tab 11 - Lobbying Certification and Disclosure of Lobbying Activities. This Project will be funded, in whole or in part, with federal monies. Public Law 101-121, Section 319, prohibits federal funds from being expended by the recipient or by any lower tier sub-recipients of a federal contract, grant, loan, or a cooperative agreement to pay any person for influencing, or attempting to influence a federal agency or Congress in connection with the awarding of any federal contract, the making of any federal grant or loan, or entering into any cooperative agreement. All parties who submit proposals in response to this RFP must sign the “Lobbying Certification Form,” and “Disclosure of Lobbying Activities” (attached as Appendix G). The signed forms must be included as Tab 11 in the Technical Submittal. II-13. Tab 12 - Contractor Partnership Program (CPP) Submittal. Regardless of whether you propose a strategy to recruit individuals for CPP, the following general information must be included in the CPP Tab: A. Offeror’s name, telephone number and mailing address. B. County where the Offeror’s headquarters is located, if in Pennsylvania. C. The name, title, telephone number, mailing and email address of the contact person for the CPP. D. Mailing address for all satellite offices located in Pennsylvania, including the county. E. Type of business entity. (i.e., not for profit, government entity, public corporation, university etc.) F. If a subcontractor will provide the primary service of the contract, list the company name and mailing address for offices located in Pennsylvania, including the county. G. Type of services being provided. H. Type of positions needed for this project. Please specify management vs. nonmanagement positions. In addition to the above requested information; Offerors must provide a written narrative that addresses the following statements and include the information in the CPP Tab of the proposal. All of the statements listed below pertain to the hiring of individuals that are receiving TANF cash assistance. A. Identify the anticipated number of employees that will be assigned to this project including vacancies. B. Identify the number of management and non-management employees. C. State the number of TANF cash assistance recipients that will be hired. Please do not include percentages. D. Describe the strategy that will be employed to identify and recruit individuals that meet the eligibility requirements for the CPP. E. Describe the methods that will be used to retain TANF recipients once they are employed. 20

F. Provide a brief explanation of the efforts that will be made to ensure TANF hiring commitments are met and remain in effect throughout the existence of the contract(s). II-14. Tab 13 – Conflict Free. State in succinct terms your ability to meet the Conflict Free Requirements, as defined in Part IV-3 of this RFP. If the Offeror is not conflict free at the time of proposal submittal, the Offeror include a detailed work plan detailing the sequencing of events and the time required to become conflict free within six (6) months of the start of the contract. The Offeror should describe in narrative form its plan for becoming conflict free and use the requirements in Part IV-3 of this RFP as your reference point. As part of the Technical Submittal the Offeror must submit complete organizational information that includes an organizational chart, with names where known, listing all subsidiaries and affiliates; listing of all contracts that the Offeror has within Pennsylvania; a listing of any contracts of its subsidiaries and affiliates with any provider providing direct services under the HCBS waivers. If the Offeror is a subsidiary or affiliate of a provider or entity that provides direct services under the HCBS waiver, it must also provide this information.

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PART III CRITERIA FOR SELECTION III-1. Mandatory Responsiveness Requirements. To be eligible for selection, a proposal must be: A. Timely received from an Offeror; B. Properly signed by the Offeror. III-2. Technical Nonconforming Proposals. The two (2) Mandatory Responsiveness Requirements set forth in Section III-1 above (A-B) are the only RFP requirements that the Commonwealth will consider to be non-waivable. The Department, in its sole discretion, may (1) waive any other technical or immaterial nonconformity in an Offeror’s proposal, (2) allow the Offeror to cure the nonconformity, or (3) consider the nonconformity in the scoring of the Offeror’s proposal. III-3. Evaluation. The Department has selected a committee of qualified personnel to review and evaluate timely submitted proposals. Independent of the committee, BSBO will evaluate the Small Diverse Business participation submittal and provide DHS with a rating for this component of each proposal. The Department will notify in writing of its selection for negotiation the responsible Offeror(s) whose proposals are determined to be the most advantageous to the Commonwealth as determined by the Department after taking into consideration all of the evaluation factors. III-4. Evaluation Criteria. The following criteria will be used in evaluating each proposal: A. Technical Evaluation: The Department has established the weight for the Technical criterion as 50% of the total points. Evaluation will be based upon the following in order of importance: Soundness of Approach, Offeror Qualifications, Personnel Qualifications, and Statement of the Problem. The final Technical scores are determined by giving the maximum number of technical points available to the proposal with the highest raw technical score. The remaining proposals are rated by applying the Technical Scoring Formula set forth at the following webpage: http://www.dgs.pa.gov/Businesses/Materials and Services Procurement/Procurement-Resources/Pages/RFP_SCORING_FORMULA.aspx B.

Cost: The Department has established the weight for the Cost criterion for this RFP as 30% of the total points. The cost criterion is rated by giving the proposal with the lowest total cost the maximum number of Cost points available. The remaining proposals are rated by applying the Cost Formula set forth at the following webpage: http://www.dgs.pa.gov/Businesses/Materials and Services Procurement/Procurement-Resources/Pages/RFP_SCORING_FORMULA.aspx

C.

Small Diverse Business Participation: BSBO has established the weight for the Small Diverse Business (SDB) participation criterion for this RFP as 20% of the total points. Each SDB participation submittal will be rated for its approach to 22

enhancing the utilization of SDBs in accordance with the below-listed priority ranking and subject to the following requirements: 1. A business submitting a proposal as a prime contractor must perform at least 60% of the total contract value to receive points for this criterion under any priority ranking. 2. To receive credit for an SDB subcontracting commitment, the SDB subcontractor must perform at least fifty percent (50%) of the work subcontracted to it. 3. A significant subcontracting commitment is a minimum of five percent (5%) of the total contract value. 4. A subcontracting commitment less than five percent (5%) of the total contract value is considered nominal and will receive reduced or no additional SDB points depending on the priority ranking. Priority Rank 1: Proposals submitted by SDBs as prime Offerors will receive 150 points. In addition, SDB prime Offerors that have significant subcontracting commitments to additional SDBs may receive up to an additional 50 points (200 points total available). Subcontracting commitments to additional SDBs are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Offerors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below. Priority Rank 2: Proposals submitted by SDBs as prime contractors, with no or nominal subcontracting commitments to additional SDBs, will receive 150 points. Priority Rank 3: Proposals submitted by non-small diverse businesses as prime contractors, with significant subcontracting commitments to SDBs, will receive up to 100 points. Proposals submitted with nominal subcontracting commitments to SDBs will receive points equal to the percentage level of their total SDB subcontracting commitment. SDB subcontracting commitments are evaluated based on the proposal offering the highest total percentage SDB subcontracting commitment. All other Offerors will be scored in proportion to the highest total percentage SDB subcontracting commitment within this ranking. See formula below. Priority Rank 4: Proposals by non-small diverse businesses as prime contractors with no SDB subcontracting commitments shall receive no points under this criterion. To the extent that there are multiple SDB Participation submittals in Priority Rank 1 and/or Priority Rank 3 that offer significant subcontracting commitments to SDBs, the proposal offering the highest total percentage SDB subcontracting commitment shall receive the highest score (or additional points) available in that 23

Priority Rank category and the other proposal(s) in that category shall be scored in proportion to the highest total percentage SDB subcontracting commitment. Proportional scoring is determined by applying the following formula: SDB % Being Scored x Points/Additional = Awarded/Additional Highest % SDB Commitment Points Available* SDB Points Priority Rank 1 = 50 Additional Points Available Priority Rank 3 = 100 Total Points Available Please refer to the following webpage for an illustrative chart which shows SDB scoring based on a hypothetical situation in which the Commonwealth receives proposals for each Priority Rank: http://www.dgs.pa.gov/Businesses/Materials and Services Procurement/Procurement-Resources/Pages/RFP_SCORING_FORMULA.aspx D.

Domestic Workforce Utilization: Any points received for the Domestic Workforce Utilization criterion are bonus points in addition to the total points for this RFP. The maximum amount of bonus points available for this criterion is 3% of the total points for this RFP. To the extent permitted by the laws and treaties of the United States, each proposal will be scored for its commitment to use domestic workforce in the fulfillment of the contract. Maximum consideration will be given to those Offerors who will perform the contracted direct labor exclusively within the geographical boundaries of the United States or within the geographical boundaries of a country that is a party to the World Trade Organization Government Procurement Agreement. Those who propose to perform a portion of the direct labor outside of the United States and not within the geographical boundaries of a party to the World Trade Organization Government Procurement Agreement will receive a correspondingly smaller score for this criterion. See the following webpage for the Domestic Workforce Utilization Formula: http://www.dgs.pa.gov/Businesses/Materials and Services Procurement/Procurement-Resources/Pages/RFP_SCORING_FORMULA.aspx Offerors who seek consideration for this criterion must submit in hardcopy the signed Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal. The certification will be included as a contractual obligation when the contract is executed.

