REQUEST FOR PROPOSAL
                                 FOR
           UNCLAIMED PROPERTY DATABASE MANAGEMENT SYSTEM
       ...
3. Scope of Services.
The responsibilities of the Firm shall be to provide a proven, flexible and customized turn-key
rela...
5. Fees
Please complete Exhibit B detailing the fee charged for the Unclaimed Property Software Pro-
gram and Technical Su...
8. Evaluation and Selection.
All proposals timely received will be reviewed and evaluated by a Selection Committee. The
Co...
Any RFP response submitted that contains information must be conspicuously marked on the
outside as containing confidentia...
Exhibit A

                                Qualifications and Experience
Note: Do NOT attach pre-printed marketing/informa...
b.   Address
   c.   Contact
   d.   Telephone Number
   e.   Length of Relationship in Years

2. Provide an organizationa...
•   The software program must provide database stability and be compatible with the
    Treasury server based Windows 2000...
o Inquiry System – The software system must provide easy and quick database
  search/result inquiries based on database va...
o Claims – All unclaimed property received, added to the database and reconciled,
  becomes eligible to be claimed by pote...
limited to: view/manage the safekeeping inventory, posting/retrieval of relational
   inventory to owner data. In addition...
advertising lists, capturing advertising dates and provide flexibility to
                   manage the advertising proces...
growth, integrity, quick processing, multi-tasking to include multi user database interface. It
   is expected that the Fi...
EXHIBIT B

                                       Statement of Fees

1. Annual Fee: Provide Comprehensive Unclaimed Proper...
EXHIBIT C

       MINIMUM QUALIFICATIONS and MISCELLANEOUS INFORMATION

   1. My company will be qualified with the Secret...
EXHIBIT D
                                            SAMPLE AGREEMENT
         This Agreement (the “Agreement”) is made a...
licenses and permits required in connection with this Agreement, and that it will fully comply with all
               law...
Section 10. Termination, Resignation, or Removal: The Vendor may resign at any time by giving ninety
(90) days written not...
Section 19. Publication: The Treasurer is the only entity authorized to issue information for public
knowledge or news rel...
Section 25. Not a Debt of the State: This Agreement shall not be construed as a debt of the State of
Alabama as prohibited...
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  1. 1. REQUEST FOR PROPOSAL FOR UNCLAIMED PROPERTY DATABASE MANAGEMENT SYSTEM AND TECHNICAL SUPPORT STATE TREASURER OF ALABAMA Issue Date: October 26, 2005 Proposal Due Date: December 15, 2005 1. Purpose. State Treasurer Kay Ivey (hereinafter “Treasurer”) solicits proposals from qualified professional firms (hereinafter “Firm”) interested in providing a computer software management program to house, safekeep and provide mult-facet interface with the daily and long-term implementation of the Alabama Unclaimed Property Program. It is expected that full conversion to the program will be completed within six (6) months of signing a contract. This Request for Proposals (hereinafter “RFP”) is issued in accordance with the requirements of Section 41-16-72(4), Code of Alabama (1975). This RFP is not an offer to contract but seeks the submission of proposals from interested firms that may form the basis for negotiation of an Unclaimed Property Software and Technical Support Agreement. The Treasurer reserves the right to reject any or all proposals and to solicit additional proposals if that is determined to be in the best interests of the State of Alabama. 2. Background. The Treasurer administers the Unclaimed Property Program in accordance with Section 35-12-70 through 35-12-96, Code of Alabama (1975). The Program provides that businesses and other entities report and remit unclaimed property to the State. Unclaimed property may consist of cash, safe deposit box contents, stocks, bonds, or mutual funds. The Treasurer serves as the custodian of these properties until they are returned to the rightful owner. Currently, The Alabama Unclaimed Property database of approximately 2.1 million owner records represents over $200 million in assets, including securities and safe deposit box contents. The Alabama unclaimed property database began in 1971 with the passage of the Disposition of Unclaimed Property Act. There exist no statute of limitations in regards to an owner or legal heir claiming property remitted under the guidelines of the program. The permanent retention of reported data records results in an unclaimed property database which increases in record size an average of 100,000 – 200,000 new records per year. Additional information about the Unclaimed Property Program is available on the Treasurer’s website www.treasury.alabama.gov. It is the intent of the Treasurer to do business with Alabama firms that pay Alabama taxes and employ Alabama citizens. When all factors are equal, corporations located in Alabama will be given preference.
