Third Party Administrator For Hops And Pa Programs

REQUEST FOR PROPOSALS

FOR

Third Party Administrator

for the

Health Options Program and Premium Assistance Program

ISSUING OFFICE

Commonwealth of Pennsylvania

Public School Employees’ Retirement System (PSERS)

RFP NUMBER

PSERS RFP #2025-1

DATE OF ISSUANCE

December 26, 2025

Small Diverse Businesses (SDB) and Veteran Business Enterprises (VBE) are encouraged to respond to this solicitation. If you haven’t verified as an SDB or VBE within Pennsylvania, you may miss out on contracting opportunities designed to increase the Commonwealth’s spending with SDBs and VBEs. These opportunities will be available for goods, services, information technology services and products, as well as design, engineering and construction contracts.

To review SDB and VBE program eligibility and for more information on seeking certification, please visit www.dgs.pa.gov and follow the links to “Small Diverse Business Program” or “Small Business Contracting Program” located under the “Businesses” heading. Direct customer assistance is also available from staff within the Bureau of Diversity, Inclusion, and Small Business Opportunities by calling 717-783-3119 or via email at gs-bdisbo@pa.gov .

REQUEST FOR PROPOSALS FOR

Third Party Administrator for the Health Options Program and Premium Assistance Program

PSERS RFP# 2025-1

TABLE OF CONTENTS

CALENDAR OF EVENTS i

DEFINITIONS ii

PART I GENERAL INFORMATION 1

PART II CRITERIA FOR SELECTION 14

TECHNICAL SUBMITTAL 18

COST SUBMITTAL 41

PART V SMALL DIVERSE BUSINESS AND VETERAN BUSINESS ENTERPRISE PARTICIPATION INFORMATION 42

PART VI SAMPLE CONTRACTS 47

HEALTH OPTIONS PROGRAM SERVICES AGREEMENT

EXHIBIT A CONTRACT STANDARD TERMS AND CONDITIONS

EXHIBIT B CASH MANAGEMENT / CHECKING ACCOUNT PROCEDURES

EXHIBIT C PERFORMANCE GUARANTEES

EXHIBIT D DATA AND INFORMATION SECURITY ADDENDUM (DISA)

APPENDIX 1 OPERATIONS DOCUMENT

EXHIBIT E FEES (PLACEHOLDER)

EXHIBIT F HIPAA BUSINESS ASSOCIATE AGREEMENT

EXHIBIT G MEDICARE MODERNIZATION ACT ADDENDUM

PREMIUM ASSISTANCE PROGRAM SERVICES AGREEMENT

EXHIBIT A CONTRACT STANDARD TERMS AND CONDITIONS

EXHIBIT B PERFORMANCE GUARANTEES

EXHIBIT C FEES (PLACEHOLDER)

EXHIBIT D DATA AND INFORMATION SECURITY ADDENDUM (DISA)

APPENDIX 1 OPERATIONS DOCUMENT

EXHIBIT E HIPAA BUSINESS ASSOCIATE AGREEMENT

EXHIBIT F MEDICARE MODERNIZATION ACT ADDENDUM

APPENDICES

APPENDIX A PROPOSAL COVER SHEET

APPENDIX B DOMESTIC WORKFORCE UTILIZATION CERTIFICATION

APPENDIX C IRAN FREE PROCUREMENT CERTIFICATION

APPENDIX D TRADE SECRET CONFIDENTIAL PROPRIETARY INFORMATION NOTICE FORM

APPENDIX E WORKER PROTECTION AND INVESTMENT CERTIFICATION FORM

APPENDIX F COST SUBMITTAL WORKSHEET

APPENDIX G SMALL DIVERSE BUSINESS AND VETERAN BUSINESS ENTERPRISE SUMMARY SHEET

APPENDIX H SMALL DIVERSE BUSINESS PARTICIPATION PACKET:

SDB-1 Instructions for completing SDB Participation SUBMITTAL AND SDB Utilization Schedule

SDB-2 SDB Participation Submittal

SDB-3 SDB Utilization Schedule

SDB-3.1 SDB Letter of Commitment

SDB-4 Guidance for Documenting Good Faith Efforts to meet the SDB Participation goal

SDB-5 Good Faith Efforts Documentation to Support Waiver Request of SDB Participation Goal

APPENDIX I VETERAN BUSINESS ENTERPRISE PARTICIPATION PACKET:

VBE-1 Instructions for completing VBE Participation Submittal and VBE Utilization Schedule

VBE-2 VBE Participation Submittal

VBE-3 VBE Utilization Schedule

VBE-3.1 VBE Letter of Commitment

VBE-4 Guidance for Documenting Good Faith Efforts to meet the VBE participation goal