III-5. Offeror Responsibility. To be responsible, an Offeror must submit a responsive proposal and possess the capability to fully perform the contract(s) requirements in all respects and the integrity and reliability to assure good faith performance of the contract(s). In order for an Offeror to be considered responsible and therefore eligible for selection for best and final offers or selection for contract negotiations for a proposal submitted in response to this RFP: A. The total score for the technical submittal of the Offeror’s proposal must be greater than or equal to 70% of the available technical points; and 24

B. The Offeror’s financial information must demonstrate that the Offeror possesses the financial capability to assure good faith performance of the contract(s). The Department will review the Offeror’s previous three financial statements, any additional information received from the Offeror, and any other publicly-available financial information concerning the Offeror, and assess each Offeror’s financial capacity based on calculating and analyzing various financial ratios, and comparison with industry standards and trends. C. The Offeror’s conflict free information must demonstrate that the Offeror meets the conflict free requirements defined in Part IV, Section IV-3 Requirements. If the Offeror is not conflict free at the time of proposal submittal, the Offeror’s detailed work plan, detailing the sequencing of events and the time required to become conflict free; sufficiently demonstrates that the Offeror will meet the conflict free requirements within six (6) months of the start of the contract(s). The Department will review the Offeror’s information and assess the Offeror’s plan, both for its feasibility and sufficiency, in meeting the conflict free requirements within six (6) months of the start of the contract(s). The Department reserves the right not to select for contract negotiations any entity that is not conflict free at the time of proposal submission or if in the Department’s opinion, the submitted conflict-free plan fails to adequately address the conflict free requirements. An Offeror which fails to demonstrate sufficient financial capability to assure good faith performance of the contract(s) as specified herein may be considered by the Department, in its sole discretion, for Best and Final Offers or contract negotiation contingent upon such Offeror(s) providing contract performance security for the first contract year cost proposed by the Offeror(s) in a form acceptable to the Department. Based on the financial condition of the Offeror(s), the Department may require a certified or bank (cashier’s) check, letter of credit, or a performance bond conditioned upon the faithful performance of the contract(s) by the Offeror(s). The required performance security must be issued or executed by a bank or surety company authorized to do business in the Commonwealth. The cost of the required performance security will be the sole responsibility of the Offeror(s) and cannot increase the Offeror(s)’s cost proposal or the contract cost to the Commonwealth. Further, the Department will award a contract(s) only to Offeror(s) determined to be responsible in accordance with the most current version of Commonwealth Management Directive 215.9, Contractor Responsibility Program. III-6. Final Ranking and Award. A. After any best and final offer process conducted, the Issuing Office will combine the evaluation committee’s final technical scores, BSBO’s final small diverse business participation scores, the final cost scores, and (when applicable) the domestic workforce utilization scores, in accordance with the relative weights assigned to these areas as set forth in this Part. B. The Issuing Office will rank responsible Offerors according to the total overall score assigned to each, in descending order, for each Lot.

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C. The Department must select for contract negotiations the Offeror(s) with the highest overall score, for each Lot; provided, however, that an award will not be made to an Offeror whose proposal received the lowest technical score and had the lowest cost score of the responsive proposals received from responsible Offerors. In the event such a proposal achieves the highest overall score, it shall be eliminated from consideration and award shall be made to the Offeror with the next highest overall score. D. The Department has the discretion to reject all proposals or cancel the request for proposals, in whole or part, at any time prior to the time the contract(s) is fully executed, when it is in the best interests of the Commonwealth. The reasons for the rejection or cancellation shall be made part of the contract file.

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PART IV WORK STATEMENT The Office of Long-Term Living (OLTL) administers programs and partners with the community, providers, and families to support the long-term living needs of older Pennsylvanians and adults with physical disabilities. The partnerships between individuals, families, communities, governments, service providers and the private business sector are vital in meeting the needs of persons with disabilities and older adults. Timely access to accurate information and services are vital to OLTL’s effort to enable individuals to make appropriate decisions and to gain more control over their lives. IV-1. Objectives. A. General. OLTL is seeking vendors to administer portions of the eligibility and enrollment process for HCBS waiver programs in four (4) Lots (regions). B. Specific. To optimize the operational components of the program for which the services are being procured, 1. The eligibility and enrollment process must provide timely access to services, to meet a 60-calendar day completion requirement, and be efficient and cost effective. 2. Afford Applicants the opportunity to access applications through a web-based approach that is supplemented by additional means including, but not limited to: email, mail, and phone. IV-2. Nature and Scope of the Project. This RFP is for the selection of Offeror(s) that will facilitate the eligibility and enrollment process for home and community-based services (HCBS) waivers/programs throughout the Commonwealth. The following OLTL-administered HCBS waivers/programs are included in this project: Aging Waiver, Acquired Immune Deficiency Syndrome (AIDS) Waiver, Attendant Care Act 150 Program, Attendant Care Waiver, Community Care (COMMCARE) Waiver, Independence Waiver, and Omnibus Budget Reconciliation Act (OBRA) Waiver. The HCBS eligibility criteria by program can be found at http://www.dhs.state.pa.us/foradults/healthcaremedicalassistance/supportserviceswaivers/index.h tm OLTL currently anticipates an intake of approximately 34,000 individuals with an enrollment of approximately 13,500 individuals during the first year of the contract period. For historical enrollment and intake information see Appendix L. IV-3. Requirements. A. Emergency Preparedness. To support continuity of operations during an emergency, including a pandemic, the Commonwealth needs a strategy for maintaining operations for an extended period of time. One part of this strategy is to ensure that essential contracts that provide critical business services to the Commonwealth have planned for such an emergency and put contingencies in place to provide needed goods and services. 1. Describe how you anticipate such a crisis will impact your operations. 27

2. Describe your emergency response continuity of operations plan. Please attach a copy of your plan, or at a minimum, summarize how your plan addresses the following aspects of pandemic preparedness: a) Employee training (describe your organization’s training plan and how frequently your plan will be shared with employees). b) Identified essential business functions and key employees (within your organization) necessary to carry them out. c) Contingency plans for: i.)

How your organization will handle staffing issues when a portion of key employees are incapacitated due to illness.

ii.)

How employees in your organization will carry out the essential functions if contagion control measures prevent them from coming to the primary workplace.

d) How your organization will communicate with staff and suppliers when primary communications systems are overloaded or otherwise fail, including key contacts, chain of communications (including suppliers), etc. e) How and when your emergency plan will be tested and if the plan will be tested by a third-party. B. Disaster Recovery Plan. The selected Offeror(s) must utilize reasonable data backup and disaster recovery procedures to prevent loss of information and minimize interruption in the use of the proposed system. The Offeror must describe its data backup and disaster recovery plans for restoring and maintaining operations during natural or human-induced disasters, or any other occurrence that damages systems or data. The Offeror must provide detailed information regarding its backup and DR systems, architecture/frameworks, capabilities, governance, and procedures. The Offeror must describe how its backup and disaster recovery plans enable the continuation of critical business processes for the protection and security of the data. Offerors shall describe the frequency of review and update of the data backup and DR plan. Offerors shall also describe the DR recovery plan testing process and testing frequency. C. Conflict Free: To ensure an objective, unbiased process, the selected Offeror(s) and any subcontractors must be free of real or perceived conflicts of interest. The selected Offeror(s) and its subcontractors may not be part of or affiliated with any OLTL Service Coordination Entity or provider of HCBS waiver or ACT 150 services. 1. The selected Offeror(s) and its subcontractors must remain independent from all entities, enrolled as a service provider, providing any direct services through waiver programs for OLTL or nursing facility services. Neither the selected Offeror(s), the governing body of the selected Offeror(s) nor individual members of the selected Offeror(s)’s governing body may be affiliated with any OLTL direct care service provider, Service Coordination Entity (SCE) or nursing facility. The selected Offeror(s) and its subcontractors cannot be affiliated with or a subsidiary of any existing OLTL direct care service provider. 28