  2. 2. 3. Scope of Services. The responsibilities of the Firm shall be to provide a proven, flexible and customized turn-key relational database management software system and development tools/utilities which will: • Ensure the database integrity and software stability for the custodial records and accompanying owner data through an unclaimed property management software system; • Provide a secure and reliable multi-facet software management system to address all aspects of Alabama Unclaimed Property Program and operation; • Provide short-term and long-term computer software technical assistance and support • Provide a software management system which integrates online technology to include Treasury and other website claim and business reporting processing and processes. In addition the system must have the capability to incorporate and bring online new technology aimed at program efficiency and expediency. The unclaimed property management software system must fully integrate the technology into the Treasury’s administration of the unclaimed property program. The unclaimed property management system must provide the technology and flexibility to adhere to processes and policies Treasury has in place in the full implementation of the Alabama Unclaimed Property Program. The Proposer must provide specific details addressing each of the items outlined in Exhibit A. As part of the requirements, the proposal must adequately provide and illustrate details and documentation outlining the proposed unclaimed property management model, system capabilities, software, proposed database system capabilities, computer hardware requirements and specific timelines regarding conversion, training and start-up. Failure to provide information proving the proposers capabilities and preliminary planning regarding the Unclaimed Property Management Software System/Model will result in a deficient response to this RFP. 4. Minimum Qualifications. In order to be considered for selection, Exhibit C must be included in the response as documented proof that the following minimum qualifications listed below are met. (a) The Firm will be qualified with the Secretary of State to conduct business in the State of Alabama, if selected. For more information, visit the Secretary of State website at www.sos.state.al.us and click Corporations. (b) The Firm has been developing extensive database software programs and providing operational and technical support for at least five (5) years. (c) The Firm and its personnel has all authorizations, permits, licenses, and certifications as may be required under federal, state or local law to perform the services specified in this RFP. (d) The Firm carries, or will carry, errors and omissions insurance or a comparable instrument to cover the firm’s negligent acts or omissions. (e) The Firm maintains sufficient procedures and redundancy capabilities to assure continued processing in an emergency. (f) The Firm has a company policy and practice of equal employment opportunity and non-discrimination based on race, age, creed or gender.
  3. 3. 5. Fees Please complete Exhibit B detailing the fee charged for the Unclaimed Property Software Pro- gram and Technical Support/Assistance product/services detailed in Exhibit A. The Firm shall be entitled to receive compensation for the computer software program upon data conversion and full operation of the software system. In addition, a monthly or quarterly compensation in ar- rears may be contracted for the technical support/assistance. It is expected that the successful proposal will result in a contract to provide the technical support/assistance services for two years, with an option to extend for one additional two-year term. 6. Proposal Required Information. Proposals should be as thorough and detailed as possible so that your capabilities to provide the required services can be properly evaluated. To be considered, responses to this RFP must include: (1) cover page, (2) Exhibit A, Qualifications and Experience, (3) Exhibit B, Statement of Fees, (4) Exhibit C, Minimum Qualifications, and (5) Disclosure Statement. All proposals submitted in response to this RFP must include one original and completed Disclosure Statement as required by Section 41-16-80, et seq., Code of Alabama (1975). Copies of the Disclosure Statement, and information, may be downloaded from the Alabama Attorney General’s web site at www.ago.state.al.us/ag_items.cfm. 7. Submission of Proposals. Mail or deliver the original proposal, plus three copies, for receipt no later than the close of business on December 15, 2005 to: Office of State Treasurer Kay Ivey Alabama State Capitol 600 Dexter Avenue, Suite S106 Montgomery, Alabama 36104 It is the responsibility of the Firm to ensure that the proposal is timely delivered and received on or before the deadline for responding to this RFP. The Treasurer will not consider proposals re- ceived after the date and time specified herein. The Treasurer assumes no responsibility for late delivery by the U.S. Mail, the State’s Central Mail Facility, a commercial courier service, or any other method of delivery selected by the Proposer. All proposals received by the Treasurer will be subject to public disclosure in accordance with Alabama public record laws. All questions should be directed to Ralph Ainsworth of State Treasury, Unclaimed Property Program by email at Ralph.ainsworth@treasury.alabama.gov. . Question and inquiries should be submitted by December 2, 2005. A summary of the significant questions and answers received will be distributed to all interested parties. During the RFP process, no other Treasury employees or the Treasurer should be contacted regarding this process by any individual or firm that intends to submit a response until a decision has been made.