VBE-5 Good Faith Efforts Documentation to Support Waiver Request of VBE Participation Goal

APPENDIX J MODEL FORM OF SMALL DIVERSE BUSINESS/VETERAN BUSINESS ENTERPRISE SUBCONTRACTOR AGREEMENT

APPENDIX K POLITICAL CONTRIBUTION FORM

APPENDIX L DESCRIPTION OF THE HEALTH OPTIONS PROGRAM AND PREMIUM

ASSISTANCE PROGRAM

APPENDIX M TPA SERVICE VOLUME AND PRICING DATA

CALENDAR OF EVENTS

The Commonwealth will make every effort to adhere to the following schedule:

Activity	Responsibility	Date
Deadline to RSVP to the SDB and VBE Goal Information Session via email the Issuing Office at RA-psprocurement@pa.gov	Potential Offerors	Friday, January 2, 2026 4:00 PM EST
BDISBO Goal Setting Information Session (See PART I, Section I-7 for online meeting information.)	BDISBO/Potential Offerors	Monday, January 5, 2026 9:30 AM EST
Deadline to submit questions via email to the Issuing Office at RApsprocurement@pa.gov	Potential Offerors	Monday, January 12, 2026 9:00 AM EST
Answers to Potential Offeror questions will be posted on eMarketplace no later than this date. http://www.emarketplace.state.pa.us/Search.aspx	Issuing Office	Friday, January 16, 2026 4:00 PM EST
Monitor eMarketplace website for all communications regarding the RFP.	Potential Offerors	Ongoing
Sealed proposal must be received by the Issuing Office at: Public School Employees’ Retirement System ATTN: BOA/Procurement RFP2025-1 5 North 5th Street, Rm 117-1 Harrisburg, PA 17101	Offerors	Monday, February 9, 2026 2:00 PM EST
Finalist presentations if necessary. Offerors should be available to present in person if requested.	Selected Offerors	TBD

DEFINITIONS

Annuitant: Any Member on or after the effective date of the Member’s retirement until the Member’s annuity is terminate, each as determined under the Retirement Code by the Board.

Board: The Public School Employees’ Retirement Board.

Carriers: An insurance company or other entity with whom the Board has agreed to provide a benefit under HOP.

Claim: A request by a plan member, or a healthcare provider, for the payment of healthcare services covered by the constituent plan made available under HOP.

Claims Processing: The handling and payment of claims for medical services, prescriptions, or other benefits.

Coordination of Benefits (COB): The process of determining which of two or more insurance (or if applicable, self-insured) constituent plans made available under HOP has the primary responsibility for payment.

CMS: The Centers for Medicaid and Medicare Services.

Customer Service: The support services provided to employees regarding benefits, claims, and other inquiries.

Dependent:

A. Unmarried children under age 19, including: natural children, stepchildren, legally adopted children, and children legally placed for adoption.

B. Unmarried children aged 19 to 23, who are enrolled as full-time students in an accredited college or university or in a technical or specialized school and who are not regularly employed by one or more employers on a full-time basis.

C. Unmarried children disabled by a mental and/or physical disability prior to reaching the maximum age limit, who meet all of the following conditions:

1. Incapable of self-sustaining employment

2. Dependent on the Annuitant for support

3. Lives with the Annuitant

Eligibility: The criteria that an individual and if applicable, their dependents, must meet to qualify for benefits and/or premium assistance under the constituent plans made available under HOP.

Eligible Person: As defined under Section 8702 of the Retirement Code; “(1) an annuitant or survivor annuitant or the spouse or dependent or an annuitant or survivor annuitant; or (2) a Class DC participant who has terminated school service, who has at least 10 eligibility points, who is Medicare eligible and who has received all or part of their distributions, or a successor payee or the spouse or dependent or a Class DC participant described under this paragraph or successor payee.”

Enrollment: The process by which individual who is eligible to apply and obtain benefits under a constituent plan made available under the HOP and as applicable, related Premium Assistance administered by the Board.

Health Insurance Portability and Accountability Act (HIPAA): The Health Insurance Portability and Accountability Act of 1996, as amended, Pub. L. No. 104-191.

Health Options Program (HOP): The term as defined in the Recitals above.

Late Enrollment Penalty: An amount added to the monthly Medicare Part D premium, which is a penalty for not enrolling in Part D when first eligible for continuous period of 63 days or more and not having creditable prescription drug coverage.

