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KYLE L. JANEK, M.D.
EXECUTIVE COMMISSIONER
VENDOR CONFERENCE
Document Processing Services
Request for Proposal No. 529-14-0005
February 5, 2014 (2:00 PM – 5:00 PM)
Welcome

Introductions
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Lyn Peters, Procurement and Contracting Services
(PCS)
Jeri Flora, Chief Associate Commissioner, Office of
Social Services
Kenneth Green, Director, Business Operations and
Support
John Wesley Smith, HHSC HUB Administrator
CJ Brandt, Special Counsel for Enterprise Contracts,
Office of General Counsel
Housekeeping Items
Vendor Conference Overview
Procurement Activities

RFP Overview

HUB Overview

Question Submittal
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
Break
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
Preliminary Responses to Questions

Closing
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HHSC Procurement Roles

PCS - Responsible for procurement activity

Program - Responsible for project scope,
requirements, performance, results, contract
management/monitoring

HUB - Responsible for monitoring HUB
activity

Legal – Questions/answers regarding legal
issues
PCS Procurement Activities

Sole Point of Contact
Questions & Answers
Procurement Schedule

Solicitation Access


http://www.hhsc.state.tx.us/contract/529130042/annou
ncements.shtml
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
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Submission Requirements
Solicitation Updates
Screening & Evaluation
Award Information
Procurement Schedule
RFP Release Date
 Vendor Conference
 Respondent Questions Due
 HHSC Posts Responses to Respondent Questions
 Proposals Due
 Deadline for Proposal Withdrawal
 Respondent Demonstrations/
Oral Presentations (HHSC option)
 Tentative Award Announcement
 Anticipated Contract Effective Date
 Operational Start Date

January 13, 2014
February 5, 2014
February 10, 2014
February 14, 2014
March 14, 2014
March 14, 2014
To be Announced
To be Announced
To be Announced
To be Announced
RFP Overview
Request for Proposals No. 529-14-0005
RFP Overview
HHSC Vision and Goals
Mission Objectives
Document Process Flow
HHSC Vision & Goals

Promote a Culture of Excellence

Empower Clients to Manage Their Case

Give Clients a Decision on Their Applications
Quickly

Strengthen Program Integrity & Accuracy

Provide the Tools Necessary for Staff Success
HHSC
Effects

How does this procurement affect our vision
& goals?

Product of Excellence & Innovation

Document Management

Enhance Current Process

Improve Performance

Support Staff
HHSC
Procurement Team

Your Overall Role to HHSC

Your Importance

Thank You!
Mission Objectives
Vendors are expected to utilize HHSC equipment
while performing the services so as to conserve HHSC
resources and minimize cost.
However, if a Vendor wishes to propose an alternative
imaging solution that would involve the use of other
equipment in lieu of HHSC equipment, HHSC may
consider such alternative if (i) it yields the best value
and is in the best interests of the State and (ii) the
Vendor’s proposal of an alternative solution fully
addresses all of HHSC’s requirements.
Process Flow
Incoming
Mail
Document
Preparation
Scanning
Storage
Incoming Mail
 Mail
Room Staff:
 Sort
 Count
 Open
 Stage
mail for production floor
Document Preparation

Document Preparation Staff:

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
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Documents removed from envelope
Documents are examined
Staples and paper clips are taken off
Documents are organized
Documents are identified/classified and bar
code separator sheet placed on document set
Document set(s)/Batch prepared for scanning
Batch ticket created
Scanning
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Scan Operators
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Storage box and bar code are assigned to a
batch
Scans box bar code
Scans document sets
Quality of image is validated; batch review
performed
Cleans and maintains scanning equipment
Prepares scanned documents for storage
Storage

