EXECUTIVE DOCUMENT SUMMARY State Form 41221 (R10i4~06) Instructions for completing the EDS and the Contract process. 1. Please read the guidelines on the back of this form. 2. Please type all information. 3. Check all boxes that apply. 4. For amendments i renewals, attach original contract. 5. Attach additional pages if necessary. 15. Requisition Number: 00000282 80 14. Name of agency: Department of Child Services 15- Address: 008 Financial Services 402 WWASHENGTON ST RM W392 INDIANAPOLIS. IN 46204 AGENCY 18. Telephone Name: l. EDS Number: 2- Date prepared: 91312014 3- comes a: LEASES ProfessionailPersonal Services Contract for procured Services Grant _Maintenance Lease _License Agreement Attorney _Amendrnent# MOU ?Renevval# QPA _0ther _n 5. Account Name: 008 DHHS Fund 4. Account Number: 6230075307531 01 0 Michael Sargent 317.234.8898 19. Email address: . 21. Telephone it: 317.234.5898 20. Name: Michael Sargent 22. E?mail address: --2 23 Vendor ID it 0000223037 24. Name: 25. Telephone MAXIMUS HEALTH SERVICE 26. Address: 7.New contract total: $2,075,810.61 2,075,310.61 6. Total amount this action: 11419 SUNSET HILLS RD RESTON. VA 20190 8. Revenue generated this action: 9.Revenue generated total contract: $0.00 $0.00 E-mail address: jenniferbenning@maximus.com 10. New total amount for each ?scal year: Year 2015 $1.102.305.04 23. Is the vendor registered with the Secretary ofState? (Ont ofStatc Corporations, must be registered) Yes N0 Year 2076 ?73-29557 29. Primary Vendor: WWBEle-Veteran 30. Primary Vendor Percentages Year Minority: Yes N0 Year 100,0 Women: Yes No IN-Veteran: Yes No TIME PERIOD COVERED IN THIS EDS 31. Sub Vendor: MfWBEr?IN?Veteran 32. Ifyes, list the Minority: Yes No Minority: in l, 111'le (110nm, (lay, year): day: Year women: YES No Woman: 9 1 201 IN-Veteran: Yes No lN? Veteran: 13. Method of source selection: - Negotiated Bideuotation Emergency . 33. Is there Renewal Language in 34. Is there 3 "Termination for bpectal Procurement the document? Convenience" clause in the Other (speci?? RFS 144125 Yes No document? Yes No 35. Will the attached document involve data processing or telecommunications systems(s)? Yes: IOT or Delegate has signed off on contract 36. Statutory Authority (Ciie applicable Indiana or Federal Codes): NIA 37. Description of work and justi?cation for spending money. (Please give a brief description ofthe scope ofwonir included in this agreement.) The Department of Child Services desires to contract for services for Rate Setting and Eligibility Determination Services and related tasks which will result in the management and maximization of federal funding, including without limitation consultation services on State and Federal policies and procedures. 38. usti?eation of vendor selection and determination of price reasonableness: Price was negotiated after vendor selection. @E?i?nwmm W3 39. If this contract is submitted late, please explain why: (Required ifmore than 30 days late.) DAG-ADVISORY 40. at? {ix?scal officer I representative approval All. Date Approved 43. Date Approved g?pgm? figs.? sE M. {i If 46. Agency representative receiving from AG 47- 15413 Approved 44.Attorney General's Of?ce appr 45. Date ppr7d . . 81526-000 REQUISITION Ship To: DCS Financial Services Requisition No. Date Required Date Page 402 WASHINGTON ST RM W392 0000028280 09l08l2014 1 of 2 INDIANAPOLIS IN 46204 Fundl'Account: 62300 l' 531010 Dept Number: 497002 Project Number: Requisition Number: 0000028280 Requestor: M275751 Sargent,Michael-502 Bill to: DOS Financial Services Agency Number: 00502 Department of Child Servi 402 WASHINGTON ST RIVI W392 Facility: INDIANAPOLIS IN 46204 MUST COMPLETE FOR ICPR Print REQ Streamline Eligible [Line Item Description Quantity UOM Unit Price Ext Amt For EDS for Maximus Health Service for the period 0970172014 through 0873112016. The State desires to contract for services for Rate Setting and Eligibility Determination Services and related tasks which wilt result in the management and maximization of federal funding, including without limitation consultation services on State and Federal policies and procedures 1-1 SFY2015-C0mponentTwo 1.0000 EA 936,936.9800 936,936.98 Staf?ng Buyer: Sargent,MichaeI-502 Vendor: 0000223037 MAXIMUS HEALTH SERVICE 2-1 SFY2015-ComponentTwo 1.0000 EA 11,808.7700 11,808.77 Non-Staf?ng Buyer: Sargent,Michael?502 Vendor: 0000223037 MAXIMUS HEALTH SERVICE 3?1 1.0000 EA 137,881-0300 137,881.03 Staf?ng Buyer: - Sargent,lVlichael?502 Vendor: 0000223037 MAXIMUS HEALTH SERVICE 4?1 1.0000 EA 15,978.2600 15,978-26 Non~Staf?rIg Buyer: Sargent,Michael-502 Vendor: 0000223037 MAXIMUS HEALTH SERVICE 5?1 SFY2016-ComponentTwo? 1.0000 EA 809,658.4700 809,658.47 Staf?ng Buyer: Sargent,MichaeI-502 Vendor: 0000223037 MAXIMUS HEALTH SERVICE 6-1 SFY201S-ComponentTwo- 1.0000 EA 6,945.0000 6,945.00 Non-Staf?ng Buyer: Sargent,Michael~502 Vendor: 0000223037 MAXIMUS HEALTH SERVICE 7-1 1.0000 EA 140,634.1000 140,634.10 Staf?ng Buyer: Sargent,Michae 9502 Vendor: 0000223037 MAXIMUS HEALTH SERVICE 8-1 1.0000 EA 15,968.0000 15,968.00 Non-Staf?ng Buyer: SargentMichaeI-SUZ Vendor: 0000223037 MAXIMUS HEALTH SERVICE The following Unit of Measure Common Codes are used in this document: EA Each Requisition Total 2,075,810.61 State Form 21301 (Revised 7702} Approved by State Board of Accounts - 2002 Ship To: DCS Financial Services REQUISITION Requisition No. Date Required Date Page 402 WASHINGTON ST RM W392 0000028280 09i08i2014 2 of 2 INDIANAPOLIS IN 46204 FundiAccount: 62300 I 531010 Dept Number: 497002 Project Number: 502DCSCOADMNS10 Requisition Number: 0000028280 Requester: M275751 Sargent,MichaeI-502 Bill to: DOS Financial Services Agency Number: 00502 Department of Child Servi 402 WASHINGTON ST RM W392 Facility: INDIANAPOLIS 46204 MUST COMPLETE FOR ICPR Print REQ Streamline Eligible [Line Item Description Quagtity UOM Unit Price Ext Amt :i I certify that the itemts] requested is [arelnecessary for the operation of this State Agency. Requestor Signature - ..I ed Name of Agency Head or Aut horized Employee Authorized Signature State Form 21301 (Revised 7702) Approved by State Board of Accounts - 2002 PROFESSIONAL SERVICES CONTRACT This Contract (the "Contract?), entered into by and between the Indiana Department of Child Services (hereinafter referred to as ?State? or and MAXIMUS Human Services, Inc. (hereinafter referred to as ?Contractor?), is executed pursuant to the terms and conditions set forth herein. WHEREAS, the State desires to contract for services for Rate Setting and Eligibility Determination Services and related tasks which will result in the management and maximization of federal funding, including Without limitation consultation services on State and Federal policies and procedures and the accurate distribution of administrative costs incurred statewide in the management of programs operated by the Department of Child Services; and WHEREAS, Contractor has the necessary knowledge and expertise to provide such services. NOW, THEREFORE, in consideration of those mutual undertakings and covenants, the parties agree as follows: DEFINITIONS Collaborative Care Program DCS program serving older youth in foster care IV-A EA (also referred to as Title IV-A Emergency Assistance Provisions of a Subchapter?Part of Title 42, Chapter 7, speci?cally 42 USC 601, et seq, regarding Aid and Services to Needy Families with Children A Subchapter-Part of Title 42, Chapter 7, Specifically 42 USC 621, et seq, regarding Aid and Services to Needy Families with Children A Subchapter?Part of Title 42, Chapter 7, speci?cally 42 USC 670, et seq, regarding Federal Payments for Foster Care and Adoption Assistance AA The provisions of regarding Adoption Assistance AAP The provisions of denominated Adoption Assistance Program IV-E FC - The provisions of IV-E regarding Foster Care Assistance Page 1 of 43 6/2014 Management Gateway for Indiana's Kids, a case management system and database for recording and accessing child welfare information. SACWIS Statewide Automated Child Welfare Information System, a federally prescribed system to support child welfare?related business processes TANF Temporary Assistance to Needy Families pursuant to 42 USC 601, et seq, regarding Aid and Services to Needy Families with Children 1. Duties of Contractor. A. The Contractor shall provide the ?Component Two? and ?Component Three? services as prescribed in Sections 2.4.2, 2.4.3, 2.4.4, 2.4.5, 2.4.6 and 2.4.7 of RFS 14?025 which is marked Exhibit 1, attached to this contract and incorporated by reference, and as such components and sections are prescribed in Contractor?s Technical Proposal included in Contractor?s response to RPS 14?025, which response is, in its entirety, hereby incorporated by reference even though a complete copy of the response is not attached hereto due to its volume, and the parties acknowledge that each of them has ready access to a complete copy (the ??Services?); provided however that the parties agree Contractor will not provide and the State will not pay for services described as ?Component One? or ?Section 2.4.1? in such RF S. 2.4.2 TITLE IV-E AND TITLE IVA-EA A. Best Practice Implication 1. If/As requested by the State, the Contractor Shall utilize best practices to develop and maintain centralized eligibility determination/validation staff focusing on Title eligible children; provide training, technical assistance, materials development and review and make recommendations on all programs currently considered or claimed eligible to prepare for follow~ up audits perform Quality Assurance reviews for all Eligibility Programs; and develop a Medicaid Program Business Process based on the results of the Medicaid Business Process Review (which review was completed by Contractor for DCS pursuant to Contract A93-10-97-DC0022303 7). 2. If/As requested by the State, the Contractor shall utilize best practices to create and maintain centralized IV-E FC, IV-A EA, Adoption, Probation Medicaid and Collaborative Care eligibility and ensure (Management Gateway for Indiana?s Kids) contains all necessary components to meet SACWIS (Statewide Automated Child Welfare Information System) requirements. B. Prepare DCS for federal audit review Page 2 of 43 6/2014 If/As requested by the State, the Contractor shall prepare DCS staff for a federal audit review. C. Provide Technical support during Federal IV-E FC audits lf/As requested by the State, the Contractor shall participate with DCS staff in a supporting capacity during Indiana's Federal FC audits. D. Program, Policy and Procedural Reviews for Eligibility. lf/As requested by the State, the Contractor shall perform program, policy and procedural reviews for eligibility, thoroughly review State and Federal rules and regulations, analyze these or any changing rules or regulations, and provide written interpretation and recommendations for changes or enhancement to the appropriate State staff in a timely manner. E. Program Quality Recommendations lf/As requested by the State, the Contractor shall provide written recommendations with respect to enhancements to program quality, effectiveness and ef?ciency. If/As requested by the State, the Contractor shall be responsible in the development, implementation and maintenance of overall quality assurance of some aspects of the process with State approval and guidance. F. Provide AA, Probation, Collaborative Care, Medicaid, and TANF EA Technical Assistance, Update State Plans If/As requested by the State, the Contractor shall provide technical assistance with regard to IV-E Foster Care, Adoption Assistance, Probation, Collaborative Care and Medicaid; and provide Title Emergency Assistance (EA) technical assistance, including but not limited to policy development and maintenance of the State Plans; develop and assistance with writing policy for above programs with state approval; provide assistance with regard to input from the federal level and other states/ agencies; provided assistance with interpretation of law and regulation, policy/procedure, and implementation. 2.4.3 RATE ESTABLISHMENT AND CLAIMING A. Sta?ff: lf/As requested by the State, the Contractor shall provide quali?ed staff to ?ll in with the daily rate setting duties. such staff to possess the following knowledge and skills: 1. An understanding of both 465 IAC 2~l6 (Rate Setting for Residential Treatment Services Providers) and 465 IAC 2-17 (Rate Setting for Page 3 of 43 6/2014 Child Placing Agencies) 2. Have thorough understanding of Title IV of the Social Security Act, 3. Be well versed 1n OMB Circulars 122, A- 87, and 133, 4. Have minimum of 3 years of experience with cost-based rate setting, 5. Have minimum of 3 years of experience with applying cost allocation methodologies, and 6. Be literate in Microsoft Excel and have extensive database and statistical analysis experience. - B. National/Industry Perspective: If/As requested by the State, the Contractor shall provide to DCS a national perspective on rate setting and cost allocation issues as they pertain to DCS happenings, including without limitation: l. Information/news relating to policies instituted by ACF 2. Information/news relating to peer agencies/ states 3. National trending of varying cost measurements 4 Staff able to compile research on information as requested by the Rate Setting Unit C. Policy Interpretation: If/As requested by the State, the Contractor shall provide policy interpretation in the following areas: 1. Federal policy as relating to Federally Allowable Costs Federal policy as relating to Title IV-E Allowable Costs State of Indiana policy as relating to State Allowable Costs DCS Licensing Policy/Rules as they relate to the Rate Setting Process DCS invoicing requirements as they relate to the Rate Setting Process 9.4399!? D. Operational Control/ Oversight: lf/As requested by the State, the Contractor shall I establish a procedure for operational control and/or oversight of the rate setting process, including detailed assignments and responsibilities for the following areas: All rate setting peripherals Rate Setting Staff duties and assignments Rate Setting Unit relations with other parties Deadlines for rate setting deliverables 5399.?? E. Independent Analysis on Rate Setting Policies: If/As requested by the State, the Contractor shall provide independent third party analysis and opinions, on an annual basis, relating to the rate setting process. The areas for analysis and opinions should include but are not limited to the following: - 1. Rate Rules, 465 IAC 2?16 and 465 IAC 2-17 2. Rate Setting Procedures and Protocol, including: a) annual procedures relating to cost report submission b) cost allocation methbdologies utilized throughout the rate setting process 0) final calculation of payment rates 3. Cost Limits as established by the Rate Setting Unit Page 4 of 43 6/2014 4. Pro?t Margin allowance as established by the Rate Setting Unit 5. Rate Adjustments as established by the Rate Setting Unit F. Special Proiects as needed by the Rate Setting?nit: If/As requested by the State, the Contractor shall provide quali?ed staff approved by DCS to complete any special projects relating to rate setting and/or cost allocation projects as requested by the Rate Setting Unit. 2.4.4 SUPPLEMENTAL SECURITY INCOME (SSI) ELIGIBILTY lf/As requested by the State, the Contractor shall provide Technical Assistance on an as needed basis and assist with preparation for appeal hearing and representation of the State at appeal hearings. 2.4.5 MANAGEMENT GATEWAY FOR KIDS If/As requested by the State, the Contractor shall provide Assistance, including but not limited to Technical Assistance for redesign, and assistance with Federal Documentation Requirements which include the Advance Planning Document Update (ADPU), As Needed Advance Planning Document (AAPDU) and the SACWIS Assessment Review Report (SARR) plan update. 2.4.6 DCS STAFF DEVELOPMENT If/As requested by the State, the Contractor shall provide transfer of knowledge to selected DCS staff with the expectation that DCS staff will successfully manage the programs and processes developed by Contractor in relation to this Contract, including without limitation training DCS staff on the processes and procedures involved in the development, design and maintenance of Cost Allocation programs, and preparing DCS staff to ef?ciently and permanently continue current and newly developed programs. 2.4.7 CROSS FUNCTIONALITY ADVISORY If/ as requested by the State, the Contractor shall provide quali?ed staff, acceptable to the State, to address and advise concerning needs which may arise relating to cross functionality projects. B. Use of Management Letters to More Speci?cally De?ne Contract Deliverables: The Contractor is obligated to perform all of the duties and services described herein and - in RFS 14?025 Sections 2.4.2, 2.4.3, 2.4.4, 2.4.5, 2.4.6 and 2.4.7, and in Contractor?s 6/2014 response thereto, (See Exhibit 1 and Contractor?s response to RPS 14-025 incorporated herein). However, due to the nature of the work to be performed and the evolution of priorities and details as the work progresses, the State and the Contractor will periodically re?ne the scope/details of the duties hereunder in "Management Letter(s)? to be signed by both parties. These Management Letter(s) will also defme the speci?c monetary Page 5 of 43 6/2014 consideration permitted for each of the speci?c projects/tasks within the not-to?exceed total remuneration amount set forth below in Section 2 of this Contract, and may also assign speci?c staff members of the Contractor (if so desired by the State) to the speci?c tasks/duties. Once such Management Letter(s) are signed by both the State and the Contractor, all of the terms of such Management Letter(s) will be binding Contract obligations between the Contractor and the State. The following is a list of the items that Management Letters will include: a description of the task(s); (ii) a reference to the Section of the Contract that authorizes the task(s); a work plan for the task(s); (iv) the names of speci?c staff members of the Contractor that will perform the task(s) (if so desired by the State); the resources, rates, and hours required and permitted for the task(s) (which must be within the not?to?exceed total remuneration - amount set forth in Section 2 of the Contract); (vi) the expenses required and permitted for the task(s), including travel expenses (if they are permitted); (vii) timelines for the deliverables; and performance measures indicating success. 1. Each individual Management Letter shall be developed jointly by the Contractor and the State and shall require the execution of both Parties. No individual Management Letter shall be issued without the concurrence and execution of both Parties. Each individual Management Letter shall also contain a detailed scope or work for the Management Letter, including formal deliverables and unknown deliverables that will be derived based upon and from on?site technical assistance, and a budget and total value for the Management Letter. 2. As long as both Parties concur that a Management Letter is within the sc0pe of the duties and services described herein, in Exhibit 1 incorporated in this Contract, and in the Contractor?s Technical Proposal included in Contractor?s response to RF 14-025 incorporated herein, the Contractor is under a contractual obligation to enter into such Management Letter. However, the State will work with the Contractor in negotiating the details of a Management Letter(s) to help the State determine the most effective way(s) to accomplish the goals/duties of this Contract and the particular Management Letter at issue. Moreover, both Parties agree that it is anticipated that the scope/details of the duties described herein will be re?ned through the Management Letter process described in this Contract. Therefore, there may be speci?c duties agreed to through the Management Letter process that are not speci?cally included in this Contract's description of the duties to be performed by the Contractor. 3. In order to allow for rapid execution of Management Letters and to ensure that work is able to be started when it is needed by DCS, the Contractor and DCS may revisit and revise Management Letter(s) on an ongoing basis upon mutual agreement and by following the appropriate procedures set forth above. Page 6 of 43 2. 4. The total cumulative value of all Management Letters entered into pursuant to this Contract shall not exceed the total remuneration amount set forth below in Section 2 of this Contract. However, there is no obligation that the total cumulative value of all Management Letters entered into pursuant to this Contract meet the total remuneration amount set forth below in Section 2 of this Contract. 5. DCS and the Contractor will continuously evaluate the Contractor's performance. as requested by DCS, at status meetings the Contractor shall provide a review of current active Management Letters and progress to date and a discussion of key performance indicators for each Management Letter, Contract requirements, and proposal commitments to ensure that expectations are being met. If expectations are not being met, the Contractor shall deliver a plan of action to correct the situation to DCS and bring its performance in line with expectations within a reasonable time period, as determined by DCS. 6. The Contractor will create a transition?out plan which will include, but not be limited to, transitioning the following materials and artifacts to DCS: (1) standard operating procedure manuals, (2) project documentation, (3) methodology descriptions,, and (4) back?up ?les. The Contractor will work with DCS continuously throughout the duration of this Contract to create and maintain solid documentation of policies and procedures, cost allocation methodology and calculations, and supportive documentation for claiming, all of which will be immediately accessible to DCS throughout the Contract period and transitioned to DCS upon expiration and/or termination of this Contract. Consideration. As described below in this Section (and in the exhibits identi?ed in this Section), the Contractor shall be paid in arrears in the amounts set forth below for the Contractor's completion of the services and performance of the duties prescribed in this Contract. A. For services provided pursuant to Sections 2.4.2, 2.4.4, 2.4.5, 2.4.6 and 2.4.7 of Exhibit 1 (which services are, as grouped together, from time to time referred to by the parties as ?Component Two?): 6/2014 1. The Contractor will be paid for each of its employees? positions as set forth on the chart attached hereto as Exhibit 2, which is hereby incorporated by reference. Exhibit 2 shows the hourly wage rate per position plus the administrative overhead per position, resulting in the total hourly cost the Contractor will be paid for each of the positions for year 1 and year 2 of this Contract, as well as the hourly wage rate and total hourly cost that the Contractor will be paid for each of the positions for an optional year 3 renewal and optional year 4 renewal of this Contract. 2. The charts attached hereto as Exhibit 3, pages 1, 2, 3, 4 and 5 (which is hereby incorporated by reference) re?ect the staf?ng costs for the ?Component Two? services that the Contractor is providing to DCS including: 2.4.2, 2.4.4, 2.4.5, 2.4.6 and 2.4.7. These charts show the total hourly cost that the Contractor will be paid for each of its employees' positions needed for each area of service and also show a proposed number of Page 7 of 43 6/2014 hours worked per year for each position and the proposed annual cost by year for each position needed for that particular service area. These charts show this information for year 1 and year 2 of this Contract, as well as for an optional year 3 renewal and optional year 4 renewal of this Contract. The proposed number of hours worked per year for each position and the proposed annual cost by year for each position re?ected on Exhibit 3 will not control the amount of costs actually incurred by DCS pursuant to this Contract. The costs incurred by DCS pursuant to this Contract will depend solely on the amount/level of services that DCS requests that the Contractor perform, which will be completely within discretion. 