Barbara J. Parker, City Attorney

Transcription

1 Barbara J. Parker, City Attorney CITY OF OAKLAND OFFICE OF THE CITY ATTORNEY SPECIFICATIONS, TERMS & CONDITIONS FOR GENERAL LIABILITY CLAIMS THIRD PARTY ADMINISTRATOR (TPA) SERVICES Complete information regarding this RFP is posted at A copy may also be obtained at the City of Oakland Office of the City Attorney, located at One Frank Ogawa Plaza, 6th floor, Oakland, California. Contact Person: Yvonne Hudson-Harmon Phone Number: (510) Address: yhudson@oaklandcityattorney.org RESPONSES TO THIS RFP ARE DUE BY: April 24, 2015

2 TABLE OF CONTENTS INTRODUCTION... 1 PROJECT DESCRIPTION... 1 SCHEDULE OF EVENTS:... 2 SCOPE OF SERVICES... 3 THE PROPOSAL... 8 GENERAL INFORMATION... 8 SUBMITTAL REQUIREMENTS REQUIRED PROPOSAL ELEMENTS AND FORMAT OTHER FORMS TO BE SUBMITTED AT LATER STAGES REJECTION OF PROPOSAL ELEMENTS EVALUATION PROCESS EVALUATION OF PROPOSALS CONTRACT NEGOTIATIONS & AWARD CONTRACT NEGOTIATIONS CONTRACT AWARD ATTACHMENTS SAMPLE PROFESSIONAL SERVICES AGREEMENT FORMS (REQUIRED WITH SUBMISSION) OTHER FORMS TO BE SUBMITTED AT LATER STAGES LIABILITY CLAIMS ADMINISTRATOR S QUESTIONNAIRE (CONFIDENTIAL) EXCESS CARRIER REPORTING REQUIREMENTS GLOSSARY i

3 INTRODUCTION The City of Oakland Office of the City Attorney seeks to contract with an experienced company to provide general liability claims adjusting services, also known as a Third Party Administrator (TPA). It is the goal of the Office of the City Attorney to contract with a Third Party Administrator (TPA) who is responsive to the City's needs, goal oriented, dedicated to high standards of administration, and capable of developing a cost effective and proactive liability administration program. The information contained in this Request for Proposal {RFP) outlines the requested services. It contains the instructions governing the proposal to be submitted and the material to be included therein; mandatory requirements which must be met to be eligible for consideration; and other requirements to be met in each proposal. The City Attorney's Office intends to award a one-year contract with an annual option to renew for 1, 2 or 3 year terms to the administrator(s) selected as most capable of meeting the City's requirements. At the end of the 4th year, the City shall issue a new RFP. PROJECT DESCRIPTION A. The City of Oakland Office of the City Attorney encourages any prospective TPA who has been certified with the City of Oakland s Contract Compliance Office, or who has expressed interest in participating in this RFP process, or who has responded to published solicitations to submit a proposal to this RFP. Other TPAs who believe they are capable of offering a proposal may also request a copy of this RFP and will be allowed to submit a proposal in accordance with the requirements and dates set forth herein. Each prospective TPA will receive one copy of this RFP from the City of Oakland; and prospective TPAs are responsible for making additional copies as required to satisfy their needs. B. The Office of the City Attorney (OCA) is responsible for the City s self insurance program for general liability. The City currently maintains a self-insured retention level of $4 million for general liability coverage, with excess insurance limits above the self-insured retention level. C. Currently, OCA administers its claims (tort, civil rights, employment practices, property damage etc.) both in-house and through a TPA. Management of the liability claims program is provided by the Assistant City Attorney in charge of Litigation, under the auspices of the City Attorney. D. OCA is seeking to contract with an experienced company to provide liability claims adjusting services, also known as a Third Party Administrator (TPA). The TPA would work closely with OCA with respect to specific case direction and execution. The TPA would serve OCA as a central component of an integrated, multi-disciplinary, liability claims program in a manner intended to minimize 1

4 duplication and staff/resource impacts and maximize program flexibility. The TPA would be responsible for providing guidance and recommendations to OCA as to strategies for reducing the amount paid out in claims. In addition, the TPA would act as a client representative on behalf of the City during formal settlement conferences, in whatever form they take, and would provide litigation support, as feasible, including investigative services. The TPA would be expected to attend settlement and mediation hearings of City cases and provide direction based upon past experience in resolving cases. E. The following table shows a five year history of the types of claims filed against the City. To view the City s annual report in its entirety, go to Category year average Municipal Infrastructure Police Matters City Vehicle Accidents Other Total Claims/Year SCHEDULE OF EVENTS: Distribution of RFP 3/24/2015 Submission of RFP due from TPAs 3:00 p.m. 4/24/2015 City review of RFPs submitted 4/27/2015 5/1/2015 Contract Negotiations (to be determined) Contract Process Completed & Contract Awarded (to be determined) (Dates subject to change) 2