  4. 4. 8. Evaluation and Selection. All proposals timely received will be reviewed and evaluated by a Selection Committee. The Committee will recommend proposals to the Treasurer that most closely meets the requirements of the RFP. The following will be used in making the selection. Corporate Information 20 Points Work Required/Experience 40 Points Fees 30 Points Located in Alabama 5 Points Creative Solutions 5 Points After the review and evaluation of the proposals, the Committee may recommend that the Treasurer conduct interviews. Finalists chosen for interviews, if necessary, will be notified. The Treasurer reserves the right to request a best and final offer for fees from finalists. The Treasurer will select the Firm the Treasurer determines, in her sole discretion, to be fully qualified and best suited among those submitting proposals to fulfill the purposes of the RFP in a cost effective manner. All proposals received in response to this RFP may be rejected. Once a firm is selected by the Treasurer, General Counsel to the Treasurer will initiate negotiations for contract terms and conditions. The contract will incorporate reference to the requirements of the RFP and the Firm’s proposal as negotiated. It is expected that the successful proposal will result in a contract to provide services for two years, with an option to extend for one additional two-year term. The Treasurer shall post the RFP on the treasury website www.treasury.alabama.gov. Interested parties may monitor the progress and status of this RFP process on the website. 9. Agreement. All duties of the Firm shall be set forth in a contract agreement between the selected firm and the Treasurer. A sample agreement is attached as Exhibit D for informational purposes only, and is subject to revisions. Any content included in the sample agreement that is not acceptable to the Custodian must be included in Exhibit C, or as an attachment. State law prohibits the Treasurer from agreeing to (1) indemnify the Custodian; (2) waive the right for jury trial; (3) grant a security interest; or (4) binding arbitration. Additionally, it is mandatory that Alabama laws apply to the performance of the contract and that jurisdiction and venue be in Montgomery, Alabama for state and federal courts. 10. Public Information. All responses received will be subject to the Alabama Open Records Act, §36-12-40, Code of Alabama and may be subject to public disclosure upon request. The Open Records Act is remedial and should therefore be liberally construed in favor of the public. The Alabama Trade Secrets Act is §8-27-1 through §8-27-6, Code of Alabama. Responders are cautioned to be familiar with these statutes. The burden is on the one asserting the trade secret to show that the information sought to be protected meets the definition of a Trade Secret as defined in the Act.
  5. 5. Any RFP response submitted that contains information must be conspicuously marked on the outside as containing confidential information, and each page upon which confidential information appears must be conspicuously marked as such. Identification of the entire bid proposal as confidential is not acceptable unless the Firm enumerates the specific grounds or applicable laws which support treatment of the entire material as protected from disclosure according to the foregoing statutes or other applicable Alabama law. The owner of the confidential information shall indemnify and hold the State harmless from all costs or expenses, including but not limited to attorney fees and expenses related to litigation concerning disclosure of said information and documents.
  6. 6. Exhibit A Qualifications and Experience Note: Do NOT attach pre-printed marketing/informational brochures, etc. in answer to any of the following questions unless specifically allowed in the question. The Proposer must provide specific details addressing each of the items outlined in Exhibit A. As part of the requirements, the proposal must adequately provide and illustrate details and documentation outlining the proposed unclaimed property management model, system capabilities, software, proposed database system capabilities, computer hardware requirements and specific timelines regarding conversion, training and start-up. Failure to provide information proving the proposers capabilities and preliminary planning regarding the Unclaimed Property Management Software System/Model will result in a deficient response to this RFP. Part I. Organization 1. Provide an overview of your firm, including corporate profile, ownership structure, financial condition, overall business objectives, services/products offered, and strategic plans for growth. 2. Provide details of your insurance coverage and risk mitigation efforts, errors and omissions coverage and any other fiduciary insurance relevant to the scope of this RFP. 3. Describe your external audit processes and the nature of your internal control procedures. Is a SAS 70 Report prepared? 4. Provide information on all “related” or “affiliated” firms that will provide services described in this RFP. 5. Provide any restrictions, regulatory action, consent orders, past or pending litigation relating to your firm, principals, or individual personnel within the past three years; 6. Provide details of any claims, disputes, litigation or other legal proceedings where your firm is involved with the State of Alabama or any of its agencies, or has been involved in the three preceding years; 7. Describe factors or reasons we should consider your firm more favorably than your competitors. Part II. Program Management 1. Provide the following information on at least 3 Clients (including contact persons) for whom similar services as described in this RFP are provided: a. Company
  7. 7. b. Address c. Contact d. Telephone Number e. Length of Relationship in Years 2. Provide an organizational chart and biographies of the person/persons/or team members who will be assigned to this program, including years of service and detailed experience relevant to this type program. 3. If you perform similar services for other states, are all states charged the same fee or is the fee negotiable? 4. Complete the following chart: Positions/Staff Firm Total Programmers Technical Assistance Personnel Legal Marketing/Sales Administration/Office Management Other __________________ Total Full-Time Employees Part III. Database System Requirements 1. Unclaimed Property Software Provide a proven, flexible and customized Unclaimed Property Management Software System developed to retain data records and perform numerous accounting, database utility functions, and comprehensive interface and interactive program functions. In addition, the software management system must provide reliability and security controls. • Provide a software management system which integrates online technology to include Treasury and other website claim and business reporting processing and processes. In addition, the system must have the capability to incorporate and bring online new technology aimed at program efficiency and expediency. • Provide a software management system which has the capability to interface with related software packages to include, but not limited to: Excel, Access, Dbase, and variations of ASCII Text Formats • Provide a software system which provides efficiencies and accountability with considerations in archiving closed records while maintaining report reconciliation. • Provide an unclaimed property software database program to support all aspects of the mandated Alabama Unclaimed Property Program (Detailed in “Database Model” below).