2. The selected Offeror(s) may propose to develop a subsidiary corporation. In this situation, the selected Offeror(s) must ensure a conflict free environment and must be an independent agency within six months of the start of the contract. In this situation, the selected Offeror(s) may not be part of or affiliated with an OLTL direct care service provider. The selected Offeror(s) must submit an organizational chart and description of what is proposed as part of their solution. The Department, in its sole and complete discretion, may disqualify any Offeror if it determines that the potential for conflict cannot be adequately addressed or existing conflicts cannot be sufficiently resolved to the satisfaction of the Department. 3. No personnel or subcontractor(s) assigned to the project may work for any OLTL direct care service provider, enrolled as a service coordination entity or a service provider, providing any direct services through the waiver program for OLTL or nursing facility services. However, personnel or subcontractor(s) assigned to the project may receive direct services or supports from an OLTL direct care service provider as long as the services are purchased at fair rates (either private pay, through an HCBS program, or through another third party program). 4. In addition, the Department may, in its sole and complete discretion, reject a proposal from an Offeror that has an impermissible conflict. As part of the Technical Submittal, see Part II, the Offeror must submit complete organizational information that includes an organization chart listing all subsidiaries; a listing of all contracts that the Offeror may have with the Commonwealth; and a listing of any contracts of its subsidiaries associated with any HCBS provider currently providing services in Pennsylvania. D. Region Presence/Office Space and Accessibility. The selected Offeror(s) must establish an office in the region. The selected Offeror must supply meeting rooms and normal office space for personnel, including equipment, Microsoft® Office Software, network connectivity, supplies, clerical assistance, and administrative support needed to perform this engagement. The selected Offeror(s)’s operational sites must be accessible and meet the Americans with Disabilities Act (ADA) standards. The physical site of the selected Offeror(s)’s administrative functions, all satellite offices, and any worksites used by the Enrollment Brokers cannot be co-located with any existing OLTL provider. The selected Offeror(s) must have the capability to conduct in-person meetings with Applicants in the Commonwealth with adequate saturation to meet timeliness and quality requirements. The Offeror should include a plan of how it will utilize staff or other office to locations to assure access to the entire region and be able to perform the duties of this contract. The selected Offeror(s) must be capable of accessing the following DHS systems: 1. The Home and Community-Based Services Information System (HCSIS), the information system used to maintain consumer records centrally for several key OLTL programs, including HCBS waiver programs; 2. The Social Administration Management System (SAMS), the information system used to maintain consumer records centrally for the Aging Waiver; 3. The Provider Reimbursement and Operations Management Information System (PROMISe), the Department’s claims processing and management information system. Additional information is available online at http://www.DHS.state.pa.us/provider/promise/index.htm; 4. The Commonwealth of Pennsylvania Access to Social Services (COMPASS), an online application for Pennsylvanians to apply for many health and human service 29

programs. Additional information is available online at https://www.humanservices.state.pa.us/compass/CMHOM.aspx; 5. The Client Information System (CIS) which uses on-line and batch programs to collect, process, and store client data. Client data is stored in the CIS database and used to automatically determine eligibility for TANF, Food Stamps, Medicaid, the SSI-State Supplement, and State General Assistance. The system uses the results of eligibility determinations to issue benefits, issue appropriate notices to applicants and recipients and to send and receive data from many other systems. E. Information Technology/Website. 1. The selected Offeror(s) must have (or show a work plan for implementation of) a functional Website that meets Section 508 requirements. Section 508 refers to a statutory section in the Rehabilitation Act of 1973 (found at 29 U.S.C. § 794d). Its primary purpose is to provide access to and use of federal executive agencies’ electronic and information technology (EIT) by individuals with disabilities. Additional information can be found at www.section508.gov. 2. The selected Offeror(s) must have capabilities to be able to provide and track at all stages of the enrollment process and have adequate technology to support the process. 3. The selected Offeror(s) must adhere to the to the Information Technology Policies (ITP’s) issued by the Office of Administration, Office for Information Technology (OA-OIT); and the DHS Business and Technical Standards created and published by DHS; as indicated in Part I-30 of this RFP. 4. The selected Offeror(s) must adhere to the Requirements for Non-Commonwealth Hosted Applications/Services provided in Appendix M. F. Staffing Requirements. The selected Offeror(s) must have in place sufficient administrative staff and organizational components to comply with the project requirements and complete project tasks. The selected Offeror(s) must train personnel and subcontractors as necessary to meet OLTL’s goals, objectives, and requirements. 1. Key Personnel. The following staffing requirements for key personnel must be met: a. Contract Administrator/Project Manager. A primary contact person must be provided and available to meet with the Department during regular business hours as needed regarding all contract provisions and operational management. In the absence of the primary contact a secondary contact, must be provided with equal qualifications to fulfill the responsibilities. As needed, enrollment services personnel may be required to participate in meetings to address specific subject matter areas. b. Enrollment Services Management Personnel. Enrollment services management personnel must include staff with combined experience administering community based or public programs, overseeing budgets, and managing staff. The Enrollment Services Management Personnel responsibilities must include: 1) Ensuring compliance with applicable policies and procedures; 2) Leading operations and performance for all tasks associated with the Contract; 3) Proficiency in system process analysis, data analysis and data management; and, 4) Development of recurring status reports and ad hoc reports, as needed, to the Department 30

At a minimum, the Enrollment Services Management Personnel must have a Bachelor’s Degree from an accredited college or university and must have five years of related experience. A Master’s degree is preferred. c. Enrollment Broker(s). The Enrollment Broker provides assistance to the Applicant, from the time the individual is identified as an Applicant (of an HCBS program) until the time the enrollment process is complete. The Enrollment Broker must have the ability to travel to the Applicant’s location and the availability to make visits at a time convenient to the Applicant. The Enrollment Broker must meet one of the following qualifications: 1) Have a bachelor’s degree including at least 12 college-level credit hours in sociology, social welfare, psychology, gerontology, rehabilitation services or other social science. OR 2) A combination of related work experience and training which adds up to 4 years of experience, and education which includes at least 12 semester hours of college-level courses in sociology, social work, social welfare, psychology, gerontology, rehabilitation services or other social science. Experience includes: Coordinating assigned services as part of an individual’s treatment plans; Teaching individuals living skills; Aiding in therapeutic activities; and Providing socialization opportunities for individuals. 2. Additional Personnel a. Registered nurse (RN). Registered nurse (RN) consulting services available, either by a staffing arrangement or through a contracted consulting arrangement. b. Service Center Personnel. The Service Center personnel assist individuals with inquiries over the phone, online, mail or via email, and refer information to an Enrollment Broker, as applicable. The Service Center personnel must have a High School Diploma/GED and receive orientation and customer service training within the first two weeks of employment. Service Center personnel may not take calls dealing with the public until the orientation training has taken place. Service Center staffing must be sufficient to maintain performance and quality requirements. See a complete list of performance requirements in the section IV6. Performance Standards. G. Training. The selected Offeror(s) will ensure that all personnel working on Contract tasks receive appropriate training. Training topics must include but are not limited to: 1. The HCBS waivers and programs available through the OLTL; 2. The HCBS, enrollment and eligibility process; 3. The HCBS participant-centered service plan development process; 4. Cultural sensitivity; 5. Crisis management; 6. Customer service and communication skills; 7. The broad spectrum of the HCBS delivery system beyond the waivers and programs administered by OLTL, for example Nursing Home Transition (NHT) and Money Follows the Person (MFP)Initiatives; 8. The differing geographically-based needs for rural vs. urban settings and the challenges and opportunities faced by consumers in each area; 9. The unique aspects of OLTL’s consumer groups and the service needs associated with various types of disabilities and which waivers or programs provide services targeted to each specific type of disability or age group; 10. Understanding the services available through the each of the covered HCBS waivers and programs, such as available models of service; 31

11. Collaboration of internal/external stakeholder groups involved in the enrollment process and service delivery including, but not necessarily limited to: Area Agencies on Aging (AAAs), Service Coordinators (SCs), County Assistance Offices (CAO), NHT Coordinators, and regional LINK entities; 12. Understanding the role of the mandated reporter, as required by the Commonwealth’s Older Adult Protective Services Act and Adult Protective Services Act. H. Staff Clearances. All individuals with access to confidential or sensitive information must sign a confidentiality agreement. Personnel policies must address disciplinary procedures relevant to violation of the signed confidentiality agreement. 1. The selected Offeror(s) shall, at its expense, arrange for a criminal background check for each of its employees, as well as the employees of any of its subcontractors, who will have access to Commonwealth data and IT facilities, either through on-site access or through remote access. Background checks are to be conducted via the Request for Criminal Record Check form and procedure found at http://epatch.state.pa.us. If an employee has not been a resident of Pennsylvanis for the last two (2) years, an FBI clearance check from the state of residence during the last (2) years, is required. The background check must be conducted prior to initial access, prior to the provision of intake and enrollment services by the individual, and thereafter on an annual basis. 2. The selected Offeror(s) must arrange, at its own expense, for a child abuse clearance for all personnel who will have contact with children (e.g., home visit with a potential program consumer who has children) at the time of hiring. Child abuse clearances are obtained from: Office of Children, Youth & Families Child Abuse Clearance Office Department of General Services (DGS) Annex Complex Hillcrest Building #53 5 Magnolia Drive Harrisburg, PA 17110 3. Before the Commonwealth will permit access to the selected Offeror(s), the selected Offeror(s) must provide written confirmation that the background checks have been conducted. If, at any time, it is discovered that an employee of the selected Offeror(s) or an employee of a subcontractor of the selected Offeror(s) has a criminal record that includes a felony or misdemeanor involving terroristic behavior, violence, use of a lethal weapon, or breach of trust/fiduciary responsibility or which raises concerns about building, system or personal security or is otherwise job-related, the selected Offeror(s) shall not assign that employee to any Commonwealth facilities, shall remove any access privileges already given to the employee and shall not permit that employee remote access unless the Commonwealth consents to the access, in writing, prior to the access. The Commonwealth may withhold its consent at its sole discretion. Failure of the selected Offeror(s) to comply with the terms of this Section on more than one occasion or selected Offeror(s)’s failure to appropriately address any single failure, to the satisfaction of the Commonwealth, may result in the selected Offeror(s) being deemed in default of its Contract(s). 4. The Commonwealth specifically reserves the right of the Commonwealth to conduct background checks over and above that described herein. 5. Access to certain Capitol Complex buildings and other state office buildings is controlled by means of card readers and secured visitors entrances. Commonwealth 32