5 SCOPE OF SERVICES A. TPA Minimum Qualifications 1. The firm must participate in the City's Professional Services Contract Program; 2. A minimum of ten (10) years of experience administering claims as a TPA for a California public agency, a California City or a public entity that has claims of a similar number and nature, including law enforcement. 3. TPA must possess all permits, licenses, and professional credentials necessary to perform services specified in this RFP. 4. The TPA servicing the City of Oakland shall at all times have a proximate location to the City conductive to the expedient investigation/administration of claims (in the sole discretion of the City), as part of the claims service. B. Specific Requirements City requirements for its TPA include, but are not limited to, the following: 1. The TPA must have a strong customer service orientation at all levels of the firm. A designated manager must have the authority to resolve claims issues immediately, including re-assignment of TPA s staff to City s satisfaction. 2. TPA must provide a detailed strategy to reduce the amount paid out in claims as part of their response. 3. Identify liability and potential defenses, including use of governmental immunities, comparative negligence, joint tortfeasors and joint several liabilities. 4. Obtain and review contracts that may be in effect relating to the claim and determine whether there is potential for transferring risk via any of the following methods; hold-harmless indemnity agreements, additional insured requirements, and/or Certificate of Insurance, Additional insured Endorsements. 5. Obtain all necessary documents from all appropriate parties upon settlement of a claim. (Releases, court documents, settlement agreements, etc.) 3

6 6. As soon as the exposure has been properly documented for the file, advise the City to correct, mitigate, or eliminate further exposure, where possible (i.e. repair cracked sidewalk, remove tree hazard, etc.) 7. TPA must state the number of claims adjusters that will be assigned to this contract and outline their experience. Additionally, the total maximum number of City claims assigned per examiner must be provided. If the claims adjuster handles multiple clients, the total maximum number and types of cases assigned for all clients must also be provided. 8. TPA must provide a demonstrated history of effective use of computerized claims management systems as part of their response. 9. The City s computerized claims management system is Citylaw. 10. TPA must create a review system to ensure accurate data is provided on all claims. All claims must be reviewed on a periodic basis as determined by OCA. The review system must include appropriate claims handling and reserving procedures, and timely file closures. 11. TPA shall provide training, support and access to the management information system so they may search for claim information and data as required. 12. TPA must comply with all reporting requirements of the excess carrier administrator. Requirements include notifying, on a timely basis, OCA and excess carrier administrator of any claims that may exceed the City's selfinsured retention or meet the reporting requirements of the excess insurer. 13. On a monthly basis, TPA will provide claim summary reports within 15 days of month-end. i.e. open claims, closed claims, and financial reports on all fees and open reserves for each. Review selected City claims with designated Office of the City Attorney (OCA) personnel or other City officials to discuss the status of ongoing claims and make case strategy recommendations. 14. Comply with the mandatory reporting requirements of Section 111 (Medicare Secondary Payer ) of the Medicare, Medicaid and SCHIP Extension Act of 2007 (MMSEA effective July ). Penalties incurred as a result of the failure of TPA to comply with any statutory laws and regulations shall be the sole responsibility of TPA. The City shall be notified in writing within 30 days of any penalty paid by the TPA and the reason for the penalty. 15. TPA shall enter all injury claim data including Medicare reporting into ISO ClaimSearch ( on the City s behalf. 4

7 16. TPA will cooperate, assist, and meet with auditors and actuaries reviewing the City's and the TPA's system and records. TPA will provide documents to auditors and actuaries upon request. To ensure a high quality work product, TPA will also cooperate, assist and meet with OCA on TPA audits conducted by OCA. 17. Communication, written, oral, and in person, with the City staff by the TPA is an important element of the services expected. 18. TPA must provide comprehensive claims management and administration, including assuming the handling of existing open cases. This will include investigation, case management, defense management and settlement/negotiations. All claims are to be managed to their final conclusion. 19. The City must pre-approve appraisals, copy services, experts/consultants and similar providers related to handling claims that may be recommended by TPA. All invoices for these services shall be forwarded to OCA for payment. 20. TPA must proactively manage City claims to ensure timely claim handling, including follow-up all investigation to ensure timely and expeditious processing. 21. TPA shall be required to report to the City any assigned claims determined to present a potential conflict of interest. TPA will not represent the City where a conflict may exist without a written waiver from the City. 22. TPA shall obtain the claims files from OCA. At the end of the contract term, the TPA will transfer all files to any new TPA or the City as directed. 23. TPA shall manage and administer liability claims on open existing cases or as may be assigned by the City during the term of this agreement. 24. TPA shall investigate, evaluate, process, manage and resolve bodily injury, personal injury and property damage claims and potential claims for money damages asserted by third parties against City, its officers, agents, or employees for which City, its officers, departments, commissions, related agencies, or any of its employees are alleged to be legally responsible. TPA shall coordinate, consult, and fully cooperate with City personnel in the administration of those claims. 25. TPA shall within 2 business days of receipt of a new claim, enter the claim information into a claims management information system. TPA will also begin the file review and initial investigation within 4 business days of 5