3. The chart attached hereto as Exhibit 4 (which is hereby incorporated by reference) applies to Component Two services 2.4.2, 2.4.4, 2.4.5, 2.4.6 and 2.4.7 identi?ed above and shows the unit costs for other potential costs that could be incurred through provision of the services. However, these costs will only be incurred if they are requested by DCS and/or necessary to effectively provide services requested by DCS. This chart re?ects the unit cost for each of these items that will. be paid to the Contractor if such items are needed and are also requested by DCS, the estimated quantity per year for each of these costs, and the proposed annual cost for each of these costs. This information is also divided into year 1 and year 2 of this Contract, as well as an optional year 3 renewal and optional year 4 renewal of this Contract. Any unit costs provided for travel costs on Exhibit 4, including, but not limited to, air travel, lodging, per diem, and local travel, will not control and are superseded by the provisions of Section 46 [Travel] of this Contract. 4. As noted above, the proposed amounts re?ected on Exhibit 4 will not control the amount of costs actually incurred by DCS pursuant to this Contract. The costs incurred by DCS pursuant to this Contract will depend solely on the amount/ level of services that DCS requests that the Contractor perform, which will be completely within discretion. 5. The chart attached hereto as Exhibit 5 (which is hereby incorporated by reference) shows the projected costs for each of the areas of service as outlined above and other projected costs for each year of this Contract (including projected costs for an optional year 3 renewal and optional year 4 renewal). It also shows the total projected project staf?ng costs and total projected project non?staf?ng costs for the two-year (2?year) term of this Contract, and includes such projected costs for an optional year 3 renewal and optional year 4 renewal of this Contract. 6. As noted above, the proposed or projected amounts re?ected on the above identi?ed exhibits will not control the amount of costs actually incurred by DCS pursuant to this Contract (with the exception that the total remuneration amount shown as ?Total Project Cost" on Exhibit 5 does re?ect an accurate "not to exceed? amount for the 2 year Contract term plus the optional year 3 renewal and optional year 4 renewal). The costs incurred by DCS pursuant to this. Contract will depend solely on the amount/level of services that DCS requests that the Contractor perform, which will be completely within discretion. Page 8 of 43 B. 7. The Contractor's invoicing must re?ect the pricing in Exhibits 2, 3, 4, and 5 and this Section of the Contract, as well as accurately represent the per year "not to exceed" ?Total Project Cost" amount. 8. In order to receive payment under this Contract, the Contractor must provide detailed invoices based upon the costs and payment timelines approved in Management Letters for active tasks (including showing which component (as outlined in Section 1 of this Contract) the work falls under). For services provided pursuant to Sections 2.4.3, 2.4.6 and 2.4.7 of Exhibit 1 (which services are, as grouped together, from time to time referred to by the parties as ?Component Three?): 6/2014 1. The Contractor will be paid for each of its employees? positions as set forth on the chart attached hereto as Exhibit 6, which is hereby incorporated by reference. Exhibit 6 shows the hourly wage rate per position plus the administrative overhead per position, resulting in the total hourly cost the Contractor will be paid for each of the positions for year 1 and year 2 of this Contract, as well as the hourly wage rate and total hourly cost that the Contractor will be paid for each of the positions for an Optional year 3 renewal and optional year 4 renewal of this Contract. 2. The charts attached hereto as Exhibit 8, pages 1, 2, and 3 (which is hereby incorporated by reference) re?ect the staffing costs for the ?Component Three? services that the Contractor is providing to DCS including: 2.4.3, 2.4.6 and 2.4.7. These charts show the total hourly cost that the Contractor will be paid for each of its employees? positions needed for each area of service and also show a proposed number of hours worked per year for each position and the proposed annual cost by year for each position needed for that particular service area. These charts show this information for year 1 and year 2 of this Contract, as well as for an optional year 3 renewal and optional year 4 renewal of this Contract. The proposed number of hours worked per year for each position and the proposed annual cost by year for each position re?ected on Exhibit 8 will not control the amount of costs actually incurred by DCS pursuant to this Contract. The costs incurred by DCS pursuant to this Contract will depend solely on the amount/level of services that DCS requests that the Contractor perform, which will be completely within discretion. 3. The chart attached hereto as Exhibit 9 (which is hereby incorporated by reference) applies to ?Component Three? services 2.4.3, 2.4.6 and 2.4.7 and shows the unit costs for other potential costs that could be incurred through provision of the services as prescribed in Section 1. However, these costs will only be incurred if they are requested by DCS and/or necessary to effectively provide services requested by DCS. This chart re?ects the unit cost for each of these items that will be paid to the Contractor if such items are needed and are also requested by DCS, the estimated quantity per year for each of these costs, and the proposed annual cost for each of these costs. This information is also divided into year 1 and year 2 of this Contract, as well as an optional year 3 renewal and optional year 4 renewal of this Contract. Any unit costs provided for travel costs on Page 9 of 43 Exhibit 9, including, but not limited to, air travel, lodging, per diem, and local travel, will not control and are superseded by the provisions of Section 46 [Travel] of this Contract. 4. As noted above, the preposed amounts re?ected on Exhibit 9 will not control the amount of costs actually incurred by DCS pursuant to this Contract. The costs incurred by DCS pursuant to this Contract will depend solely on the amount/level of services that DCS requests that the Contractor perform, which will be completely within discretion. 5. The chart attached hereto as Exhibit 10 (which is hereby incorporated by reference) shows the projected costs for each of the areas of service as outlined above and other projected costs for each year of this Contract (including projected costs for an optional year 3 renewal and optional year 4 renewal). It also shows the total projected project staf?ng costs and total projected project non?staf?ng costs for the two?year (2?year) term of this Contract, and includes such projected costs for an optional year 3 renewal and optional year 4 renewal of this Contract. 6. As noted above, the proposed or projected amounts re?ected on the above identified exhibits will not control the amount of costs actually incurred by DCS pursuant to this Contract (with the exception that the total remuneration amount shown as "Total Project Cost" on Exhibit 10 does re?ect an accurate ?not to exceed" amount for the 2 year Contract term plus the optional year 3 renewal and optional year 4 renewal). The costs incurred by DCS pursuant to this Contract will depend solely on the amount/level of services that DCS requests that the Contractor perform, which will be completely within discretion. 7. The Contractor's invoicing must re?ect the pricing in Exhibits 6, 8., 9 and 10 and this Section of the Contract as well as accurately represent the per year "not to exceed" ?Total Project Cost? amount. 8. In order to receive payment under this Contract, the Contractor must provide detailed invoices based upon the costs and payment timelines approved in Management Letters for active tasks (including showing which component (as outlined in Section 1 of this Contract) the work falls under). C. Total remuneration under this two year Contract shall not exceed $2,075,810.61. 3. Term. This Contract shall be effective for a period of two (2) years. It shall commence on September 1, 2014 and shall remain in effect through August 31, 2016. 4. Access to Records. The Contractor and its subcontractors, if any, shall maintain all books, documents, papers, accounting reCords, and other evidence pertaining to all costs incurred under this Contract. They shall make such materials available at their respective of?ces at all reasonable times during this Page 10 of 43 6/2014 Contract and for three (3) years from the date of final payment under this Contract, for inspection by the State or its authorized designees. Copies shall be furnished at no cost to the State if requested. 5. A. 6. Assignment; Successors; and Subcontracting. The Contractor agrees to bind its successors and assignees to all the terms and conditions of this Contract. The Contractor shall not assign the whole or any part of this Contract without the State?s prior written consent. The Contractor may assign its right to receive payments to such third parties as the Contractor may desire without the prior written consent of the State, provided that the Contractor gives written notice (including evidence of such assignment) to the State thirty (30) days in advance of any payment so assigned. The assignment shall cover all unpaid amounts under this Contract and shall not be made to more than one (1) party. The Contractor shall monitor the performance of all subcontractors and shall remain responsible to the State for the performance of any subcontractor. The Contractor agrees to enter into written agreements with all subcontractors and to provide copies of all subcontracting agreements to the State upon request. The Contractor further agrees to notify the State of a breach of these provisions by a subcontractor and to discontinue any agreement with the specified subcontractor in the event of such a breach. Assignment of Antitrust Claims. As part of the consideration for the award of this Contract, the Contractor assigns to the State all right, title and interest in and to any claims the Contractor now has, or may acquire, under state or federal antitrust laws relating to the products or services which are the subject of this Contract. 7. A. 6/2014 Audits and Monitoring. The Contractor acknowledges that it may be required to submit to an audit of funds paid through this Contract. Any such audit shall be conducted in accordance with IC 5?1 1-1 et seq. and audit guidelines speci?ed by the State. DCS considers the Contractor to be a ?vendor,? for purposes of this Contract. However, if required pursuant to the applicable provisions of the Of?ce of Management and Budget Circular (Audits of States, Local Governments, and Non-Profit Organizations), following the expiration of this Contract, the Contractor shall arrange for a financial and compliance audit of funds provided by the State pursuant to this Contract. Such audit is to be conducted by an independent public or certi?ed public accountant (or as applicable, the Indiana State Board of Accounts), and performed in accordanCe with the Indiana State Board of Accounts publication entitled "Uniform Compliance Guidelines for Examination of Entities Receiving Financial Assistance from Governmental Sources," and applicable provisions of the Of?ce of Management and Budget Circular A-133 (Audits of States, Local Governments, and Non-Pro?t Organizations). The Contractor is responsible for ensuring that the audit and any management letters are completed and Page 11 of 43 6/2014 forwarded to the State in accordance with the terms of this Contract. Audits conducted pursuant to this paragraph must be submitted no later than nine (9) months following the close of the Contractor's ?scal year. The Contractor agrees to provide the Indiana State Board of. Accounts and the State an original of all ?nancial and compliance audits. The audit shall be an audit of the actual entity, or distinct portion thereof that is the Contractor, and not of a parent, member, or subsidiary corporation of the Contractor, except to the extent such an expanded audit may be determined by the Indiana State Board of Accounts or the State to be in the best interests of the State. The audit shall include a statement from the Auditor that the Auditor has reviewed this Contract and that the Contractor is not out of compliance with the ?nancial aspects of this Contract. The Contractor shall permit all examinations and shall generate and maintain all documentation necessary to comply with all relevant audit requirements. In addition to an independent audit completed in accordance with paragraph A or of this Section, the State may, in its discretion, conduct a separate audit(s) of funds provided pursuant to this Contract and/or any other necessary on?site monitoring reviews of the Contractor, for the purpose of: outcome tracking; (ii) quality review of the services provided by the Contractor pursuant to this Contract; and/or conducting any other requisite and/or desired program and/or service audits ofthe Contractor. (1) The Contractor shall, upon written demand by State, be required to repay to the State all sums paid by the State to the Contractor, for which adequate ?scal and/or service delivery documentation is not in existence for any time period audited. If an audit of the Contractor results in an audit exception, the State shall have the right to set off such amount against current or future allowable claims, demand cash repayment, or withhold payment of current claims in a like amount pending resolution between the parties of any disputed amount. (2) The Contractor agrees that the State has the right to make recommendations and ?ndings in connection with any ?nancial monitoring or audit of the Contractor's operations, and the Contractor agrees to comply with any corrective actions speci?ed by the State, within the time limits established by the State. (3) The Contractor will provide to the State, upon request, a copy of any document or report prepared and maintained by the Contractor relative to costs incurred in providing the services described in this Contract and its attachments/exhibits. (4) The parties agree that any authorized employee or representative of the State, the state of Indiana or the United States (hereina?er referred to as ?governmental agen shall have the right to enter the premises of the Contractor or any subcontractor of the Contractor and inspect or audit any records or property agreements maintained by the Contractor or its subcontractors in connection with this Contract. The Contractor and its subcontractors shall make all books, records, and documents that relate to their activities under this Contract available for inspection, review, and audit when requested by a governmental agent. The Page 12 of 43 Contractor shall ensure the cooperation of its employees, officers, board members, and subcontractors in any review, audit, or inspection conduCted by a governmental agent. (5) Following any State monitoring visit to the Contractor, the State may provide a written report to the Contractor. If the State chooses to provide a written report following a State monitoring visit to the Contractor, the State shall provide such report within sixty (60) days of such monitoring visit. The State?s report may contain observations, evaluations, suggestions and/or speci?c directions for corrective action by the Contractor. In the event that speci?c corrective action is required, the Contractor will have sixty (60) days from the receipt of the directions to comply, unless a different time period for correction is speci?ed by State. A failure of the Contractor to comply with the State?s specific directions will be treated as a breach of this Contract. In the case of a dispute, the State and the Contractor will meet at their earliest convenience to resolve the issue in question. D. As required, the Contractor shall timely ?le an ?Entity Annual Report? (Form E?l) with the State and the Indiana State Board of Accounts. 8. Authority to Bind Contractor. The signatory for the Contractor represents that he/ she has been duly authorized to execute this Contract on behalf of the Contractor and has obtained all necessary or applicable approvals to make this Contract fully binding upon the Contractor when his/her signature is affixed, and accepted by the State. 9. Changes in Work. Should the State request additional work or modify the scope of work, the Contractor shall submit a cost proposal for an equitable price adjustment. The Contractor shall not commence work on any additional services or modi?ed scope and shall make no claim for additional compensation in the absence of a prior written approval and amendment executed by all signatories hereto. This Contract may only be amended, supplemented or modi?ed by a written document executed in the same manner as this Contract. 10. Compliance with Laws. A. The Contractor shall comply with all applicable federal, state, and local laws, rules, regulations, and ordinances, including any disaster plan protocol (Title and Title E), and all provisions required thereby to be included herein are hereby incorporated by referenCe. The enactment or modi?cation of any applicable state or federal statute or the promulgation of rules or regulations thereunder after execution of this Contract shall be reviewed by the State and the Contractor to determine whether the provisions of this Contract require formal modification. Page 13 of 43 6/2014 6/2014 The Contractor and its agents shall abide by all ethical requirements that apply to persons who have a business relationship with the State as set forth in IC 4?2?6 et seq. IC 4?2? 7 el.? 3661., the regulations promulgated thereunder, and Executive 'Order 04?08, dated April 27, 2004. If the Contractor is not familiar with these ethical requirements, the Contractor should refer any questions to the Indiana State Ethics Commission, or visit the Inspector General?s website at If the Contractor or its agents violate any applicable ethical standards, the State may, in its sole discretion, terminate this Contract immediately upon notice to the Contractor. In addition, the Contractor may be subj ect to penalties under IC 4-2?6, 4?2~7, 35?44.1?l?4, and under any other applicable laws. The Contractor certi?es by entering into this Contract that neither it nor its principal(s) is presently in arrears in payment of taxes, permit fees or other statutory, regulatory or judicially required payments to the state of Indiana. The Contractor agrees that any payments currently due to the state of Indiana may be withheld from payments due to the Contractor. Additionally, further work or payments may be withheld, delayed, or denied and/or this Contract suspended until the Contractor is current in its payments and has submitted proof of such payment to the State. The Contractor warrants that it has no current, pending or outstanding criminal, civil, or enforcement actions initiated by the State, and agrees that it will immediately notify the State of any such actions. During the term of such actions, the Contractor agrees that the State may delay, withhold, or deny work under any supplement, amendment, change order or other contractual device issued pursuant to this Contract. In the event of receipt of a report (verbal or written) of criminal or potentially criminal activity by a member of the Contractor?s staff (including any of the Contractor?s subcontractors and their staff) that potentially threatens/endangers the life, health, or safety of any ward(s), DCS may immediately require a temporary suspension of such member of the Contractor?s staff (including any of the Contractor?s subcontractors and their staff) pending an investigation into the report. If a valid dispute exists as to the Contractor?s liability or guilt in any action initiated by the State or its agencies, and the State decides to delay, withhold, or deny work to the Contractor, the Contractor may request that it be allowed to continue, or receive work, without delay. The Contractor must submit, in writing, a request for review to the Indiana Department of Administration following the procedures for disputes outlined herein. A determination by IDOA shall be binding on the parties. Any payments that the State may delay, withhold, deny, or apply under this Section shall not be subject to penalty or interest, except as permitted by IC 5~l7~5. The Contractor warrants that the Contractor and its subcontractors, if any, shall obtain and maintain all required permits, licenses, registrations, and approvals, and shall comply with all health, safety, and environmental statutes, rules, or regulations in the performance of work activities for the State. Failure to do so may be deemed a material breach of this Contract and grounds for immediate termination and denial of further work with the State. Page 14 of 43 G. The Contractor af?rms that, if it is an entity described in IC Title 23, it is prOperly registered and owes no outstanding reports to the Indiana Secretary of State. H. As required by IC 5?22?3?7: The Contractor and any principals of the Contractor certify that: (A) the Contractor, except for de minimis and violations, has not violated the terms of: IC 24?4.? [Telephone Solicitation of Consumers]; (ii) IC 24?5-12 [Telephone Solicitations]; or IC 24?5?14 [Regulation of Automatic Dialing Machines]; in the previous three hundred sixty?five (365) days, even if IC 24?4.? is preempted by federal law; and (B) the Contractor will not violate the terms of IC 24?4.? for the duration of the Contract, even if IC 24?47 is preempted by federal law. (2) The Contractor and any principals of the Contractor certify that an af?liate or principal of the Contractor and any agent acting on behalf of the Contractor or on behalf of an affiliate or principal of the Contractor, except for de minimis and ?violations, (A) has not violated the terms of IC 24?47 in the previous three hundred sixty-?ve (365) days, even if IC 24?4.? is preempted by federal law; and (B) will not violate the terms of IC 244.7 for the duration of the Contract, even if IC 24?47 is preempted by federal law. I. As required by IC 5?22?165, the Contractor certi?es that the Contractor is not engaged in investment activities in Iran. Providing false certification may result in the consequences listed in IC 5-22-165-14 including termination of this Contract, denial of future state contracts, as well as an imposition of a civil penalty. J. Before this Contract may be moved through the State signature process, it must pass review by the Department of Workforce Development and the Department of Revenue The Contractor acknowledges that this Contract cannot proceed. while any DOR or DWD ?holds? exist. Thus, if the Contractor has unpaid unemployment insurance or unpaid taxes to the State, this Contract will be held until these issues are resolved. 