contracted personnel who have regular and routine business access in Commonwealth worksites may be issued a photo identification or access badge subject to the requirements of the contracting agency and DGS set forth in Enclosure 3 of Commonwealth Management Directive 625.10 Amended (January 30, 2008) Card Reader and Emergency Response Access to Certain Capitol Complex Buildings and Other State Office Buildings. The requirements, policy and procedures include a processing fee payable by the selected Offeror(s) for contracted personnel photo identification or access badges. I. Confidential and Sensitive Information. Confidential and Sensitive information may need to be transferred in multiple formats, including electronic and manual means, between DHS and the selected Offeror(s) or shared with the Commonwealth during the term of the contract(s), and turned over to successor selected Offeror(s) or Commonwealth staff at the conclusion of the contract(s). The selected Offeror(s) shall protect the confidentiality of patient, client, provider and Departmental records in compliance with Federal and state laws, regulations and policies. The selected Offeror(s) agrees that any breach of this provision may, at the discretion of the Commonwealth and/or the OLTL; result in termination of the contract(s). The selected Offeror(s) must follow Commonwealth procedures for information handling and sharing. The nature of this project requires handling of sensitive information. All personnel and/or subcontractor(s) assigned to the project by the selected Offeror(s) must comply with applicable state and federal laws, regulations, and rules regarding the confidentiality of information about consumers and recipients of HCBS. Compliance will include: 1. All personnel and/or subcontractor(s) assigned to the project must comply with the Health Insurance Portability and Accountability Act (HIPAA). 2. All personnel and/or subcontractor(s) assigned to the project must receive training in confidentiality regulations, including HIPAA Privacy and Security training and Medical Assistance confidentiality requirements. 3. All personnel and/or subcontractor(s) assigned to the project must sign a confidentiality agreement. Personnel policies must address disciplinary procedures relevant to violation of the signed confidentiality agreement. 4. Both confidential and sensitive information are not to be used by the Contractor or subcontractor(s) or given to another agency other than for the purpose of carrying out obligations of the contract(s). 5. The selected Offeror(s) is responsible for ensuring that adequate measures are in place to prohibit unauthorized access, copying, and distribution of information during work on this project. The selected Offeror(s) is responsible for proper disposal of both hard and electronic working copies of information during work on this project, as well as any remaining information upon the completion of the project. 6. Sensitive information may need to be transferred from other agencies or shared with the Commonwealth during the course of the contract(s) period, and/or transitioned to another vendor at the conclusion of the contract(s). The selected Offeror(s) will follow Commonwealth procedures for information handling and sharing. The selected Offeror(s) will ensure that records are properly retained for six years after becoming fully inactive. The selected Offeror(s) is responsible for following record retention procedures and may be required to retain records beyond the conclusion of the project. J. Programmatic Requirements. 33

1. An Applicant must receive a final eligibility determination (clinical, program, and financial) for Home and Community-Based Services within 60 calendar days of the date the application is received by the selected Offeror(s). The selected Offeror(s) must monitor and manage the status of applications through the enrollment process to ensure each application is completed within a maximum of 60 calendar days. 2. The Application Date is defined as: a. The date the signed PA 600L is received by the selected Offeror(s); OR b. The date the current MA recipient makes a request to apply for services with the selected Offeror(s). (Refer to IV-4 Tasks, Section C. Application Process) 3. The County Assistance Office (CAO) will determine financial eligibility for each Applicant. The CAO has a total of 45 calendar days to send a notice of financial determination. 4. All other components of clinical and program eligibility must be finalized no later than 30 calendar days from the Application Date, and may be completed concurrently with financial determination in order to meet the 60 calendar day requirement. 5. A physician must complete the Physician Certification form (MA-51) to indicate the disability and the level of care needed for each Applicant. 6. The Area Agencies on Aging (AAA) must conduct the Level of Care Determination (LCD) for each Applicant (in accordance with 71 P.S. § 581-3) 7. Area Agencies on Aging (AAA) have 15 calendar days to conduct and submit an LCD to the selected Offeror(s) from the date of the request, for each Applicant. 8. An in-home visit will be completed at the individual’s current residence or residence in which the individual will be receiving services. If an Applicant is currently hospitalized or resides in a nursing facility, the in-home visit may take place at that setting. 9. The selected Offeror(s) must use all systems, required by OLTL, to input and track Applicant information (for HCSIS, SAMS, and CIS system information). 10. The Offeror(s) must propose specific timeframes for completion of all activities listed in Part IV-4. Tasks, Sections E and F. IV-4. Tasks. A. Transition. The selected Offeror(s) will be responsible for effectuating a vendor-tovendor transition of the current Independent Enrollment Broker tasks. The contract(s) will provide a ninety (90) calendar day period for transition from the incumbent vendor to the selected Offeror(s), unless extended by the Commonwealth. The selected Offeror(s) must submit updated detailed transition work plans within five (5) business days of the start of the contract(s). The OLTL will review the work plans, and the selected Offeror(s) will revise them accordingly and resubmit updated versions to OLTL within five (5) business days from the request. 1. Orientation/Knowledge Acquisition. Orientation/Knowledge Acquisition refers to a “transition phase” that consists of activities that must take place between the effective date of the contract(s) and the selected Offeror(s) assumes full responsibility of the contract requirements and tasks. This includes all required activities. The primary objectives of the Orientation/Knowledge Acquisition Transition Phase are the following: a. Successful orientation, knowledge acquisition, and operational independence from incumbent vendor; b. Smooth transition of responsibilities; c. Complete knowledge transfer and domain understanding; 34

d. Strong accountability controls; e. Mitigation of risk to the Commonwealth, DHS, clients and taxpayers; and f. Establishment of facilities and appropriate infrastructure to support the Independent Enrollment Broker business functions. 2. Orientation/Knowledge Acquisition Transition Offeror Responsibilities: a. The selected Offeror(s) will prepare and submit a comprehensive Orientation/Knowledge Acquisition Transition Plan (Transition Plan). The Transition Plan will incorporate the activities necessary to turn over the business systems in an orderly manner. The plan must address specialized business and computer systems operational transition of all in scope systems and operations (i.e., DHS and OLTL environments). The plan must address the resources required for the turnover including those from the Commonwealth, incumbent vendor, and new vendor if any. Additionally, the plan will identify the system turnover objectives and work plan activities on a Gantt chart and document activity time frames and responsibilities. The Transition Plan will be submitted to DHS for final review and approval. b. The selected Offeror(s) must ensure that knowledge transfer occurs in such a manner to enable its staff to confidently assume ownership, independently manage the in-scope operational systems without disrupting business operations or timely delivery of citizen services. c. The selected Offeror(s) must receive the turnover of the operation and management of all in-scope operational business functions no later than the end of the transition period. This turnover must be planned and managed in an orderly fashion so that no disruption of service to users, clients, and/or beneficiaries takes place. d. Upon approval of the Transition Plan, the selected Offeror(s) will begin transitioning the business systems and provide the transition progress assessments and status updates. The selected Offeror(s) will coordinate with DHS regarding transition tasks prioritization issues or conflicting activities interfering with maintaining and operating the systems. e. At the end of the transition phase, the selected Offeror(s) will prepare the Orientation/Knowledge Acquisition Transition Results Report. This will document the completion of transition activities, and will provide status of each high-level task and activity that took place during the transition period. The report will highlight how each of the objectives stated in the Transition Plan have been achieved and the resolution of issues identified and prioritized during the transition process. 3. Orientation/Acquisition Transition Plan: Project Initiation, Setup, and planning a. Project Initiation, Setup, and Planning. Project Initiation, Setup, and Planning will include all activities and tasks required to begin the project. The selected Offeror(s) will acquire and set up facilities, acquire and install the necessary hardware and software, establish the necessary telecommunication capabilities, and create various plans that must be followed during the execution of the project. b. Deliverables and Outcomes: Project Initiation, Setup and Planning Deliverable to include: 35