8 receipt of the claim. TPA shall provide within twenty business days of claim filing a written claim analysis report including 1) fact analysis, 2) liability assessment, 3) possible defenses, 4) damages, 5) recommendations for action including settlement, rejection or defense and provide within 3 business days of claim filing a written report on all serious or catastrophic occurrences with large potential liability. 26. TPA will contact OCA with its settlement recommendation and obtain from OCA approval to negotiate and resolve any claim. 27. The OCA will present settlement recommendations for claims to be settled over five thousand dollars ($5,000) or more before the Oakland City Council for approval. TPA will prepare the settlement letter on the case for Council approval. 28. TPA shall settle bodily injury and property damage aspects of a claim as one settlement unless authorized differently by OCA. 29. TPA shall notify OCA of claims that have a potential litigated value of over fifty thousand dollars ($50,000) (including damages, costs and attorney's fees), within 3 business days. 30. TPA shall cooperate with OCA attorneys and outside counsel to resolve claims and subsequent litigation. TPA adjuster will attend all Small Claims Court actions, settlement conferences meetings with City staff, departments and employee groups when required. 31. TPA shall communicate with excess carrier or its administrator and the City in accordance with its current policies (See Attachment) or as may be subsequently amended. 32. TPA shall send OCA copy of notice of late claim, insufficient claim or rejection of late claim within 2 business days. 33. TPA shall provide quarterly statistical reports on claims (i.e. open claims, closed claims, and financial reports on all fees) and costs paid on liability claims in a form acceptable to OCA. Standard, Custom and Adhoc Reports shall be furnished at no additional cost. All requests for Custom and Ad Hoc reports must be authorized by the OCA. Reports identified by the City of Oakland shall automatically be generated at the intervals and distributed to the identified parties as specified during the negotiation process. 34. Electronic notes in the claims management information system (Citylaw) shall be used to record activity and updated with new developments. All 6

9 significant documents (i.e. updates, status updates from counsel) will be scanned into the database by OCA. 35. TPA will establish and maintain liability and expense reserves on each claim which fairly and adequately reflect the City's exposure according to standard practices and City requirements. TPA will close out reserves once claim is resolved. 36. TPA shall notify the excess carrier or its administrator on behalf of the City in accordance with the specific requirements of the excess carrier. TPA will work directly with OCA in obtaining financial information for recovery from the excess carrier. 37. TPA shall keep City fully informed of all significant developments in assigned matters. 38. All records, files, transcripts, computer tapes and other materials on general liability adjusting activity developed on the City of Oakland liability and property claims is the property of the City of Oakland and must be relinquished in good order and condition upon termination of this contract with the Claims Administrator. The City shall not be required to pay any additional cost for the transfer of files to the City. 39. The City of Oakland reserves the right to discuss modifications and additions to the agreed-upon contract services throughout the term of the contract. Should additional services become desirable, the City of Oakland and the TPA shall negotiate the terms of such desired services as appropriate. If the TPA is unable to provide the desired services in a manner acceptable to the City, the City of Oakland may identify an alternate service provider and obtain the services in a manner agreeable to all involved parties 40. On occasion the City of Oakland requires special services be provided on its premises. Should there be a need for such services the TPA and the City will negotiate the cost for said services. Said costs will be independent of the annual TPA contract fee and shall pay as an allocated claim expense. 7

10 THE PROPOSAL GENERAL INFORMATION A. The team selected for this project shall obtain or provide proof of having a current City of Oakland Business License. B. The City Council reserves the right to reject any and all bids. C. Sample Professional Service Agreement This Agreement is subject to the attached Sample Professional Service Agreement (Attachment A). Please note that the City Attorney s Office is typically not inclined to make any revisions to the standard agreement. D. The City s Local and Small Local Business Enterprise Program. (The Local and Small Local Business Enterprise Program has been waived for this project). Requirement For Professional Services, 50% Local and Small Local Business Enterprise Program (L/SLBE): there is a 50% minimum participation requirement for all professional services contracts over $50,000. Consultant status as an Oakland certified local or small local firm and sub-tpa/subconsultant status as an Oakland certified local or small local firm are taken into account in the calculation. The requirement may be satisfied by a certified prime consultant and/or sub-consultant(s). A business must be certified by the City of Oakland in order to earn credit toward meeting the fifty percent requirement. The City has waived small local business enterprise (SLBE) subcontracting requirements for Oakland certified local businesses that apply for professional services contracts as the prime consultant with the City. The SLBE requirements still applies for non-certified LBEs and non-local business enterprises. Good Faith Effort - In light of the fifty percent requirement, good faith effort documentation is not necessary. Preference Points Preference points are earned based on the level of participation proposed prior to the award of a contract. Upon satisfying the minimum fifty percent requirement, a consultant will earn two (2) preference points. Three additional preference points may be earned at a rate of one point for every additional ten percent participation up to eighty percent participation of the total contract dollars spent with local Oakland certified firms. A firm may earn up to five (5) preference points for local Oakland business participation and additional preference points for being a long term certified business in Oakland regardless of size and for having an Oakland workforce. 8