  8. 8. • The software program must provide database stability and be compatible with the Treasury server based Windows 2000 system. • The management system must be interlinked between the numerous tables and functions and maintain detailed accounting and audit history capabilities. • The unclaimed property software management system must provide and maintain detailed balancing and reconciling functions throughout the transactions and functions of the program and data tables. • The unclaimed property software management system must provide detailed report creation capabilities to include annual activity reports and date specific activity/transaction reports. • The unclaimed property software management system must provide on screen and output capabilities to support the entire Treasury claim process along with the data and receipt of unclaimed property processes. • The unclaimed property software management system must provide comprehensive securities (stock, mutual funds, bonds) processing features, including transaction management. The system must track security information such as issue name, symbol, CUSIP, security pricing history and detailed trade information. Inclusive in this process must provide custodial batch transactions and apply corporate actions such as dividends, splits and mergers. • The Software program must be interactive with the State Accounting System, Data interactive with other states (compatible with NAUPA format), and flexible to the program and daily operational requirements throughout the: (a) Receipt of unclaimed property data and receipts,(b) accounting, balancing and reconciling of reports, (c) claim processing and vouchering (d) report/letter/data generation and database query reports and requirements; (e) data retention and (f) incremental growth of the database. • The unclaimed property software management system must easily interface with State of Alabama Accounting Systems and website along with performing routine tasks such as data import/export and provide the flexibility to produce needed tools and documents to support all aspects of the unclaimed property program; • Supports multiple users (up to 100 users simultaneously) • In addition to providing the firms ability to meet the requirements as presented under Part 3 Data System Requirements; Section 1- Scope of Services and Section 2. Database Model, the proposal must include, in detail the following information:, o The software package/language, proposed system layout and timeline for development and online implementation of the unclaimed property system. The firm’s proposal must include as much detail relating to the specific information as provided in this request for proposal to demonstrate the firm’s capability and its preliminary planning in successfully implementing the database model. 2. Database Model • Provide a menu driven, user friendly software program tailored to the specific program functions as identified below:
  9. 9. o Inquiry System – The software system must provide easy and quick database search/result inquiries based on database variables such as, but not limited to:  Owner Records: owner, property ID, business ID, tax ID, amount, owner account #, check #, eligible records for claims, non-eligible records for claims, alpha record search.  Reporting Businesses: business name, business data-file ID, tax ID #, and previous business name.  Deposits: view deposit by deposit #, deposit date, business data-file ID, receipt amount.  Claims: claim inquiry, edit claim, approve/deny, release stock, release safe deposit box contents, search by claim ID, property ID, claimant, payment #, transaction date.  Securities: search by cusip, symbol, company, property ID, custodian  Safekeeping: search by property ID, inventory packet number, lot number  Audits: search by business name, business ID#, tax ID, audit ID o Business Reports – All businesses filing reports with the program are maintained in the existing database. Business information such as current address and contact along with an identifying number (Holder ID) is assigned to correspond to the hardcopy files maintained in office. Unclaimed Property business reports are maintained for an indefinite period of time while the database also maintains all annual reports and associated records remitted. In addition to housing all business reports and owner data, the unclaimed property software system model must provide the interactive and search/report capability, but not limited to, view/manage business names/data and records, record zero reports, access reports/utilities (example: business batch reports, business mailing labels, largest businesses reporting, largest business remittances, reporting business count summary, business reports not electronic, print business letters). In addition, this module must provide and maintain a strong audit trail for all data entries, calculation, transactions and documented record history of related transactions. o Receipts – All unclaimed property (funds, securities and safe deposit box contents) are received into the program, posted to the existing database and are integrated, correlated and reconciled under a strict database accounting system consisting of internal controls in order to track all property received and prevent mistakes in database processing. The unclaimed property software system model must complete, at a minimum, the above mentioned accounting functions and provide the interactive and search/produce report capability, but not limited to: view/manage deposits, balance business reports, access reports/utilities (example, report identifying “reports not balanced”, print balancing detail, improperly balanced receipts, report cycle totals, deposit reports, deposit reports by deposit#, days to balance reports, reports in process, businesses reported not remitted, deposits made/no property against). In addition, this module must provide and maintain a strong audit trail for all data entries, calculation, transactions and documented record history of related transactions.