11. Condition of Payment. All services provided by the Contractor under this Contract must be performed in compliance with the acceptance criteria agreed upon by Contractor and the State, and in accordance with all applicable federal, state, local laws, ordinances, rules and regulations, as well as in accordance with all applicable service standards and all other speci?cations set forth above in Section 1 and in the other provisions of this Contract. The State shall not be required to pay for work found to be inconsistent with this Contract (including, but not limited to, any applicable accreditation and/or service standards and all speci?cations set forth above in Section 1) or performed in violation of any federal, state or local statute, ordinance, rule or regulation. 12. Con?dentiality of State Information. Page 15 of 43 6/2014 6/2014 The Contractor understands and agrees that data, materials, and information disclosed to the Contractor may contain con?dential and protected information. The Contractor covenants that data, material and information gathered, based upon or disclosed to the Contractor for the purpose of this Contract will not be disclosed to or discussed with third parties without the prior written consent of the State. The parties acknowledge that the services to be performed by the Contractor for the State under this Contract may require or allow access to data, materials, and information containing Social Security numbers maintained by the State in its computer system or other records. In addition to the covenant made above in this Section and pursuant to 10 IAC the Contractor and the State agree to comply with the provisions of IC 4? 1?10 and IC 4?1?1 1. If any Social Security number(s) is/are disclosed by the Contractor, the Contractor agrees to pay the cost of the notice of disclosure of a breach of the security of the system in addition to any other claims and expenses for which it is liable under the terms of this Contract. Security Procedures for Disclosure of Social Security Administration Records, Information, and Data (1) The State will restrict access to Data obtained from SSA to only those authorized contractors and agents who need such Data to perform their of?cial duties in connection with purposes identi?ed in this Contract. The Contractor agrees to abide by all relevant federal laws, restrictions on access, use, and disclosure, and security requirements for SSA Data and SSA Personally Identi?able Information (S SA PII) set forth in the following documents which are available for review, by request, in the Legal Division, Central Of?ce, and incorporated herein by reference: Information Exchange Agreement Between The Social Security Administration (SSA) and The Indiana Department of Child Services (State Agency), a copy of which is on ?le and available for review, by request, in the Legal Division, Central Of?ce and incorporated herein by reference; Computer Matching and Privacy Protection Act Agreement, Agreement,? a copy of which is on ?le and available for review, by request, in the Legal Division, Central Of?ce and incorporated herein by reference; and All related attachments referred to in the IEA and the CMPPA Agreement, including, but not limited to, Attachment 3: Systems Security Requirements for SWA Access to SSA Information Through the ICON System, and Attachment 4: Information System Security Guidelines For Federal, State and Local Agencies Receiving Electronic Information ??om the Social Security Administration, copies of which are on ?le and Page 16 of 43 6/2014 available for review, by request, in the Legal Division, Central Of?ce and incorporated herein by reference. (2) The Contractor will not use, duplicate, disseminate, or disclose such Data without prior notice to and prior written approval of both the State and SSA. (3) The Contractor agrees to maintain a current list of all employees and agents with access to SSA Data and provide such list(s) to the State upon request (4) The Contractor and its agents who access, use, or disclose SSA data in a manner or purpose not authorized by this Contract may be subject to civil and criminal sanctions pursuant to applicable federal and state statutes. As used in IRS Exhibit 7 for Technology Services, which is attached hereto and hereby incorporated by reference, and as used in the remaining paragraphs of this Section: ?return? means any tax or information return, declaration of estimated tax, or claim for refund required by, or provided for or permitted under, the provisions of the Internal Revenue Code which is filed with the Secretary of the Treasury or his delegate (hereinafter in this Section referred to as ?Secretary") by, on behalf of, or with respect to any Person (hereinafter in this Section, "Person" means an individual, a trust, estate, partnership, association, company or corporation), and any amendment or supplement thereto, including supporting schedules, attachments, or lists which are supplemental to, or part of, the return so filed. "return information" means (A) a Taxpayer?s (hereinafter in this Section, "Taxpayer" means any Person subject to any internal revenue tax) identity, the nature, source, or amount of his income, payments, receipts, deductions, exemptions, credits, assets, liabilities, net worth, tax liability, tax withheld, de?ciencies, overassessments, or tax payments, whether the Taxpayer's return was, is being, or will be examined or subject to other investigation or processing, or any other data, received by, recorded by, prepared by, furnished to, or collected by the Secretary with respect to a return or with respect to the determination of the existence, or possible existence, of liability (or the amount thereof) of any Person under the IRC for any tax, penalty, interest, fine, forfeiture, or other imposition, or offense, (B) any part of any written determination or any background file document relating to such written determination (as such terms are defined in section 6110(b) of the IRC) which is not open to public inspection under section 6110 ofthe IRC, Page 17 of 43 F. 13. 6/2014 (C) any advance pricing agreement entered into by a Taxpayer and the Secretary and any background information related to such agreement or any application for an advance pricing agreement, and (D) any agreement under section 7121 of the IRC, and any similar agreement, and any background information related to such an agreement or request for such an agreement, but such term does not include data in a form which cannot be associated with, or otherwise identify, directly or indirectly, a particular Taxpayer. Nothing in the preceding sentence, or in any other provision of law, shall be construed to require the disclosure of standards used or to be used for the selection of returns for examination, or data used or to be used for determining such standards, if the Secretary determines that such disclosure will seriously impair assessment, collection, or enforcement under the internal revenue laws. For any Federal tax return and return information the Contractor agrees to comply with all applicable provisions of the ?Tax Information Security Guidelines for Federal, State, and Lecal Agencies,? IRS Publication 1075, published by the Secretary of the Treasury and available at the following Internal Revenue Service website (or any designated successor website): As required by the IRC and to ensure IRS audit compliance, the Contractor must comply with all of the requirements/information set forth in IRS Exhibit 7 for Technology Services. The provisions/requirements outlined above in this Section and outlined in IRS Exhibit 7 for Technology Services equally apply to state of Indiana tax returns and return information, with "return" and "return information? utilized in this sentence in the same manner as such terms are defined above in paragraph of this Section, except the terms .used herein are received by, recorded by, prepared by, furnished to, collected by, or otherwise related to the Indiana Department of State Revenue. Continuity of Services. The Contractor recognizes that the service(s) to be performed under this Contract are vital to the State and must be continued without interruption and that, upon Contract expiration and/0r termination, a successor, either the State or another contractor, may continue them. The Contractor agrees to: 1. Furnish phase-in training, and 2. Exercise its best efforts and cooperation to effect an orderly and efficient transition to a successor. The Contractor shall, upon the State's written notice: 1. Furnish phase-in, phase?out services for up to sixty (60) days after this Contract expires and/or is terminated, and Page 18 of 43 14. 15. 2. Negotiate in good faith a plan with a successor to determine the nature and extent of phase?in, phase?out services required. The plan shall Specify a training program and a date for transferring responsibilities for each division of work described in the plan, and shall be subject to the State?s approval. The Contractor shall provide suf?cient experienced personnel during the phase-in, phase~out period to ensure that the services called for by this Contract are maintained at the required level of pro?ciency. During the phase?in, phase-out period, the Contractor shall allow as many personnel as practicable to remain on the job to facilitate the transition. The Contractor shall be reimbursed for all reasonable phase?in, phase?out costs costs incurred within the agreed period after contract expiration and/or termination that result ?'om phase?in, phase?out operations). Debarment and Suspension. The Contractor certi?es by entering into this Contract that neither it nor its principals nor any of its subcontractors are presently debarred, suSpended, proposed for debarment, declared ineligible or voluntarily excluded from entering into this Contract by any federal agency or by any department, agency or political subdivision of the state of Indiana. The term ?principal? for purposes of this Contract means an of?cer, director, owner, partner, key employee or other person with primary management or supervisory reSponsibilities, or a person who has a critical in?uence on or substantive control over the operations of the Contractor. The Contractor certi?es that it has veri?ed the state and federal suspension and debarment status for all subcontractors receiving funds under this Contract and shall be solely responsible for any recoupment, penalties or costs that might arise from use of a suspended or debarred subcontractor. The Contractor shall immediately notify the State if any subcontractor becomes debarred or suspended, and shall, at the State?s request, take all steps required by the State to terminate its contractual relationship with the subcontractor for work to be performed under this Contract. Default by State. If the State, sixty (60) days after receipt of written notice, fails to correct or cure any material breach of this Contract, the Contractor may cancel and terminate this Contract and institute measures to collect monies due up to and including the date of termination. 16. A. 6/2014 Disputes. Should any disputes arise with respect to this Contract, the Contractor and the State agree to act immediately to resolve such disputes. Time is of the essence in the resolution of diSputes. Page 19 of 43 B. The Contractor agrees that, the existence of a dispute notwithstanding, it will continue without delay to carry out all of its responsibilities under this Contract that are not affected by the dispute. Should the Contractor fail to continue to perform its responsibilities regarding all non?disputed work, without delay, any additional costs incurred by the State or the Contractor as a result of such failure to proceed shall be borne by the Contractor, and the Contractor shall make no claim against the State for such costs. C. If a party to the Contract is not satisfied with the progress toward resolving a dispute, the party must notify in writing the other party of this dissatisfaction. Upon written notice, the parties have ten (10) working days, unless the parties mutually agree to extend this period, following the notification to resolve the dispute. If the dispute is not resolved within ten (10) working days, a dissatis?ed party shall submit the diSpute in writing according to the following procedure: The parties agree to resolve such matters through submission in writing of their dispute to the Commissioner of IDOA. The Commissioner shall reduce a decision to writing and mail or otherwise furnish a copy thereof to the Contractor and the State within ten (10) working days after presentation of such dispute for action. The presentation may include a period of negotiations, clari?cations, and mediation sessions and will not terminate until the Commissioner or one (1) of the parties concludes that the presentation period is over. The Commissioner?s decision shall be a final and conclusive administrative decision unless either party mails or otherwise ?nnishes to the COmmissioner, within ten (10) working days after receipt of the Commissioner?s decision, a written appeal. Within ten (10) working days of receipt by the Commissioner of a written request for appeal, the decision may be reconsidered. If no reconsideration is provided within ten (10) working days, the parties may mutually agree to submit the dispute to arbitration or mediation for a determination. If a party is not satis?ed with the Commissioner?s ultimate decision, the dissatisfied party may submit the dispute to an Indiana court of competent jurisdiction. D. The State may withhold payments on disputed items pending resolution of the dispute. The unintentional nonpayment by the State to the Contractor of one (1) or more invoices not in diSpute in accordance with the terms of this Contract will not be cause for the Contractor to terminate this Contract, and the Contractor may bring suit to collect these amounts without following the disputes procedure contained herein. 17. Drug-Free Workplace Certi?cation. As required by Executive Order No. 90?5 dated April 12, 1990, issued by the Governor of . Indiana, the Contractor hereby covenants and agrees to make a good faith effort to provide and maintain a drug-free workplace. The Contractor will give written notice to the State within ten (10) days after receiving actual notice that the Contractor, or an employee of the Contractor in the state of Indiana, has been convicted of a criminal drug violation occurring in the workplace. False certification or violation of this certi?cation may result in sanctions including, but not Page 20 of 43 6/2014 limited to, suspension of Contract payments, termination of this Contract and/or debarment of contracting opportunities with the state of Indiana for up to three (3) years. in addition to the provisions of the above paragraph, if the total amount set forth in this Contract is in excess of $25,000.00, the Contractor certi?es and agrees that it will provide a drug?free workplace by: A. Publishing and providing to all of its employees a statement notifying them that the unlawful manufacture, distribution, diSpensing, possession or use of a controlled substance is prohibited in the Contractor?s workplace, and specifying the actions that will be taken against employees for violations of such prohibition; B. Establishing a drug?free awareness program to inform its employees of the dangers of drug abuse in the workplace; (2) the Contractor?s policy of maintaining a drug?free workplace; (3) any available drug counseling, rehabilitation and employee assistance programs; and (4) the penalties that may be imposed upon an employee for drug abuse Violations occurring in the workplace; C. Notifying all employees in the statement required by subparagraph A above that as a condition of continued employment, the employee will (1) abide by the terms of the statement; and (2) notify the Contractor of any criminal drug statute conviction for a violation occurring in the workplace no later than ?ve (5) days after such conviction; D. Notifying the State in writing within ten (10) days after receiving notice from an employee under subdivision above, or otherwise receiving actual notice of such conviction; E. Within thirty (30) days after receiving notice under subdivision above of a conviction, imposing the following sanctions or remedial measures on any employee who is convicted of drug abuse violations occurring in the workplace: (1) taking appropriate personnel action against the employee, up to and including termination; or (2) requiring such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state or local health, law enforcement, or other appropriate agency; and F. Making a good faith effort to maintain a drug?free workplace through the implementation of subparagraphs A through above. 18. Employment Eligibility Veri?cation. As required by IC 22?5?1 .7, the Contractor swears or af?rms under the penalties of perjury that the Contractor does not knowingly employ an unauthorized alien. The Contractor further agrees: A. The Contractor shall enroll in and verify the work eligibility status of all his/her/its newly hired employees through the E?Verify program as de?ned in IC The Contractor is not required to participate should the E-Verify program cease to exist. Page 21 of 43 6/2014 Additionally, the Contractor is not required to participate if the Contractor is self- employed and does not employ any employees. B. The Contractor shall not knowingly employ or contract with an unauthorized alien. The Contractor shall not retain an employee or contract with a person that the Contractor subsequently learns is an unauthorized alien. C. The Contractor shall require his/her/its subcontractors, who perform work under this Contract, to certify to the Contractor that the subcontractor does not knowingly employ or contract with an unauthorized alien and that the subcontractor has enrolled and is participating in the E?Verify program. The Contractor agrees to maintain this certi?cation throughout the duration of the term of a contract with a subcontractor. The State may terminate for default if the Contractor fails to cure a breach of this provision no later than thirty (30) days after being noti?ed by the State. 19. Employment Option. If the State determines at any time during the term of this Contract (including any extensions thereto) that it would be in the State?s best interest to hire an employee of the Contractor, the Contractor will release the selected employee from any non-competition agreements that may be in effect within thirty (30) days of receiving a request for such release from the State. This release will be at no cost to the State or the employee. 20. Force Majeure. In the event that either party is unable to perform any of its obligations under this Contract or to enjoy any of its bene?ts because of natural disaster or decrees of governmental bodies not the fault of the affected party (hereinafter referred to as a ?Force Maj eure Event?), the party who has been so affected shall immediately give notice to the other party and shall do everything possible to resume performance. Upon receipt of such notice, all obligations under this Contract shall be immediately suspended. If the period of nonperforrnance exceeds thirty (30) days from the receipt of notice of the Force Majeure Event, the party whose ability to perform has not been so affected may, by giving written notice, terminate this Contract. 21. Funding Cancellation. A. It is understood and agreed by the parties that all obligations of the State are contingent upon the availability and continued appropriation of state and federal funds, and in no event shall the State be liable for any payments in excess of available appropriated funds. B. If DCS makes a written determination that federal and/or state of Indiana funds are not appropriated or otherwise available to support continuation of performance of this Contract, this Contract shall be immediately canceled upon the Contractor?s receipt of a written notice from DCS specifying such determination. Such written notice shall be sent in accordance with the speci?cations set forth in Section 33. A determination by DCS Page 22 of 43 6/2014 22. that funds are. not appropriated or otherwise available to support continuation of performance shall be ?nal and conclusive. When the Director of the State Budget Agency makes a written determination that funds are not appropriated or otherwise available to support continuation of performance of this Contract, this Contract shall be canceled. A determination by the Director of the State Budget Agency that funds are not appropriated or otherwise available to support continuation of performance shall be final and conclusive. Governing Law. This Contract shall be governed, construed, and enforced in accordance with the laws of the state of Indiana, without regard to its con?ict of laws rules. Suit, if any, must be brought in the state of Indiana. 