11 In those instances where VSLBE participation is evident, the level of participation will be double-counted towards meeting the requirement. Additional Preference Points for Request for Proposals (RFP) and Request for Qualifications (RFQ) may be earned for having an Oakland resident workforce. Prime consultants seeking additional preference points for having an Oakland resident workforce must submit a completed Schedule E-2 titled the Oakland Workforce Verification Form no more than 4 days after the proposal due date. A copy of Schedule E-2 is found on msschedules/index.htm. Earning extra preference points for having an existing work force that includes Oakland residents is considered added value. The Request for Proposal evaluation process allows for additional preference points over and above the number of points earned for technical expertise. Typically 100 points may be earned for the technical elements of the RFP. Preference points are awarded over and above the potential 100 points. The Exit Report and Affidavit (ERA) This report declares the level of participation achieved and will be used to calculate banked credits. The prime consultant must complete the Schedule F, Exit Report and Affidavit for, and have it executed by, each L/SLBE sub consultant and submitted to the Office of the City Administrator, Contracts and Compliance Unit, along with a copy of the final progress payment application. Joint Venture and Mentor Protégé Agreements. If a prime TPA or prime consultant is able to develop a Joint Venture or Mentor-Protégé relationship with a certified LBE or SLBE, the mentor or Joint Venture partners will enjoy the benefit of credits against the participation requirement. In order to earn credit for Joint Venture or Mentor-Protégé relationships, the Agreement must be submitted for approval to the Office of the City Administrator, Contracts and Compliance Unit, prior to the project bid date for construction, and by proposal due date for professional services contracts. Joint Venture Applications and elements of City approved Mentor Protégé relation are available upon request. TPA shall submit information concerning the ownership and workforce composition of TPA s firm as well as its subtpas and suppliers, by completing Schedule D, Ownership, Ethnicity, and Gender Questionnaire, and Schedule E, Project Consultant Team, attached and incorporated herein and made a part of this Agreement. All affirmative action efforts of TPA are subject to tracking by the City. This information or data shall be used for statistical purposes only. All TPAs are required to provide data regarding the make-up of their subtpas and agents who will perform City contracts, including the race and gender of each employee 9

12 and/or TPA and his or her job title or function and the methodology used by TPA to hire and/or contract with the individual or entity in question. In the recruitment of subtpas, the City of Oakland requires all TPAs to undertake nondiscriminatory and equal outreach efforts, which include outreach to minorities and women-owned businesses as well as other segments of Oakland s business community. The City Administrator will track the City s MBE/WBE utilization to ensure the absence of unlawful discrimination on the basis of age, marital status, religion, gender, sexual preference, race, creed, color, national origin, Acquired-Immune Deficiency Syndrome (AIDS), AIDS-Related Complex (ARC) or disability. In the use of such recruitment, hiring and retention of employees or subtpas, the City of Oakland requires all TPAs to undertake nondiscriminatory and equal outreach efforts which include outreach to minorities and women as well as other segments of Oakland s business community. E. The City s Living Wage Ordinance This Agreement is subject to the Oakland Living Wage Ordinance. The Living Wage Ordinance requires that nothing less than a prescribed minimum level of compensation (a living wage) be paid to employees of service TPAs (TPAs) of the City and employees of CFARs (Ord , 1998). The Ordinance also requires submission of the Declaration of Compliance attached and incorporated herein as Declaration of Compliance Living Wage Form; and made part of this Agreement, and, unless specific exemptions apply or a waiver is granted, the TPA must provide the following to its employees who perform services under or related to this Agreement: 1. Minimum compensation Said employees shall be paid an initial hourly wage rate of $12.27 with health benefits or $14.10 without health benefits. These initial rates shall be upwardly adjusted each year no later than April 1 in proportion to the increase at the immediately preceding December 31 over the year earlier level of the Bay Region Consumer Price Index as published by the Bureau of Labor Statistics, U.S. Department of Labor. Effective July 1 st of each year, TPA shall pay adjusted wage rates. 2. Health benefits Said full-time and part-time employees paid at the lower living wage rate shall be provided health benefits of at least $1.83 per hour. TPA shall provide proof that health benefits are in effect for those employees no later than 30 days after execution of the contract or receipt of City financial assistance. 3. Compensated days off Said employees shall be entitled to twelve compensated days off per year for sick leave, vacation or personal necessity at the employee's request, and ten uncompensated days off per year for sick 10