  10. 10. o Claims – All unclaimed property received, added to the database and reconciled, becomes eligible to be claimed by potential owners/heirs. This claim process, provided by law and integrated as an integral part of the unclaimed property program, has a significant presence in the functionality of the unclaimed database model. The software system model must provide, at a minimum, the ability to create claim forms, maintain associated reference claim numbers, history of claims (created, mail date, status, payment date, etc..), view and manage claims, interface capability with Treasury unclaimed property website and claim processing and related sites (missingmoney.com), create, view and manage approved claims, automated process for batching and vouchering claims for payment, view/manage paid claims. In addition the software model must provide the interactive and search/produce report capability, but not limited to: Claim form processing/reports, produce customer letters (requesting additional documentation needed, claim denial letters, etc), claim status reports (claim generated, paid, denied by date or date range or by user as an example), generate reports to support claim queries (filed, processed, paid and record retention). In addition, this module must provide and maintain a strong audit trail for all data entries, calculation, transactions and documented record history of related transactions. o Securities: Unclaimed property received from reporting businesses may consist of securities (stocks, mutual funds, bonds). The unclaimed property database model must house and have the ability to retrieve this data in association with the reported owner. In addition, the accounting process associated with securities will include the posting of the securities, sale proceeds, and other transactions such as dividends, mergers, splits as some examples. The security portion of the database model must also have the ability to implement an individual security transaction or batches (example post sale proceeds for 200 owners of Bellsouth stock and/or proceeds). In addition the software model must provide the interactive and search/report capability, but not limited to: locate stock property, delete stock property, batch transactions, access and produce reports and database utilities such as transaction reports, stock reconciliation reports, and database utilities reports to assist in management of the data and transactions related to securities and associated data tables. In addition, this module must provide and maintain a strong audit trail for all data entries, calculation, transactions and documented record history of related transactions. o Safe Deposit Box Contents: Unclaimed property received from reporting businesses may consist of safe deposit box contents from banks, hospitals and related institutions. The database model must house and have the ability to retrieve this data in association with the reported owner, manage auctions and distribute proceeds among property owners. In addition, the accounting process associated with tangible property will include the posting of the safe deposit box contents, owner information, sale proceeds, tracking inventory numbers and other related owner/inventory information... In addition, the unclaimed property software model must provide the interactive and search/report capability, but no
  11. 11. limited to: view/manage the safekeeping inventory, posting/retrieval of relational inventory to owner data. In addition, this module must provide and maintain a strong audit trail for all data entries, calculation, transactions and documented record history of related transactions. o Audits: Any businesses may be required to file an unclaimed property report with Alabama. Many reports are filed voluntarily directly from the reporting business. Other reports received are a result of audit/examination related efforts. The Unclaimed Property Software Model must have the capability to tract the status of all ongoing/past audited businesses and provide the interactive and search/report capability, but not limited to, view/manage business names, audits in process, tax ID, designated audit ID and produce reports/utilities (example: Business Reporting by Tax ID, property remitted by business, businesses not reporting, businesses filing negative reports, businesses remitting late reports, business audit statuses, audit activity, audit follow-up letters). In addition, this module must provide and maintain a strong audit trail for all data entries, calculation, transactions and documented record history of related transactions. o Other Unclaimed Property Software Model requirements:- (related functions of the Unclaimed Property Database Model) In addition to and to reiterate importance of the above mentioned unclaimed property software model components, other abilities/functions of this model must exhibit functions pro- active to provisions provided throughout the unclaimed property law and specific program administrative needs. These functions may include but not limited to:  Detailed error/integrity checks throughout the management system;  Specific reports/functions related to detail and summary of receipt and payment transactions within the program/system;  Specific reports/functions related to the Treasurer’s custodial responsibilities of the program and database;  Provide data entry efficiencies related to importing business report data and receipts. In addition, the system must provide capability of data import to NAUPA format along with other state specific formats.  Provide data extraction capabilities specific to sub setting/extracting property due and payable to other states;  Provide data extraction capabilities specific to sub setting/extracting specific unclaimed property data in a format usable in displaying data on laptops and for public events/advertising/outreach efforts.  Provide model enhancements/integration to incorporate transferable data to/from the Treasury website or other internet environments.  Advertising Function – In accordance with the Alabama Unclaimed Property Law, efforts to locate the respective owners are a significant part of the unclaimed property program. In addition, other outreach programs are integrated into the program to increase the awareness and success in locating property back to rightful owners. The unclaimed property software model must provide components which assist in generating