23. HIPAA Compliance. A. This Section applies only to the extent that the Contractor receives any protected health 6/2014 information as referenced in paragraph below, or any alcohol and drug abuse records (as de?ned in IC 1648?2?12), health records (as de?ned in IC or mental health records (as de?ned in IC concerning any individual, in connection with performance of any services under this Contract. Any records included in the above de?nitions in IC 16-18?2 are referred to herein as "Health Records." HIPAA. The Contractor agrees to comply with all applicable requirements of the Health Insurance Portability and Accountability Act of 1996, Title II, Administrative Simpli?cation including amendments signed into law under the American Recovery and Reinvestment Act of 2009 in particular, applicable provisions of Title known as the Health Information Technology for Economic and Clinical Health Act Subtitle D, in all activities related to this Contract, to maintain compliance during the term of this Contract and after as may be required by federal law, to operate any systems used to ?il?ll the requirements of this Contract in full compliance with all applicable provisions of HIPAA and to take no action which adversely affects the State?s HIPAA compliance. Terms used, but not otherwise de?ned, in this Contract shall have the same meaning as those found in the HIPAA Regulations under 45 CFR Parts 160, 162, and 164. To the extent required by the provisions of HIPAA and regulations promulgated thereunder, the Contractor assures that it will appropriately safeguard all forms of Health Records and/or Protected Health Information (PHI), as de?ned by the regulations, which is made available to or obtained by the Contractor in the course of its work under this Contract. The Contractor agrees to comply with all applicable requirements of law relating to Health Records and/or PHI with reSpect to any task or other activity it performs for the State including, as required by the ?nal Privacy and Security regulations: Page 23 of 43 6/2014 (1) (2) (3) (4) (5) (6) (7) Implementing the following HIPAA requirements for any forms of Health Records and/ or PHI that the Contractor receives, maintains, or transmits on behalf of the State: Administrative safeguards under 45 CFR 164308 Physical safeguards under 45 CFR 164.310 Technical safeguards under 45 CFR 164.312 Policies and procedures and documentation requirements under 45 CFR 164.3 16; Implementing a disaster recovery plan, as appropriate for work conducted for this Contract, which includes mechanisms to recover data and/or alternative data storage sites, as determined by the State to be necessary to uphold integral business functions in the event of an unforeseen disaster; Not using or further disclosing Health Records and/or PHI other than as permitted or required by this Contract or by applicable law; Immediately reporting to HIPAA Compliance Office any security and/or privacy breach directly relating to the work performed for this Contract of which the Contractor becomes aware; Mitigating, to the extent practicable, any harmful effect that is known to the Contractor and immediately reporting to HIPAA Compliance Office any use or disclosure by the Contractor, its agent, employees, subcontractors or third parties, of Health Records and/or PHI obtained under this Contract in a manner not provided for by this Contract or by applicable law of which the Contractor becomes aware; Ensuring that any subcontractors or agents to whom the Contractor provides Health Records and/or PHI received from, or created or received by the Contractor, subcontractors or agents on behalf of the State agree to the same restrictions, conditions and obligations applicable to such party regarding Health Records and/or PHI and agree to implement the required safeguards to protect it; Making the Contractor's internal practices, books and records related to the use or disclosure of Health Records and/or PHI received from, or created or received by the Contractor on behalf of the State available to the State at its request or to the Secretary of the United States Department of Health and Human Services for purposes of determining the State?s compliance with applicable law. The Contractor shall immediately notify HIPAA Compliance Of?ce upon receipt by the Contractor of any such request from the Secretary of DHHS or designee, and shall provide HIPAA Compliance Of?ce with copies of any materials made available in response to such a request; Page 24 of 43 (8) In accordance with procedures established by the State, making available the information required to provide an accounting of disclosures pursuant to applicable law, if the duties of the Contractor include disclosures that must be accounted for; (9) Making available Health Records and/or PHI for amendment and incorporating any amendments to Health Records and/or PHI in accordance with 45 CFR 164.526, if the Contractor maintains Health Records and/or PHI subject to amendment; (10) Make Health Records and/or PHI available to individuals entitled to access and requesting access in compliance with 45 CFR 164.524 and the duties of the Contractor; (11) At the discretion of the State, authorizing termination of the Contract if the Contractor has violated a material provision of this Section; and (12) At the termination of the Contract, the Contractor shall return or destroy all Health Records and/or PHI received or created under the Contract. If the State determines return or destruction is not feasible, the protections in this Contract shall continue to be extended to any Health Records and/or PHI maintained by the Contractor for as long as it is maintained. C. Drug and Alcohol Patient Abuse Records. In the performance of the services listed in this Contract, the Contractor may have access to con?dential information concerning the disclosure and use of alcohol and drug abuse patient records. The Contractor understands and agrees that data, materials and information disclosed to the Contractor may contain con?dential and protected data, including con?dential individual information concerning alcohol and drug abuse patient records. Therefore, the Contractor promises and assures that any such con?dential data, material, and information gathered or disclosed to the Contractor for the purposes of this Contract and speci?cally identi?ed as Con?dential Information will not be disclosed or discussed with others without the prior written consent of the State. The Contractor and the State shall comply with applicable requirements under 42 CF Part 2 and any other applicable federal or state statutory or regulatory requirements. The Contractor shall immediately report any unauthorized disclosures of these records to HIPAA Compliance Of?ce. 24. Indemni?cation. The Contractor agrees to indemnify, defend, and hold harmless the State, its agents, of?cials, and employees from all third~party claims and suits including court costs, attorney?s fees, and other expenses caused by any negligent act or omission or the willful misconduct of the Contractor and] or its subcontractors, if any, in the performance of this Contract. The State shall not provide such indemni?cation to the Contractor. Page 25 of 43 6/2014 25. 26. If the Independent Contractor; Worliers? Compensation Insurance. The Contractor is performing as an independent entity under this Contract. No part of this Contract shall be construed to represent the creation of an employment, agency, partnership, or joint venture agreement between the parties. Neither party will assume liability for any injury (including death) to any persons, or damage to any property, arising out of the acts or omissions of the agents, employees, or subcontractors of the other party. The Contractor shall provide all necessary unemployment and workers? compensation insurance for the Contractor?s employees, and shall provide the State with a Certi?cate of Insurance evidencing such coverage prior to starting work under this Contract. Information Technology Enterprise Architecture Requirements. Contractor provides any information technology related products or services to the State, the Contractor shall comply with all Indiana Of?ce of Technology standards, policies and guidelines, which are online at The Contractor speci?cally agrees that all hardware, software and services provided to or purchased by the State shall be compatible with the principles and goals contained in the electronic and information technology accessibility standards adopted under Section 508 of the Federal Rehabilitation Act of 1973 (29 U.S.C. 794d) and IC 4?13.1?3. Any deviation from these architecture requirements must be approved in writing by IOT in advance. The State may terminate this Contract for default if the Contractor fails to cure a breach of this provision within a reasonable time. 27. Insurance. A. The Contractor and their subcontractors if any) shall secure and keep in force during the term of this Contract the following insurance coverages (if applicable) covering the Contractor for covered claims which may arise out of or result from Contractor?s performance under this Contract: 1. Commercial general liability, including contractual liability coverage, and products or completed operations coverage (if applicable), with minimum liability limits not less than $1,000,000 per aggregate and an umbrella liability policy in the amount of $5,000,000 unless additional coverage is required by the State. The State is to be named as an additional insured. The policy shall be primary and non?contributory to any other insurance or self insurance maintained by the State. 2. Automobile liability for owned, non?owned and hired autos with minimum liability limits of $1,000,000 combined single limit, and an umbrella liability policy in the amount of $5,000,000. The State is to be named as an additional insured. The policy shall be primary and non-contributory to any insurance or self insurance maintained by the State. 3. Professional Liability, also known as Errors and Omissions Insurance, for those 6/2014 Contractors required to hold a professional license by the Indiana Professional Licensing Agency with limits not less than $5,000,000. This is coverage available to pay for Page 26 of 43 wrongful acts, errors and omissions arising out of the Contractor?s performance of professional or business related duties, with coverage tailored to the needs of the speci?c profession. Coverage for the bene?t of the State shall continue for a period of two (2) years after the end date of service provided under this Contract 4. Fiduciary Liability would be required if the Contractor is responsible for the management and oversight of its various employee bene?t plans and programs such as pensions, pro?t? Sharing and savings, among others for the bene?t of its employees. Limits should be no less than $5,000,000. 5. Valuable Papers and Records coverage, available under an ?all risk? property policy, is recommended when any plans, drawings, media, data, records, reports, billings and other documents are produced or used under this agreement. Insurance must have limits suf?cient to pay for the re?creation and reconstruction of such records; however, coverage is only triggered in the event of a covered peril property loss 6. The Contractor shall secure the appropriate Surety or Fidelity Bond(s) as required by the state department served or by applicable statute. 7. The Contractor shall provide proof of such insurance coverage by tendering to the undersigned State representative a certi?cate of insurance prior to the commencement of this Contract and proof of workers? compensation coverage meeting all statutory requirements of IC ?22?3-2. In addition, proof of an ?all states endorsement? to the workers? compensation policy covering claims occurring outside the State is required if any of the services provided under this Contract involve work outside of Indiana. B. The Contractor?s insurance coverage must meet the following additional requirements: 1. The insurer must have a certi?cate of authority or other appropriate authorization to operate in the state in which the policy was issued. 2. Any deductible or self?insured retention amount or other similar obligation under the insurance policies shall be the sole obligation of the Contractor. 3. The full'extent of any coverage actually secured by the Contractor in excess of the minimum requirements set forth above shall be available. The duty to indemnify the State under this Contract shall not be limited by the insurance required in this Contract. 4. The insurance required in this Contract, except for professional liability, through a policy or endorsement(s), shall include a provision that the policy and endorsements may not be canceled or non-renewed without thirty-(3 0) days? prior written notice to the undersigned State agency. 5. The Contractor waives and agrees to require their insurer to waive their rights of subrogation against the State of Indiana under the workers? compensation, general and automobile liability policies. Page 27 of 43 6/2014 C. Failure to provide insurance as required in this Contract may be deemed a material breach of contract entitling the State to terminate this Contract. The Contractor shall furnish a certi?cate of insurance and required endorsements to the State before the commencement of this Contract. 28. 29. Key Person(s). If both parties have designated that certain individual(s) are essential to the services offered, the parties agree that should such individual(s) leave their employment during the term of this Contract for whatever reason, the State shall have theright to terminate this Contract upon thirty (30) days? prior written notice if the Contractor does not provide a replacement of comparable skill and experience acceptable to the State prior to the effective date of termination. Any such termination shall'be deemed a termination for convenience. In the event that the Contractor is an individual, that individual shall be considered a key person and, as such, essential to this Contract. Substitution of another for the Contractor shall not be permitted Without express written consent of the State. Nothing in paragraphs A and above shall be construed to prevent the Contractor from . using the services of others to perform tasks ancillary to those tasks which directly require the expertise of the key person. Examples of such ancillary tasks include secretarial, clerical, and common labor duties. The Contractor shall, at all times, remain responsible for the performance of all necessary tasks, whether performed by a key person or others. Key person(s) to this Contract is/are: Dr. Jennifer Benning Licensing'Standards. The ContractOr, its employees, and subcontractors shall comply with all applicable licensing standards, certi?cation standards, accrediting standards and any other laws, rules, or regulations governing services to be provided by the Contractor pursuant to this Contract. The State will not pay the Contractor for any services performed when the Contractor, its employees or subcontractors are not in compliance with such applicable standards, laws, rules or regulations. If any license, certi?cation or accreditation expires or is revoked, or any disciplinary action is taken against an applicable license, certi?cation or accreditation, the Contractor shall notify the State immediately and the State, at its option, may immediately terminate this Contract. 30. Merger Modi?cation. This Contract constitutes the entire agreement between the parties. No understandings, agreements, or representations, oral or written, not speci?ed within this Contract will be valid provisions of this Contract. This Contract may not be modi?ed, supplemented, or amended, except by written agreement signed by all necessary parties. 6/2014 Page 28 of 43 31. Minority and Women?s Business Enterprises Compliance. Award of this Contract may have been based, in part, on the participation plan. The following certi?ed MBE or WBE subcontractors will be participating in this Contract: MBEIWBE PHONE COMPANY NAME SCOPE OF PRODUCTS mare; SERVICES DATE AMOUNT NONE A copy of each subcontractor agreement must be submitted to Division within thirty (30) days of the effective date of this Contract. Failure to provide a COpy of any subcontractor agreement will be deemed a violation of the rules governing procurement, and may result in sanctions allowable under 25 IAC 5-7-8. Failure to provide any subcontractor agreement may also be considered a material breach of this Contract. The Contractor must obtain approval from Division before changing the participation plan submitted in connection with this Contract. The Contractor shall report payments made to Division subcontractors under this Contract on a basis. reports shall be made using the online audit tool, commonly referred to as ?Pay Audit.? Division subcontractor payments shall also be reported to the Division as reasonably requested and in a format to be determined by the Division. 32. Nondiscrimination. Pursuant to the Indiana Civil Rights Law, speci?cally including IC ?22~9-1-10, and in keeping with the purposes of the federal Civil Rights Act of 1964, the Age Discrimination in Employment Act, and the Americans with Disabilities Act, the Contractor covenants that it shall not discriminate against any employee or applicant for employment relating to this Contract with respect to the hire, tenure, terms, conditions or privileges of employment or any matter directly or indirectly related to employment, because of the employee?s or applicant?s race, color, national origin, religion, sex, age, disability, ancestry, status as a veteran, or any other characteristic protected by federal, state, or local law (?Protected Characteristics?). Contractor certifies compliance with applicable federal laws, regulations, and executive orders prohibiting discrimination based on the Protected Characteristics in the provision of services. Breach of this paragraph may be regarded as a material breach of this Contract, but nothing in this paragraph shall be construed to imply or establish an employment relationship between the State and any applicant or employee of the Contractor or any subcontractor. The State is a recipient of federal funds, and therefore, where applicable, Contractor and any subcontractors shall comply with requisite affirmative action requirements, including reporting, pursuant to 41 CFR Chapter 60, as amended, and Section 202 of Executive Order 11246. 33. Notice to Parties. A. Whenever any notice, statement or other communication is required under this Contract, Page 29 of 43 6/2014 34. it shall be sent via ?rst?class US. mail and/or e?mailed to the following addresses, unless otherwise specifically advised. (1) Notices to the State shall be sent and/or e?mailed to: Richard Peterson CFO Indiana Department of Child Services 402 Washington St W393 Indianapolis, IN 46204 Rick.Peterson@dcs.in.gov (2) Notices to the Contractor shall be sent and/or e?mailed to: Dr. Jennifer Benning DirectorfProj ect Manager MAXIMUS Human Services, Inc. 1892 Metro Center Drive Reston Virginia 20190 ienniferbenning??maximusxom Notice of any change in the person or address to whom notices should be sent and/or 6? mailed, as speci?ed in paragraph A of this Section, shall be given to the other party in the manner provided in paragraph A of this . Section. As required by IC 4?13?2?14.8, payments to the Contractor shall be made via electronic funds transfer in accordance with instructions ?led by the Contractor with the Indiana Auditor of State. Order of Precedence; Incorporation by Reference. Any inconsistency or ambiguity in this Contract shall be resolved by giving precedence in the following order: (1) This Contract; (2) all exhibits attached to this Contract; (3) the Contractor?s response to RFS 14?025, which in its entirety is incorporated herein by reference even though a complete COpy of the reSponse is not attached hereto due to its volume and the parties acknowledge that each of them has ready access to a complete copy. All of the foregoing are incorporated fully by reference. 35. A. 6/2014 Ownership of Documents and Materials. All documents, records, programs, data, ?lm, tape, articles, memoranda, and other materials developed under this Contract shall be considered ?work for hire? and the Contractor transfers any ownership claim to the State and all such materials will be the property of the State. Use of these materials, other than related to contract performance by the Contractor, without the prior written consent of the State, is prohibited. The Contractor speci?cally releases to the State any property right which the Contractor may Page 30 of 43 36. 6/2014 have to copyright, license, patent, or otherwise dispose of data, ?ndings, recommendations, or other work product of this Contract. The Contractor shall provide the State full, immediate, and unrestricted access to the work product during the term of this Contract and as necessary thereafter. The Contractor shall grant the State shared access to all documents, including child ?les, records, programs, data, ?lm, tape, articles, memoranda, and other materials related to this Contract. The Contractor shall provide the State full, immediate, and unrestricted access to such documents and materials during the term of this Contract and as necessary thereafter. During the performance of this Contract, the Contractor shall be responsible for any loss of or damage to any of the above-referenced materials developed for or supplied by the State and/or used to develop or assist in the services provided while the materials are in the possession of the Contractor. Any loss or damage thereto shall be restored at the Contractor?s expense. The Contractor shall also be responsible for preserving and protecting the ownership and property rights of the State in all work in progress and other property to which the State is entitled hereunder, while the property is in the control or custody of the Contractor. - All documents, materials, processes, methodologies, systems, techniques and know?how in existence prior to the commencement of services under this contract (Contractor . Intellectual Property) are and remain the sole and exclusive property of the Contractor. No license or right of any kind in Contractor Intellectual Property is granted to the State by virtue of this Contract Payments and Fiscal Requirements. All payments shall be made 35 days in arrears in conformance with State ?scal policies and procedures and, as required by IC ?4-13-2-14.8, by electronic funds transfer to the ?nancial institution designated by the Contractor in writing unless a speci?c waiver has been obtained from the Indiana Auditor of State. No payments will be made in advance of receipt of the goods or services that are the subject of this Contract except as permitted by IC ?4~l3?2?20. The State Budget Agency and the Contractor acknowledge that Contractor is being paid in advance for the maintenance of equipment and/or software. Pursuant to IC ?4~13?2? 20(b)(14), Contractor agrees that if it fails to perform the maintenance required under this Contract, upon receipt of written notice from the State, it shall refund the consideration paid, pro-rated through the date of non-performance. The Contractor shall submit invoices/claim forms and such invoice/claim documentation as may be required by DCS for payment pursuant to this Contract. DCS will notify the Contractor of any change in invoice/claim procedure, and the Contractor shall use whatever invoice/claim forms and documentation are required by then current procedure and shall submit the appropriate invoices/claim forms and documentation to DCS, as directed. Invoices/claim forms may be submitted for services performed during the calendar Page 31 of 43 month(s) preceding the date of the invoice and/or upon timelines approved in Management Letter(s), for active tasks (including showing which component as outlined in Section 1 of this Contract the work falls under. Payment will be due not later than thirty~five (35) days after the date Contractor?s invoice is received by DCS together with a properly prepared invoice/claim voucher and any required documentation as approved by DCS. However, the payment due date shall not apply to any invoice/claim that is disapproved or returned to the Contractor by DCS for revision or additional documentation, within thirty??ve (35) days after the date it is received by DCS. The Contractor's invoice must be dated no earlier than the later of the first date the Contractor is entitled to submit an invoice/claim for payment under the applicable provision of this Contract, or one day before the date the invoice and accompanying claim documentation is delivered or mailed to DCS. D. An invoice will not be deemed to be properly prepared as required above in paragraph if it is not received within ten (10) business days of the date included on the invoice (the ?Invoice Date?). Any invoices submitted more than ten (10) business days after the Invoice Date will be deemed improperly prepared and will not be paid. DCS shall return such improperly prepared invoices to the Contractor for revision and such invoices must be resubmitted by the Contractor with a current Invoice Date in order to be processed for payment. E. A properly prepared invoice/claim must be submitted to DCS within ninety (90) calendar days after the date services are provided or costs incurred pursuant to this Contract. DCS may elect to deny payment of any invoices/claims that are not timely submitted as required in this paragraph. In the event the Contractor delays submitting a claim for which it expects third?party reimbursement, the Contractor may submit a written explanation to DCS as to why the claim was not timely submitted. If the claim was delayed because of billing Medicaid, Medicare, or private insurance for reimbursement that was denied, the explanation must include the speci?c reason(s) for denial. If DCS deems that such written explanation described above is satisfactory, DCS shall pay otherwise valid claims. In the event that Medicaid, Medicare, or private insurance has denied reimbursement because the Contractor failed to provide adequate documentation for an otherwise reimbursable claim, DCS will only be liable to pay the amount it would have paid had Medicaid, Medicare, or private insurance approved the claim. F. Approval and payment of ?nal invoices/claims will be conditioned upon receipt and approval of all State?required documentation. As State claiming or recordkeeping systems change, the Contractor may need to modify its systems to be compatible with State systems. The State will provide reasonable notice of any such changes. 