13 leave. Employees shall accrue one compensated day off per month of full time employment. Part-time employees shall accrue compensated days off in increments proportional to that accrued by full-time employees. The employees shall be eligible to use accrued days off after the first six months of employment or consistent with company policy, whichever is sooner. Paid holidays, consistent with established employer policy, may be counted toward provision of the required 12 compensated days off. Ten uncompensated days off shall be made available, as needed, for personal or immediate family illness after the employee has exhausted his or her accrued compensated days off for that year. 4. Federal Earned Income Credit (EIC) - To inform employees that he or she may be eligible for Earned Income Credit (EIC) and shall provide forms to apply for advance EIC payments to eligible employees. For more information, web sites include but are not limited to: (1) and 5. TPA shall provide to all employees and to Contracts and Compliance, written notice of its obligation to eligible employees under the City s Living Wage requirements. Said notice shall be posted prominently in communal areas of the work site(s) and shall include the above-referenced information. 6. TPA shall provide all written notices and forms required above in English, Spanish or other languages spoken by a significant number of employees within 30 days of employment under this Agreement. 7. Reporting TPA shall maintain a listing of the name, address, hire date, occupation classification, rate of pay and benefits for each of its employees. TPA shall provide a copy of said list to the Office of the City Administrator, Contracts and Compliance Unit, on a quarterly basis, by March 31, June 30, September 30 and December 31 for the applicable compliance period. Failure to provide said list within five days of the due date will result in liquidated damages of five hundred dollars ($500.00) for each day that the list remains outstanding. TPA shall maintain employee payroll and related records for a period of four (4) years after expiration of the compliance period. 8. TPA shall require sub TPAs that provide services under or related to this Agreement to comply with the above Living Wage provisions. TPA shall include the above-referenced sections in its subcontracts. Copies of said subcontracts shall be submitted to Contracts and Compliance. F. Prompt Pay Ordinance OMC Section Prompt Payment Terms Required in Notices Inviting Bids, Requests for Proposals/Qualifications and Purchase Contracts 11

14 This Agreement is subject to the Prompt Payment Ordinance of Oakland Municipal Code, Title 2, Chapter The Ordinance requires that, unless specific exemptions apply. TPA and its sub-tpas shall pay undisputed invoices of their sub-tpas for goods and/or services within twenty (20) business days of submission of invoices unless the TPA or its sub-tpas notify the Liaison in writing within five (5) business days that there is a bona fide dispute between the TPA or its sub-tpa and claimant, in which case the TPA or its sub-tpa may withhold the disputed amount but shall pay the undisputed amount. Disputed payments are subject to investigation by the City of Oakland Liaison upon the filing of a compliant. TPA or its sub-tpas opposing payment shall provide security in the form of cash, certified check or bond to cover the disputed amount and penalty during the investigation. If TPA or its sub-tpa fails or refuses to deposit security, the City will withhold an amount sufficient to cover the claim from the next TPA progress payment. The City, upon a determination that an undisputed invoice or payment is late, will release security deposits or withholds directly to claimants for valid claims. TPA and its sub-tpas shall not be allowed to retain monies from sub-tpa payments for goods as project retention, and are required to release sub-tpa project retention in proportion to the sub-tpa services rendered, for which payment is due and undisputed, within five (5) business days of payment. TPA and its sub-tpas shall be required to pass on to and pay sub-tpas mobilization fees within five (5) business days of being paid such fees by the City. For the purpose of posting on the City's website, TPA and its sub-tpas, are required to file notice with the City of release of retention and payment of mobilization fees, within five (5) business days of such payment or release; and, TPAs are required to file an affidavit, under penalty of perjury, that he or she has paid all sub-tpas, within five (5) business days following receipt of payment from the City, The affidavit shall provide the names and address of all sub-tpas and the amount paid to each. TPA and its sub-tpas shall include the same or similar provisions as those set forth above in this section in any contract with a TPA or sub-tpa that delivers goods and/or services pursuant to or in connection with a City of Oakland purchase contract. Prompt Payment invoice and claim forms are available at the following City of Oakland website: edules/index.htm or at Contracts and Compliance, 250 Frank H. Ogawa Plaza, Suite 3341, Oakland, CA Invoice and claim inquiries should be directed to Vivian Inman, City of Oakland Prompt Payment Liaison, or vinman@oaklandnet.com. G. Non-Discrimination/Equal Employment Practices 12

15 TPA shall not discriminate or permit discrimination against any person or group of persons in any manner prohibited by federal, state or local laws. During the performance of this Agreement, TPA agrees as follows: 1. TPA and TPA s sub-tpas, if any, shall not discriminate against any employee or applicant for employment because of age, marital status, religion, gender, sexual preference, race, creed, color, national origin, Acquired-Immune Deficiency Syndrome (AIDS), AIDS-Related Complex (ARC) or disability. This nondiscrimination policy shall include, but not be limited to, the following: employment, upgrading, failure to promote, demotion or transfer, recruitment advertising, layoffs, termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship. 2. TPA and TPA s Sub-TPAs shall state in all solicitations or advertisements for employees placed by or on behalf of TPA that all qualified applicants will receive consideration for employment without regard to age, marital status, religion, gender, sexual preference, race, creed, color, national origin, Acquired-Immune Deficiency Syndrome (AIDS), AIDS-Related Complex (ARC) or disability. 3. TPA shall make its goods, services, and facilities accessible to people with disabilities and shall verify compliance with the Americans with Disabilities Act by executing Declaration of Compliance with the Americans with Disabilities Act, attached hereto and incorporated herein. 4. If applicable, TPA will send to each labor union or representative of workers with whom TPA has a collective bargaining agreement or contract or understanding, a notice advising the labor union or workers representative of TPA s commitments under this nondiscrimination clause and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 5. TPA shall submit information concerning the ownership and workforce composition of TPA s firm as well as its sub TPAs and suppliers, by completing the Ownership, Ethnicity and Gender Questionnaire. 6. The Project TPA Team attached and incorporated herein and made a part of this Agreement, Exit Report and Affidavit, attached and incorporated herein and made a part of this Agreement. 7. All affirmative action efforts of TPAs are subject to tracking by the City. This information or data shall be used for statistical purposes only. All TPAs are required to provide data regarding the make-up of their sub TPAs and agents who will perform City contracts, including the race 13

