22-143HR Bid Packet

REQUEST FOR PROPOSAL

RFP Number:

22-143HR

RFP Title: Retirement Plan Consultant

RFP Due Date and Time:

Local Time: May 23, 2022 2:00pm ET

Number of Pages: 23

ISSUING DEPARTMENT INFORMATION

Issue Date:

April 25, 2022

City of Johns Creek Purchasing Division 11360 Lakefield Drive Johns Creek, Ga. 30097

Phone: 678-512-3233 Fax: 678-512-3286

Website: www.johnscreekga.gov

INSTRUCTIONS TO OFFERORS

Submitting Request for Proposals (RFP):

All submissions shall be submitted electronically and with hard copies (6) in person City Hall. Bid submission instructions can be found in section 4.12.

All questions must be submitted via BidNet no later than 5:00 pm on May 13, 2022. Answers to questions & Addendums will be posted on BidNet.

Instructions for registering for BidNet can be found in special instructions:

Envelope #1 (2 PDF’s) Electronic Submission:

1 PDF: required RFP forms (1 PDF). W9, E-verify, 50-36-1, submittal, cover page, etc...

1 PDF Technical Proposal: Defined in Section 4 – project understanding / approach, project experience, project team, project schedule, etc.

Envelope #2 (1 PDF) Cost Proposal No cost proposals shall be submitted in envelope #1.

RFP Due & received by: May 23, 2022 2:00pm ET (Both hard copies & electronically).

Special Instructions:

Register for BidNet at:

https://www.johnscreekga.gov/Residents/Purchasing click: register and view quote/RFP opportunities

IMPORTANT: SEE STANDARD TERMS AND CONDITIONS

OFFERORS MUST COMPLETE THE FOLLOWING

Offeror Name (Firm)/Address:

Authorized Offeror Signatory:

(Please sign in ink) Offeror Phone Number: Offeror Print Name:

Offeror Federal I.D. Number: Offeror E-mail:

OFFERORS MUST RETURN THIS COVER SHEET WITH RFP RESPONSE

OFFEROR’S RFP CHECKLIST

The 10 Most Critical Things to Keep in Mind When Responding to an RFP for the City of Johns Creek

1. _______ Read the entire document. Note critical items such as: mandatory requirements;

supplies/services required; submittal dates; number of copies required for submittal;

funding amount and source; contract requirements (i.e., contract performance security, insurance requirements, performance and/or reporting requirements, etc.).

2. _______ Note the procurement officer's name, address, phone numbers and e-mail address. This is the only person you are allowed to communicate with regarding the RFP and is an excellent source of information for any questions you may have.

3. _______ Attend the pre-proposal conference if one is offered. These conferences provide an opportunity to ask clarifying questions, obtain a better understanding of the project, or to notify the City of any ambiguities, inconsistencies, or errors in the RFP.

4. _______ Take advantage of the “question and answer” period. Submit your questions to the procurement officer by the due date listed in the Schedule of Events and view the answers given in the formal “addenda” issued for the RFP. All addenda issued for an RFP are posted on the City’s website and will include all questions asked and answered concerning the RFP.

5. _______ Follow the format required in the RFP when preparing your response. Provide point-by-point responses to all sections in a clear and concise manner.

6. _______ Provide complete answers/descriptions. Read and answer all questions and requirements. Don’t assume the City or evaluation committee will know what your company capabilities are or what items/services you can provide, even if you have previously contracted with the City. The proposals are evaluated based solely on the information and materials provided in your response.

7. _______ Use the forms provided, i.e., required documents, RFP cover page, submittal page, E-verify, 50-36-1 form, W9, COI example, etc.

8. _______ Check for RFP addenda. Before submitting your response, check online in BidNet for any addenda the City has issued. Submission of Bid acknowledges receipt of addendums however, recommended to include with bid submission signed copies.

9. _______ Review and read the RFP document again to make sure that you have addressed all requirements. Your original response and the requested copies must be identical and be complete. The copies are provided to the evaluation committee members and will be used to score your response.

10. _______ Submit your response on time. Note all the dates and times listed in the Schedule of

Events and within the document, and be sure to submit all required items on time. Late proposal responses are never accepted.

This checklist is provided for assistance only and should not be submitted with Offeror’s Response.

CITY OF JOHNS CREEK

22-143HR

PROPOSAL LETTER

We propose to furnish and deliver any and all of the deliverables and services named in the attached Request for Proposal/Proposals (RFP) for which prices have been set. The price or prices offered herein shall apply for the period of time stated in the RFP.