37. Penalties/Interest/Attorney?s Fees. The State will in good faith perform its required obligations hereunder and does not agree to pay any penalties, liquidated damages, interest or attorney?s fees, except as permitted by Indiana law, in part, IC 5?17-5, IC 34-54-83, IC 34?13?1, and IC 34-52?2?3. Page 32 of 43 6/2014 Notwithstanding the provisions contained in IC 5?17-5, any liability resulting from the State?s failure to make prompt payment shall be based solely on the amount of funding originating from the State and shall not be based on funding from federal or other sources. 38. Progress Reports. The Contractor shall submit progress reports to the State upon request. The report shall be oral, unless the State, upon receipt of the oral report, should deem it necessary to have it in written form. The progress reports shall serve the purpose of assuring the State that work is progressing in line with the schedule, and that completion can be reasonably assured on the scheduled date. 39. Public Record. The Contractor acknowledges that the State will not treat this Contract as containing con?dential information, and will post this Contract on its website as required by Executive Order 05?07. Use by the public of the information contained in this Contract shall not be considered an act of the State. 40. Renewal Option. There may be two (2) one~year (1?year) renewals of this Contract. Such renewal(s) shall be under the same terms and conditions as this Contract (except'as Speci?ed herein below), subject to the approval of the Commissioner of IDOA and the State Budget Director in compliance with IC 5-22-17-4. If this Contract is renewed for a third year, the year 3 renewal must contain the pricing terms and hourly rates included in Section 2 of this Contract (including Exhibits Optional year 3 renewal, and must also be subject to the projected total project costs for such renewal year set out therein. If this Contract is renewed for a fourth year, this year 4 renewal must contain the pricing terms and hourly rates included in Section 2 of this Contract (including Exhibits optional year 4 renewal, and must also be subject to the projected total project costs for such renewal year set out therein. Any and all renewals shall become effective only when executed by both parties. 41. Severability. The invalidity of any Section, subsection, clause or provision of this Contract shall not affect the validity of the remaining Sections, subsections, clauses or provisions of this Contract. 42. Substantial Performance. This Contract shall be deemed to be substantially performed only when fully performed according to its terms and conditions and any written amendments or supplements. 43. Taxes. The State is exempt from most state and local taxes and many federal taxes. The State will not be responsible for any taxes levied on the Contractor as a result of this Contract. Page 33 of 43 6/2014 44. Termination for Convenience. This Contract may be terminated, in whole or in part, by the State, which shall include and is not limited to the Indiana Department of Administration and the State Budget Agency, whenever, for any reason, the State determines that such termination is in its best interest. Termination of services shall be effected by delivery to the Contractor of a termination notice (the "Termination Notice") at least thirty (30) days prior to the termination effective date, specifying the extent to which performance of services under such termination becomes effective. The Contractor shall be compensated for services properly rendered prior to the effective date of termination. The State will not be liable for services performed after the effective date of termination. The Contractor shall be compensated for services herein provided but in no case shall total payment made to the Contractor exceed the original contract price or shall any price increase be allowed on individual line items if canceled only in part prior to the original termination date. For the purposes of this paragraph, the parties stipulate and agree that the Indiana Department of Administration shall be deemed to be a party to this Contract with authority to terminate the same for convenience when such termination is determined by the Commissioner of IDOA to be in the best interests of the State. 45. Termination for Default and Termination or Suspension for Additional Reasons. I A. Termination for Default (1) With the provision of thirty (30) days? notice to the Contractor, the State may terminate this Contract in whole or in part if the Contractor fails to: Correct or cure any breach of this Contract; the time to correct or cure the breach may be extended beyond thirty (30) days if the State determines progress is being made and the extension is agreed to by the parties; Deliver the supplies or perform the services within the time specified in this Contract or any extension; (0) Make progress so as to endanger performance of this Contract; or Perform any of the other provisions of this Contract. (2) If the State terminates this Contract in whole or in part, it may acquire, under the terms and in the manner the State considers appropriate, supplies or services similar to those terminated. However, the Contractor shall continue the work not terminated. (3) The State shall pay the contract price for completed supplies delivered and services accepted. The Contractor and the State shall agree on the amount of payment for manufacturing materials delivered and accepted and for the protection and preservation of the property. Failure to agree will be a dispute under the Disputes clause of this Contract. The State may withhold from these Page 34 of 43 6/2014. 6/2014 amounts any sum the State determines to be necessary to protect the State'against loss because of outstanding liens or claims of former lien holders. (4) The rights and remedies of the State in this clause are in addition to any other rights and remedies provided by law or equity or under this Contract. Termination for Endangering Life. Health, or Safety of Any Person. If the State determines that any breach of this Contract by the Contractor endangers the life, health, or safety of any person, the State may terminate this Contract by orally notifying the Contractor of the termination, followed by the mailing of written noti?cation thereof within three (3) business days. Termination pursuant to this paragraph shall become effective at the time of the oral noti?cation. Termination for Certain Business Changes, Assignments, and Bankruptcy. The Contractor agrees that the State may terminate this Contract immediately if the Contractor ceases doing business; (2) assigns, transfers or delegates any of its duties and responsibilities for performance of this Contract to any other person or entity Without prior written approval of the State; (3) changes or reorganizes its business in a manner which substantially impairs the ability of the Contractor to perform the services described in this Contract and its exhibits/attachments; (4) attempts to assign, transfer, convey or encumber this Contract in any way except as expressly authorized pursuant to the conditions of this Contract; and/or (5) if an order for relief is entered upon a voluntary or involuntary petition by or against the Contractor under any provision of Title 11, United States Code, and the trustee or debtor?in? possession does not timely assume all obligations of this Contract to be performed by the Contractor, as provided in 11 U.S.C. 365, or in the event of appointment of a receiver for the Contractor or execution of an assignment for the bene?t of creditors of the Contractor. . Any notice of termination pursuant to this paragraph shall be provided in writing to the Contractor. Termination for Change in Legal Status. The Contractor shall provide written notice to the State of any change in the Contractor?s legal name or legal status including, but not limited to, a sale or dissolution of the Contractor?s business. The State reserves the right to terminate this Contract should the Contractor?s legal status change in any way. Termination pursuant to this paragraph shall be effective from the date of the change in the Contractor?s legal status. - Termination for Additional Reasons Stated in this Contract. This Contract is also subject to termination or suspension as stated in any other Section of this Contract, including, but not limited to: Section 7 (Audits and Monitoring); Section 10 (Compliance with Laws); Section 2 (Default by State); Section 17 (Drug-Free Workplace Certi?cation); Section 18 (Employment Eligibility Veri?cation); Section 20 (Force Maj eure); Section 21 (Funding Cancellation); Section 23 (HIPAA Compliance); Section 26 (Information Technology Enterprise Architecture Requirements); Section 27 (Insurance); Section 28 (Key Person(s)); Section 29 (Licensing Standards); Section 32 (Nondiscrimination); Section 44 . (Termination for Convenience); Section 50 (Reports and Records Concerning Services); and Section 52 (Con?ict of Interest). Page 35 of 43 F. State Only Liable for Payment for Services Properly Provided Prior to Termination. If this Contract is terminated for any reason, the State shall only be liable for payment for services properly provided prior to the effective date of termination. The State shall not be liable for any costs incurred by the Contractor in reliance upon this Contract subsequent to the effective date of termination. 46. Travel. No expenses for travel will be reimbursed unless speci?cally permitted under the sCope of services or consideration provisions. Expenditures made by the Contractor for travel will be reimbursed at the current rate paid by the State and in accordance with the State Travel Policies and Procedures as speci?ed in the current Financial Management Circular. Out-of?state travel requests must be reviewed by the State for availability of funds and for appropriateness per Circular guidelines. 47. Indiana Veteran?s Business Enterprise Compliance. Award of this Contract may have been based, in part, on the Indiana Veteran?s Business Enterprise participation plan. The following IVBE subcontractors will be participating in this Contract: VBE PHONE COMPANY NAME SCOPE OF PRODUCTS andror SERVICES DATE AMOUNT NONE A copy of each subcontractor agreement shall be submitted to IDOA within thirty (30) days of the request. Failure to provide any subcontractor agreement may also be considered a material breach of this Contract. The Contractor must obtain approval from IDOA before changing the IVBE participation plan submitted in connection with this Contract. The Contractor shall report payments made to IVBE subcontractors under this Contract on a basis. reports shall be made using the online audit tool, commonly referred to as ?Pay Audit.? IVBE subcontractor payments shall also be reported to IDOA as reasonably requested and in a format to be determined by IDOA. I 48. Waiver of Rights. No right conferred on either party under this Contract shall be deemed waived, and no breach of this Contract excused, unless such waiver is in writing and signed by the party claimed to have waived such right. Neither the State?s review, approval or acceptance of, nor payment for, the services required under this Contract shall be construed to operate as a waiver of any rights under this Contract or of any cause of action arising out of the performance of this Contract, and the Contractor shall be and remain liable to the State in accordance with applicable law for all damages to the State caused by the Contractor?s negligent performance of any of the services furnished under this Contract. No waiver by the State of any breach of any provision of this Page 36 of 43 6/2014 Contract shall constitute a waiver of any prior, concurrent, or subsequent breach of the same or any other provisions hereof. 49. Work Standards. The Contractor shall execute its responsibilities by following and applying at all times the highest professional and technical guidelines and standards applicable to the services it provides pursuant to this Contract. The Contractor is responsible for ensuring that its employees, agents, and any subcontractors conform to the professional and technical guidelines and standards applicable to all services and programs that the Contractor provides under this Contract. If the State becomes dissatis?ed with the work product of or the working relationship with those individuals assigned to work on this Contract and/or those individuals assigned to provide any of the services pursuant to this Contract, the State may request in writing the replacement of any or all such individuals, and the Contractor shall grant such request. 50. Reports and Records Concerning Services. A. In addition to any reports and case record documentation required by any provisions of this Contract, the Contractor shall prepare, maintain, and timely provide to the State, upon request, any statistical reports, program reports, other reports, or other similar information requested by the State relating to the services provided by the Contractor pursuant to this Contract in the format designed by the Contractor and approved by the State in the format requested by the State, including, but not limited to, reports/information incident to monitoring or evaluating performance by the Contractor of the services speci?ed in this Contract, and/or any statistical and program reports as are required by any laws, regulations, or polices of the United States or the state of Indiana that are applicable to the use of funds paid to the Contractor pursuant to this Contract. In order to comply with this paragraph A, the Contractor shall, if requested by DCS, be required to submit reports in accordance with whatever frequency is requested by DCS quarterly, or more or less frequent), with respect to services provided to a child or family referred to the Contractor for provision or delivery of services pursuant to this Contract or with respect to any other services performed or any other issues pertinent to this Contract. These reports must contain all of the information requested by the State and must conform to the format and content of the reporting procedure specified by the State. B. This Section 50 (including all of its subsections) applies to any services that the Contractor provides pursuant to this Contract, including, but not limited to, all services to a particular child or family referred to the Contractor pursuant to this Contract, including (if applicable) any services related to probation. C. The Contractor shall cooperate with the State in any utilization review and shall, if requested, conduct or submit to any audit(s) requested by the State in addition to the audit following expiration or termination of this Contract required under Section 7 of this Contract. Page 37 0f 43 6/2014 51. Prompt compliance by the Contractor with a request by the State to submit program and ?nancial documentation during the term of this Contract is critical to this Contract. A failure of the Contractor to comply with any such request could result in immediate suspension of payments hereunder or termination of this Contract by the State. In the event the contents of any report is considered de?cient by the State, the State will so notify the Contractor in writing, not later than thirty (30) days after receipt of the report. The notice will specify the nature of the de?ciency and the corrective action or information needed. The Contractor shall submit to the State any revised or supplemental report within thirty (30) days after the date of the de?ciency notice. The Contractor shall maintain records as necessary or appropriate to document services provided pursuant to this Contract. Those records shall include, but not be limited to, documentation relating to, or the time and place of meeting with, persons served by the Contractor and the persons who attended those meetings and copies of any reports or other materials representing the work product of any services provided by the Contractor pursuant to this Contract. Delivery of Documents, Files, Data, Studies or Reports to the State Upon Termination or Expiration of this Contract. Upon expiration or termination of this Contract, all documents, ?les, data, studies or reports prepared by the Contractor or any subcontractor pursuant to this Contract, and any supplies purchased by the Contractor or any subcontractor with funds received through this Contract, shall be delivered to the State. The State may require the transfer of records, documents, or supplies to its own of?ces or to a designated successor. 52. A. 6/2014 Con?ict of Interest. Paragraphs through of this Section apply if the Contractor is an individual, a corporation that issues stock to individuals representing ownership shares of the corporation, a partnership, a limited liability company, or any other form of business organization or association the members or owners of which could receive a personal ?nancial bene?t or increase in personal net worth attributable to income or pro?ts received by the organization (exclusive of compensation in the form of salary or wages paid for services rendered to the organization). This Section, other than Paragraph F, does not apply if the Contractor is a nonpro?t corporation, a school or university that is not organized or operated for the ?nancial bene?t or pro?t of individual owners, or an agency of a political subdivision or other governmental organization. As used in this Section: "Immediate family" means the spouse and the unemancipated children of an individual. "Interested party" means: Page 38 of 43 53. 6/2014 (1) The individual executing this Contract; (2) An individual who has an interest of three percent or more of the Contractor, if the Contractor is not an individual; or (3) Any member of the immediate family of an individual Speci?ed under subdivision 1 or 2. ?Department" means the Indiana Department of Administration. "Commission? means the State Ethics Commission. The Department may cancel this Contract without recourse by the Contractor if any interested party is an employee of the state of Indiana. The Department will not exercise its right of cancellation under paragraph above if the Contractor gives the Department an opinion by the Commission indicating that the existence of this Contract and the employment by the state of Indiana of the interested party does not violate any statute or rule relating to ethical conduct of state of Indiana employees. The Department may take action, including cancellation of this Contract, consistent with an opinion of the Commission obtained under this Section. The Contractor has an af?rmative obligation under this Contract to disclose to the Department when an interested party is or becomes an employee of the state of Indiana. The obligation under this Section extends only to those facts which the Contractor knows or reasonably could know. The Contractor acknowledges and agrees that no employee, agent, representative, or subcontractor of the Contractor who may be in a position to participate in the decision? making process of the Contractor or its subcontractors may derive an inappropriate personal or ?nancial interest or bene?t from any activity funded through this Contract, either for himself or herself or for those with whom he or she has family or business ties. Purchase and Disposal of Property. As used in this Contract, ?equipment? means tangible, non?expendable, personal property having a useful life of more than one (1) year and having a unit acquisition cost of $5,000.00 or more. The Contractor will not expend any funds provided by the State pursuant to this Contract for the purchase or maintenance of equipment. As used in this Contract, ?supplies? includes all tangible personal property other than equipment that is purchased or acquired by the Contractor through expenditure of funds provided to the Contractor by the State pursuant to this Contract. If the Contractor has in its possession, upon expiration or termination of this Contract, unused supplies having a total aggregate fair market value exceeding $5,000.00, the Contractor may retain those supplies for use in any continuation of the program or activities funded pursuant to this Contract that is supported by a federal funding source, or any other program or activity Page 39 of 43 54. 6/2014 that is supported by a grant or contract from the State that is funded in whole or in part by a federal agency. If all or any portion of supplies having a total aggregate fair market value at expiration or termination of this Contract exceeding $5,000.00 are not needed or used for a purpose I described in paragraph above, the Contractor may retain those supplies for other uses or sell them. In either case, the Contractor shall reimburse the State for its proportionate share of the value or sale proceeds of the supplies, in the amount determined in accordance with 45 CFR If the total aggregate fair market value of supplies in the Contractor?s possession upon expiration or termination of this Contract is $5,000.00 or less, the Contractor may retain or diSpose of those supplies for its own use, without further obligation to account to the State for their disposition or proceeds thereof. The Contractor shall retain all records relating to the purchase and disposal of supplies during the term of this Contract and for a period of four (4) years from the date the Contractor submits any ?nal ?nancial status or ?nal program report to the State, or one (1) year from the resolution of any outstanding administrative, program, or ?scal audit question, or legal action, whichever is later. Lobbying Activities. Pursuant to 31 U.S.C. 1352, and any regulations promulgated thereunder, the Contractor hereby assures and certi?es, to the best of its knowledge and belief, that no federally appropriated funds have been paid, or will be paid, by or on behalf of the Contractor, to any person for in?uencing or attempting to in?uence an of?cer or employee of any agency, a member of Congress, an of?cer or employee of Congress, or an employee of a member of Congress, in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modi?cation of any federal contract, grant, loan or cooperative agreement. If any funds other than federally appropriated funds have been paid or will be paid to any person for in?uencing or attempting to in?uence an of?cer or employee of any agency, a member of Congress, an of?cer or employee of Congress, or an employee of a member of Congress in connection with this Contract, the Contractor shall complete and submit Standard ?Disclosure Form to Report Lobbying?. If the Contractor is required to submit Standard the form and instructions for preparation of the form may be obtained from the State. The Contractor shall require that the language of this certi?cation be included in any subcontracts and that all subcontractors shall certify and disclose accordingly. The foregoing certi?cation is a material representation of fact upon which reliance was or will be placed when entering into this Contract and any transactions with the State. Page 40 of 43 Submission of this certi?cation is a prerequisite for making or entering into any transaction as imposed by 31 U.S.C. 1352. Any person who fails to ?le the required certi?cation shall be subject to a civil penalty of not less than $10,000.00 and not more than $100,000.00 for each such failure. 