16 and gender of each employee and/or TPA and his or her job title or function and the methodology used by TPA to hire and/or contract with the individual or entity in question. 8. The City will immediately report evidence or instances of apparent discrimination in City or Agency contracts to the appropriate State and Federal agencies, and will take action against TPAs who are found to be engaging in discriminatory acts or practices by an appropriate State or Federal agency or court of law, up to and including termination or debarment. 9. In the recruitment of sub-tpas, the City of Oakland requires all TPAs to undertake nondiscriminatory and equal outreach efforts, which include outreach to minorities and women-owned businesses as well as other segments of Oakland s business community. The City Administrator will track the City s MBE/WBE utilization to ensure the absence of unlawful discrimination on the basis of age, marital status, religion, gender, sexual preference, race, creed, color, national origin, Acquired- Immune Deficiency Syndrome (AIDS), AIDS-Related Complex (ARC) or disability. 10. In the use of such recruitment, hiring and retention of employees or sub- TPAs, the City of Oakland requires all TPAs to undertake nondiscriminatory and equal outreach efforts which include outreach to minorities and women as well as other segments of Oakland s business community G. Arizona and Arizona-Based Businesses TPA agrees that in accordance with Resolution No C.M.S., neither it nor any of its subsidiaries, affiliates or agents that will provide services under this agreement is currently headquartered in the State of Arizona, and shall not establish an Arizona business headquarters for the duration of this agreement with the City of Oakland or until Arizona rescinds SB TPA acknowledges its duty to notify Contracts and Compliance Division, Office of the City Administrator if it s Business Entity or any of its subsidiaries affiliates or agents subsequently relocates its headquarters to the State of Arizona. Such relocation shall be a basis for termination of this agreement. H. City of Oakland Campaign Contribution Limits This Agreement is subject to the City of Oakland Campaign Reform Act of Chapter 3.12 of the Oakland Municipal Code and its implementing regulations if it requires Council approval. The City of Oakland Campaign Reform Act prohibits TPAs that are doing business or seeking to do business with the City of Oakland 14

17 from making campaign contributions to Oakland candidates between commencement of negotiations and either 180 days after completion of, or termination of, contract negotiations. If this Agreement requires Council approval, TPA must sign and date an Acknowledgment of Campaign Contribution Limits Form. I. Nuclear Free Zone Disclosure TPA represents, pursuant to the combined form Nuclear Free Zone Disclosure Form that TPA is in compliance with the City of Oakland s restrictions on doing business with service providers considered nuclear weapons makers. Prior to execution of this agreement, TPA shall complete the combined form, attached hereto. J. Insurance Requirements The TPA will be required to provide proof of all insurance required for the work prior to execution of the contract, including copies of the TPA s insurance policies if and when requested. Failure to provide the insurance proof requested or failure to do so in a timely manner shall constitute grounds for rescission of the contract award. The TPA shall name the City of Oakland, its Council members, directors, officers, agents, employees and volunteers as additional insured in its Comprehensive Commercial General Liability and Automobile Liability policies. If TPA submits the ACORD Insurance Certificate, the additional insured endorsement must be set forth on a CG form and/or CA Designated Insured Form (for business auto insurance). Please Note: A statement of additional insured endorsement on the ACORD insurance certificate is insufficient and will be rejected as proof of the additional insured requirement. Unless a written waiver is obtained from the City s Risk Manager, TPAs must provide the insurance as found at edules/index.htm (Schedule Q). A copy of the requirements are attached and incorporated herein by reference. Liability insurance shall be provided in accordance with the requirements specified. When providing the insurance, include the Project Name and Project Number on the ACORD form in the section marked Description of Operations/Locations. When providing the insurance, the Certificate Holder should be listed as: City of Oakland, Contracts and Compliance, 250 Frank H. Ogawa Plaza, Suite 3341, Oakland, CA

