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  • 1. D R A F T - February 15, 2000 REQUEST FOR PROPOSAL TEMPLATE This document was developed to aid in the construction of Request for Proposals (RFPs) for services. It is not intended for those situations where the required services can be translated into exact specifications and the award can be made on the basis of best value, where best value can be determined on price alone among responsive and responsible offerors. In those cases, an Invitation for Bids (IFB) should be used. Similarly, this document is usually not appropriate for commodity purchases where the basis of award is determined on the lowest price. This document contains a standard order of presentation including clauses (regular text) which should be included in most RFPs. Some clauses contain options (check boxes) or blank spaces for agency customization of timeframes and other specific criteria. Certain sections contain instructions (text in italics and bracketed [ ]) or references to other resource documents. This template does not contain clauses specific to any project or proposal requirements. When users of this template find it necessary to omit certain sections, it is recommended that the section number and header be retained with a notation of "not applicable" in order to maintain the same section numbers from one RFP to another. When adding sections, they should be added as a sub-section of an existing section (if appropriate) or added to the end of each main section. In addition to adding uniformity for both agencies and prospective bidders, this will assist control agencies in their review of bid packages.
  • 2. 2 COVER LETTER TO VENDOR [It is suggested that the statements below be added to the bottom of the cover letter that is used when transmitting the RFP to the vendors.] If you are not bidding, place an "x" in the appropriate box and return this page only to the address set forth in this letter: We are unable to bid at this time because ___________________________________________ ____________________________________________________________________________________________ We request removal of our name from the mailing list for this title. Name of Company: _______________________________________________________ Printed of Typed Name: __________________________________________________ Title: _____________________________________________ Date:_________________
  • 3. 3 CHECKLIST OF PROPOSAL SUBMITTAL REQUIREMENTS [This page can be used to customize a series of questions or statements to remind bidders of specific requirements in the Request for Proposals. This page may be inserted between the cover letter and the RFP or may be included in the Appendix section of the RFP. The cover letter should reference this checklist and its location. The checklist may take the form of questions with yes and no responses OR a list of requirements with a checkoff.] The following checklist is intended to acquaint the bidder with all items or information that must be submitted with the proposal. Failure to submit any item may result in rejection of the proposal. 1. ________________________? ____Yes ____No 2. ________________________? ____Yes ____No 3. ________________________? ____Yes ____No 4. ________________________? ____Yes ____No 5. ________________________? ____Yes ____No OR □ ____________________________________________________ □ ____________________________________________________ □ ____________________________________________________ □ ____________________________________________________ □ ____________________________________________________
  • 4. 4 RFP NO. ____________________ REQUEST FOR PROPOSALS FOR [DESCRIPTION OF SUBJECT MATTER] George E. Pataki [Commissioner Name] Governor Commissioner AGENCY INFORMATION: New York State [Agency Name] [address] [city/state/zip] PROPOSAL SUBMISSIONS ADDRESED TO: [Include contact name or title, if appropriate, and specific address information including floor or room number. Include fax or e-mail information if proposals will be received in these formats] TIMETABLE OF KEY EVENTS: See Section 1.3 of this RFP for further information. Event: Date: [Copy key events that are applicable to this solicitation from Section 1.3. May want to bold or highlight Proposal Due Date and Time.] • _________________________ xx/xx/xx • _________________________ xx/xx/xx • _________________________ xx/xx/xx • _________________________ xx/xx/xx • _________________________ xx/xx/xx • _________________________ xx/xx/xx INQUI RI ES : See Section 5.1 of this RFP for proc ed u re s and re qu ire me n ts .