  12. 12. advertising lists, capturing advertising dates and provide flexibility to manage the advertising process in an efficient fashion. The system must provide utilities to produce preliminary advertising extraction files and provide the flexibility to manipulate these file to produce final products. 3. Administrative Module: In providing database management, data utility functions, security oversight/assignment, the unclaimed property software model must provide extensive management tools to ensure the functionality and security of the relational database in the database environment and in support of the set security rules for its specific users. Some of the specific functions of the unclaimed property model required for the administration and management of the database and program should include but not limited to: • Provide advanced data correction tools/utilities • System Configuration Defaults • Ability to delete error reports/data • Ability to move/transfer property items on a report • Utility to update database – county correction • Ability to change property statuses/property types (global / by report or individually) • Ability to change property or owner relation codes • Identify/remove orphan owners • Replace owner field type • Ability to create system/database totals • Security feature to create user changed item reports • Security feature to create invalid login attempts • Administrator function for statistics for individual or total users • Month end summary reports • Generate 1099 export file • Security program: Identify duplicate claim addresses • Utility to address errors in voucher process • Utility: Search property comments • Administrator: User assignment security levels / password set • Utility to support database reference tables/codes for: unclaimed property, deposits, businesses, claims, securities, safekeeping, audits: (Examples: set owner types, owner relations, property types, property status, audit source, claims status, security ticker symbols, safe deposit box content/status codes) • Utility table (update us zip-codes) 4. Technical Assistance/Training The Unclaimed Property Software Model must provide data conversion from the existing relational FoxPro database to a software product which provides certain stability for database
  13. 13. growth, integrity, quick processing, multi-tasking to include multi user database interface. It is expected that the Firm will provide extensive staff training along with, but not limited to, long-term telephone support, remote access support. Include in your fee schedule the level and detail of support that will be provided. 5. Software/Hardware Requirements The Unclaimed Property Software requirements demand a product which guarantees accuracy, stability, integrity and a strong relational component capable of intensive and simultaneous transactions with a multi user (up to 100 users) workstations capability. The Firm must address the availability and accessibility of program updates, program edits and corrections. The hardware requirements of the Treasury require the Unclaimed Property Software Model will operate, at a minimal, within the Windows NT2000 environment and the XP2000 Workstations. Other capabilities should be provided in the proposal. The proposal must provide detail information regarding software, hardware and model design and system capability. The proposal must provide a history of the unclaimed property model usage to include specific successes and failures, if applicable. Part IV. Creative Solutions and Alternative Suggestions Firms are encouraged to be as creative as possible in responding to this RFP. Based on your re- view of the background information, specific needs and requirements, discuss any creative ap- proaches to this service which have not been specifically requested or would enhance efficiency and/or reduce costs.
  14. 14. EXHIBIT B Statement of Fees 1. Annual Fee: Provide Comprehensive Unclaimed Property Management Software System, data conversion, setup and technical training to obtain full operation within the Treasury, Unclaimed Property Division Flat Fee $_______________________ Provide specifics of the details included in the flat fee, such as amount of training provided, etc. 2. Technical Support Annual Fee $ ________________________ Provide specifics of what is included in technical support. 3. Other
  15. 15. EXHIBIT C MINIMUM QUALIFICATIONS and MISCELLANEOUS INFORMATION 1. My company will be qualified with the Secretary of State to conduct business in the State of Alabama, if selected. Y Yes N No 2. My company has been providing database management system development, operational and technical support for at least five (5) years. Y Yes N No 3. My company and its personnel has all authorizations, permits, licenses, and certifications as may be required under federal, state or local law to perform the services specified in this RFP at the time it submits a response to the RFP. Y Yes N No 4. My company carries errors and omissions insurance or a comparable instrument to cover the firm’s negligent acts or omissions. Y Yes N No 5. My company maintains sufficient procedures and redundancy capabilities to assure continued processing in an emergency. Y Yes N No 6. My company has a company policy and practice of equal employment opportunity and non- discrimination based on race, creed or gender. Y Yes N No 7. Provide comments, if any, regarding the language and content of the sample contract. 8. Primary Contact Concerning the Proposal: Name: Address: Phone Number: Email: Fax: By signing this Exhibit, I certify that I am authorized to bind the company, and that the foregoing information is correct and true. Signature: __________________________________________ Date: _________________ Print name of Signature: _______________________________________________