18 1. Violation Of Federal, State, City/Agency Laws, Programs Or Policies: The City or Agency may, in their sole discretion, consider violations of any programs and policies described or referenced in this Request for Proposal, a material breach and may take enforcement action provided under the law, programs or policies, and/or terminate the contract, debar TPAs from further contracts with City and Agency and/or take any other action or invoke any other remedy available under law or equity. 2. TPA s Qualifications TPA represents that TPA has the qualifications and skills necessary to perform the services under this Agreement in a competent and professional manner without the advice or direction of the City. TPA s services will be performed in accordance with the generally accepted principles and practices applicable to TPA s trade or profession. The TPA warrants that the TPA, and the TPA s employees and sub-tpas are properly licensed, registered, and/or certified as may be required under any applicable federal, state and local laws, statutes, ordinances, rules and regulations relating to TPA s performance of the Services. All Services provided pursuant to this Agreement shall comply with all applicable laws and regulations. TPA will promptly advise City of any change in the applicable laws, regulations, or other conditions that may affect City s program. This means TPA is able to fulfill the requirements of this Agreement. Failure to perform all of the services required under this Agreement will constitute a material breach of the Agreement and may be cause for termination of the Agreement. TPA has complete and sole discretion for the manner in which the work under this Agreement is performed. Prior to execution of this agreement, TPA shall complete the Independent TPA Questionnaire, Part A, attached hereto. 3. All responses to the RFQ become the property of the City Attorney. 4. The RFQ does not commit the City Attorney to award a contract or to pay any cost incurred in the preparation of the proposal. 5. The City Attorney reserves the sole right to evaluate each proposal and to accept or reject any or all proposals received as a result of the RFQ process. 6. The City Attorney reserves the unqualified right to modify, suspend, or terminate at its sole discretion any and all aspects of the RFP and/or RFP process, to obtain further information from any and all TPA teams 16

19 and to waive any defects as to form or content of the RFP or any responses by any TPA teams. 7. The City Attorney may require a service provider to participate in negotiations and submit technical information or other revisions to the service provider s qualifications as may result from negotiations. 8. Once a final award is made, all RFP responses, except financial and proprietary information, become a matter of public record and shall be regarded by the City as public records. The City Attorney shall not in any way be liable or responsible for the disclosure of any such records or portions thereof if the disclosure is made pursuant to a request under the Public Records Act or the City of Oakland Sunshine Ordinance. 9. The Fair Political Practices Act and/or California Government Code Section 1090, among other statutes and regulations may prohibit the City from contracting with a service provider if the service provider or an employee, officer or director of the service providers firm, or any immediate family of the preceding, or any sub-tpa or TPA of the service provider, is serving as a public official, elected official, employee, board or commission member of the City who will award or influence the awarding of the contract or otherwise participate in the making of the contract. The making of a contract includes actions that are preliminary or preparatory to the selection of a TPA such as, but not limited to, involvement in the reasoning, planning and/or drafting of solicitations for bids and RFQs, feasibility studies, master plans or preliminary discussions or negotiations. K. TPA s Qualifications TPA represents that TPA has the qualifications and skills necessary to perform the services under this Agreement in a competent and professional manner without the advice or direction of The City. TPA s services will be performed in accordance with the generally accepted principles and practices applicable to TPA s trade or profession. The TPA warrants that the TPA, and the TPA s employees and sub-tpas are properly licensed, registered, and/or certified as may be required under any applicable federal, state and local laws, statutes, ordinances, rules and regulations relating to TPA s performance of the Services. All Services provided pursuant to this Agreement shall comply with all applicable laws and regulations. TPA will promptly advise City Attorney of any change in the applicable laws, regulations, or other conditions that may affect City Attorney s program. This means TPA is able to fulfill the requirements of this Agreement. Failure to perform all of the services required under this Agreement will constitute a material breach of the Agreement and may be cause for termination of the Agreement. TPA has complete and sole discretion for the 17

20 manner in which the work under this Agreement is performed. Prior to execution of this agreement, TPA shall complete the Independent TPA Questionnaire, Part A, attached hereto. L. City of Oakland Campaign Contribution Limits This Agreement is subject to the City of Oakland Campaign Reform Act of Chapter 3.12 of the Oakland Municipal Code and its implementing regulations if it requires Council approval. The City of Oakland Campaign Reform Act prohibits TPAs that are doing business or seeking to do business with the City of Oakland from making campaign contributions to Oakland candidates between commencement of negotiations and either180 days after completion of, or termination of, contract negotiations. If this Agreement requires Council approval, TPA must sign and date an Acknowledgment of Campaign Contribution Limits Form. M. The following City staff are available to answer questions regarding this RFP: RFP and Project related issues: James Hodgkins, Supervising Deputy City Attorney (510) Yvonne Hudson-Harmon, Project Manager (510) Contract Compliance and Administration: Vivian Inman (510) N. The RFP does not commit the City to award a contract or to pay any cost incurred in the preparation of the proposal. O. The City reserves the sole right to evaluate each proposal and to accept or reject any or all proposals received as a result of the RFP process. P. The City reserves the unqualified right to modify, suspend, or terminate at its sole discretion any and all aspects of the RFP and/or RFP process, to obtain further information from any and all TPA teams and to waive any defects as to form or content of the RFP or any responses by any TPA teams. Q. The City may require a service provider to participate in negotiations and submit technical information or other revisions to the service provider s qualifications as may result from negotiations. R. Once a final award is made, all RFP responses, except financial and proprietary information, become a matter of public record and shall be regarded by the City as public records. The City shall not in any way be liable or responsible for the disclosure of any such records or portions thereof if the disclosure is made pursuant to a request under the Public Records Act or the City of Oakland Sunshine Ordinance. 18