It is understood and agreed that this proposal constitutes an offer, which when accepted in writing by Purchasing Office, City of Johns Creek, and subject to the terms and conditions of such acceptance, will constitute a valid and binding contract between the undersigned and the City of Johns Creek.

It is understood and agreed that we have read the City’s specifications shown or referenced in the RFP and that this proposal is made in accordance with the provisions of such specifications. By our written signature on this proposal, we guarantee and certify that all items included in this proposal meet or exceed any and all such City specifications. We further agree, if awarded a contract, to deliver goods and services which meet or exceed the specifications. The City of Johns Creek reserves the right to reject any or all submittals, waive technicalities, and informalities, and to make an award in the best interest of the City.

It is understood and agreed that this proposal shall be valid and held open for a period of one hundred twenty

(120) days from proposal opening date.

PROPOSAL SIGNATURE AND CERTIFICATION

(Offeror to sign and return with proposal)

I certify that this proposal is made without prior understanding, agreement, or connection with any corporation, firm, or person submitting a proposal for the same materials, supplies, equipment, or services and is in all respects fair and without collusion or fraud. I understand collusive bidding is a violation of State and Federal Law and can result in fines, prison sentences, and civil damage awards. I agree to abide by all conditions of the proposal and certify that I am authorized to sign this proposal for the Offeror. I further certify that the provisions of the Official Code of Georgia Annotated, Sections 45-10-20 et. seq. have not been violated and will not be violated in any respect.

Authorized Signature______________________________Date_______________________

Print/Type Name_________________________________

Print/Type Company Name Here_______________________________________________

CITY OF JOHNS CREEK

DISCLOSURE FORM

This form is for disclosure of campaign contributions and family member relations with City of Johns Creek officials/employees.

Please complete this form and return as part of your RFP package when it is submitted.

Name of Offeror __________________________________________________

Name and the official position of the Johns Creek Official to whom the campaign contribution was made (Please use a separate form for each official to whom a contribution has been made in the past two (2) years.)

List the dollar amount/value and description of each campaign contribution made over the past two (2) years by the Applicant/Opponent to the named Johns Creek Official.

Amount/Value Description

Please list any family member that is currently (or has been employed within the last 12 months) by the City of Johns Creek and your relation:

TABLE OF CONTENTS TO BE UPDATED LAST STEP

1.0 INTRODUCTION 7

1.1 PURPOSE OF PROCUREMENT (REQUIRED FORM

1.2 PROPOSAL CERTIFICATION (REQUIRED FORM)

1.3 SCHEDULE OF EVENTS

1.4 RESTRICTIONS ON COMMUNICATIONS WITH STAFF

1.5 DEFINITION OF TERMS

1.6 DESCRIPTION OF REQUIREMENTS

1.7 SUBMITTING A PROPOSAL

1.8 REQUIRED REVIEW

2.0 RFP STANDARD INFORMATION 10

2.1 AUTHORITY

2.2 OFFEROR COMPETITION

2.3 RECEIPT OF PROPOSALS AND PUBLIC INSPECTION

2.4 CLASSIFICATION AND EVALUATION OF PROPOSALS

2.5 CITY’S RIGHTS RESERVED

3.0 PROJECT CONTEXT 11

3.1 BACKGROUND

3.2 FACILITIES & PROGRAMMING

3.3 PREVIOUS PLANNING EFFORT

3.4 SCOPE OF WORK

3.5 MAJOR WORK ELEMENTS

3.6 KEY DELIVERABLES………………………………………………………………………………16

3.7 FURNISHED BY THE CITY…………………………………….………………………………..…17

4.0 PROPOSAL REQUIREMENTS, SUBMISSION, AND EVALUATION 17

4.1 PROCESS FOR SUBMITTING STATEMENTS OF QUALIFICATIONS

4.2 EVALUATION PROCESS

4.3 REJECTION OF PROPOSALS/CANCELLATION OF RFP

4.4 CITY’S RIGHT TO INVESTIGATE AND REJECT

5.0 TERMS AND CONDITIONS 21

5.1 RFP AMENDMENTS

5.2 PROPOSAL WITHDRAWAL

5.3 COST FOR PREPARING PROPOSALS

5.4 CONTRACT

5.5 CONTRACT TERM

5.6 CONFLICT OF INTEREST

5.7 MINORITY BUSINESS POLICY

5.8 ADA GUIDELINES

5.9 COMPLIANCE WITH LAWS

5.10 GOVERNING TERMS

5.11 INDEMNIFICATION

5.12 CORRECTIONS/CREDITS

5.13 INSURANCE

5.14 CANCELLATION

5.15 INDEPENDENT CONTRACTOR

5.16 NO ASSIGNMENT

5.17 AUDIT

5.18 ATTORNEY'S FEES

5.19 MISCELLEANEOUS

APPENDIX A 21-24

REQUIRED FORMS

1.0 INTRODUCTION

1.1 Purpose of Procurement

The purpose of this Request for Proposal (RFP) is to solicit offers from qualified Retirement Plan Consultants providers for the City. The City intends to enter into a contract with one or two experienced and qualified proposer to provide governmental 401(a) and 457 Plan consulting for the City General Employee Retirement Plan.