55. Buy American. The State and the Contractor agree that, to the greatest extent applicable, all equipment and products purchased with funds provided by the State pursuant to this Contract shall be American- made. 56. Survival. All terms of this Contract which, by their nature, are intended to survive termination, in whole or in part, and/or expiration of this Contract will survive termination, in whole or in part, and/or expiration of this Contract, including, but not limited to, the following sections: Section 4. Access to Records; Section 6. Assignment of Antitrust Claims; Section 7. Audits and Monitoring; Section 12. Con?dentiality of State Information; Section 13. Continuity of Services; Section 16. Disputes; Section 19. Employment Option; Section 22. Governing Law; Section 23. HIPAA Compliance; Section 24. Indemni?cation; Section 35. Ownership of Documents and Materials; Section 36. Payment and Fiscal Requirements; Section 37. Penalties/hiterest/Attorney?s Fees; Section 39 (Public Record); Section 44. Termination for Convenience; Section 45. Termination for Default and Termination or Suspension for Additional Reasons; Section 46. Travel; Section 48. Waiver of Rights; Section 50. Reports and Records Concerning Services; Section 51. Delivery of Documents, Files, Data, Studies or Reports to the State Upon Termination or Expiration of this Contract; Section 53. Purchase and Disposal of Property; Section 54. Lobbying Activities; Section 57. Limitation of Liability. The above list of sections surviving the termination and/or expiration of this Contract is not exhaustive and there are other provisions of this Contract which shall survive the termination, in whole or in part, and/or expiration of this Contract. 57. Limitation of Liability The State agrees that the Contractor's total liability to the State for any and all damages whatsoever arising out of or in any way related to this Contract from any cause, including, but not limited to, negligence, errors, omissions, strict liability, breach of contract or breach of warranty shall not, in the aggregate, exceed two (2) times the total remuneration amount of this Contract as set forth in Section 2 of this Contract. In no event shall either party be liable for incidental, consequential, indirect or punitive damages (including damages associated with lost pro?t, lost revenue, or lost or damaged data) even if advised of the likelihood of such damages. 58. State Boilerplate Af?rmation Clause. I swear or af?rm under the penalties of perjury that I have not altered, modi?ed, changed or deleted the State?s Boilerplate contract clauses (as contained in the 2014 Page 41 of 43 6/2014 Professional Services Contract Manual) in any way except for the following clauses which are named below: 5. 7. 10. 11. 12. 13. 19. 21. 23. 25. 28. 31. 33. 34. 35. 36. 40. 45. 47. 48. 49. 50. 51. 52. 53. 54. 55. 56. 57. Assignment; Successors; and Subcontracting modi?ed; Audits and Monitoring modi?ed; Compliance with Laws - modi?ed; Condition of Payment modi?ed; Con?dentiality of State Information modified; Continuity of Services modi?ed; Employment Option modi?ed; Funding Cancellation modi?ed; HIPAA Compliance modi?ed; Independent Contractor; Workers? Compensation Insurance modi?ed; Key Person(s) modified; Minority and Women?s Business Enterprises Compliance modi?ed; Notice to Parties modi?ed; Order of Precedence; Incorporation by Reference modi?ed; Ownership of Documents and Materials modi?ed; Payments and Fiscal Requirements - modi?ed; Renewal Option modi?ed; Termination for Default and Termination or Suspension for Additional Reasons modi?ed; Indiana Veteran?s Business Enterprise Compliance modi?ed; Waiver of Rights modi?ed; Work Standards modi?ed; Reports and Records Concerning Services added; Delivery of Documents, Files, Data; Studies or Reports to the State Upon Termination or Expiration of this Contract - added; I Conflict of Interest - added; Purchase and Disposal of Property added; Lobbying Activities added; Buy American added; Survival added; and Limitation of Liability added. THE REMAINDER OF THIS PAGE HAS BEEN INTENTIONALLY LEFT BLANK 6/2014 Page 42 of 43 SIGNATURE PAGE Non?Collusion and Acceptance The undersigned attests, subject to the penalties for perjury, that the undersigned is the Contractor, or that the undersigned is the properly authorized representative, agent, member or of?cer of the Contractor. Further, to the undersigned?s knowledge, neither the undersigned nor any other member, employee, representative, agent or o?cer of the Contractor, directly or indirectly, has entered into or been offered any sum of money or other consideration for the execution of this Contract other than that which appears upon the face hereof. In Witness Whereof, the Contractor and the State have, through their duly authorized representatives, entered into this Contract. The parties, having read and understood the foregoing terms of this Contract, do by their respective signatures dated below agree to the terms thereof. Contractor: MAXINEUS i uman Services, Inc. (Where Applies le) Attested By: yet 3?0?th it?. rt Title: wSenronVice Presrdent g? mg ?it Indiana Department of Child Services Byii?" We $721.,th taerftt?ittx? Mary Beth ?ohaventura, Director Date: 3/ 7; Indiana Of?ce of Technolo__ By: (for) By: (for) Paul Baltzell, Chief Infomafy on Off: cer JessicaRobertson, Commissidher Date; 84'- Date: qt arm/M Indiana Department of Administration APPROVED as to Form and Legality: O?ice of the General Ag Brim. (for) Date: ??gf if? Page 43 of 43 6/2014 EXHIBIT 1 RES 14~025 STATE OF INDIANA Request for Service 14?025 INDIANA DEPARTMENT OF ADMINISTRATION On Behalf Of . Department of Child Services Solicitaticm For: CostAllocation, Rate Setting and Eligibility Determination Services Response Due Date: February 21?, 2014 Jennifer Michael, CPPB, Strategic Sourcing Analyst Indiana Department of Administration Procurement Division 402 Washington St. Room W478 Indianapolis indiana 46204 SECTION ONE GENERAL INFORMATION AND REQUESTED 1.1 INTRODUCTION in accordance with lndiana statute, including IC 5?22?6, the indiana Department of Administration acting on behaif ofthe Department of Child Services (DCS), requires Cost Allocation, Rate Setting and Eligibility Determination Services for the Department of Child Services- it is the intent of to solicit responses to this Request for Services (RES) in accordance with the statement of work, proposal preparation section, and speci?cations contained in this document. This RFS is being posted to the IDOA website for downloading. A nominal fee will be charged for providing hard copies. Neither this RFS nor any response (proposal) submitted hereto are to be construed as a legai offer. .12, dissonance Following are explanations of terms and abbrevlatlons appearing throughout this RFS. Other special terms may be Used in the RFS, but they are more localized and de?ned where. they appear, rather than.? In the follovvingA list;- .j "Indiana egvniihi'sti?tii?ei??i?ig A. A mass cote. . I Commercially Useful Function Abusiness function that support?? the scope of this solicitation FullATIme Equivalent The State defines FTIE as a measurement of. an- employee? 5 A I productivity when executing the scope of Work In this RFS for a speci?c project or contract An FTE of 1 Would mean that there Is one Worker fully engaged on a project ifthere are two employees each spending 1/2 of their workingtime on a project that would also Equai 1 AFTAE implementation The succeSSful Implementation of Cost Allocation, Time and Effort Reporting Services at the Indiana Government Center as specified in the contract resulting from this RFS instalietion I: . .: deiivery and physical setup of products or services requested in this RFS Page 2 of 29 Other Gone'rnIinental Body? Products Prop?sel? Respondent I. Services I State?II State Agency TotalIBIidI I V?hder ageney,? a board a branch a IbureaILII, a commission a council a depaIrtrnent an institution an ?office, or another establishment of any oIfII?thIe following: Thejudicial branch (2 The) legislative branch [31 political AsUbdiyisidn (IinIcludesI towns cities-I local governments Ietc I) - (A) A state edooational institotion ?T?n?ibl?aood?ar manufactures! iter?sa? ?p?ci??d in this RFIS: 512'] 5-22?24? An offero'r as de?ned In 22? 2- 218.. The State will not bonsider Aa proposal responsive iftwo orI more offerors sdbmit a joint or combined proposai._ One entity or individual Must be clearly Identified as the Respondent who will be ultimately responsible ior perfoi'rnancAIe ofthe contratt . I I RFS .- The Stateof Indiana I As defined In 4913? 1 ?state .agenpy? means an authority; board branch cemrnission committee department division or other instromentality of the executive ineldding the Idepartrn ent of state government The amount thatthe [espondent proposes on its cost proposal that represents their total all inclusive price. Any Successful ReSpondent seleoted as a result of the procurement process to. deliver the products or services this 1.3 PURPOSE OF THE RFS The purpose of this RFS is to select a vendor(s) that can satisfy the State?s need for Cost Allocation, Rate Setting and Eligibility Determination Services. it is the intent of Department of Child Services (DCS) to contract with a vendorls) that provides quality Cost Allocation, Rate Setting and Eligibility Determination Services, and related tasks which will result in Page 3 of 2'3 the management and maximization of federal funding. It is also the intent of DCS to contract with a vendor that provides quality consultation services on State and Federal policies and procedures and the accurate distribution of administrative costs incurred statewide in the I management of programs operated by the Department of Child Services 1.4 SUMMARY SCOPE OF WORK The selected Respondentis) will provide services for the development and- implementation of Cost Allocation Plans, Rate Setting and Administrative Claiming, Consultative Services and related tasks which will result in the maximization of federal funding. Project tasks shall inciud e, but are not necessarily limited to, the development of Cost Allocation Pians, Rate Setting and-Administrative Claiming, Consultative services, the gathering, analysis and maintenance of key data, advisory services and training of State employees. 1.5 RFS OUTLINE . The outline ofthis RFS document is described below: Section 1 ?General information and This section provides an overview of the RFS, Requested Products or Services general timelines for the process, and a summary of the products/services being solicited by the State/Agency via this RFS Section 2 Proposal Preparation This section provides instructions on the Instruction format and Content of the RFS including a Letter of Transmittal, Business Proposal, Technical Proposal, and a Cost Proposal Section 3 Proposal Evaluation This section discusses the evaluation criteria Criteria to be used to evaluate respondents? proposals Attachment A Question and Answer document Attachment Sample Contract Attachment C1 Component 1 Cost Proposal Template Attachment C2 Component 2 Cost Proposal Temptate Attachment C3 Component 3 Cost Proposal Template Attachment Business Proposal Template Page 4 of 29 Attachment Technical Proposal Template Attachment Contract Language for Technology Services 1.6 INQUIRY PROCESS All questions/inquiries regarding this RFS must be submitted in writing by the deadline of 3:00 pm. Eastern Time on January 28th, 2014. Questions/inquiries must be submitted in Attachment A, QSLA Template, via email to JeMichael@idoa.in.gov. Following the question/inquiry due date, Procurement Division personnel will compile a list of the questions/inquiries submitted by all Respondents. The responses wili be posted to the website according to the RFS timetable established in Section 1.21. The question/inquiry and answer link will become active after responses to all questions have been compiled. Only answers posted on the website will be considered of?cial and valid by the State. No Respondent shall rely upon, take any action, or make any decision based upon any verbai communication with any State employee. inquiries are not to be directed to any staff member of the Department of Child Services. Such action may disqualify Respondent from further consideration for a contract resulting from this RFS. If it becomes necessary to revise any part of this RFS, or if additional information is necessary for a clearer interpretation of provisions of this RFS prior to the aide date for responses, an addendum will be posted on the IDOA website. If such addenda issuance is necessary, the Procurement Division may extend the due date and time of reSponses to accommodate such additional information requirements, if required. 1.7 DUE DATE FOR Responses All proposals must be received at the address below by the Procurement Division no later than 3:00 pm. Eastern Time on February 21?, 2014. Each Respondent must submit one original hard-copy (marked "Original?) and one original (ID-ROM {marked "Original") and seven (7) complete copies on of the proposal, including the Transmittal Letter and other related documentation as required in this RFS. The original will be considered the of?cial response in evaluating responses for scoring and protest resolution. The respondent's proposal response on this CD may be posted on the IDOA website, (http id oa 2462.htm) if recommended for selection. Each copy of the proposal must foilow the format indicated in Section Two of this document. Unnecessariiy elaborate brochures or other presentations, beyond those necessary to present a complete and effective proposal, are not desired. All proposals must be addressed to: Page 5 of 29 Indiana Department of Administration Procurement Division 402 West Washington Street, Room W478 lndianapolis, 46204 If you hand-deliver solicitation responses: To facilitate weapons restrictions at Indiana Government Center North and indiana Government Center South, as ofiuly 21, 2008, the public must enter buildings through a designated public entrance. The public entrance to indiana Government Center South is located at 302 W. Washington St. (the eastern-most Washington St. entrance). This entrance will be equipped with metal detectors and soreening devices monitored by Indiana State Police Capitol Police. Passing through the public entrance may take some time. Please be sure to take this information into consideration if your company plans to submit a solicitation response in person. if you ship or mail solicitation responses: United States Postal Express and Certified Mail are both delivered to the Government Center Central Mailroorn, and not directly to the Procurement Division. ?It is the responsibility of the Respondent to make sure that solicitation responses are received by the Procurement Division at the Department of Administration?s reception desk on or before the designated time and date. Late Submissions will not be accepted. The Department of Administration, Procurement Division clock is the of?cial time for all solicitation submissions. Regardless of delivery method, all proposal packages must be sealed and clearly marked with the RFS number, due'date, and time due. IDOA will not accept any unsealed bids. Any proposal received by the Department of Administration, Procurement Division after the due date and time will not be considered. Any late proposals wili be returned, unopened, to the Respondent upon request. All rejected proposals not claimed. within 30 days of the proposal due date will be destroyed. No more than one proposal per Respondent may be submitted. The State accepts no obligations for costs incurred by Respondents in anticipation of being aWarded a contract. All proposals?submitted to the State should be double~sided and printed on 30% post? consu?mer recycled content paper or tree-free paper. When possible, soy ink should be used. Page 6 of 29 1.8 CONFERENCE It is the decision-of the State that no prerroposal conference is required for this RFS. I 1,9 on WITHDRAWAL or OFFERS Modifications to responses to this RFS may only be made in the manner and format consistent with the submittal of the original response, acceptable to and clearly identi?ed as a modifiCation. The Respondent?s authorized representative may withdraw the proposal, in person, prior to the due date. Proper documentation and identification will be required before the Procurement Division will releaSe the withdrawn proposal. The authorized representative will be required to sign a receipt for the withdrawn proposal. Modification to, or withdrawal of, a proposal received by the Procurement Division after the exact hour and date speci?ed for receipt of pr0posals will not be considered. 1.10 PRICING Pricing on this RFS must be firm and remain open for a period of not less than 180 days from the proposal due date. Any attempt to manipulate the format of the document, attach caveats to pricing, or submit pricing that deviates from the current format will put your prOposal at risk. Please refer to the Cost Proposal sub?section under Section 2 for a detailed discussion of the proposal pricing formatand requirements. 1.11 RESPONSE CLARIFICATIONS AND AND CONTRACT The State reserves the right to rethst clarificatidns on responses submitted to the State. The State also reserves the right to conduct response discussions, either oral or written, with Respondents. These discussions could include request for additional information, request for cost or technical proposal revision, etc. Additionally, in conducting discussions, the State may use information derived from responses submitted by competing respondents only 'rfthe identity O?fthe respondent providing the information is not disciosed to others. The State will provide equivalent information to all respondents which have been chosen for discussions. Discussions, along with negotiations with responsible respondents may be conducted for any appropriate purpose. Page 7 of 29 The Procurement Division will schedule all discussions. Any information gathered through oral discussions must be con?rmed in writing. A sample contract is provided in? Attachment B, but is only a general template and is subject to change. Any requested changes to the sample contract must be submitted with your response (See Section 2.3.5 for details). The State reserves the right to reject any of these requested changes. it is the State?s expectation that any mate rial elements of the contract will be substantially finalized prior to contract award. 1.12 BEST AND OFFER The State may request best and final offers from those Respondents determined by the State to be reasonably viable for contract aWard. However, the State reserves the right to award a contract on thebasis of initial responses received. Therefore, each response should contain the Respondent?s best terms from a price and technical standpoint. Following eyaluation ofthe best and ?nal offers, the State may select for ?nal contract negotiations/ execution the offers that are most advantageous to the State, considering cost and the evaluation criteria in this RFS. 1.13 REFERENCE VISITS The State may request a site visit to a Respondent?s working support center to aid in the evaluation of the Respondent?s response. Site visits, if required will be di5cussed in the technical proposal- 1.14 TYPE AND TERM 0% CONTRACT The State intends to sign a contract with one or more Respondent(s) to fulfill the requirements in this RFS. The term bribe, contract shall Be: fa; asaioa jar-int; yeaisif'rdm t'he?date or contract may be two (?2)?fonejyleatirenewals?fo?r atotal Of four [41 years attire: Page 8 of 29 ?dnije hm, - 1.16 TAXES Responses should not include any tax from which the State is exempt. 1.17 PROCUREMENT DIVISION REGISTRATION In order to receive an award, you must be registered as a bidder with the Department of Administration, Procurement Division. Therefore, to ensure there is no delay in the award all Respondents are strongly encouraged to register prior to submission of their response. Respondents should go to . lf?a?warded the oohtralct, register, and their} good standing?with theSeereter'y ofvS'fatesThe registration redu?irem'ent is applicable to all lirhited, liability partnerships, limited partnerships, corporations;SLoorporetions, n?onp'rofit'corporat?ioos and limited liebi?lity eom'panies. 1 Information concerning registration With the Secretary of?State may be?obtained by contaptin Seoretaryof'Stete of Indiana Corporation Division 492 West,weshiogton Street, E9113 Indianapolis, IN 46204 (317} 23275575 wwah-Sg?ovgsos eggs . de?es; {Ami-ti: Page 9 of 29 1.20 AMERICANS WITH DISABILITIES ACT The Respondent specifically agrees to comply with the provisions of- the Americans with Disabilities Act 0f1990(42 U.S.C. 12101 et seq. and 47 U.S.C. 225). 1.21 SUMMARY OF MILESTONES . The following timeline' IS only an illustration of the RFS process The dates associated with each step are not to be considered binding Due to the unpredictable nature of the evaluation period, these dates are commonly subject to change. At the conclusion of the evaluation process, all Respondents will be informed ofthe evaluation team?s findings. Key RFS Dates Issue of RFS 1/21/2015r Deadline to Submit Written Questions 1/28/2014 Response to Written Questions/RFS Amendments 2/4/2014 Submission of Proposals 2/21/2014 Page 10 of 29 2.1 SECTION TWO RESPONSE PREPARATION INSTRUCTIONS GENERAL To facilitate the timely evaluation of responses, a standard format for response submission has been developed and is described in this section. All Respondents are required to format their responses in a manner consistent with the guidelines described below. 2.2 Each item must be addressed in the-Respondent?s proposal. The Transmittal Letter must be in the form ofa letter. The business and technical proposals must be organized under the specific section titles as listed below. The electronic copies ofthe proposal submitted via should be organized to mirror the sections below and the attachments. Each item, i.e. Transmittal Letter, Business Proposal, Technical Proposal, Cost Proposal, etc, must be separate stand alone electronic files on the PleaSe do not submit your proposal as one large file. Whenever possible, please submit all attachments in their original format. . Con?dential information must also be clearly marked in a separate folder/file on any included TRANSMITTAL LETTER The Transmittal Letter must address the following topics except those specifically identified as ?optional.? 2.2.1 Agreement with Requirements in listed in Section 1 I The Respondent must explicitly acknowledge understanding of the general information presented in Section 1 and agreement with any requirements/conditions listed In Section 1. 2.2.2 Summary of Ability and Desire to Supply the Required Products or Services - The Transmittal Letter must brie?y summarize the Respondent?s ability to supply the requested products and/or services that meet the requirements de?ned in Section 2.4 of this RFS. The letter must also contain a statement indicating the Respondent?s willingness to provide the requested products and/or services subject to the terms and conditions set forth in the RFS Including, but not limited to, the State BFS you are bidding Page 11 of 29 2.2.3 Signature of Authorized Representative 2.2.4 2.2.5 A person authorized to commit the Respondent to its representations and who can certify that the information offered in the response meets all general conditions includingthe information requested in Section 2-3.4, 'must sign the Transmittal Letter. in the Transmittal Letter, please indicate the principal contact for the response along with an address, telephone and fax number as well as an e?mail address, if that contact is different than the individual authorized for signature. ReSpondent Notification Unless otherwise indicated in the Transmittal Letter, Respondents will be notified via email. It is the Respondent?s obligation to notify the Procurement Division of any changes in any address that may have occurred since the origination of this solicitation. The Procurement Division will not be held reSponsible for incorrect vendor/contractor addresses. Other information This item is optional. Any other information the Respondent may wish to briefly summarize will be acceptable. 