  • 5. 5 TABLE OF CONTENTS
  • 6. 6 Section 1. Introduction 1.1 Purpose [Provide brief overview of the procurement subject matter. i.e. "The (agency name) seeks proposals for _____________________."] 1.2 Background [Describe the background surrounding this procurement. i.e "(agency name) is charged by statute with providing _____________. As part of this statutory duty, (agency name) received a federal grant to study the effects of ______________."] 1.3 Key Events/Dates [Define appropriate key dates using the following options. Use only applicable options and add appropriate clarifying information or restrictions, as appropriate. Copy the information into timetable on the front page.] • RFP Release Date • Letter of Intent [If Applicable] • Final Date for Receipt of Written Questions • Bidder's Conference [state whether "Optional" or "Mandatory" and refer to Section 5.2 "Pre-Bid Conference"] • Official Responses to Questions • Proposal Due Date and Time • Demonstration/Site Visit [If Applicable] • Evaluation & Selection • Notification of Award • Contract Term (Start, End Dates & Renewals) 1.4 Definitions Unless further defined below, terms have the meanings set forth in Appendix B. [Add definitions required for this project]
  • 7. 7 Section 2. Technical Requirements [This section should include the specific technical requirements for the particular contract. Note: An RFP usually contains both mandatory and desirable/optional items and outlines requirements for the vendors to submit proposed solutions to problem structures.] 2.1 Qualification of Bidders [Include any criteria which you require to qualify vendors for this project] • Business Establishment and Service Facilities Requirements • Prior Contract Experience (List prior completed projects of a similar nature) • References • Financial Statement of the Corporation • Staffing & Personnel Biographies • Vendor Responsibility Questionnaire • Contractor / Subcontractor Background Questionnaire 2.2 Certification Requirements [List specific certifications required] • Supplier certification acknowledging level of support • Compliance to national or industry standards 2.3 Other Technical Requirements Section 3. Cost Requirements [Describe forms and cost breakdown which agency requires for the particular contract.] Section 4. Contractual Terms and Conditions 4.1 Appendix A (Standard Clauses for NYS Contracts) The terms of Appendix A, Standard Clauses for New York State Contracts, attached hereto, are hereby incorporated into this RFP and any resulting contract. The contractor is required to adhere to the clauses in Appendix A which include the recent additions regarding the use of tropical hardwoods, the Omnibus Procurement Act and the MACBRIDE Fair Employment Principles.
  • 8. 8 4.2 Appendix B (General Specifications) [Modify as appropriate to reflect specific version of Appendix B being used] The terms of Appendix B, General Specifications, attached hereto, are hereby incorporated into this RFP and any resulting contract and shall govern any situations not covered by this RFP or Appendix A.  The following terms are deleted from Appendix B for this procurement:  The following modifications are made to Appendix B for this procurement: 4.3 Contract Period and Renewal The anticipated term of the contract shall be _____ years commencing on ________. If mutually agreed between the (agency name) and the contractor, the contract may be extended under the same terms and conditions for an additional period not to exceed ________ months. 4.4 Cancellation See "Executory Clause" in Appendix A and "Suspension of Work" and "Cancellation" in Appendix B. Cancellation for Convenience: The State of New York retains the right to cancel the contract without reason provided that the Contractor is given at least ______ days written notice of its intent to cancel. This provision should not be understood as waiving the State's right to terminate the contract for cause or stop work immediately for unsatisfactory work, but is supplementary to that provision. 4.5 Bonding Requirements (Bid/Performance and Payment) See "Performance/Bid Bond" in Appendix B. [Add additional bonding requirements for this project.]  There are no Bonds required for this contract  Bid Bond An approved bid bond to the extent of ________ percent of the bid price will be required with all vendor responses at the time of Submission of Bid. Vendors that are notified that they did not receive the award may cancel the bonds. The awarded vendor must retain the bond until the contract has been signed. See Appendix for the Bid Bond Form.