Medicare: The programs established by Title XVIII known as the Health Insurance Aged Act, which includes: Part A, Hospital Benefits For The Aged; Part B, Supplementary Medical Insurance Benefits For The Aged; Part C, which are Medicare Advantage plans offered by commercial carriers to generally cover medical and prescription drugs under one plan; and Part D, which are stand-alone prescription drug plans.

Member: Active member, inactive member, annuitant, or vestee with respect to a retirement plan provided under the Retirement Code.

Open Enrollment or Option Selection Period: A window of time that is designated once a year – typically in the fall – when an Eligible Person may apply for the next following Plan Year, to receive a health care benefit under a constituent plan made available under the HOP or resent or cancel the benefit that was in effect immediately before that following Plan Year.

Performance Guarantees: Financial incentives or penalties based on the Administrator’s ability to meet specified performance standards.

Personalized Statement: A Statement that identifies the constituent plans made available under the HOP benefits in which an Eligible Person is enrolled or is eligible to enroll.

Plan (or plan): A constituent plan made available under HOP, including as the context requires, a proposed or being considered constituent plan.

Plan Documents: The documented terms and conditions of the benefits and related matters under a constituent plan made available under HOP including the Summary Plan Description (SPD).

Plan Year: January 1 through December 31.

Premium Assistance: A benefit for eligible retirees that provides reimbursement of out-of-pocket health insurance premiums, paid as a non-taxable addition to the monthly retirement benefit.

Provider Network: The network of doctors, hospitals, and other healthcare professionals that have negotiated rates with the TPA or an associated carrier.

PSERS: The Commonwealth of Pennsylvania, Public School Employees’ Retirement System.

Qualifying Event: An event, as more specifically described herein, that allows an Eligible Person to enroll in or change options under a constituent plan made available under the PSERS HOP.

Retirement Code: Public School Employees’ Retirement Code, 24 Pa.C.S. §8101 et. seq.

Risk Management: The process of identifying and mitigating potential environmental risks and liability exposure.

Self-Funded Plan: A benefit plan whose primary delivery is not based on the transference of risk as found with an insured benefit.

Service Provider: An individual or entity with whom the Board has agreed to provide a service for or consult with respect to HOP.

Spouse: The person to whom an individual is married as determined by PSERS in the administration of the retirement plans established by or under the Retirement Code.

Stop-Loss Insurance: A type of insurance purchased by a Self-Funded Plan to protect against catastrophic or higher-than-expected claims.

Subrogation: The legal right for a person to recover expenses for a claim paid by that person. The process of recovering money from a third party (or that party's insurer) when the third party is responsible for the injury or claim that was paid by the person seeking subrogation.

Surviving Spouse: A spouse, who does not qualify as a Survivor Annuitant, that remains eligible to participate in HOP following the death of the Annuitant.

Survivor Annuitant: The person or persons last designated by a Member under a joint and survivor annuity option to receive an annuity upon the death of such Member.

Third Party Administrator (TPA): An organization that performs administrative services for a self-funded health plan, retirement plan, or other benefit program, such as claims processing, billing, and regulatory compliance.

Utilization Review (UR): The process of reviewing the appropriateness and necessity of medical services before or after they are delivered.

PART I

GENERAL INFORMATION

I-1. Purpose. This request for proposals (RFP) provides to those interested in submitting proposals for the subject procurement (“Offerors”) sufficient information to enable them to prepare and submit proposals for the Public School Employees’ Retirement Board’s consideration on behalf of the Commonwealth of Pennsylvania (“Commonwealth”) to satisfy a need for services provided by a third party administrator for the health options program (HOP) and premium assistance program (“Project”). This RFP contains instructions governing the requested proposals, including the requirements for the information and material to be included; a description of the service to be provided; requirements which Offerors must meet to be eligible for consideration; general evaluation criteria; and other requirements specific to this RFP.

I-2. Issuing Office. PSERS, Bureau of Administration, Purchasing and Contracting Division (“Issuing Office”) has issued this RFP on behalf of the Commonwealth. Its staff shall act as Issuing Officers. The sole point of contact in the Commonwealth for this RFP shall be the Issuing Office and can be contacted at:

PSERS

ATTN: BOA/ Procurement PSERS RFP#2025-1

5 North 5th Street, Rm 117-1

Harrisburg, PA 17101

Email: RA-PSPROCUREMENT@pa.gov

I-3. Overview of Organization and Project. The Board is an independent board of the Commonwealth that is statutorily charged with the administration of a governmental, cost-sharing, multiple employer pension plan to which public school employers, the Commonwealth, and public school employees contribute in accordance with the Public School Employees’ Retirement Code, 24 Pa.C.S. § 8101, et seq. (“Retirement Code”). In addition to administering retirement benefits, the Board is empowered by the Retirement Code to sponsor a participant-funded group health insurance program (24 Pa.C.S. §§and a premium assistance program (24 Pa.C.S. 8509).