1.2 Proposal Certification

Pursuant to the provisions of the Official Code of Georgia Annotated 50-5-67(a), the City of Johns Creek certifies the use of competitive sealed bidding will not be practical or advantageous to the City in completing the acquisition described in this RFP. All proposals submitted pursuant to this request will be made in accordance with the provisions of this RFP.

1.3 Schedule of Events

See section 3.6 for the detailed Schedule of Events.

1.4 Restrictions on Communications with Staff

All questions about this RFP must be submitted online through BidNet in the following format:

Company Name

1. Question

Citation of relevant section of the RFP

Questions must be submitted online only through the electronic bidding platform. Go to the city website purchasing page https://www.johnscreekga.gov/Residents/Purchasing and follow the links to the Georgia Purchasing Group by BidNet. Questions must include the company name and the referenced RFP section.

Additional assistance is available by emailing the City of Johns Creek Purchasing Department at:

purchasing@johnscreekga.gov .

From the issue date of this RFP until a contractor is selected and the selection is announced, Offerors are not allowed to communicate for any reason with any City staff, elected officials, or other contractors or sub-contractors except through the Issuing Officer named herein, or during the Offeror's conference, or as provided by existing work agreement(s). The City reserves the right to reject the proposal of any Offeror violating this provision. All questions concerning this RFP must be submitted in writing (fax or email may be used) to the Issuing Officer. No questions other than written will be accepted. No response other than written will be binding upon the City.

1.5 Definition of Terms

OCGA - Official Code of Georgia Annotated (State Statute) Offeror - Respondent to this Request for Proposals RFP - Request for Proposals

1.6 Description of Requirements

The City of Johns Creek has established certain requirements with respect to Proposals/ to be submitted by Offerors.

Whenever the terms "shall", "must", "will", or "is required" are used in the RFP, the specification being referred to is a mandatory requirement of this RFP. Failure to meet any mandatory requirement will cause rejection of Offeror’s proposal.

Whenever the terms "can", "may", or "should" are used in the RFP, the specification being referred to is a desirable and failure to provide any items so termed may not be cause for rejection, however, will probably cause a reduction in score awarded.

1.6.1 Resulting Contract

This RFP and any addenda, the Offeror’s RFP response, including any amendments, a best and final offer, and any clarification question responses shall be included in any resulting contract. The City’s contract contains the contract terms and conditions which will form the basis of any contract between the City and the highest scoring Offeror. In the event of a dispute as to the duties and responsibilities of the parties under this contract, the contract, along with any attachments prepared by the City, will govern in the same order of precedence as listed in the contract.

1.6.2 Mandatory Requirements

To be eligible for consideration, an Offeror must meet the intent of all mandatory requirements. The City will determine whether an Offeror’s RFP response complies with the intent of the requirements. RFP responses that do not meet the full intent of all requirements listed in this RFP may be subject to point reductions during the evaluation process or may be deemed non-responsive.

1.6.3 Understanding of Specifications and Requirements

By submitting a response to this RFP, Offeror agrees to an understanding of and compliance with the specifications and requirements described in this RFP.

1.6.4 Prime Contractor/Subcontractors

The highest scoring Offeror will be the prime contractor if a contract is awarded and shall be responsible, in total, for all work of any subcontractors. All subcontractors, if any, must be listed in the proposal. The City reserves the right to approve all subcontractors. In any resultant contract, the Offeror shall be responsible to the City for the acts and omissions of all subcontractors or agents and of persons directly or indirectly employed by such subcontractors, and for the acts and omissions of persons employed directly by the Offeror. Further, nothing contained within this document or any contract documents created as a result of any contract awards derived from this RFP shall create any contractual relationships between any subcontractor and the City.

1.6.5 Offeror’s Signature

The proposals must be signed in ink by an individual authorized to legally bind the business submitting the proposal. The Offeror’s signature on a proposal in response to this RFP guarantees that the offer has been established without collusion and without effort to preclude the City of Johns Creek from obtaining the best possible supply or service. Proof of authority of the person signing the RFP response must be furnished upon request.