  16. 16. EXHIBIT D SAMPLE AGREEMENT This Agreement (the “Agreement”) is made and entered into between Treasurer (or applicable Board) and “Vendor”, on ________ day of _________, 2005. Vendor acknowledges that this Agreement is not effective until it has received all requisite state government approvals. Vendor shall not begin performing work under this Agreement until notified to do so by Treasurer. Vendor is not entitled to compensation for work performed prior to the confirmed effective date of the Agreement." WITNESSETH WHEREAS, the Treasurer is charged with the oversight of the (applicable area) by Section **** of the Code of Alabama; and, WHEREAS, the Treasurer has determined that it is in the best interest of the State to engage qualified professionals as authorized under Section **** to perform professional services in strict compliance with this Agreement, and all applicable federal and Alabama laws; and, WHEREAS, the State Merit System does not provide an appropriate job classification to perform the services described in this Agreement at this time; and WHEREAS, the Vendor has presented with the requisite expertise, ability and professional skill necessary to perform the services; now, THEREFORE, for good and valuable consideration and in consideration of the services to be performed and payments to be made, together with the mutual terms, covenants and conditions hereinafter set forth, and promises hereinafter stipulated, the parties mutually agree as follows: Section 1. Definitions. When used in this Agreement, the words and terms defined below shall have the following meanings: (a) (b) (c) (d) . Section 2. Representations and Warranties: The Vendor represents and warrants as follows: (a) That it is qualified with the Alabama Secretary of State to conduct business in the State of Alabama. (b) That it currently carries, and will maintain in full force and effect, commercially reasonable amounts of errors and omissions insurance covering Vendor’s negligent acts or omissions, under this Agreement. (c) That its policy and practice is for equal employment opportunity and non-discrimination based on race, creed or gender. (d) It is lawfully organized and constituted under all federal, state, and local laws, under ordinances of other authorities of its domicile, and is otherwise in full compliance with all legal requirements of its domicile as is necessary to perform is obligations under this Agreement. (e) It possesses the legal authority and capacity to enter into and perform this Agreement. (f) It has been duly authorized to operate and to do business in all places where it will be required to conduct business under this Agreement; that it has obtained, at no cost to the Treasurer, all necessary
  17. 17. licenses and permits required in connection with this Agreement, and that it will fully comply with all laws, decrees, labor standards, and regulations of its domicile, and wherever performance occurs, as is necessary to and during the performance of this Agreement. (g) It has no present interest, nor shall it acquire any interest, which would conflict in any manner with its duties and obligations under this Agreement, provided that nothing in this Agreement shall limit or restrict the right of any director, officer, or employee of the Vendor to engage in any other business or to devote his or her time and attention in part to the management or other aspects of any other business or to render services of any kind to any other corporation, firm, individual, or association. (h) It has in place and will maintain sufficient procedures and capabilities to ensure the timely and accurate backup and full recovery for all computers and other data storage systems related to this Agreement. (i) That all representations of the Vendor contained it its response to the request for proposal dated *** **, 2005 to the Treasurer are incorporated by reference as a part hereof the same as if fully set out herein. Section 3. Effective Date and Term: The effective date of this contract is ________ 1, 200*, and it will continue in effect until ___________, 200*, or when terminated according to Section 10 of this Agreement, whichever shall first occur. Section 4. Vendor Services. (Include as specified in the RFP.) (a) (b) (c) (d) Section 5. Ownership of Data: The Treasurer shall own all materials and data produced by or on behalf of the Treasurer under this Agreement. Section 6. Taxes: The Vendor, including its agents and assignees, are solely responsible for, and shall pay all federal, state, or local taxes that become lawfully owed by such parties as a result of this Agreement; and, shall hold harmless, defend and indemnify the Treasurer, Treasury staff, and the State of Alabama in regard thereto. Section 7. Standard of Performance: (a) The Vendor shall discharge its duties under this Agreement in all instances with reasonable care, professional skill, prudence and diligence under the circumstances then prevailing that a prudent person acting in a like capacity would provide and use in the conduct of an engagement of like character with like aims in performing its obligations under this Agreement. (b) Vendor will be liable for actual damages to the extent they result from its negligence, fraud, deception or willful misconduct, in performing its duties as set out in this Agreement Section 8. Public Access /Confidentiality: All documents, papers, letters, or other materials relating to this Agreement that are made or received by the Vendor in conjunction with this Agreement, and which are required by law to be maintained, shall be made available for public access and for audit purposes for the period of time so designated by law and by the Treasurer during and after termination of this Agreement. In all other circumstances, all information furnished by either party to the other shall be treated as confidential and shall not be disclosed to third parties except as required by law or upon the written agreement signed by each party to this Agreement. Section 9. Compensation and Expenses: The Vendor shall be entitled to receive compensation for its services as follows:
  18. 18. Section 10. Termination, Resignation, or Removal: The Vendor may resign at any time by giving ninety (90) days written notice to the Treasurer. The Treasurer may remove the Vendor and terminate this Agreement at any time by giving thirty (30) days written notice to the Vendor. However, the contract may be terminated immediately in case of a breach of the contract by the Vendor or notice of a prospective sale or merger of Vendor. The Vendor shall be entitled to receive its fees for the period through and including the effective date of the termination, resignation, or removal. Section 11. Disposition of Files: The Vendor shall immediately, upon request, turn over and deliver to the Treasurer copies of all data, reports, files, documents, and other tangible materials held by the Vendor that contain data or other information relating to this Agreement upon termination of this Agreement. The Vendor may keep its work product and one copy of materials necessary to comply with professional documentation requirements. Section 12. Amendment: Any amendment to this Agreement shall be in writing executed by both parties with the same formality