21 S. The Fair Political Practices Act and/or California Government Code Section 1090, among other statutes and regulations may prohibit the City from contracting with a service provider if the service provider or an employee, officer or director of the service providers firm, or any immediate family of the preceding, or any sub TPA or TPA of the service provider, is serving as a public official, elected official, employee, board or commission member of the City who will award or influence the awarding of the contract or otherwise participate in the making of the contract. The making of a contract includes actions that are preliminary or preparatory to the selection of a TPA such as, but not limited to, involvement in the reasoning, planning and/or drafting of solicitations for bids and RFPs, feasibility studies, master plans or preliminary discussions or negotiations. SUBMITTAL REQUIREMENTS Submit six (6) copies of proposal. The proposals are due at the Office of the City Attorney, 1 Frank H. Ogawa Plaza, 6 th Floor, Oakland, CA no later than 3:00 p.m. April 24, The City has inserted a white envelope with the submittal date, time and location for the delivery of proposals. All proposals submitted via US Mail or Common Carrier must be delivered in a sealed package with the white envelope attached and/ or the package must reference the project name and project number (if applicable), submittal date, time and location of the proposals on the outside of the package or the documents may not be accepted. REQUIRED PROPOSAL ELEMENTS AND FORMAT Format of Proposal TPAs submitting a proposal to perform the services must follow the format prescribed below, including: Executive Summary TPA Information and History Experience of TPA and the Proposed Team Members Proposed Cost of Services References Required Exhibits Executive Summary This information must include specific activities/deliverables to be performed by TPA and expectations of the City s role for the specific activity/deliverable. The proposal should, at a minimum, address each of the activities outlined under SCOPE OF SERVICES. If the TPA believes additional activities should be included as part of the negotiation process, these additional activities should be included in the proposal as 19

22 well. Project staffing should be geared so that it does not adversely affect the City of Oakland s current staffing levels or workload. TPA Information and History Provide a brief background of your TPA information including at a minimum: Name of incorporation, year founded Headquarters and satellite locations Number of employees currently employed Current strategic alliances Please provide information that will enable us to evaluate your company s financial stability, growth history, and support capabilities. We require that you include the following: (1) Most recent audited financial statements; (2) Ownership of your company; (3) Number of years in business. Experience of TPA and the Proposed Team Members The proposal must include a description of the TPA s experience and knowledge of applicable services, applications, hardware, laws and regulations, customer service standards, needs assessment, etc. The proposal must indicate the prior experience of the TPA in accomplishing these minimum requirements. The proposal must also include resumes of proposed team members, outlining member s knowledge and experience in performing requested services. A. Give a brief history of your firm since inception, including: 1. A list of principals 2. On organizational chart 3. Size and location(s) of your firm, including numbers of employees at each location 4. A description of the types of services provided by your firm and the number of years provided, and 5. The contact person(s) for this RFP process. B. Discuss any major changes in your firm s structure or ownership over the past three years. Discuss anticipated changes in your firm s structure or ownership in the next three years. C. Discuss your firm s affiliation, if any, with a parent firm. 20

23 D. Describe your firm s mission and goals as related to corporate growth, customer service, quality assurance/quality control management and affirmative action standards. E. Describe the number and types of clients your firm currently provides TPA services to, both corporately and locally. Please list all public agency clients with 2,500 or more employees and the number of years served. Provide contact name and phone number for each. F. Provide information regarding any contracts which have been terminated within the past 36 months with an explanation of the termination. About Your Firm s Management Information System(s) A. Describe the type of data processing hardware and software proposed for this contract. Discuss your firm s experience in using the system, whether the system is owned and operated in-house or through an agreement with another provider, the general capabilities of this system, compatibility with other existing systems for continuity of data and transferring of historical data, and any projected upgrades or changes during the term of this contract. B. List and describe the management information reports generated by your firm s data processing system. Identify those reports which are standard and included in the service fee. Identify those reports which are optional and the cost for generating these reports. Include in each description the interval at which the reports are generated. Provide a one-page example of each of 5 reports listed and explain how each will assist the City Attorney s Office in managing its program. C. Describe the unique features of the management information reports provided by your firm that are not typically provided by other TPAs. D. Discuss the ability of your system to generate special batch reports as specified by the City Attorney s Office. Discuss the fees associated with these special reports and the typical turn-around time that can be expected. E. Describe you firm s ability to provide the City of Oakland with a minimum of 15 MIS user connections on existing personal computers allowing for full database access and standard/ad hoc report writing/generating. F. Discuss the MIS technical support services provided by your firm. Include the location of MIS staff and how many clients are serviced from that location. G. Who owns your MI System? H. Discuss your firm s ability to provide telephonic or web-based claim reporting services. 21