Since 1994, the Board has sponsored the Health Options Program (HOP), which is a voluntary, statewide plan that provides group health insurance coverage for eligible members. Participation in HOP is voluntary, and benefits are financed by the premiums paid by plan participants, federal subsidies, and drug manufacturer rebates.

HOP has expanded throughout the years to offer a variety of plans and services. Members eligible for Medicare may select from among two self-insured Medicare supplement plans, two Medicare Rx plans, and multiple Medicare Advantage plans. Members not eligible for Medicare have a choice between a self-insured pre-65 indemnity plan and a Managed Care Pre-65 plan. The HOP also offers a fitness program (SilverSneakers) and a dental and vision option through fully insured carriers.

The HOP had 123,092 members (102,356 retirees plus their dependents) in HOP’s medical plans as of January 1, 2025, with nearly 100,000 members in the Medicare Part D prescription drug plans totaling more than $597 million annual health plan budget. HOP’s voluntary Dental Program and Vision Plan had approximately 39,464 members (33,060 retirees plus their dependents) as of the same date.

The Premium Assistance Program (PAP) was first enacted by law in 1992 and provides a health insurance premium subsidy of up to $100 per month for eligible annuitants. As of June 30, 2024, there were approximately 92,000 who receive this benefit.

PSERS health program offerings continue to be well-received by members and honored for their excellence. In October 2025, the HOP’s prescription drug plan (PDP) received a near perfect consumer-services rating from the federal government for the 2026 plan year. The Centers for Medicare and Medicaid Services (CMS) bestowed a 4.5 Star Rating on HOP’s Prescription Drug Employer Group Waiver Plan for the fourth straight year. PSERS was one of seven PDPs to receive 4.5 stars or higher, while the average Star Rating for the 40 PDP programs measured was 3.3. In May 2025, HOP’s PDP received the Pharmacy Quality Alliance (PQA) Excellence in Quality Award. The award is based on a high-quality rating system employed by CMS.

The Board is looking for a third party administrator to provide recordkeeping and administrative services to HOP and PAP, including claims adjudication for the HOP Medical Plan, Value Medical Plan, the HOP Pre-65 Medical Plan (and other similar plans as they may be implemented), and eligibility and administrative services for the HOP Medicare Prescription Drug Plan, participating managed care organizations offering Medicare Advantage plans, and pre-65 managed care plans, HOP SilverSneakers program, and the Dental and Vision programs. Descriptions of the various benefit plans can be found in APPENDIX L, DESCRIPTION OF THE HEALTH OPTIONS PROGRAM AND PREMIUM ASSISTANCE PROGRAM and APPENDIX M, TPA SERVICE VOLUME AND PRICING DATA.

Objectives.

A. General. This RFP provides interested contractors with sufficient information to enable them to prepare and submit proposals for consideration by the Board to satisfy a need for a third-party administrator for the HOP and PAP. This RFP provides interested contractors with sufficient information to enable them to prepare and submit proposals for consideration by the Board to satisfy a need for a third-party administrator for the HOP and PAP.

B. Specific. The specific objectives of this Project are to acquire a third-party administrator to perform the day-to-day administrative function for the HOP and PAP.

I-4. Type of Contract. It is proposed that if the Issuing Office enters into two contracts as a result of this RFP, one for HOP and one for Premium Assistance, each as a fixed price and/or unit price contract containing the terms in PART VI. The Issuing Office, in its sole discretion, may undertake negotiations with Offerors whose proposals, in the judgment of the Issuing Office, show them to be qualified, responsible and capable of performing the Project.

I-5. Rejection of Proposals. The Issuing Office reserves the right, in its sole and complete discretion, to reject any proposal received as a result of this RFP.

I-6. Incurring Costs. The Issuing Office is not liable for any costs the Offeror incurs in preparation and submission of its proposal, in participating in the RFP process or in anticipation of award of the contract.

I-7. SDB and VBE Goal Setting Information Session. The Commonwealth has made significant changes to the SDB and VBE requirements, and failure to meet these requirements may result in your proposal being deemed nonresponsive. Therefore, the Issuing Office will hold an SDB and VBE Goal Setting Information Session for this RFP which we highly recommend you attend. The purpose of this Session is to provide an overview of the RFP SDB and VBE Participation submission instructions. Offerors may ask questions in accordance with Section I-8, Questions and Answers with respect to information provided in this session. Offerors may also ask questions during the Session. Any questions asked during the session must also be asked in writing in accordance with PART I, Section I-8, Questions and Answers. Any answers furnished during the Session will not be official until they have been verified, in writing, by the Issuing Office. All questions and written answers will be posted on the Department of General Services’ (DGS) website as an addendum to, and shall become part of, this RFP.