1) Detailed Project Work Plan. The work plan must include but is not limited to defining each of the planned tasks and subtasks along with start dates, planned completion dates, primary responsibility, and dependencies. 2) Orientation/Knowledge Acquisition Plan of the in-scope systems and DHS environment. The Knowledge Acquisition plan must address the details of how the Orientation/Knowledge Acquisition needs of the project will be met. The details of the plan must include but not be limited to (a) purpose statement, (b) resource allocations, (c) details of knowledge acquisition approach, (d) dependencies, and (e) agreements that summarize and clarify roles and responsibilities among those who will execute and be part of the plan. 3) Issue Management Plan. The issue management plan must provide procedures for identifying, evaluating, and resolving issues impacting the project. This plan will be developed as part of the planning process but will be updated as necessary throughout the project. 4) Change Management Plan. The change management plan must provide a process for evaluating, assessing, and determining the impact of any proposed changes to the project. This plan should incorporate DHS project change procedures. 5) Communications Management Plan. The communications management plan must provide an explanation of the methods the selected Offeror(s) intends to employ for communication with DHS during the project. The plan must identify the key stakeholders, what will be communicated through the plan, when it will be communicated, and the method(s) used for communication. 6) Quality Management Plan. The quality management plan must address the quality control processes and procedures the selected Offeror(s) will use to ensure the quality during the project. 7) Requirements Management Plan. The requirements management plan must address how the selected Offeror(s) will develop baseline requirements, the processes and procedures the selected Offeror(s) will employ to track and monitor requirements throughout the project. The requirements management plan should include any software tool that the selected Offeror(s) intends to use to manage requirements. 8) Budget/Contract Management Plan. The budget and contract management plan must provide the method to periodically report up-to-date budget information for the project. 9) Periodic Status Report templates. The periodic status report templates will define the format and content of all Status Reporting documents.

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10) Agenda and material for the Project Kick-off Meeting. The Agenda and material for Project Kick-off will aid in planning the kick-off meeting and getting agreement on the presentation content for the meeting. c. Non-Deliverable Outcomes: 1) Fully setup facilities, equipment; 2) Project Kick-off Meeting; and 3) Readiness to commence the next set of project activities d. Orientation/Knowledge Acquisition Transition Period. The contract(s) will provide for a maximum of ninety (90) calendar days for transition from the incumbent vendor to the selected Offeror(s). The selected Offeror(s) must carry out and participate in each of the specific activities delineated in the agreed-upon Transition Plan. During this activity, the selected Offeror(s) must gain sufficient knowledge to understand the functionality of HCSIS and SAMS, and where appropriate, CIS – the its underlying data structures, processing sequences, and its key data input mechanisms, interfaces, and the operational aspects of HCSIS and SAMS, such as concurrent usage, transaction volumes, etc. in order to successfully perform the project requirements. The selected Offeror(s) must allocate sufficient resources and time for Orientation/Knowledge Acquisition and ensure that Orientation/Knowledge Acquisition takes place in a partnership spirit and cooperative manner. The selected Offeror(s) will be responsible for satisfactorily meeting the deliverables and achieving the outcomes in a timely manner. e. Deliverables and Outcomes: Orientation/Knowledge Acquisition 1) Knowledge Acquisition Completion Checklist. The selected Offeror(s) shall develop a Knowledge Acquisition Completion Checklist that will indicate that all planned Knowledge Acquisition activities have been complete. 2) Non-Deliverable Outcomes. The selected Offeror(s) acquires sufficient knowledge of HCSIS and SAMS and its operating environment to successfully carry out the project requirements in an effective and timely manner. f. Orientation/Knowledge Acquisition Required Items. The selected Offeror(s) must develop and implement a Commonwealth-approved Transition Plan. The Offerors must describe in detail how they will coordinate and work with designated Commonwealth stakeholders, and third party vendors. The selected Offeror(s) will: 1) Effectively roll out operations as well as perform and manage all the tasks outlined in the Orientation/Knowledge Acquisition section for a successful, completed transition by November 2015; 37

2) Meet the primary objectives and responsibilities, 3) Provide a resource plan and organizational chart for the transition team and crosswalks to operational positions after completion, and 4) Conduct activities and procedures for the evaluation, knowledge acquisition, and transition of the in-scope systems relative to, but no limited to the following items: (a) Work materials (b) Business and Technical Governance (Processes and Procedures) (c) Software, tools, and end-user guides and operational documentation (d) Project Plans and associated status (on-going initiatives and scheduled on baseline, risk/issues logs, status reports, etc.). (e) Program Office business cycles demands and operational environments abilities, strengths, and constraints (f) Program mission, vision, and strategies (domain understanding and continuity during transition) (g) Program and documentation update procedures during transition (h) On-going and scheduled operational activities (i) Staffing Levels and Organizational Structures (j) Defining and transition of responsibilities (k) Skill sets requirements, staff training, and job shadowing (l) Criteria for success, validations, and certifications (m) Production program and documentation update procedures during transition (n) Program Office business plans and strategies turnover procedures (o) Transition alignment with business cycle and scheduled events (p) Check points and transition operational readiness assessments throughout the transition period B. Intake. 1. When contacted by a potential Applicant, Applicant’s representative, or stakeholder entity, the selected Offeror(s) will determine whether the individual is requesting to apply for services or simply making an inquiry. “Contacts” shall include calls, electronic communications, or in-person contact. 2. The Offeror must describe how they will track initial intake. C. Application Process. 1. If the initial intake call is a request to apply for services, the selected Offeror(s) will follow a script developed or approved by the Commonwealth. 2. If the potential Applicant says he/she wants to continue with the application process, the selected Offeror(s) will proceed with obtaining application information over the phone in order to complete the application for services. At such time that an electronic application is available, the selected Offeror(s) must use the electronic application system to complete applications. 3. The selected Offeror(s) will check the Client Information System (CIS) to determine whether the Applicant is a current MA recipient. a. If the Applicant is an MA recipient, the selected Offeror(s) will proceed to Part IV-4. Tasks, Section D. Eligibility Determination. 38

b. If Applicant is NOT a MA recipient, the selected Offeror(s) will send the Application for Benefits (PA 600L) to the Applicant and enclose a letter to inform Applicant that the application process will start upon the selected Offeror(s) receipt of the signed PA 600 L form. 4. Send Application Packet. The selected Offeror(s) must ensure the Applicant has received the application packet and address any questions. The selected Offeror(s) must send application packets to all Applicants requesting applications. Application packets can be obtained online by Applicant, sent by U.S. mail, or emailed to the Applicant, pursuant to the Applicant’s request. The selected Offeror(s) must accept applications for services over the phone. The application packet will include a letter to the Applicant explaining the informational forms, including those forms that need to be returned to the selected Offeror(s) with a signature. a. b. c. d. e. f.

Application for Benefits (PA 600L) Authorization of Release of Information (PA4) Information about the Estate Recovery Program Citizenship Form Notice of Privacy Practices, includes Acknowledgement Form Waiver Participant's Rights and Responsibilities and other required OLTL information materials • http://www.dhs.state.pa.us/cs/groups/webcontent/documents/bulletin_admin/p _034408.pdf • http://www.dhs.state.pa.us/cs/groups/webcontent/documents/bulletin_admin/p _034999.pdf • http://www.dhs.state.pa.us/cs/groups/webcontent/documents/bulletin_admin/p _039361.pdf

g. A flow chart outlining the eligibility determination process for Home and Community-Based Service h. Notice of Right to Timely Eligibility Determination Upon receiving the application packet or PA 600L from Applicant, the application is complete and the determination process can begin. D. Eligibility Determination. The selected Offeror(s) will contact the Applicant to review next steps in determining their eligibility; this includes the clinical eligibility, program eligibility and financial eligibility. 1. Clinical Eligibility Requirements. a. Physician Certification (MA-15). The selected Offeror(s) must describe in their proposal(s) a process to ensure the Physician Certification form is tracked and received by the selected Offeror(s) in a timely manner. For each Applicant, the selected Offeror(s) will send a Physician Certification form to the Applicant’s Physician to be completed, unless the Applicant requests otherwise. A completed copy of the physician certification must be obtained to complete the enrollment. b. Level of Care Determination. For each Applicant, the selected Offeror(s) will request the appropriate AAA to conduct a Level of Care Determination (LCD) 39