  • 9. 9  Performance and Payment Bond The contractor shall, at the time of the execution of the contract, obtain and maintain in full force and effect for sixty days after contract expiration: • an irrevocable documentary LETTER OF CREDIT with a sound and reputable bank authorized to do business in the State of New York, OR • a PERFORMANCE BOND signed by a surety company authorized to do business in the State of New York, OR • a PAYMENT BOND signed by a surety company authorized to do business in the State of New York, in the amount of $_______ for the faithful performance of the contract. The LETTER OF CREDIT, PERFORMANCE BOND, PAYMENT BOND, etc., shall name as beneficiary the State of New York and may be invoked to the benefit of the State of New York upon delivery of a certified statement to the issuing bank or surety company that the contractor has failed to perform pursuant to the terms and conditions of its contract with the State of New York. With its bid submission, the vendor shall include a letter from its bank or surety company stating that the letter of credit or bond will be provided if being considered for a contract or in the event of a contract. The Letter of Credit or Bond shall be provided on a yearly basis for each year, or portion, of the contract. See Appendix for Performance and Payment Bond Form. 4.6 Contractor Assurances The Bidder and subsequent Contractor warrants that it has carefully reviewed the needs of the State for ____________, as described in the RFP and its attachments and otherwise communicated in writing by the State to the Bidder and subsequent Contractor, that it has familiarized itself with the State's specifications, and it warrants that it can provide such services as described in the RFP and as represented in its Proposal. The Bidder and subsequent Contractor agrees that it will perform its obligations hereunder in accordance with all applicable Federal, State and local laws, rules and regulations now or hereafter in effect. The Bidder and subsequent Contractor warrants and affirms that the terms of the RFP and any resultant contract do not violate any contracts or agreements to which it is a party and that its other contractual obligations will not adversely influence its capabilities to perform under the contract. 4.7 Procedures for Amendments See "Modification of Contract Terms" in Appendix B. [Add additional procedures and requirements as appropriate] Any request by the contractor for changes or amendments in any part of the contract shall be made in writing to (agency name).
  • 10. 10 4.8 Price Adjustments [As appropriate, other indices may be substituted for the Producer Price Index] Prices shall be firm for the initial term of the contract. Upon renewal, the contractor may apply for an adjustment in contract price based upon changes in the Producer Price Index from start of initial contract for Code ____ - ____________ as published by the U.S. Dept. of Labor, Bureau of Labor Statistics. Any increase will not take effect until formal approval is received from the New York State Office of State Comptroller and Contractor notified accordingly. In the event of extreme increases in price, the State reserves the right to terminate this contract in its entirety upon thirty (30) days written notice to contractor. 4.9 Ownership & Title to Deliverables 4.10 Interpretation & Disputes [Describe or attach bid protest policy of your agency, if one exists, or contract resolution procedures for disputes during the contract term.] 4.11 Additional Security/Confidentiality Requirements See "Security/Confidentiality" in Appendix B. [Add additional security/ confidentiality requirements for this project.] 4.12 Patent/Copyright Indemnification See "Warranties" in Appendix B. [Add additional copyright/patent requirements for this project.] 4.13 Federal Lobbying Certification Section 1352 of Title 31 of the U.S. Code requires that funds appropriated to a Federal agency be subject to a requirement that any Federal Contractor or grantee (such as the State) must be required to certify that no Federal funds will be used to lobby or influence a Federal officer or a Member of Congress. The certification the State has been required to sign provides that the language of this certification be included in the contract documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly. The certification also requires the completion of Federal lobbying reports and the imposition of a civil penalty of $10,000 to $100,000 for failing to make a required report. As a sub-recipient, the Contractor understands and agrees to the Federal requirements for certification and disclosure. 4.14 Oral Presentations The State, at its discretion, may elect to have Offerors provide oral presentations of their proposals. All offerors deemed by the State as eligible to receive an award will be given the opportunity to provide such oral presentations. Unless points are assigned, oral presentations are for clarification purposes only. (see Section 7.1 "Method of Award").