The SDB and VBE Goal Setting Conference call will be Monday, January 5, 2024, 9:30 – 10:30 AM EST. You may join by:

Microsoft Teams

Join the meeting now

Meeting ID: 223 687 400 030 01

Passcode: 56kU2NC6

Dial in by phone

(267) 332-8737

Find a local number

Phone conference ID: 958 408 368#

If you prefer an email invitation to the session, please request by emailing the Issuing Office at RA-PSPROCUREMENT@pa.gov .

I-8. Questions and Answers. If an Offeror has any questions regarding this RFP, the Offeror must submit the questions by email (with the subject line “PSERS RFP #2025-1 Question”) to the Issuing Office at the address identified in PART I, Section I-2 of the RFP. If the Offeror has questions, they may be submitted as they arise via email, but no later than the date indicated on the Calendar of Events. The Issuing Office shall post the answers to the questions to eMarketplace at http://www.emarketplace.state.pa.us/‌Search.aspx on an ongoing basis until the deadline stated on the Calendar of Events. When an Offeror submits a question after the deadline date for receipt of questions indicated on the Calendar of Events, the Issuing Office may respond to questions of an administrative nature by directing the questioning Offeror to specific provisions in the RFP. To the extent that the Issuing Office decides to respond to a non-administrative question after the deadline date, the question and answer will be provided to all Offerors through an addendum.

All questions and responses as posted to eMarketplace are considered as an addendum to, and part of, this RFP in accordance with PART I, Section I-9. Each Offeror shall be responsible to monitor eMarketplace for new or revised RFP information. The Issuing Office shall not be bound by any verbal information, nor shall it be bound by any written information that is not either contained within the RFP or formally issued as an addendum by the Issuing Office. The Issuing Office does not consider questions to be a protest of the specifications or of the solicitation. The required protest process for Commonwealth procurements is described in PART I, Section I-26.

I-9. Addenda to the RFP. If the Issuing Office deems it necessary to revise any part of this RFP before the proposal response date, the Issuing Office will post an addendum to eMarketplace at http://www.emarketplace.state.pa.us/Search.aspx . It is the Offeror’s responsibility to periodically check eMarketplace for any new information or addenda to the RFP. Answers to the questions asked during the Questions & Answers period also will be posted to eMarketplace as addenda to the RFP.

I-10. Response Date. To be considered for selection, electronic proposal submissions as described in PART I, Section I-11 must arrive at the Issuing Office on or before the time and date specified in the RFP Calendar of Events. The Issuing Office will not accept proposals via email or facsimile transmission. Offerors who send proposals by mail or other delivery service should allow sufficient delivery time to ensure timely receipt of their proposals. If, due to inclement weather, natural disaster, or any other cause, the Commonwealth office location to which proposals are to be returned is closed on the proposal response date, the deadline for submission will be automatically extended until the next Commonwealth business day on which the office is open, unless the Issuing Office otherwise notifies Offerors. The hour for submission of proposals shall remain the same. The Issuing Office will reject (unopened) any late proposals.

I-11. Proposal Requirements. To be considered, Offerors shall submit a complete response to this RFP to the Issuing Office, using the methods and format provided below.

A. Proposal Submission. Offerors are required to submit both paper and electronic copies of their proposals. Electronic copies may not be submitted in lieu of paper proposals. The Issuing Office will reject proposals which fail to meet this requirement.

1. Paper Submittals. Offerors will provide:

a.) Three (3) paper copies [one marked “ORIGINAL”] of the Technical Submittal. Offerors should ensure that there is no costing information in the Technical Submittal. The Issuing Office will reject proposals which include costing information as non-responsive.;

b.) One (1) separately sealed (envelope preferred) paper copy of the Cost Submittal. Offerors should not reiterate technical information in the Cost Submittal.; and

c.) One (1) separately sealed (envelope preferred) paper copy of the Small Diverse Business (SDB) Participation Submittal (which must include either the SDB Utilization Schedule, the Good Faith Efforts Documentation to Support Waiver Request, or both), and the Veteran Business Enterprise (VBE) Participation Submittal (which must include either the VBE Utilization Schedule, the Good Faith Efforts Documentation to Support Waiver Request, or both).