and then submit the results to the selected Offeror(s). The selected Offeror(s) will review the LCD and schedule an in-home visit with the Applicant. E. In-Home Visit. During the in-home visit, the selected Offeror(s) will determine if Applicant meets program eligibility for the specific program that best meets the Applicant’s needs. The selected Offeror(s) must complete an in-home visit with every Applicant who meets the level of care for an OLTL waiver or program. During the in-home visit, the selected Offeror(s) will complete the following items pertaining to the Applicant’s needs, included but not limited to: 1. With the Applicant, complete the Needs Assessment (Appendix N). 2. With the Applicant, develop the initial Individual Service Plan (Appendix O). 3. With the Applicant, issue a list that contains choice of service providers and complete the freedom of choice form. 4. Provide the Applicant with standard informational material from the OLTL. 5. With the Applicant, complete all required forms and documentation for the waiver or program to which he or she is applying. 6. Notify Applicants of their rights and responsibilities during the eligibility determination process and as participants should they be determined eligible. Notify Applicants of their rights to an appeal and provide written instructions on how to appeal. 7. Explain the rights and responsibilities the individual will have as a Participant. 8. Provide the Applicant with a copy of their proposed individual service plan (ISP); enclosed with a letter explaining, upon financial determination receipt from CAO, Participant will receive final ISP upon confirmation of PA 162. 9. Based on results of the program eligibility, submit the completed Eligibility/Ineligibility notification form to the Applicant and the Eligibility/Ineligibility/Change form (PA 1768) and PA 600L to CAO for financial eligibility determination. 10. Provide consent forms and related information about Money Follows the Person (MFP) options and procedures if applicant is transitioning from a nursing facility setting. F. Enrollment. After clinical, program and financial eligibility are determined, the selected Offeror(s) will complete enrollment and finalize the service plan. The selected Offeror(s) must contact the Participant or their representative directly, preferably by phone unless Applicant directs otherwise, to inform them of their enrollment into a waiver program. Copies of all required information materials and the approved ISP will be sent out to the Participant. The following tasks will take place in order to close out the enrollment process: 40

1. The selected Offeror(s) must notify the Service Coordination Entity (SCE) chosen by the Participant, in writing, via email if available, or regular mail. 2. The selected Offeror(s) must transfer the Participant’s file and all necessary documentation to the Participant’s chosen SCE. A tracking cover sheet must be included with each transfer to SCE. When the electronic transfer to the SCE is complete, the hand off to the SCE will close out enrollment tasks for the selected Offeror(s). This action completes the enrollment. 3. Application Monitor Control. The selected Offeror(s) must monitor and actively manage the status of applications through the eligibility and enrollment process to ensure each application is completed within the 60 day required timeframe. The selected Offeror(s) must describe in their response what approach will be used to identify applications that are delayed in the process and how these will be address systematically to move the application forward in the process. Exceptions that apply to the 60-day timeframe are as follows: a. Individuals waiting for discharge from a facility, who will transition in less than 6 months b. Individuals waiting for housing c. Individuals aging out of children’s services with six (6) months - (21st birthday) For these individuals, if the application cannot move forward in the process for over 180 calendar days, the application is closed by the IEB. IEB notifies CAO and the individual is notified by the CAO. G. Provide Education, Outreach, and Community Awareness. The selected Offeror(s) must work in conjunction with OLTL and the Department of Aging’s local LINK Aging and Disability Resource Center (ADRC) networks within the respective Lot (region), to provide general information to key stakeholders and the community at large on service options and the intake process. The selected Offeror(s) will be expected to educate the LINK network on the roles and responsibilities of the Independent Enrollment Broker so the local LINK networks can share that information with discharge planners, social workers, and other key personnel. The selected Offeror(s) is required to refer individuals to the local LINK network if they are ineligible for OLTL waiver services to pursue other programs for which they may be eligible. H. Communication Touch Points. At various points throughout the eligibility determination and enrollment process, the selected Offeror(s) will be responsible for ‘touch points’ with the Applicant. The selected Offeror(s) is responsible for developing a strategy for communications with individuals, as well as tracking, disseminating and reporting of all communications, (i.e., electronic or automated notifications). The following outlines the purpose for which an Applicant is to be contacted during the eligibility and enrollment process: 1. Ensure the Applicant is aware of their current application status; 2. Provide the opportunity for the Applicant to update information that is pertinent to the application process (i.e. changes in address, phone number or nursing facility admissions); 3. Identify changes to the desire or need of services; 41

4. For Applicants transitioning from a nursing facility, communication with the selected Transition Coordinator will take place every 30 calendar days upon being determined program eligible. In the event that the Applicant does not transition within 180 calendar days of the application, the application will be closed and the Applicant must reapply. I. Receive Referrals. The selected Offeror(s) may receive referrals from a variety of sources such as community agencies, potential participants, family members, or service providers and electronic applications. The selected Offeror(s) must maintain a toll free telephone line that can be used as a point of contact with the Lot (region). The phone line will be staffed from at least 8:30 AM until 5:00 PM Monday through Friday during normal Commonwealth of PA days of business operation. The selected Offeror(s) must have a voice mail system to record calls received during non-business hours. The selected Offeror(s) must maintain a text telephone (TTY) number or capability and an email address for use by the public. The selected Offeror(s) must provide interpreters for individuals who use American Sign Language and for individuals with limited English proficiency. J. Coordinate Nursing Home Transition/ Money Follows the Person. The selected Offeror(s) will inform the Applicant interested in transitioning from nursing facility placement to HCBS of the Money Follows the Person (MFP) initiative. The selected Offeror(s) will provide information about the initiative and what is required by CMS in order to qualify for MFP. The selected Offeror(s) will work with Applicant’s existing NHT Coordinator, if identified. If no Transition Coordinator is identified, the selected Offeror(s) will refer the Applicant to a Transition Coordinator at that time. The selected Offeror(s) will coordinate with Transition Coordinator throughout the process, until the Applicant transitions into the community or until the application is closed. K. Addressing Immediate Need. There are times when an Applicant has an immediate need for services in order to address their own health and welfare. For example, neglect or potential abuse in the home (an Adult or Older Adult Protective Services situation) or in order to prevent a future crisis. To avoid institutional placement, DHS invites the Offeror to propose an expedited process for the HCBS waivers, in coordination with Protective Services and OLTL. L. Waiting list. The selected Offeror(s) is responsible for developing a strategy to track and contact Applicants placed on a potential waiting list. For OLTL’s Waiting List Policy see the Statewide Waiting List Guidelines for Office of Long-Term Living Medicaid Waivers and the Act 150 Program Bulletin. In addition to tracking Applicants, the selected Offeror(s) is required to contact the Applicant on the waiting list every 90 calendar days to: 1. Ensure Applicant contact information is current 2. Capture changes to Applicant status 3. Capture change in need for services 4. Confirm interest in service 5. Track and maintain current Applicant information 6. Coordinate completion of LCD Annually M. Hearings and Appeals. Individuals who apply for HCBS have certain rights to receive notice of eligibility. The eligibility determination notice (PA 162) for HCBS is issued by 42

the local County Assistance Office. Once the individual receives this notice, he or she may appeal the eligibility determination. The selected Offeror(s) is responsible for developing a strategy to track appeals and immediately notify OLTL of all appeals. For any appeal of the selected Offeror(s)’s program eligibility determination made during the required in-home visit, the selected Offeror(s) shall prepare for and attend the hearing on behalf of the Department and provide any evidence deemed necessary to defend the appeal and support the selected Offeror(s)’s decision. For these appeals, the selected Offeror(s) shall inform the Department of any scheduled hearings and provide the Department with any requested information concerning the appeal, including the status of appeal determinations. For all other appeals, the selected Offeror(s) shall provide assistance during the appeals process if requested by the Department which may include, but might not be necessarily limited to preparing for and attending hearings, and providing any requested information to the Department. N. Data Warehouse. The selected Offeror(s) is required to extract and provide all data associated with eligibility and enrollment services weekly to DHS Bureau of Information Services personnel who will move this data into the DHS Data Warehouse. This includes any and all data that is associated with the application process and information which will allow DHS analytical personnel to validate the following items: 1. 2. 3. 4.

All reports identified in the reporting requirements Section IV-5. All metrics associated with meeting the Service Level Agreements. All metrics associated with the fulfilment of the Requirements set forth in this RFP. All metrics associated with the execution and completion of the scope set forth in this RFP.