2.3 BUSINESS PROPOSAL The Business-Proposal are stagesinnimg-?eae except ih'ggs'sna?auy identi?ed DJ 2.3.1 2.3.2 General (optional) This section of the business proposal may be used to introduce or i summarize any information the Respondent deems relevant or important to the State?s successful acquisition of the products and/or services requested in this RFS. Respondent's Company Structure The legal form of the Respondent?s business organization, the state in which formed (accompanied by a certificate of authority), the types of business ventures in which the organization is involved, and a chart of the organization are to be included in this section. if the organization includes more than one product division, the division responsible for the Page 12 of 29 2.3.3 2.3.4 2.3.5 development and marketing of the requested products and/or services in the United States must be described in more detail than other components ofthe organization. Company Financial Information This section must include the Respondent?s financial statement, including an income statement and balance sheet, for each of the most recently completed fiscal years. The ?nancial statements must demOnstrate the Respondent?s financial stability. lfthe financial statements being provided by the Respondent are those ofa parent or holding company, additional financial information should be provided for the entity/organization directly responding to this RFS. lnAtegrityAAIovaompany Structure and Reporting This section must include a statement indicating that the CEOAA and/or CFO has taken personal responsibility for the thoroughness and Correctness of any/ail financial information supplied vIIiith this proposal The particular. areas of interest to the State In considering corporate responSIbIlIty include the foilovving items: separation of- audit functions from corporate boards and board members; if any,_ the manner in Iwhich the organization assures board integrity, and the separation audit functions and consulting services The State will consider the. information offered . this section to determine the responSIbIlIty of the ReSpondent under. IC 22:16? The Sarbanes Oxley Act of 2002, H.R. 3763, is NOT directly applicable to this procurement; however its goals and objectives may be used as a guide in the determination of corporate responsibility for financial reports Contract Terms/Clauses AI- saArirIpiIe'AI Contract that the state expects to execute AIvIviIth the successful ResApondentlsAlA IS provided in Attachment This contract contains both mandatory and non- mandatory clauses Mandatory clauses are listed below and are non- negotlable Other. clauses ate highly desirable. it Is the State expectatlon that the final contract will be substantially similar to the sample contract prowded in Attachment BI in your Transmittal Letter please indicate acceptance of these mandatory contract terms (see section 2.2.2). In this section please review the rest ofthe contract and indicate your acceptance of the non?mandatory Page 13 of 29 2.3.?6 contract clauses. lfa non-mandatory clause is not acceptable as worded, suggest specific alternative wording to address issues raised by the specific clause- If you require additional contract terms please include them in this section. To reiterate it?s the State?s strong desire to not deviate from the contract provided in the attachment and as such the State reserves the rightto reject any and all ofthese requested changes. ZT?'?Im'?ndatforv seed terms are .a?violiowsi Authority to Bind Contractor - I I Duties- ai- Contractor Rate of Pay, and Term of Contract I :?3?Cornpliance with Laws I Drug~Free Workplace and Certification I Employment Eligibility I . Funding Cancellation '9 Emailing Laws? .Ihd'ehmji?caiio'n? Iflnformation Technology .. ??-NomDiscrImlnatlon Clause I OWnership of Docuwments and materials I .I?I?IPayments . it ,?ffPenalties/interest/Attorn eyfs Fees I _.Termination for Convenience I Anv or all portions of this RFS and any or all portions of the Respondents response may be incorporated as part of the final contract. References The Respondent must include a list of at least three (3) clients for whom the Respondent has provided products and/or services that are the same or similar to those products and/or services requested in this RFS. Information provided should include the name, address, and telephone number of the client facility and the name, title, and phone/fax numbers of a person who may be contacted for further information. 2.3.6.1 Does your company have any pending litigation regarding contract disputes? 2.3.6.2 Please list any contracts lost or terminated in the last three years and provide reasons for loss or termination, as well as contact information. Page 14 of 29 2.3.7 2.3.8 Registration to do BuSiness Secretagy of State if awarded the contract, the Respondent will be required to be registered, and be in good standing, ,With the Secretary of State. The registration requirement is applicable to all limited liability partnerships, limited partnerships, corporations, S~corporations, nonprofit corporations and limited liability companies. The Respondent must indicate the status of registration, if applicable, in this section of the proposal. Department of Administration, Procurement Division Additionally, respondents must be registered with the This can be accomplished on?line at The IDOA Procurement Division maintains two databases of vendor information. The Bidder registration database is set up for vendors to register if you are interested in selling a product or service to the State of indiana. Respondents may register on~iine at no cost to become a Bidder with the State of Indiana. To complete the on?line Bidder registration, go to The Bidder registration offers email noti?cation of upcoming solicitation opportunities, corresponding to the Bidder?s area(s) of interest, selected during the registration process. Respondents do need to be registered to bid on and receive . email notifications. Completion of the Bidder registration will result in your name being added to the Bidder?s Database, for email noti?cation. The Bidder registration requires some general business information, an, indication of the types of goods and services you can offer the State of indiana, and ocations(s) within the state that you can supply or service. There is no fee to be placed in Procurement Division?s Bidder Database. To receive an award, you must be registered as a bidder. Problems or questions concerning the registration process or the registration form can be emailed to Amey Redding, Vendor Registration Coordinator, aredding@idoa.in.gov, or you may reach her by phone at (317) 234?3542. Authorizing Document Respondent personnel signing the Transmittal Letter of the proposal must be legally authorized by the organization to commit the organization contractually. This section shall contain proof of authority. A copy of corporate bylaws or a corporate resolution adopted by the board of directors indicating this authority will fulfill this requirement. Page 15 of 29 2.3.10 Subcontractors The Respondent is responsible for the performance of any obligations that may result from this and shaIIT not be relieved by the non: performance ofany subcontractor I-Any Respondent proposal must identify. all ?subcontractors and describe the contract_iJa relatlonship between the Respondent and each subcontractor Either a copy of the executed. subcontract or a letter of agreement over the official signature of the firmsinvolved accompanyeach. proposal. Any subcontracts entered into by the Respondent must be in compliance with all State statutes, and will be subject to the provisions thereof. For each portion ofthe proposed products or services to be provided by a subcontractor, the technical proposal must include the identification of the functions to be provided by the subcontractor and the subcontractor?s related quali?cations and experience. The combined quali?cations and eXperience ofthe Respondent and any or all subcontractors will be considered in the State?s evaIUation. The Respondent must furnish information to the State as to the amount of the subcontract, the qualifications of the subcontractor for guaranteeing performance, and any other data that may be required by the State. All subcontracts held by the Respondent must be made available upon request for inspection and examination by appropriate State of?cials, and such relationships must meet with the approval of the State. The Respondent must list any subcontractor?s name, address and the state in which formed that are proposed to be used in providing the required products or services. The subcontractor?s responsibilities under the proposal, anticipated dollar amount for subcontract, the subcontractor?s form of organization, and an indication from the subcontractor of a willingness to carry out these responsibilities are to be included for each subcontractor. This assurance in no way relieves the Respondent of any responsibilities in responding to this RPS or in completing the commitments documented in the proposal. General Information Each Respondent must enter your company?s general information including contact information. 2.3.10.1 Does your?company have a formal disaster recovery plan? Please provide a yes/no response- If no, please provide an Page 15 of 29 explanation of any alternatiVe solution your company has to offer. Ifyes, please note and include as an attachment. 2.3.10.2 What is your company's technology and process for securing any State information that is maintained by your company? 2.3.11 Experience Serving State Governments Each Respondent is asked to please provide a brief description ofyour company?s experience in serving state governments and/or quasi? gourernmental accounts. - 2.3.12 Experience Serving Similar Clients Each Respondent-is asked to please describe your company?s experience in serving clients of a similar size to the State that also had a similar scope. Please provide speci?c clients and detailed examples. 2.4 PROPOSAL The Technical Proposal must be divided into the sections as described below. Every point made in each section must be addressed in the order given. The same outline numbers must be used in the response. RFS language should not be repeated within the response. Where appropriate, supporting documentation may be referenced by a page and paragraph number. However, when this is done, the body of the technical proposal must contain a meaningful summary ofthe referenced material. The referenced document must be included as an appendix to the technical proposal with referenced sections clearly marked. if there are multiple references or multiple documents, these must be listed and organized for ease of use by the State. Please use the Technical Proposal Template, Attachment E. This'solicitation has been?divided into threeqcompo'n ents. The Seep onents ?ts-73$ follovvs: I Component One; section 2 4.1 Cost Allocatlon/Allowable Costs Section 2. 4. 6 DCS Staff DeveTOpment Section 2.4. 7 Cross Functionallty Advisory Component Two: Section 2. 4. 2Title and Title Section 2 4 4 Supplemental Security income Eligibility Section 2 4 5 Management GateWay for indi?ana. 5 Kids Section; 2 4 6_ DCS Staff Development Page 17 of 29 Section Fun ctib ality Advisory Component Threat Section 2.43 Rate Establishmentand Claiming Section 2.4.6 ocs Staff-Development Section 2.4.7 Cross Respondents may submit a proposal on only component one, component two or component three, or any combination of the three components. When submitting a proposal the respondent will list in Section 2.2.2 of the transmittal letter which component(s) they are bidding. DCSseeigs?t a minimum, the follovving consultingservices: 2.4.1 COST COSTS A. Cost Allocation Plans Please describe in detail the reSpondent?s proposed process to review and assist in preparation of for DCS cost allocation plans to comply with applicable federal laws and regulations, including OMB Circular Cost Principles for State and Local Governments; and, Implementation Guide, ASMB Advise on national trends, provide national view point, and how the respondent plans to keep apprised of national efforts regarding cost allocation as they pertain to, DCS programs. (Title and Title B. Time and Effort Please describe in detail the respondent?s proposed process to review Time and Effort sampling, assist with revisions and updates based on changes in policy and procedures. Provide information on national trends and policies regarding time and effort reporting. Conduct training focusing on accurate responses by participants. C. Administrative Costs Page 18 of 29 Please describe in detail the respondent?s proposed process to assist the State in managing administrative costs in order to maximize allowable administrative revenue and minimize exposure to federal disallowances. . Cost Allocation Consultant Please provide a potential list of respondent?s team that Would be assigned as a cost allocation specialist to be a primary contact to assist DCS Financial Management staff with technical questions and training issues including qualifications and experiences. Fund Match and MOE System Design Please describe in detail the reSpondent?s proposed process to create and maintain a system to maximize state and local funding for match and MOE (Maintenance of Effort) for federal programs including federal funding from DFC. System~re ated funding includes, but is not limited to TANF, Title Part and 21., independent Living, 5586, Title DCS expects this system to perform the following functions: 1. identify all state and local funding contracts that may be possible match or MOE (Maintenance of Effort) fonds. Analyze each funding stream to determine requirements. Identify and make changes to current methods. Develop appropriate methodol0gies. Develop and maintain process. Cost Allocation/ Revenue Recovery Please describe in detail the respondent?s proposed process to design and maintain various cost allocation/revenue recovery methodologies that may be deemed necessary at future intervals. This consists of developing and maintaining the cost allocation process to appropriately allocate charges among applicable programs and operational support as needed. . Advanced Planning Documents Please describe in detail the respondent?s proposed process to develop Cost Allocation deliverables related to advanced planning documents for system or other systems. 2.4.2 TITLE AND TITLE Page 19 of 29 A. Best Practice implication 1. Please describe in detail the respondent?s standard process to utilize best practices to develop and maintain centralized eligibility determination/validation staff focusing on Title IV~Eeligible children. Provide training, technical assistance, materials development and review and make recommendations on all programs currently considered or claimed inE eligible to prepare for followuup audits. Perform Quality Assurance reviews for all Eligibility Programs. Develop a Medicaid Program Business Process based on the results of the Medicaid Business Process Review. 2. Please describe in detail the respondent?s proposed process to use best practices to create and maintain centralized FC, EA, Adoption, Probation Medicaid and Collaborative Care eligibility and ensure contains all necessary components to meet SACSWIS requirements. B. Prepare DCS for federal audit review Please describe in detail the respondent?s standard process to prepare for a federal audit review. C. Provide Technical support during Federal Audit Please describe in detail the respondent?s standard process to participate with DES staff in a supporting capacity during lndian?a's Federal FC audits. I Program, Policy and Procedural Reviews for Eiigibility. Please describe in detail the respondent?s standard process to perform program, policy and procedural reviews for eligibility, the thorough review of State and Federal rules and regulations, the analysis ofthese or any changing rules or regulations, and written interpretation and recommendations for changes or enhancement to the appropriate State staff in a timely manner. Program Quality Recommendations Please describe in detail the respondent?s standard process to provide written recommendations with respect to enhancements to program quality, effectiveness and ef?ciency. Page 20 of 29 Respondent will be responsible in the development, Implementation and maintenance of overall quality assurance of some aspects of the process with State approval and guidance. Please describe in detail the respondent?s proposed process to provide this function. F. Provide IVHE, AA, Probation, Collaborative Care, Medicaid, and TANF EA Technical Assistance, Update State Plans Provide technical assistance with regard to Foster Care, Adoption Assistance, Probation, Collaborative Care and Medicaid. Also, reSpondent is expected to provide Title Emergency Assistance technical assistance. This requirement involves policy development and maintenance of the State Plans and to CleVelOp and assist with writing policy for above programs with state approval. Assistance must be provide with regard to input from the federal level; other states/agencies; interpretation of law and regulation; policy/procedure; and implementation. Please describe-in detail the respondent?s proposed process to accommodate these needs. 2.4.3 RATE ESTABLISHMENT AND CLAIMING A. Respondent will provide quali?ed staff to be able to fill in with the daily rate setting duties. Quali?ed staff should posses the following: 1. An understanding of both 465 IAC 246 (Rate Setting for Residential Treatment Services Providers) and 465 EAC 2?17 (Rate Setting for Child Placing Agencies) 2. Have thorough understanding of Title of the Social Security Act Be well versed in 0MB Circulars A87, and 4. Have minimum of 3 years of experience with cost?based rate setting . 5. Have minimum of 3 years of experience with applying cost allocation methodologies 6. Be literate inMicrosoft Excel and have extensive database and statistical analysis experience Please provide a potential list of respondent?s team that would be assigned to this function including qualifications and experiences. 8. National/Industry Perspective: Respondent must be able to provide a national perspective on rate setting and cost allocation issues as they pertain to DCS happenings. The respondent should be able to provide Page 21 of 29 the Rate Setting Unit with: 1. information/news relatingto policies instituted by ACF 2. information/news relating to peer agencies/states 3. National trending of varying cost measurements 4. Staff able to compile research on information as requested by the Rate Setting Unit Please describe in detail the respondent?s standard process to provide this information to DCS. . gong! Interpretation: Respondent must be able to provide policy interpretation in the following areas: 1. Federal policy as relating to Federally Allowable Costs 2. Federal policy as relating to Title lVaE Allowable Costs 3. State of Indiana policy as relating to State Allowable Costs 4 DCS Licensing Policy/Rules as they relate to the Rate Setting Process 5. DCS invoicing requirements as they relate to the Rate Setting Process Please describe in detail the respondent?s standard process to provide this information to DCS. Operational Control/Oversight: The selected respondent must establish a procedure for operational control and/or oversight of the rate setting process. Procedure should include detailed assignments and responsibilities for the following areas: 1. All rate setting peripherals 2. Rate Setting Staff duties and assignments 3. Rate Setting Unit relations with other parties 4. Deadlines for rate setting deliver?ables Please describe in detail the reSpondent?s proposed procedure to provide operational control and/or oversight of the rate setting process. Independent Analysis on Rate Setting Policies: Respondent needs to be able to provide independent third party analysis and opinions, on an annual basis, as it relates to the rate setting process. The areas for analysis and opinions should include but are not limited to the following: 1. Rate Rules, 465 2?16 and 465 2~17 2. Rate Setting Procedures and Protocol, including: a) annual procedures relating to cost report submission b) cost allocation methodol0gies utilized throughout . Page 22 of 29 the rate setting process cl?nal calculation of payment rates 3. Cost Limits as established by the Rate Setting Unit 4. Pro?t Margin allowance as established by the Rate Setting A Unit 5. Rate Adjustments as established by the Rate Setting Unit Please describe in detail the respondent?s standard process to provide this information to DCS. F. Special Proiects as needed by the Rate Setting Unit: Special projects may arise relating to rate setting and/or cost allocation. ReSpondent should be able to provide qUalified staff to complete any projects as requested by the Rate Setting Unit. ?The Rate Setting Unit will-approve from a list of able candidates offered up by the respondent, candidatels) to perform the requested project. Please provide a potential list of respondent?s team that would be assigned to this function including-qualifications and experiences. 2.4.4 SUPPLEMENTAL SECURITY INCOME Provide Technical Assistance on an as needed basis and assist with preparation for appeal hearing and representation of the State at appeal heanngs Please provide a potential list of respondent?s team that would be assigned to this function including quali?cations and experiences. 2.4.5 MANAGEMENT GATEWAY FOR KIDS A. Assistance . i 1. Technical Assistance for redesign 2.- Federal Documentation Requirements which include the Advance Planning Document Update (ADPU), As Needed Advance Planning Document (AAPDU) and the SACWIS Assessment Review Report plan update. Please provide a potential list of respondent?s team that would be assigned to this function including qualifications and experiences. Page 23 of 29 2.4.6 DCS STAFF DEVELOPMENT A. it is the expectation of DCS that its staff will successfully manage the programs and processes developed by respondent in accordance with this RFS. To achieve this goal, DCS expects a transfer of knowledge from the respondent to selected DCS staff members including: 1. Train DCS staff on the processes and procedures involved on the development, design and maintenance of Cost Allocation programs. 2. Prepare DCS staff to ef?ciently and permanently continue current and newly developed programs. B. Please provide examples of previous client?stafftrainings where the goal was a permanent transfer of knowledge to client. CROSS FUNCTIONALITY ADVISORY Needs may arise relatingto cross functionality projects that the respondent should be able to provide qualified staff to complete any projects as requested by the State. The State will approve, from a list of able candidates offered up by the respondent, candidatels} to perform the requested project. Please provide a potential list of respondent?s team that would be assigned to this function including qualifications and EXperiences. 