of this Agreement and in strict compliance with all applicable federal or State of Alabama laws. Section 13. Assignment: This Agreement is not assignable in any part, manner or circumstance. Any attempted assignment is simultaneously void and shall constitute the simultaneous termination of this Agreement. Section 14. Indemnification: (a) The Vendor is designated and shall act as an independent contractor and not as an employee of the State in the performance of all the tasks and duties of this Agreement. The Vendor shall indemnify, defend, and hold harmless the Treasurer, Treasury staff, and the State of Alabama from all claims, suits, judgments, or damages including litigation costs and reasonable attorneys’ fees The Vendor is entitled to prompt and timely notice of any third party claims for which indemnity is sought and shall be given the opportunity to participate in the defense of such claims. (b) No individual employee, officer, director or agent of the State of Alabama shall be subject to or have any personal liability for the terms and conditions of this Agreement. The Vendor, and on behalf of its assigns and successors, hereby waives, for all purposes, any claims now apparent or which may hereafter arise against any agent, employee, officer or director of the State of Alabama for personal liability of said agent or employee on behalf of the State of Alabama including its various agencies, boards, commissions, and departments. Section 15. Jurisdiction and Venue: The validity, interpretation, and performance of this Agreement shall be controlled and construed under the laws of the State of Alabama. Jurisdiction and venue shall be in Montgomery County, Alabama for any action brought which relates to this Agreement. The sole remedy available to Vendor for settlement of any and all disputes arising under the terms of this Agreement shall be limited to the filing of a claim with the Board of Adjustment for the State of Alabama. Any claims against Vendor will be resolved in federal or state court in Montgomery, Alabama pursuant to Alabama law. Vendor and Treasurer agree that for any and all disputes arising under the Agreement, when considering settlement of such disputes, to utilize appropriate forms of non-binding alternative dispute resolution including, but not limited to, mediation by and through the Attorney General’s Office of Administrative Hearings or where appropriate, private mediators. Section 16. Waiver. The failure of either party to object to, or to take affirmative action with respect to any conduct or performance of the other that is, or may be, in violation of the terms of this Agreement shall not constitute a waiver of the violation or breach, or of any future violation or breach. Section 17. Audits: The Treasurer reserves the right to designate persons to conduct periodic audits of the Vendor’s procedures and activities. Section 18. Captions: The captions or headings in this Agreement are for convenience only and in no way define, limit, or describe the scope or intent of any provisions or sections of this Agreement.
  19. 19. Section 19. Publication: The Treasurer is the only entity authorized to issue information for public knowledge or news releases for publication concerning the terms or performance of this Agreement. Section 20. Merit System Exclusion: The Vendor is an independent contractor and nothing contained herein shall constitute or designate the Vendor, or any of its agents or employees, as agents or employees of the State of Alabama or the Treasurer. The Vendor, it agents or employees shall not receive any fringe benefits afforded merit system, appointed, or other regular, full or part-time employees of the State of Alabama. Section 21. Notices: All notices, requests, demands or other instruments which may be, or are required to be, given by either party to this Agreement, shall be in writing and shall be deemed given if (1) hand delivered with a signed receipt; (2) sent by facsimile, and confirmed as received; (3) served by a law enforcement officer or process server appointed by a valid court order; (4) by electronic communication (“e-mail”) with a received electronic receipt or, (5) if mailed, on the fifth business day following deposit of such notice in the U. S. Mail, postage prepaid, by certified or registered mail, return receipt requested, to the other person at the address listed below, or at such other address which either party may so notify the other of in writing. Notices sent to Vendor will be addressed to: (Voice (Facsimile) (E-mail) Notices sent to the **** will be addressed to: The Honorable Kay Ivey Alabama State Treasurer State Capitol Building Room S-106 600 Dexter Avenue P.O. Box 302510 Montgomery, AL 36130-2510 334-242-7500(Voice) 334-242-7592(facsimile) With a copy to the Office of General Counsel J. Michael Manasco, General Counsel State Capitol Building S-106 600 Dexter Avenue P.O. Box 302510 Montgomery, AL 36130-2510 334-353-0050 (Voice) 334-353-0056 (Facsimile) Mike.manasco@treasury.alabama.gov Section 22. Non-Exclusive Contract. The Treasurer recognizes that the Vendor provides professional services to other clients and may give advice, and take action, with respect to any of those other clients that may differ from the advice given, or the timing or nature of action taken, with respect to this Agreement. Section 23. Severability: If any provision of this Agreement shall be held to be void or inoperative by a court of competent jurisdiction, such provision shall be deemed severed from the remaining provisions of this Agreement, and the remaining provisions shall remain in full force and effect. Section 24. Entire Agreement This Agreement constitutes the entire understanding of the parties and supersedes any prior express or implied written or oral agreements between them.
  20. 20. Section 25. Not a Debt of the State: This Agreement shall not be construed as a debt of the State of Alabama as prohibited by Section 213, Alabama Constitution 1901, as amended by Amendment 26. IN WITNESS WHEREOF the Treasurer and the Vendor have executed this instrument as of the day and year first below written. TREASURER OF THE STATE OF ALABAMA By: ______________________________ DATE: ______________ Kay Ivey VENDOR OR OTHER APPLICABLE TITLE By: ____________________________ DATE: _____________ Its ______________________________ APPROVED: _________________________________ DATE: ________________ Bob Riley, Governor, State of Alabama

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