O. Turnover Services. Turnover is defined as those activities that are required for the selected Offeror(s) to perform to transition contract service delivery to a subsequent vendor or to Commonwealth resources at the end of the contract(s). It will be the selected Offeror(s)’s responsibility to provide a step-by-step plan for the transition including target dates, phase-out activities, training, etc. a. Turnover Scope. During turnover, the selected Offeror(s) must ensure that participants and program stakeholders do not experience any adverse impact from the transfer of services. Nine (9) months prior to the end of the contract(s) term, the selected Offeror(s) must develop and submit a comprehensive Turnover Plan that details the proposed schedule, activities, and resource requirements associated with the turnover tasks identified. Six (6) months prior to the end of the contract(s) term, the selected Offeror(s) must implement a DHS approved Turnover Plan. Turnover activities include, but are not limited to: 1) Transfer of information including documentation relating to software and interfaces; functional business process flows; and operational information concerning subcontractors; 2) The implementation of a quality assurance process to monitor turnover activities; 3) The plan for training the State and/or its designated agent’s staff in the delivery of services; 4) Post-Turnover services including a Turnover Results Report and access to the selected Offeror(s)’s staff with technical and operational expertise. 43

5) Appoint, with State approval, a manager to manage and coordinate all turnover activities outlined in the Turnover Plan approved by the State. b. Selected Offeror(s) requirements: 1) Execute the approved Turnover Plan in cooperation with the incoming vendor(s)’s Transition Plan(s). 2) Maintain service delivery staffing levels (no reduction in staffing) during the turnover period; all changes require prior approval by the DHS Contract Administrator. 3) Not restrict or prevent the selected Offeror(s)’s staff from accepting employment or contract positions with DHS or with any successor vendor. DHS will work with the incumbent and successor vendors on the timing of any transition of incumbent staff. 4) Notify the DHS Contract Administrator of reassignment or termination of employment or contract with any of its staff during Turnover prior to reassignment or termination of the staff. 5) Provide to DHS or its agent, within 15 business days of the request, all updated scripts and other documentation and records required by the DHS or its agents. 6) Turn over the operation and management of all service delivery functions to DHS or its designee. This turnover must be planned and managed in an orderly fashion so that no disruption of service to users or clients takes place. 7) Work closely with DHS to ensure that this turnover of responsibilities and the necessary knowledge transfer are completed by the end of the contract(s) period. 8) Submit turnover deliverables as outlined in the tables below. 9) Respond to all DHS requests regarding turnover information, in the timeframe defined by the Commonwealth at the time of the request. c. Turnover Deliverables. 1) Turnover Plan Deliverable Turnover Plan Turnover Activity Submitted for approval no later than nine (9) months prior to the Expected end of the contract(s) term or within three (3) months of request by Delivery DHS Once Frequency The selected Offeror(s) must develop and implement a DHSDescription approved Turnover Plan covering the possible turnover of the operational business activities and systems to either DHS or its designee. The Turnover Plan must be a comprehensive document detailing the proposed schedule, activities and systems, and resource requirements associated with the turnover tasks. Additionally, the Turnover Plan must be provided in a format and media specified by DHS. The Turnover Plan must include:  Copies of all relevant data, documentation, or other pertinent information necessary for DHS or its designee to take over and successfully assume operational business activities  Detailed description and diagram showing the configuration of the hardware and telecommunications network  Detailed inventory of all Pennsylvania DHS software programs and modules, scripts, parameters, files and data 44





   

      

bases, data element dictionary, user code or exits used in proprietary software packages, login IDs/passwords and other necessary credentials, etc. that comprise the Pennsylvania DHS systems Documentation of all external interfaces identifying the external entity, description of interface, frequency, volume (size of files), and media or type of interface (FTP server, email, CD/DVD, clearing house, tape file, etc.) Inventory of all documentation including systems, operations, user, provider, design, system change orders, defects, special projects, training materials, operational and desk-level procedures, and program policies, etc. that is used to carry out the selected Offeror(s) responsibilities under the contract(s) Turnover of correspondence, documentation of outstanding issues, and other service delivery support documentation A description of the selected Offeror(s)’s approach and schedule for transfer of operational support information A description of information and systems required to continue service delivery The selected Offeror(s)s shall document how they will, as part of their turn over plan, support efforts of a new vendor in: o Engaging stakeholders o Describing the application or support service o Focusing the transition plan design o Supporting the well-rounded approach and credible efforts of the transition o Justifying the processing and conclusions of the transition. Knowledge Transfer Topics Knowledge Transfer Schedule Staff Load and Qualification Document Turnover Inventory of Documents and Plan Turnover Completion Report Asset Inventory (Hardware, Software, Manuals, etc.).) Detailed Business Systems Platform Blueprints (Hardware & Software technologies, configurations, systems specifications, and associated technical procedures)

2) Turnover Lessons Learned Report Deliverable Turnover Lessons Learned Report Turnover Activity Submitted for approval no later than nine (9) months prior to the Expected end of the contract(s) term or within three (3) months of request by Delivery DHS Once Frequency The selected Offeror(s) must provide a Turnover Lessons Learned Description Report to either DHS or its designee. The Turnover Lessons Learned Report must be a comprehensive document detailing the lessons learned from their Orientation/Knowledge Acquisition plan and process; and incorporate that information into their 45

Turnover Plan. Additionally, the Turnover Lessons Learned Report, must be provided in a format and media specified by DHS.

3) Turnover Results Report Deliverable Turnover Results Report Turnover Activity Submitted for approval within 30 calendar days of the completion Expected of Turnover activities Delivery Once Frequency 1 Following turnover of service delivery, the selected Description Offeror(s) must provide DHS with a Turnover Results Report documenting the completion and outcomes of each step of the Turnover Plan previously approved by the DHS. Turnover will not be considered complete and final payment will not be made until the Turnover Results Report is received and approved by the DHS Contract Manager. 2 Project Closure Correspondence d. Turnover Required Items: The selected Offeror(s) must describe in detail: 1) The resources including skill sets and experience required, and resource allocation strategies (roll-on or roll-off) to support a successful turnover, 2) The associated turnover organizational chart, 3) A turnover plan outline defining the key points and considerations, turnover success criteria, and the major tasks and subtasks they believe are pertinent to ensuring a successful turnover with minimal impact to business operations, and 4) How they would manage the plan, accurately assess progress, and mitigate variances for a successful turnover. IV-5. Reports and Project Control. The selected Offeror(s) shall create reports or files (known as Deliverables) using the electronic formats, instructions, and timeframes as specified by OLTL. Any changes to the formats must be approved by OLTL prior to implementation. A. Reporting Submission Timeframes: The selected Offeror(s) shall ensure that all required reports or files stated in this RFP, are submitted to OLTL in a timely manner for review and approval. The selected Offeror(s)’s failure to submit the reports or files as specified may result in the assessment of sanctions as stated in the Section IV-6. – Performance Standards of this RFP. Unless otherwise specified, deadlines for submitting files and reports are as follows: 1. Daily reports and files shall be submitted within one (1) business day following the due date; 2. Weekly reports and files shall be submitted on the Wednesday following the reporting week; 3. Monthly reports and files shall be submitted within fifteen (15) calendar days of the end of each month; 46

4. Quarterly reports and files shall be submitted by April 15, July 15, October 15, and January 15, for the quarter immediately preceding the due date; 5. Annual reports and files shall be submitted within thirty (30) calendar days following the twelfth (12th) month; and 6. Ad Hoc reports shall be submitted within three (3) business days from the agreed upon date of delivery. B. Reports Submission Chart: The report submission chart contains a summarized list of reports or files to be submitted by the selected Offeror(s), and OLTL. Offerors are encouraged to submit samples of existing reports for consideration by OLTL. A DocuShare location will be provided for the placement of reports. The selected Offeror(s) will be required to send notifications of report readiness to a distribution list that will be provided by OLTL. Report or File

Frequency

Data for all open applications: Detailed report including Name, Case#, Detailed Weekly SSN, Application Begin Date, Status of Application, Status Date, Days Since Application Began, Days in Current Status, Nursing Home Transition or other delayed enrollments, County. Open applications by time period: Summary Report totaling the number Summary Weekly of remaining open applications grouped by month of ‘Application Begin’ date. Number of applications at each status in the eligibility process: Summary Summary Weekly report totaling open applications at each status at the end of each week. All Unduplicated Applications in process during identified time Detailed Monthly period: Detailed report including all applications in process during the month including Name, Case#, SSN, Application Begin Date, Status of Application, Status Date, Date of In Home Visit, Date of PA 600 Receipt, Date of Level of Care Determination, Program Eligibility Determination, Days Since Application Began, Days in Current Status, Service Coordination Selection, Service Coordination Acceptance Date, Nursing Home Transition or other delayed enrollments, County, explanation of any delays in processing. Timeliness for detailed activities between major milestones includes times Detailed Monthly between: • Initial call • In home visit • Completion of LCD • Receipt of Physician Certification • Dispatch to CAO for notification • Date MA 162 received • Completion of application Reasons for Delayed in–home visit

Summary Monthly

Application Timeliness • Total number and percentage of unduplicated applications completed • Total number and percentage of unduplicated applications completed 47

Summary Monthly and Quarterly

within 60 calendar days • Total number and percentage of unduplicated applications completed over 60 calendar days, but with excuse • Written reasons/excuse for any application over 60 calendar days • Average calendar days to complete application, excluding excused applications • Trend analysis of the intake process and an explanation of how both best practices and lessons learned will be acted upon Number of appeals and denials Summary of explanations for win/loss ratio Summary of quarterly reports