Document Retention


30 calendar days
Document Destruction
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On-site
Historically Underutilized Business
(HUB) Requirements
John Wesley Smith
HHSC HUB Coordinator/ Administrator
18
Agenda Topics
I.
RFP Section 4.0 Historically Underutilized
Business Participation Requirements
II.
HUB Subcontracting Plan Development and
Submission
III. HSP Quick Checklist – Handout
IV.
HSP Methods – Section 4.6.2.2
V.
HSP Prime Contractor Progress Assessment
Report – Section 4.7
19
I. Historically Underutilized
Business Participation
Requirements
20
I. RFP Section 4.0 Historically
Underutilized Business
Participation Requirements
•
HUB Participation Goals – Section 4.3
•
Potential Subcontracting Opportunities –
Section 4.5
•
Centralized Master Bidders List and HUB Directory –
Section 4.5
•
Vendor Intends to Subcontract – Section 4.6
21
I. RFP Section 4.0 Historically
Underutilized Business Participation
Requirements (cont.)
•
Minority or Women Trade Organizations – Section 4.6.6
•
Self Performance – Section 4.6.8
•
HSP Changes After Contract Award – Section 4.7
•
Reporting and Compliance with the HSP – Section 4.7
22
II. HUB Subcontracting Plan (HSP)
Development and Submission
23
If HSP is
inadequate,
response will
be rejected
HUB GOALS
Special
reminders and
instructions
HSP
Information
Page
24
III. HSP Quick Checklist
** See Checklist Handout**
25
IV. HSP Methods
26
METHOD OPTIONS
A Respondent may choose from one of the
following methods when completing the
HSP:
• Method I – if 100% of your subcontracting
opportunities will be performed using only HUB
vendors;
• Method II – if one or more of the subcontracting
opportunities identified will be performed using HUB
protégé’s;
• Method III – if a combination of HUBs and Non-HUBs
are used to perform the subcontracting work identified
AND the HUB goal identified in the solicitation is met
or exceeded;
27
METHOD OPTIONS
A Respondent may choose from one of the
following methods when completing the HSP
(cont.):
• Method IV – if a combination of HUBs and Non-HUBs
are used to perform the subcontracting work identified
AND the HUB goal identified in the solicitation is not
met or exceeded.
• Method V - if the Respondent intends to self perform
all of the work utilizing their own resources,
equipment, employees, and supplies.
28
ALL METHODS
For ALL Methods the following steps are
required to be completed on the HSP Form:
• Page 1 - Section 1 - Respondent and Requisition
Information;
• Page 2 - Company and Requisition Information
• Page 2 - Section 2(a) – Subcontracting Intentions
• Section 4 – Affirmation and Sign
29
HSP
Information
Page
Respondent and
Requisition
Information
30
Company Name
and Requisition #
Subcontracting
Intentions:
If Yes, Complete
Section 2a
If No, Complete
Section 2b
31
Section 4;
Affirmation
Signature
Affirms that
Information
Provided is
True and
Correct.
32
METHOD I
If all (100%) of your subcontracting
opportunities will be performed using only
HUB vendors, complete:
• All of the steps in Section 1, 2 , and 4;
• Section 2 b. – List all the portions of work you will
subcontract, and indicate the percentage of the
contract you expect to award to HUB vendors;
• Section 2 c. – Yes;
• HSP GFE Method A (Attachment A) – Complete
this attachment for each subcontracting
opportunity.
33
Complete Section
2-b; List all the
portions of work you
will subcontract, and
indicate the % of the
contract you expect
to award to all HUBs.
Complete Section
2-c; Yes if you will
be using only HUBs
to perform all
Subcontracting
Opportunities in 2-b.
34
HSP GFE Method A
(Attachment A)
Complete this
attachment
(Sections A-1 and
A-2) and List Line
# and
Subcontracting
Opportunity.
HUB Subcontractor
Selection for this
Subcontracting
Opportunity
35
METHOD II
If any of your subcontracting opportunities
will be performed using HUB protégés,
complete:
• All of the steps in Section 1, 2 and 4;
• Section 2 b. – List all the portions of work you
will subcontract, and indicate the percentage of
the contract you expect to award to HUB
vendors;
• HSP GFE Method B (Attachment B) – Complete
Section B-1 and Section B-2 only for each
subcontracting opportunity as applicable.
36
Complete Section
2-b; List all the
portions of work you
will subcontract, and
indicate the % of the
contract you expect
to award to HUB
Protégés.
Skip Sections
2-c and 2-d.
37
HSP GFE Method B
(Attachment B)
Complete
Sections B-1; and
B-2 only for each
HUB Protégé
subcontracting
opportunity.
38
HSP GFE Method B
(Attachment B)
List the
HUB Protégé(s)
39
METHOD III
If you are subcontracting with HUBs and Non-HUBs,
and the aggregate percentage of subcontracting with
HUBs in which the HUB Goal identified in the
solicitation is met or exceeded , complete:
•
All of the steps in Section 1, 2, and 4;
•
Section 2 b. – List all the portions of work you will
subcontract, and indicate the percentage of the
contract you expect to award to HUB vendors and Non
HUB vendors;
• Section 2 c. – No;
• Section 2 d. – Yes;
•
HSP GFE Method A (Attachment A) – Complete this
attachment for each subcontracting opportunity.
40
Complete Section
2-b; List all the
portions of work you
will subcontract, and
indicate the % of the
contract you expect
to award to HUBs
and Non-HUBs.
Complete Section
2-c; No to using only
HUBs to perform all
Subcontracting
Opportunities in 2-b.
41
Complete Section
2-d; Yes, to the
Aggregate % of the
contract expected to
be subcontracted to
HUBs to meet or
exceed the HUB
goal, which you
have a contract
agreement in place
for five (5) years or
less.
42
HSP GFE Method A
(Attachment A)
Complete this
attachment
(Sections A-1 and
A-2) for each
subcontracting
opportunity.
Subcontractor
Selection (HUBs
and Non-HUBs)
43
METHOD IV
If you are subcontracting with HUBs and Non-HUBs,
and the aggregate percentage of subcontracting with
HUBs, holding an existing contract with HUBs for 5
years or less, does not meet or exceed the HUB Goal
identified in the solicitation, complete:
•
All of the steps in Section 1, 2, and 4;
•
•
Section 2 b. – List all the portions of work you will
subcontract, and indicated the percentage of the
contract you expect to
award to HUB vendors and
Non HUB vendors;
Section 2 c. – No;
•
Section 2 d. – No;
•
HSP GFE Method B (Attachment B) – Complete this
attachment for each subcontracting opportunity.
44
Complete Section
2-b; List all the
portions of work
you will subcontract,
and indicated the %
of the contract you
expect to award to
HUBs and Non-HUBs.
Complete Section
2-c; No, to using
only HUBs to
perform all
Subcontracting
Opportunities in 2-b.
45
Complete Section
2-d; No, to the
Aggregate % of the
contract expected to
be subcontracted to
HUBs to meet or
exceed the HUB
goal, which you
have a contract
agreement in place
for five (5) years or
less.
46
HSP GFE Method
B (Attachment B)
Complete
Section B-1; and
Section B-2
only for each
subcontracting
opportunity.
Good Faith
Efforts to find
Texas Certified
HUB Vendors
47
HSP GFE Method
B (Attachment B)
Written
Notification
Requirements
List 3 HUBs
Contacted
for this
Subcontracting
Opportunity
48
HSP GFE Method
B (Attachment B)
Written
Notification
To Trade
Organizations
49
HSP GFE Method B
(Attachment B)
List Trade
Organizations
Notified with
Dates
Sent/Accepted.
50
HSP GFE Method B
(Attachment B)
Provide written
justification why
a HUB was not
selected for this
Subcontracting
Opportunity
51
METHOD V
If you are not subcontracting any portion of
the contract and will be fulfilling the entire
contract with your own resources (i.e.,
equipment, supplies, materials, and/or
employees), complete:
•
All of the steps in Section 1, 2, and 4;
•
Section 3 – Self Performing Justification
52
Section 3; Self
Performing
Justification
List the specific
page(s)/section(s)
of your proposal
response, OR in the
space provided,
which explains how
your company will
perform the entire
contract with its
own equipment,
supplies, materials
and/or employees.
53
HUB Subcontracting Opportunity
Notification Form
54
Sample for
Respondent’s
Use.
55
V. HSP Prime Contractor Progress
Assessment Report
56
HSP Prime
Contractor
Progress
Assessment
Report
• Required with
ALL Pay Requests
• List ALL Sub
payments
(HUBs & Non-HUBs)
• Required even if
not subcontracting
57
Office Of General Counsel
CJ Brandt
Special Counsel for Contracts
Health and Human Services Commission
TOPICS COVERED