2. Electronic Submittals.

a.) Offerors shall submit one (1) complete and exact electronic copy of the entire proposal with named separate files, including the:

i.) Technical Submittal;

ii.) Cost Submittal;

iii.) Small Diverse Business (SDB) Participation Submittal (SDB-2) (which must include either the SDB Utilization Schedule (SDB-3), Good Faith Efforts Documentation to Support Waiver Request (SDB-4 and SDB-5), or both) and the Veteran Business Enterprise (VBE) Participation Submittal (VBE-2) (which must include either the VBE Utilization Schedule (VBE-3), Good Faith Efforts Documentation to Support Waiver Request (VBE-4 and VBE-5), or both).; and

b.) Offerors shall submit one (1) complete and exact redacted electronic copy of the entire proposal if the Offeror determines that it must divulge confidential, propriety or trade secret information as outlined PART I-17.

c.) The electronic submittals must be submitted on a USB/Flash drive using Microsoft Word, Microsoft Excel or Adobe PDF formats. Offerors may not lock or password protect, in whole or in part, any electronic files that are part of their Submittal without providing the password or key to unlock the files. The USB/Flash drive should clearly identify the Offeror and include the name and version number of the virus scanning software that was used to scan the USB/Flash drive before it was submitted.

3. The Offeror shall make no other distribution of its proposal to any other Offeror or Commonwealth official or Commonwealth consultant. Each proposal page should be numbered for ease of reference.

4. An official authorized to bind the Offeror to its provisions must sign the proposal using APPENDIX A, Proposal Cover Sheet.

5. For this RFP, the proposal must remain valid for 120 days or until a contract is fully executed. If the Issuing Office selects the Offeror’s proposal for award, the contents of the selected Offeror’s proposal will become, except to the extent the contents are changed through Best and Final Offers or negotiations, contractual obligations.

6. Each Offeror submitting a proposal specifically waives any right to withdraw or modify it, except that the Offeror or its authorized representative may:

a. Withdraw or modify its proposal by written notice received at the Issuing Office’s address for proposal delivery prior to the exact hour and date specified for proposal receipt. Modifications must be marked as “Revised Proposal”, include both paper and electronic submittals for the proposal and comply with RFP requirements.

b. Withdraw or modify its proposal in person prior to the exact hour and date set for proposal receipt, provided the withdrawing person provides appropriate identification. Modifications must be marked as “Revised Proposal”, include both paper and electronic submittals for the proposal and comply with RFP requirements.

B. Proposal Format. Offerors must submit their proposals in the format, including heading descriptions, outlined below. To be considered, the proposal must respond to all proposal requirements. Offerors should provide any other information thought to be relevant, but not applicable to the enumerated categories, as an appendix to the proposal.

Each proposal shall consist of the following four (4) separate submittals in paper and electronic formats:

1. Technical Submittal, in response to PART III; and include a:

a. Complete, sign and include APPENDIX A, Proposal Cover Sheet

b. Complete, sign and include APPENDIX B, Domestic Workforce Utilization Certification; and

c. Complete, sign and include APPENDIX C, Iran Free Procurement Certification Form; and

d. Complete, sign and include APPENDIX D, Trade Secret/ Confidential Proprietary Information Notice

e. Complete, sign and include APPENDIX E, Worker Protection and Investment Certification Form.

f. Complete, sign and include APPENDIX K, Political Contribution Form

2. Cost Submittal, in response to RFP and as found at APPENDIX F, Cost Submittal Worksheet.

3. SDB Participation Submittal found at APPENDIX H (SDB-2) (which must include the SDB Utilization Schedule (SDB-3), Good Faith Efforts Documentation to Support Waiver Request (SDB-4 and SDB-5), or both), in response to PART V; and

4. VBE Participation Submittal found at APPENDIX I (VBE-2) (which must include the VBE Utilization Schedule (VBE-3), Good Faith Efforts Documentation to Support Waiver Request (VBE-4 and VBE-5), or both), in response to PART V.

C. The Issuing Office reserves the right to request additional information which, in the Issuing Office’s opinion, is necessary to assure that the Offeror’s competence, number of qualified employees, business organization, and financial resources are adequate to perform according to the RFP.

D. The Issuing Office may make investigations as deemed necessary to determine the ability of the Offeror to perform the Project, and the Offeror shall furnish to the Issuing Office all requested information and data. The Issuing Office reserves the right to reject any proposal if the evidence submitted by, or investigation of, such Offeror fails to satisfy the Issuing Office that such Offeror is properly qualified to carry out the obligations of the RFP and to complete the Project as specified.

I-12. Economy of Preparation. Offerors should prepare proposals simply and economically, providing a straightforward, concise description of the Offeror’s ability to meet the requirements of the RFP.