  • 11. 11 4.15 Period of Validity Each Offeror's Proposal must include a statement as to the period during which the provisions of its proposal will remain valid. A minimum of ______ months [6 months recommended] from the Closing Date for Receipt of Proposals is required. 4.16 Minority and Women-owned Business Equal Employment Opportunities and Goals [Refer to Clause 12 in Appendix A and state specific goals for this contract] 4.17 Liquidated Damages If the Contractor fails to complete services in accordance with specifications or within the times specified herein it is understood, and the Bidder and subsequent contractor hereby agrees, that the amount of ______ percent [1% recommended] of the contracted value per day up to the value of contracted equipment and services shall be deducted from the monies due the Contractor for each intervening calendar day, not as a penalty, but as liquidated damages. However, the Contractor shall not be liable if failure to perform arises out of causes beyond its control and without the fault or negligence of the Contractor (Acts of God, the public enemy, fires, floods, freight embargoes, regulated telephone company delays, etc.). 4.18 Conformance to RFP Any exceptions or objections to the terms, conditions, and requirements of this RFP, including any SAMPLE CONTRACT included as an Appendix, are governed and are to be submitted in accordance with the "Extraneous Terms" clause in Appendix B. Bidders are cautioned that any such exception or objections may render their bid non-responsive. Section 5. Administrative 5.1 Inquiries All inquiries concerning this solicitation should be addressed to the following: [Agency Contact, name, address, phone number, fax, e-mail] All questions should be submitted in writing, citing the particular proposal section and paragraph number. Prospective Bidders should note that all clarifications and exceptions including those relating to the terms and conditions of the contract are to be resolved prior to the submission of a proposal. Answers to all questions of a substantive nature will be given to all Prospective Bidders in the form of a formal addendum which will be annexed to and become part of the resultant contract.
  • 12. 12 5.2 Pre-Bid Conference  Attendance at a Pre-Bid Conference is mandatory. Prospective Bidders not present at the Pre-Bid Conference will not receive further information relating to this procurement and will not be considered in the bidding process. The pre-bid conference will be held at: (location, date & time). Notify the individual indicated in Section 5.1 within one week prior to the scheduled date that you will attend. Each interested Bidder is requested to limit the number of representatives attending to ______. Specific questions concering the RFP shall be submitted in writing (facsimile will be accepted) to the individual identified in Section 5.1 prior to the conference so they can be answered at the conference. Although questions will be permitted at the conference, answers may be deferred and included in the official minutes of the pre-bid conference which will be sent to each Bidders official representative attending the Pre-Bid Conference. [Questions submitted by e-mail or other electronic media may be added by agency if appropriate.]  Attendance at a Pre-Bid Conference is optional. The pre-bid conference will be held at: (location, date & time). It is requested that you notify the individual indicated in Section 5.1 within one week prior to the scheduled date if you will attend. Each interested Bidder is requested to limit the number of representatives attending to ______. Specific questions concering the RFP shall be submitted in writing (facsimile will be accepted) to the individual identified in Section 5.1 prior to the conference so they can be answered at the conference. Although questions will be permitted at the conference, answers may be deferred and included in the official minutes of the pre-bid conference which will be sent to each Bidders official representative attending the Pre-Bid Conference as well as those Bidders originally sent the RFP or those who have submitted a positive Letter of Intent, if required. [Questions submitted by e-mail or other electronic media may be added by agency if appropriate.] 5.3 Submission of Proposals See "Bid Submission" in Appendix B. All proposals and accompanying documentation will become the property of the State of New York and will not be returned. The content of each bidder's proposal will be held in strict confidence during the bid evaluation process, and no details of any proposal will be discussed outside the evaluation process. The successful bidder's proposal and a copy of the specification will be made part of the contract. Therefore, an official authorized to commit the company to a contract must sign the proposal. 5.4 Facsimile Bids [Specify if they are or are not accepted for this opening. Provide a facsimile number if applicable.] 5.5 Bidder Debriefing [Refer to Procurement Guidelines, section 7, VI, A "Awarding a Contract" for clause development]