Collusion

Conflict of Interest

Former Agency Employees

Permissible Contact with HHSC
Definition of Collusion
(This is not exhaustive but merely representative)

Collusion occurs when two persons or representatives of an
entity or organization make an agreement to deceive or
mislead another.

Such agreements are usually secretive, and involve fraud or
gaining an unfair advantage over a third party, competitors,
consumers or others with whom they are negotiating.

The collusion, therefore, makes the bargaining process
inherently unfair.

Collusion can involve price or wage fixing, kickbacks, or
misrepresenting the independence of the relationship
between the colluding parties.
Conflict of Interest

A vendor must certify that it does not have personal or
business interests that present a conflict of interest with
respect to the RFP and resulting contract (see the Required
Certifications form). Additionally, if applicable, the vendor
must disclose all potential conflicts of interest.

The vendor must describe the measures it will take to
ensure that there will be no actual conflict of interest and
that its fairness, independence and objectivity will be
maintained (see the Vendor Information and Disclosures
form) over the course of the contract. HHSC will
determine to what extent, if any, a potential conflict of
interest can be mitigated and managed during the term of
the contract. Failure to identify potential conflicts of
interest may result in HHSC’s disqualification of a proposal
or termination of the contract.
Former Employees of a State Agency
Vendors must comply with Texas and federal laws
and regulations relating to the hiring of former state
employees (see e.g., Texas Government Code
§572.054 and 45 C.F.R. §74.43). Such “revolving
door” provisions generally restrict former agency
heads from communicating with or appearing before
the agency on certain matters for two years after
leaving the agency. The revolving door provisions
also restrict some former employees from
representing clients on matters that the employee
participated in during state service or matters that
were in the employees’ official responsibility.
Permissible Contact
The sole point of contact for inquiries concerning
this RFP is Lyn Peters.
As a reminder, all communications relating to this
RFP must be directed to the sole HHSC contact
person for this procurement. Otherwise failure to
comply with these requirements may result in
proposal disqualification.
Texas Health and Human Services Commission
Question Submittal
Followed by Break
Responses to
Vendor Questions

HHSC may provide non-binding verbal answers to vendor questions.
Verbal responses are non-binding, however, the binding, written
addendum will be posted on the HHSC web site.

Additional questions must be submitted in writing to the HHSC Sole Point
of Contact (see RFP Section 1.2) by the date noted in the procurement
schedule (see RFP Section 1.3).

HHSC Responses are tentatively scheduled to post by the date noted in
the procurement schedule (see RFP Section 1.3) on the HHSC website
located at the URL below:
http://www.hhsc.state.tx.us/contract/529130042/announcements.shtml
Texas Health and Human Services Commission
Closing Comments