Summary Monthly Final Annual Summary

Performance Measures Summary Monthly 1. Number and percentage of calls answered within 40 seconds 2. Number and percentage of calls captured via voice mail that are returned within 24 hours 3. Number and percentage of applications that have eligibility determination finalized within or under 60 calendar days 4. Number and percentage of applications with clinical and program eligibility complete within 15 calendar days 5. Number and percentage of in-home visits scheduled exceeding 14 days after receipt of LCD 6. Number and percentage of in-home visits with Applicants exceeding 14 calendar days after receipt of LCD 7. Number and percentage of participant file transfers to SC Entities occurring within one (1) business day 8. Number and percentage of all new enrollees who have level of care determination, prior to receipt of waiver services 9. Number and percentage of initial LCD that adhered to timeliness and specifications, completed within 15 calendar days C. Contractor Partnership Program (CPP) Reporting Requirements . The approved

hiring commitment will become a contractual obligation included in the contract(s). Hiring commitments shall be maintained throughout the term of the contract(s), including any renewal or extensions. In the event of a renewal or extension of the original contract(s) term and upon request of CPP, the selected Contractor will submit an updated plan. Any proposed change must be submitted to the CPP, which will make a recommendation to the Contracting Officer regarding course of action. Upon approval of the Department, this updated plan will become part of the contract(s). If a contract is assigned to another contractor, the new contractor must maintain the CPP recruiting and hiring plan of the original contract. Upon award of the agreement, the selected Offeror(s) is required to complete and submit the PA 1540 Quarterly Employment Report Form on a quarterly basis to document the number of TANF cash assistance recipients hired for that quarter. The form must be completed in its entirety and forwarded to the Contractor Partnership Program, with a copy sent to the DHS Contract Monitor, by the fifteenth day of the following month after the quarter ends. If the 15th falls on a weekend or state holiday, the report is due the next 48

business day. The quarters are based on the Department of Human Services’ fiscal year and are as follows: Quarters 1 – First 2 – Second 3 – Third 4 – Fourth

Begin Date July 1 October 1 January 1 April 1

End Date September 30 December 31 March 31 June 30

Reports Due October 15 January 15 April 15 July 15

The selected Offeror(s), regardless of its contract(s) Effective Date, must submit the PA 1540 based on the schedule above. If a contract begins in the middle of a quarter, the information reported will be based on activity that occurred from the contract(s) Effective Date through the end of the quarter. If no activity occurred, the form must be completed by stating “No Activity in this Quarter with the Contractor’s comments. This report must be signed by the entity that holds the contract(s) with the DHS; it may not be signed by a subcontractor. The information submitted on this report will be audited for its accuracy and the findings will be utilized to determine if the selected Offeror(s) is meeting its hiring requirements. Verification The CPP will review the PA 1540 Form for accuracy and completeness. In addition, the individuals reported on the PA 1540 Form as TANF cash assistance recipients will be verified through DHS’s Client Information System (CIS). DHS will take a statistical sample of all public assistance hires reported to determine if the selected Offeror(s) will receive credit. The results of the sample will determine if additional verification measures are needed. If the selected Offeror(s) is found to report inaccurate information on a consistent basis, it will be reported to the Contracting Officer for appropriate action. *Please note that the PA 1540 Form will be mailed to the Contractor after their contract(s) is executed. D. Problem Identification Report. An “as required” report, identifying problem areas.

The report should describe the problem and its impact on the overall intake process and on each affected task. It should list possible courses of action with advantages and disadvantages of each, and include the selected Offeror(s) recommendations with supporting rationale. Problem Identification Reports are required at the OLTL’s discretion and upon the OLTL’s request. E. Final Report. The selected Offeror(s) must submit draft copies of the final report prior

to submission of the actual report. The final report will be due either at the end of the three year Contract period, or at the end of any renewal year if a renewal option is exercised. The final report must include: 1. An abstract or summary of the results of the intake process during the Contract period in terminology that will be meaningful to management and others generally familiar with the subject areas. 2. A description of data collection and analysis and other techniques used during the Contract period. 49

3. A summary of findings, conclusions and recommendations for improving the intake process. 4. All supporting documentation; e.g., flow-charts, forms, questionnaires, etc. IV-6. Performance Standards. The Commonwealth has developed a set of minimum standards, defined below, which the selected Offeror(s) must meet or exceed, in order to be in good standing, meet the needs of our consumers; and ensure that the eligibility and enrollment services are as required by this RFP. The Offeror shall describe the nature of its solution and demonstrate how its particular approach will ensure that the selected Offeror(s)’s services can deliver the consistency in the selected Offeror(s)’s Performance Standards. The Performance Standards will be waived during the three (3) month Transition Period. Further, if through no fault of the selected Offeror(s), and despite the demonstrated and documented best efforts of the selected Offeror(s), an application is not completed in 60 days, the sanction will not be imposed. IF NONCOMPLIANCE, PERFORMANCE MINIMUM TARGET AMOUNT OWED REPORTING STANDARD ACCEPTABLE FREQUENCY  Any month where 2% of total applications closed for that month exceed 60 calendar days; 10% of invoice amount to be deducted 1) % of  Any month where between Performance applications 3% and 5% of total Standard to be completed within or applications closed for submitted with 100% 98% under 60 calendar month exceed 60 calendar monthly summary days days, 15% of invoice report amount to be deducted  Any month where more than 5% of applications closed exceed 60 calendar days; 20% of invoice amount to be deducted 2) % of  If 3% of file transfers Performance participant file within the month exceed measurement to be transfers to SC Entity one business day, 5% of submitted with 100% 97% must occur within 1 invoice amount to be monthly summary business day deducted report 3) Percentage of applications with clinical and program eligibility complete within 30 calendar days

100%

 Any month where 2% of total applications reviewed for clinical and program eligibility for that month exceed 30 calendar days; 10% of invoice amount to be deducted  Any month where between 3 and 5% of total applications reviewed for

98%

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Performance measurement to be submitted with monthly summary report

clinical and program eligibility for that month exceed 30 calendar days, 15% of invoice amount to be deducted  Any month where more than 5% of applications reviewed for clinical and program eligibility for that month exceed 30 calendar days; 20% of invoice amount to be deducted In addition to the sanctions above, in the first quarter that falls below 98% of applications completed within 60 calendar days, the selected Offeror(s) must present to OLTL a corrective action plan within 14 calendar days, to be implemented within 30 calendar days. For the second consecutive quarter that falls below 98% of applications completed within 60 calendar days, a revised corrective action plan must be submitted within 14 calendar days to be implemented within 30 calendar days. If applications completed within 60 calendar days falls below 98% for a third consecutive quarter, the selected Offeror(s) will hire an independent audit entity, with OLTL approval, at the selected Offeror(s)’s expense, to complete an audit of the selected Offeror(s)’s operations and implement a directed corrective action plan. Offerors must propose a method for how they will define and report on the following factors: enrollment denials, number of enrollment denial appeals, the reason for the appeal, and the outcome of the appeals process, including sustained or overturned. IV-7. Contract Requirements—Small Diverse Business Participation. All contracts containing Small Diverse Business participation must also include a provision requiring the selected Contractor(s) to meet and maintain those commitments made to Small Diverse Businesses at the time of proposal submittal or contract negotiation, unless a change in the commitment is approved by the BSBO. All contracts containing Small Diverse Business participation must include a provision requiring Small Diverse Business subcontractors to perform at least 50% of the subcontracted work. The selected Contractor(s)’s commitments to Small Diverse Businesses made at the time of proposal submittal or contract negotiation shall, to the extent so provided in the commitment, be maintained throughout the term of the contract(s) and through any renewal or extension of the contract(s). Any proposed change must be submitted to BSBO, which will make a recommendation to the Contracting Officer regarding a course of action. If a contract is assigned to another contractor, the new contractor must maintain the Small Diverse Business participation of the original contract. The selected Contractor(s) shall complete the Prime Contractor’s Quarterly Utilization Report (or similar type document containing the same information) and submit it to the DHS Contract Administrator and BSBO within ten (10) business days at the end of each quarter the contract(s) is in force. This information will be used to determine the actual dollar amount paid to Small Diverse Business subcontractors and suppliers. Also, this information will serve as a record of 51

fulfillment of the commitment the selected Contractor(s) made and for which it received Small Diverse Business participation points. If there was no activity during the quarter then the form must be completed by stating “No activity in this quarter.” NOTE: EQUAL EMPLOYMENT OPPORTUNITY AND CONTRACT COMPLIANCE STATEMENTS REFERRING TO COMPANY EQUAL EMPLOYMENT OPPORTUNITY POLICIES OR PAST CONTRACT COMPLIANCE PRACTICES DO NOT CONSTITUTE PROOF OF SMALL DIVERSE BUSINESS STATUS OR ENTITLE AN OFFEROR TO RECEIVE CREDIT FOR SMALL DIVERSE BUSINESS UTILIZATION

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