I-13. Alternate Proposals. The Issuing Office has identified the basic approach to meeting its requirements, allowing Offerors to be creative and propose their best solution to meeting these requirements. The Issuing Office will not accept alternate proposals.

I-14. Discussions for Clarification. Offerors may be required to make an oral or written clarification of their proposals to the Issuing Office to ensure thorough, mutual understanding and responsiveness to the solicitation requirements. The Issuing Office will initiate requests for clarification. Clarifications may occur at any stage of the evaluation and selection process prior to contract execution.

I-15. Prime Contractor Responsibilities. The selected Offeror must perform at minimum, 51% of the work under this contract. Nevertheless, the contract will require the selected Offeror to assume responsibility for all services offered in its proposal whether it produces them itself or by subcontract. Further, the Issuing Office will consider the selected Offeror to be the sole point of contact with regard to all contractual matters.

I-16. Oral Presentations. Proposers achieving the 75% Technical assessment threshold may be required to provide an oral presentation of the services proposed. This presentation will serve as a proof of the conceptual requirements described in the Technical proposal and will be evaluated to confirm Proposer’s narrative explanations of the services proposed.

I-17. Proposal Contents.

A. Confidential Information. The Commonwealth is not requesting, and does not require, confidential proprietary information or trade secrets to be included as part of Offerors’ submissions in order to evaluate proposals submitted in response to this RFP. Accordingly, except as provided herein, Offerors should not label proposal submissions as confidential or proprietary or trade secret protected. Any Offeror who determines that it must divulge such information as part of its proposal must submit the signed written statement described in subsection C. below and must additionally provide a redacted version of its proposal on USB/Flash drive, which removes only the confidential proprietary information and trade secrets, for required public disclosure purposes. The USB/Flash drive, should clearly identify the Offeror, note that it is a redacted copy and include the name and version number of the virus scanning software that was used to scan the USB/Flash drive, before it was submitted. If a written statement and redacted version of the proposal is not submitted at the time of the proposal submission, the proposal will be subject to release as submitted with only the financial capability redacted.

B. Commonwealth Use. All material submitted with the proposal shall be considered the property of the Commonwealth of Pennsylvania. The Commonwealth has the right to use any or all ideas not protected by intellectual property rights that are presented in any proposal regardless of whether the proposal becomes part of a contract. Notwithstanding any Offeror copyright designations contained in proposals, the Commonwealth shall have the right to make copies and distribute proposals internally and to comply with public record or other disclosure requirements under the provisions of any Commonwealth or United States statute or regulation, or rule or order of any court of competent jurisdiction.

C. Public Disclosure. After the award of a contract pursuant to this RFP, all proposal submissions are subject to disclosure in response to a request for public records made under the Pennsylvania Right-to-Know-Law, 65 P.S. § 67.101, et seq. If a proposal submission contains confidential proprietary information or trade secrets, a signed written statement to this effect must be provided with the submission in accordance with 65 P.S. § 67.707(b) for the information to be considered exempt under 65 P.S. § 67.708(b)(11) from public records requests. Refer to APPENDIX D, Trade Secret/ Confidential Proprietary Information Notice Form that may be utilized as the signed written statement, if applicable. If financial capability information is submitted in response to PART III of this RFP, such financial capability information is exempt from public records disclosure under 65 P.S. § 67.708(b)(26).

I-18. Best and Final Offers (BAFO).

A. While not required, the Issuing Office reserves the right to conduct discussions with Offerors for the purpose of obtaining “best and final offers.” To obtain best and final offers from Offerors, the Issuing Office may do one or more of the following, in any combination and order:

1. Schedule oral presentations;

2. Request revised proposals; and

3. Enter into pre-selection negotiations.

B. The following Offerors will not be invited by the Issuing Office to submit a Best and Final Offer:

1. Those Offerors which the Issuing Office has determined to be not responsible or whose proposals the Issuing Office has determined to be not responsive.

2. Those Offerors which the Issuing Office has determined in accordance with PART II, Section II-5 from the submitted and gathered financial and other information, do not possess the financial capability, experience or qualifications to assure good faith performance of the contract.

3. Those Offerors whose score for their technical submittal of the proposal is less than
75% of the total amount of technical points allotted to the technical criterion.

The Issuing Office may further limit participation in the best and final offers process to those remaining responsible offerors which the Issuing Office has, within its discretion, determined to be within the top competitive range of responsive proposals.

C. The Evaluation Criteria found in PART II, Section II-4, shall also be used to evaluate the Best and Final offers.

D. Price reductions offered through any Best and Final Offer shall have no effect upon the Offeror’s Technical Submittal.