2.5 COST PROPOSAL This?solicitation has been divided into three components. The components are as follows: Component One: Section 2.4.1 Cost Allocation/Allowable Costs Section 2.4.6 DCS Staff Development Section 2.4.7 Cross Functionality Advisory Component Two: Section 2.4.2 Title and Title Section 2.4.4 Supplemental Security Income (SSI) Eligibility Section 2.4.5 Management Gateway for Indiana?s Kids Section 2.4.6 DCS Staff Development Section 2.4.7 Cross Functionality Advisory Component Three: Page 24 of 29 Section 2.4.3 Rate Establishment and Claiming Section 2.4.6 DCS Staff Development Section 2.4.7 Cross Functionality Advisory. Failure to submit a cost proposal in the required Excel templatels) could potentially disqualify a Respondent. In populating the templates, please note that 3 Respondent may only provide information in cells shaded yellow. Cells shaded white or gray are instructional, while cells shaded green contain formulas driven by information provided by Respondents. The Cost Proposal must be submitted in the original format. Any attempt to manipolate the format of the Cost Proposal document, attach caveats to pricing, or submit pricing that deviates from the current format will put your proposal at risk. The cost proposal template is designed to obtain a suf?cient amount of detail regarding a proposal?s staff and other (non~staffing) costs. All tasks are priced separately and automatically summed to produce a Total Project Cost. This Total Project Cost (which will be considered a Not To Exceed Amount rather than a fiXEd fee) will be the cost figure upon which a Respondent?s proposal is assessed. in the ?Rate Card? worksheet within each cost proposal template, Respondents shall provide the following information: - ?Position? by title of the staff for this project . . Wage Rate Per Position? that shows the hourly salary paid for each position - ?Administrative Overhead as a percentage of the HOURLY Wage Rate Per Position. A HOURLY Wage Rate Per Position refers to the hourly salary paid for each position. Administrative Overhead refers to all other costs including the benefits (health insurance, dental insurance, 401K, vacation pay, etc), the administrative mark up, profit, etc. Page 25 of 29 The Total Hourly Cost per Position will be calculated automatically. The State fully expects invoicing to reflect the pricing offered. Each FTE is capped at 37.5 hours per week 50 weeks 1375Ihours maximum per person. . Note to Respondents All pricing being sought: under this RFS will be used to underStand and evaluate the Respondent Is proposal The winning Vendor Will be required to I I provide detailed Invoices IshoWingthe number of hours worked by its. staff against each task and it is the expectation of the State that these Invoices will utilize the prices solicited in this proposal. as well as accurately represent the Not To Exceed projeCted staf?ng Costs and hours for each task 'over the length ofthe project. The State reserves the right to verify all Invoices against the deliverables reqoested for in the Statement ot-IWork', and anyother relevant data soprc'es; Page 26 of 29 SECTION PROPOSAL EVALUATION 3.1 RESPONSE EVALUATION PROCEDURE The State has selected a group of personnel to act as a response evaluation team. Subgroups of this team, consisting of one or more team members, will be responsible for evaluating responses with regard to compliance with RFS requirements. All evaluation personnel will use the evaluation? criteria stated in Section 3.2. The Commissioner of IDOA or their designee will, in the exercise of their sole discretion, determine which responses offer the best means of servicing the interests of the State. The exercise of this discretion will be final. The procedure for evaluating the responses against the evaluation criteria will be as follows: 3.1.1 Each response will be evaluated for adherence to requirements on a pass/fail basis. Responses that are incomplete or otherwise do not conform to response submission requirements may be eliminated from consideration. 3.1.2 Each response will be evaiuated on the basis ofthe categories included in Section 3.2. A point score has been established for each category. 3.1.3 If technical proposals are close to equal, greater weight may be given to price. 3.1.4 Based on the results of this evaluation, the qualifying proposal determined to be the most advantageous to the State, takinginto account all of the evaluation factors, may be selected by IDOA and for further action, such as contract negotiations. If, 'howeVer, and DCS decide that no proposal is sufficiently advantageous to the State, the State may take whatever further action is deemed necessary to fulfill its needs. if, for any reason, a proposal is selected and it is not possible to consummate a contract with the Respondent, IDOA may begin contract preparation with the next quali?ed Respondent or determine that no such alternate proposal exists. 3.2 EVALUATION CRITERIA Responses will be evaluated based upon the proven ability of the Respondent to satisfy the requirements ofthe RFS in a cost?effective manner. Each of the evaluation criteria categories is described below with a brief explanation of the basis for evaluation in that category. The points associated with each category are indicated following the category Page 27 of 29 name (total maximum points 100). For further information, please reference Section 3.2.3 below. If any one or more of the listed criteria on which the responses to this RFS will be evaluated are found to be inconsistent or incompatible with applicable federal laWs, regulations or policies, the speci?c criterion or criteria will be disregarded and the responses will be evaluated and scored without taking into account such criterion or criteria. - Summary of Evaluation Criteria: l. Adherence to Mandatory Requirements Pass/Fail 2, Management AssesSment/Quality (Business .1 . and Technical Proposal) 70_ava: able pomts 3. Cost (Cost Proposal) 30 available points Total 100points - All responses will be evaluated using the following approach- St Q1 in this step responses will be evaluated only against Criteria 1 to ensure that they adhere to Mandatory Requirements. Any responses not meeting the Mandatory Requirements will be disqualified. Step 2 The proposals that meet?the Mandatory Requirements will then be scored based on Criteria 2 and 3. This scoring will have a maximum possible score of 100 points. All proposals will be ranked on the basis oftheir combined scores for Criteria 2 and 3. This ranking will be used to create a ?short list?. Any proposal not making the ?short list" will not be considered for any further evaluation. Step 2 may include meet more rounds of proposal discussions, oral presentations, clarifications, demonstrations, etc focused on cost and other proposal elements. Step 2 may include a second "short list?. if the State conducts additional rounds of discussions and a BAFO round which lead to changes in either the technical or cost proposal for the short listed Respondents, their scores will be recomputed. Page 28 of 29 The section below describes the different evaluation criteria. 3.2.1 Adherence to Requirements Pass/Fail Respondents passing this category move to Phase 2 and proposal is evaluated for Management Assessment/Quality and Price. 3.2.2 Management Assessment/Quality - 70 points 3-2-3 Price? 30 points available Cost scores will be normalized to one another, based on the lowest cost proposal evaluated. The lowest cost proposal receives a total of 30 points. The normalization formula is as follows; Responder} t?s Cost Score (LOWest Cost Proposol/ Total Cost of Proposal) 30 The Commissioner of IDOA or their designee will, in the exercise of their sole discretion, determine which proposal(s] offer the best means of servicing the interests of the State. The exercise ofthis discretion will be final. Page 29 of 29 State Cost Allocation. Rate Setting and Eligibility Determination Services RFS Attachment 8 - Cost Proposal Staf?ng Respondeni Name: Instructions: Please ?ll in the "Position", "Hourly Wage Rate Per Position?, and Overhead Percentage for staff 1n the cells shaded yellow. HOURLY Wage Rate Per Position refers to the hourly salary paid for each posltion. Overhead refers to all other costs including the bene?ts {health lnsurance, dental insurance: 401 K, vacation pay} eloll administrellve mark up. pro?t, elo Note that the green cells will populate automatically. All positions listed here should be decrlbad in the narrative of the technical Proposal Staff HOURLY 4 Component Two, Staf?ng EXHIBIT 2 State o?ndiana 0051 Rate Setting and Eligibility Determination Services XX Attachment Cast Proposal sow Title and Title IVA-EA . Respondent Mama: laase Gamplata Yellow". Shaina .Engiongl Instruction: Please Identify staf?ng farmis component Inf the Twhr?cai Proposa} and enter ham the tetal hourly cost from the staf?ng sheet for each position and the; number of ham: each ?Position" wane per year to complete the component. EXHIBIT 3, page 1 Component TWO, 2.4. 2 State of Indiana, Cast Allocation, Rate Belting and Datarmlnatlon Services RFS XX-XX Attachment - Cost Proposal sow 2.44 - as] Eligibility Instructions: Plaasa Identify stalling farthis componenl arms Technical Woman! and enlar both ?le halal hourly cost from me slamng sheet fur aach pm?iun and tha number of hours each "chillon? WEI work per yaar ta mmplele the camp?nenl. Raspondanl Name: 'IEleash Ca'mpizt?ik?nh k?Hiu?d Regulus. Component Two 2.4.4 EXHIBIT 3, page 2 State of Indiana. Cost Allocation, Rate. Setting and Services RPS XX-XX - Cost Proposal sow 1m Mimi: Instructions: P1935: Identity staf?ng for this component ofthn Technicai Proposal and enier me latal haurly cost from the, staf?ng sheet for each pusitim and the number of hours each "Poemian" win work par yoarla mmpiala 'th campanan?t. Rtspan dam. Name: Component Two 2.4 5 EXHIBIT 3, page 3 State of Indiana, Cost Allocation, Rate Setting and Determination Services RPS XX-XX -Cost Proposal . Respondenmame: 50W 2.4.6 - D38 staff Davalopmem Phase identify staf?ng for Ibis component of the Proposal and enter both the mini mum; coal from me staf?ng sheaf. for each position and 1ha number 91 hours each ?Position" will work peryearto complete the component. EXHIBIT 3, page 4 Component Two 2.4.6 State uflndiana. CostAlloca?nn, Rate Setting and Determination Services RFS14-025 Respondenthme: .. .. Rag-runs Attachment - Cost Proponl sow - Cross Functional?); Advisory Instructions: Please identify staf?ng forthis cumponenl of the Tachnicai Proposal and enlar bath the total hourly cost from the staf?ng sheet for each position and the number of hours each ?Position? wii: work per year in compreua the cnmponerrl. Component Two 2 EXHIBIT 3, page 5 4.7 State oflndiana, CostAHoca?nn, Rate Setting and Eligibility Determinatlon Services RFS XX-XX Attachment 9 - Cast Proposal Other Gusts Instructions: In the space berm, pieasa provide detalis [quanmy and unll cast} for other (nun-slainng} costs. Phase provide as delaned descripljun as in the components column. Ulhar casts inciuda infrastructure costs and saft'Narefhardware costs, Oasis suah as management fans will not be accepted 11'] this section. Bryan have a recurring cast, plzase use 12 units to raprasentthe annual cost. The stats reserves the damn; use: its awn Infraszrumure for the prapused services. Mama: Component TWO Other Costs EXHIBIT 4 State of Indiana, Cost Allocation, Rate Settin Attachment - Cost Proposal Overall Cost Proposal 9 and Eligibility Determination Services RFS XX-XX instructions: The cells on this sheet will Cost" ?gure will be used to assign Cost scores. populate automatically. Please do not ?ll in the grey and green cells. The "Total Project 2.4.2 Respondent Name: Title and Tltle 861,245.50 746,688.72 440,283.72. . 238.34%.34 2.4.4 Supplemental Security Income Eligibility 22,104.12 5,385.48 5,455.07' 2.4.5 Management Gateway for Indiana's Kids 31.546.54- 25,596.03 20,450.08 2.4.6 D08 Staff Development 15,100.40 14,530.47 9,996-25 25,535.53 Gross Functlonality Advisory 6,940-03 5,249.91 3,089.09 3,135.46 Other Costs 11.808377 6, 945.00 8.545.00 6,020.00 Total Annual Prefect Staf?ng cost 936,936.98 309,658.47 439,211.62 335,738.57? Total Annual Project Non-Staffing Cost 311,808.77 6,945.00 6,545.00 6,020.00 Component Two Overall Cost Proposal EXHIBIT 5 State of malaria, Cost Allocation, Rate Setting and Eligibility Detemina?on Services RFS Attachment 6 - Co? Proposal . Nama: Overall Cost Proposal Instruc?ons: Please ?l In the ?Posfllon'. "Hauny Wage Rate Per Position". and "Administrative ovorhead Percentage for staff in the cells shzdad yellow. HOURLY Wage Rate Per Pnsillnn relorsto the hourly salary paid for each position. Ovarhead rafers to all other costs lncludlng ms bene?ls (health Insurance, denial 401K vacation pay. elm), mark no pro?t, ale. Nola matihe green cells will popula?o automatically. All pasllions {lslad here should be dacdbed in narrallva uflhe technical Proposal. Component Three, EXHIBIT 6 Staf?ng EXHIBIT 7 IRS EXHIBIT 7 FOR TECHNOLOGY SERVICES Safeguarding-Contract Language Exhibit 7 CONTRACT LANGUAGE FOR TECHNOLOGY SERVICES l. PERFORMANCE performance of this contract, the contractor agrees to comply with and assume responsibility for compliance by his or her employees with the following requirements: (1) Ail work will be done under the supervision of the contractor or the contractor?s employees. - (2) Any return or return information made available In any format shall be used only . for the purpose of carrying out the provisions of this contract Information contained In each materiai will be treated as con?dential and will not be divulged or made known in any manner to any person except as may be necessary in the performance of this contract Disclosure to anyone other than an of?cer or employee of the contractor will be prohibited. (3) All returns and return information will be accounted for upon receipt and properly stored before, during, and after processing. in addition, all related outputwill be given the same level of protection as required for the source material. (4) The contractor certi?es that the data processed during the performance of this contract will be completely purged from at! data storage components of his or her computer facility, and no output will be retained by the contractor at the time the work is completed. If immediate purging of ail data storage components is not possible, the contractor certi?es that any IRS data remaining in any storage component will be safeguarded to prevent unauthorized disclosures, (5) Any spoilage or any intermediate hard copy printout that may result during the processing of IRS data will be given to the agency or his or her designee. When this is not possible, the contractor will be reaponsible for the destruction of the spoilage or any intermediate hard copy printouts and will provide the agency or his or her designee with a statement containing the date of destruction, . description of material destroyed and the method used (6) All computer systems receiving, processing, storing or transmitting must meet the requirements de?ned in IRS Publication 1075. To meet functional and assurance requirements, the security features of the environment must provide for the manageriai, operational, and technical controls. All security features must be available and activated to protect against unauthorized use of and access to Federal Tax Information. (7) No work involving Federal Tax Information furnished under this contract will be subcontracted without prior written approval of the IRS. (8) The contractor will maintain a list of employees authorized access. Such list will be provided to the agency and, upon request, to the IRS reviewing of?ce. Publication 1075 (January 2014) Safeguarding Contract Language Exhibit 7 (9) The agency will have the right to void the contract if the contractor fails to provide the safeguards described above. (10) (Include any additional safeguards that may be appropriate.) CRIMINALICML (1) Each of?cer or employee of any person to whom returns or return information is or may be disclosed willbe noti?ed in writing by such person that returns or return information disclosed to such of?cer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such returns or return information for a purpose or to an extent unauthorized herein constitutes a felony punishable upon conviction by a ?ne of as much as $5,000 or imprisonment for as long as 5 years, or both, together with the-costs of prosecution. Such person shall also notify each such of?cer and employee that any such unauthorized further disclosure of returns or return information may also result in an award of civil damages against the of?cer or employee in an amount not less than $1,000 with respect to each instance of unauthorized disclosure. These penalties are prescribed by IRCs 7213 and 7431 and set forth at 26 CFR (2) Each officer or employee of any person to whom returns or return information is or may be disclosed shall be noti?ed in writing by such person that any return or return information made available in any format shall be used only for the purpose of carrying out the provisions of this contract Information contained in such material shall be treated as con?dential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of the contract. Inspection by or disclosure to anyone without an of?cial need~to-know constitutes a criminal misdemeanor punishable upon conviction by a fine of as much as $1,000 or impriSonmenl for as long as 1 year, or both, together with the costs of prosecution. Such person shall also notify each such of?cer and employee that any such unauthorized inspection or disclosure of returns or return information may also result in an award of civil damages against the of?cer or employee [United States for Federal employees] in an amount equal to the sum of the greater of$1,000 for each act of unauthorized inspection or disclosure with respect to which such defendant is found liable or the sum of the actual damages sustained by the plaintiff as a result of such unauthorized inspection or disclosure plus in the case of a willful inspection or disclosure which is the result of gross negligence, punitive damages, plus the costs of the action, These penalties are prescribed by IRC 7213A and 7431. (3) Additionally, it is incumbent upon the contractor to inform its of?cers and employees of the penalties for improper disclosure imposed by the Privacy Act of 1974, 5 U.S.C. 552a. Speci?cally, 5 U.S.C. 552a(i)(1), which is made applicable to contractors by 5 552a(m)(1), provides that any of?cer or employee of a contractor, who by virtue of his/her employment or official position, has possession of or access to agency records which contain individually identifiable Publication 1075 (January 2014) Safeguarding Contract Language Exhibit 7 Information, the disclosure of which is prohibited by the Privacy Act or regulations established thereunder, and who knowing that disclosure of the speci?c material is prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall be guilty of a misdemeanor and ?ned not more than $5,000. (4) Granting a contractor access to FT I must be preceded by certifying that each individual understands the agency?s security policy and procedures for safeguarding IRS information. Contractors must maintain their authorization to access FTI through annual recerti?cation. The initiai certi?cation and recerti?cation must be documented and placed in the agency's ?les for review. As part of the certi?cation and at least annually afterwards, contractors must be advised of the provisions of 7431, 7213, and 7213A (see Exhibit 4, Sanctions for Unauthorized Disclosure, and-Exhibit 5, Civil Damages for Unauthorized Disclosure). The training provided before the initial certi?cation and annually thereafter must also cover the incident response policy and procedure for reporting unauthorized dis-closures and data breaChes. (See Section 10) For both the initial codi?cation and the annual certi?cation, the contractor muat sign, either with ink or electronic signature, a con?dentiality statement certifying their understanding of the security requirements. lil. INSPECTION The IRS and the Agency shall have the right to send its of?cers and employees into the offices and plants of the contractor for inspection of the facilities and operations provided for the performance of any work under this contract. On the basis of such inspection, speci?c measures may be required in cases where the contractor is formd to be noncompliant with contract safeguards. Publication 1075 (January 2014) I State of Indiana, Cast Allocation, Ram Saulng and Eligib? ?y Datermina?c-n Services RFS xx-xx Attachment Cast Proposal SOW 2.4.1 - Rate Establishmentand Claiminn Insms?liom: Phase identify staf?ng Eur this component nfthe. Proposal and enter hath .lhe total hourly cast from {ha staf?ng sheet for each position and the number or hours each ?Position" will wark par yearlo compiete Ihe component. Reapandsn?l Name: EXHIBIT 8, page 1 Component Three, 2.4.3 State ofindiana? Cost Allocation, Rate Setting and Ellgibltity Determination Services RPS Attachment Cost Proposal 50W RAJ - DCS Staff Developmmt . . - RespondentNarna-Elme'complela Jaw?haGed-Raglo Instructions: Please fdan?fy staf?ng For lhis component cfthe Technical Proposal and nrrtar both thu tuiai hourly aosi from {he sur?ng sheet for each pusllfon and the: numhnr al? ham each "Fashion" will work per year to complete the: component. EXHIBIT 8, page 2 Camponent Three 2.4.6 State 9f Indiana, Cost Allocation. Rate Set?ng and Eligibility Determination Services HFS Xx-Xx Attachment - Bait Proposal Respondmt Name: 5 DW 2.4.7 - Cm? Functionality Advisory Please ample .eunws?aderj Regions Mini?! stalling for this component of the Technical Proposal and enter both the total hourly cost {mm tha sur?ng sheet for each position and ma number or hours each "Pos?ion?lwilf wurkpar Year In complete the EXHIBIT 8, page 3 Component Three 2.4.7 State. of Endlana, Cost Allocation, Rate Setting and Eligibility Determination Services RFS XIX-XX Anachment - Cus1 Pmpusal OlherCosis Instructluns: In Illa space below, please details (qmn?ty and Hall. msl) {or olhermorrslal?ng} nests: Please provla?a as detalled descn-ipllon as In than companants column. Ulher casls lncluda costs and somamlhardwara casts. Casts such as management fees will not be auoephed In sedfan. llyou have a manihly recumng cosh please use 12 unilsla represent {he annual cost The State reserves the In use its own infraslmdura forlhe proposed senriues. Respundant Name: lus?l comm e-?i?el tw?snadad Re gions'; Component Three Other Costs EXHIBIT 9 State of Indiana, Cost Allocation, Rate Setting and Eligibility Determination Services RFS XX-XX Attachment - Cost Proposal Overall Cost Proposal instructions: The cells on thls'sheet wili populate automatically- Please do not ?l Cost" ?gure will be used to assign Cost scores. i in the grey and green cells? The "Total Project Respondent Name: - "r emiwammaw . . . . Mime . Ra and .ii?t ammi'ii? 56321059 ii 63.58226 5 $32,092.95 Will he the figure used to evaluate Reaponoent's cost score. 133.1 38.73 tr, "?i?jg?i . . 122,351.58" 115,939.34 2.4.6 DOS Staff Development 3,300.03 19?63939 28,819.32 2.4.7 Cross Functionality Advisory 1,392.27 1.44832 1,477.09 Other Costs 15.9?325 15.96800 15,968.00 - Total Annual Prefect Staffing Cost 137,381.03 143,439.70 146,255.86 - Total Annual Project Non-Staffing Cost ?15,978.28 15,962.00 @wawwi?t Component Three Overall Cost Proposal EXHIBIT 10