  • 13. 13 5.6 State's Rights to Proposals By submitting a proposal, the bidder covenants not to make any claim for or have any right to damages because of any misinterpretation or misunderstanding of the specification, or because of any misinformation or lack of information. New York State has the following prerogatives with regard to proposals submitted: - to accept or reject any or all proposals; - to correct any arithmetic errors in any or all proposals; - to change the proposal's due date upon appropriate notification to all prospective bidders; - to adopt any or all of a successful bidder's proposal; - to negotiate with the selected bidder prior to contract award. - begin contract negotiations with another bidder should the State of New York be unsuccessful in negotiating a contract with the selected contractor within 45 calendar days. Section 6. Proposal Format and Content 6.1 Overview This section identifies the information that all bidders must include in their proposals to (agency name). For the purposes of evaluation, each proposal must be submitted in two (2) parts. Part I consists of the Technical submittal. Part II consists of the Cost submittal. Each part must be complete in itself in order that the evaluation of both parts can be accomplished independently and concurrently and that the Technical submittal can be made strictly on the basis of its merits. Cost information is not to be included in Part I. Both parts must be sealed separately. The rules established for proposal content and format will be enforced. Variations from the rules prescribed herein may subject the respondent to outright disqualification. It is in the best interests of the respondent to become familiar with the constraints imposed on its proposal so that the evaluation process can proceed in a timely manner. Note that proposals are subject to New York State procurement rights as detailed in Section 5.6 and all rules set forth in this and other sections of this RFP. ALL PROPOSALS MUST BE COMPLETED IN INK OR MACHINE PRODUCED. PROPOSALS SUBMITTED HAND WRITTEN IN PENCIL WILL BE DISQUALIFIED. The Issuing Office prefers that the proposals not be hand written, but this is not mandatory provided the respondent uses ink or an indelible pen. 6.2 General Requirements and Appearance 6.3 Technical Submittal Requirements (Part I)
  • 14. 14 6.4 Cost Submittal Requirements (Part II) [Agencies may want to modify last sentence if facsimile bids are allowed] Part II of the proposal consists of the pricing proposal that sets forth the costs for requested services. The cost submission should be complete, accurate, well-documented and in the format required. Cost information is not to be included in the Part I Technical Submittal. All prices must be inclusive of all costs necessary or incidental for proper performance under this contract. Each of the ________ copies to be submitted must have an original signature. 6.5 Bid Form [Agencies are encouraged to develop a cost matrix for prospective bidders to complete] Section 7. Proposal Evaluation Criteria 7.1 Method of Award All proposals received shall be subject to an evaluation by (agency name). (Agency name) desires to select the bidder who will provide the "best value" taking into consideration the most beneficial combination of qualifications, services and cost and who has met the requirements of this RFP. Only proposals judged to be responsive to the submission requirements set forth in this RFP will be evaluated. The Technical and Cost sections of each Bidder's proposal will be evaluated separately. A Selection Committee will review the two evaluations and make the contract selection. The criteria against which each proposal will be evaluated are described below. After completion of the Technical and Cost Evaluation, a composite score will be assigned to each proposal with the Technical score weighted at ___ points and Cost score weighted at ___ points. The basis for award will be the highest composite score. 7.2 Technical Submittal Evaluation [Refer to Procurement Guidelines, Section 7, IV, B, 4 "Evaluation Criteria" and Section 7, V "Developing the Evaluation Process"] 7.3 Cost Submittal Evaluation [Refer to Procurement Guidelines, Section 7, IV, B, 4 "Evaluation Criteria" and Section 7, V "Developing the Evaluation Process"]
  • 15. 15 Section 8. Attachments Appendix A - Standard Clauses for New York State Contracts Appendix B - General Specifications [Reference specific version of Appendix B being used] Contract Insurance Requirements MACBRIDE Fair Employment Principles Non-Collusive Bidding Certificate Article 15-A of the Executive Law Prevailing Wage Rate Schedule Checklist of Proposal Submittal Requirements [may be included here or inserted between cover letter and RFP] Forms for bid, performance and payment bond [If Applicable] Sample contract [If Applicable] Bidder's Questions [If Applicable] [Add others as appropriate]