I-19. News Releases. Offerors shall not issue news releases, Internet postings, advertisements or any other public communications pertaining to this Project without prior written approval of the Issuing Office, and then only in coordination with the Issuing Office.

I-20. Restriction of Contact. From the issue date of this RFP until the Issuing Office selects a proposal for award, the Issuing Officer is the sole point of contact concerning this RFP. Any violation of this condition may be cause for the Issuing Office to reject the offending Offeror’s proposal. If the Issuing Office later discovers that the Offeror has engaged in any violations of this condition, the Issuing Office may reject the offending Offeror’s proposal or rescind its contract award. Offerors must agree not to distribute any part of their proposals beyond the Issuing Office. An Offeror who shares information contained in its proposal with other Commonwealth personnel and/or competing Offeror personnel may be disqualified.

I-21. Issuing Office Participation. Offerors shall provide all services, supplies, facilities, and other support necessary to complete the identified work, including but not limited to project managers, underwriters, actuaries, consultants, products, pharmacists, and any other support to fulfill the services and product requested.

I-22. Term of Contract. The term of the contract will commence on the Effective Date and will end five (5) years from the Effective Date (the “Initial Term”). On or before the conclusion of the Initial Term, PSERS shall have the right, in its sole discretion, to renew the contract on a year-to-year basis for up to an additional five (5) years. The Issuing Office will fix the Effective Date after the contract has been fully executed by the selected Offeror and by the Board and all approvals required by Commonwealth contracting procedures have been obtained. The contract will not be a legally binding contract until after the Effective Date is affixed and the fully executed contract has been sent to the selected Offeror. The selected Offeror shall not start the performance of any work before the Effective Date and the Board shall not be liable to pay the selected Offeror for any service or work performed or expenses incurred before the Effective Date.

I-23. Offeror’s Representations and Authorizations. By submitting its proposal, each Offeror understands, represents, and acknowledges that:

A. All of the Offeror’s information and representations in the proposal are material and important, and the Issuing Office may rely upon the contents of the proposal in awarding the contract(s). The Commonwealth shall treat any misstatement, omission or misrepresentation as fraudulent concealment of the true facts relating to the Proposal submission, punishable pursuant to 18 Pa. C.S. § 4904.

B. The Offeror has arrived at the price(s) and amounts in its proposal independently and without consultation, communication, or agreement with any other Offeror or potential offeror.

C. The Offeror has not disclosed the price(s), the amount of the proposal, nor the approximate price(s) or amount(s) of its proposal to any other firm or person who is an Offeror or potential offeror for this RFP, and the Offeror shall not disclose any of these items on or before the proposal submission deadline specified in the Calendar of Events of this RFP.

D. The Offeror has not attempted, nor will it attempt, to induce any firm or person to refrain from submitting a proposal on this contract, or to submit a proposal higher than this proposal, or to submit any intentionally high or noncompetitive proposal or other form of complementary proposal.

E. The Offeror makes its proposal in good faith and not pursuant to any agreement or discussion with, or inducement from, any firm or person to submit a complementary or other noncompetitive proposal.

F. To the best knowledge of the person signing the proposal for the Offeror, the Offeror, its affiliates, subsidiaries, officers, directors, and employees are not currently under investigation by any governmental agency and have not in the last four years been convicted or found liable for any act prohibited by State or Federal law in any jurisdiction, involving conspiracy or collusion with respect to bidding or proposing on any public contract, except as the Offeror has disclosed in its proposal.

G. To the best of the knowledge of the person signing the proposal for the Offeror and except as the Offeror has otherwise disclosed in its proposal, the Offeror has no outstanding, delinquent obligations to the Commonwealth including, but not limited to, any state tax liability not being contested on appeal or other obligation of the Offeror that is owed to the Commonwealth.

H. The Offeror is not currently under suspension or debarment by the Commonwealth, any other state or the federal government, and if the Offeror cannot so certify, then it shall submit along with its proposal a written explanation of why it cannot make such certification.

I. The Offeror has not made, under separate contract with the Issuing Office, any recommendations to the Issuing Office concerning the need for the services described in its proposal or the specifications for the services described in the proposal.

J. Each Offeror, by submitting its proposal, authorizes Commonwealth agencies to release to the Commonwealth information concerning the Offeror's Pennsylvania taxes, unemployment compensation and workers’ compensation liabilities.

K. Until the selected Offeror receives a fully executed and approved written contract from the Issuing Office, there is no legal and valid contract, in law or in equity, and the Offeror shall not begin to perform.

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