1.7 Summiting a Proposal

1.7.1 Organization of Proposal

Offerors must organize their proposal into sections as described in this RFP with tabs separating each section.

1.7.2 Failure to Comply with Instruction

Offerors failing to comply with instructions of this RFP may be subject to point deductions. The City may also choose to not evaluate, may deem non-responsive, and/or may disqualify from further consideration any proposals that do not follow this RFP format, are difficult to understand, are difficult to read, or are missing any requested information.

1.7.3 Multiple Proposals

Offerors may, at their option, submit multiple proposals, in which case each proposal shall be evaluated as a separate document.

1.7.4 Copies Required and Deadline for Receipt of Proposals

Offerors must submit Proposals both: hard copies (6) in person/mail at City Hall and online electronically through BidNet. Proposals, all required documents, and any additional bid documents must be delivered and uploaded into in BidNet. RFP responses must be received prior to 2:00 pm, Monday, May 23, 2022 with hard copies delivered to City Hall and an electronic submission in BidNet.

1.7.5 Late Proposals

Regardless of cause, late proposals will not be accepted and will automatically be disqualified from further consideration. It shall be the Offeror’s sole risk to assure delivery at the receptionist's desk on the first floor of City Hall (11360 Lakefield Drive, Johns Creek, GA 30097) by the designated time. Late proposals will not be opened and may be returned to the Offeror at the expense of the Offeror or destroyed if requested.

1.8 Required Review

1.8.1 Review RFP

Offerors should carefully review the instructions; mandatory requirements, specifications, standard terms and conditions, and standard contract set out in this RFP and promptly notify the procurement officer identified above in writing or via e-mail of any ambiguity, inconsistency, unduly restrictive specifications, or error, which they discover upon examination of this RFP.

1.8.2 Form of Questions

Offerors with questions or requiring clarification or interpretation of any section within this RFP must address these questions online only via BidNet on or before 5:00pm May 13, 2022. Each question must provide clear reference to the section, page, and item in question. Questions received after the deadline may not be considered.

1.8.3 City’s Answers

The City will provide an official written answer response to all questions received by May 13, 2022 at 5pm. The City's response will be by formal addendum published online via BidNet. Any other form of interpretation, correction, or change to this RFP will not be binding upon the City. Any formal written addendum will be published on BidNet. Offerors acknowledge receipt of addendums electronically with Proposal submissions and may also provide signed copies of addendums in their proposal.

1.8.4 Standard Terms and Conditions/Standard Contract

By submitting a response to this RFP, Offeror agrees to acceptance of the standard terms and conditions and standard contract as set out in Section 5.0 of this RFP. Much of the language included in the standard terms and conditions and standard contract reflects requirements of state law. Requests for exceptions to the standard terms and conditions, standard contract terms, or any added provisions must be submitted to the City’s identified procurement officer by the date for receipt of questions or with the Offeror’s RFP response and must be accompanied by an explanation of why the exception is being taken and what specific effect it will have on the Offeror’s ability to respond to the RFP or perform the contract. The City reserves the right to address non-material, minor, insubstantial requests for exceptions with the highest scoring Offeror during contract negotiation. Any material, substantive, important exceptions requested and granted to the standard terms and conditions and standard contract language will be addressed in any formal addendum issued for this RFP and will apply to all Offerors submitting a response to this RFP.

1.8.5 Project Oversight and Staffing

The successful Offeror will report to the City’s Human Resource Director, Elizabeth Awbrey /or designee.

2.0 RFP STANDARD INFORMATION

2.1 Authority

This RFP is issued under the authority of the City of Johns Creek. The RFP process is a procurement option allowing the award to be based on stated evaluation criteria. The RFP states the relative importance of all evaluation criteria. No other evaluation criteria, other than as outlined in the RFP, will be used.

2.2 Offeror Competition

The City encourages free and open competition among Offerors. Whenever possible, the City will design specifications, proposal requests, and conditions to accomplish this objective, consistent with the necessity to satisfy the City’s need to procure technically sound, cost-effective services and supplies.

2.3 Receipt of Proposals and Public Inspection

2.3.1 Public Information. All information received in response to this RFP, including copyrighted material, is deemed public information and will be made available for public viewing and copying after a recommendation for award has been presented to the City Council with the following four exceptions: (1) bona fide trade secrets meeting confidentiality requirements that have been properly marked, separated and documented; (2) matters involving individual safety as determined by the City of Johns Creek (3) any company financial information requested by the City of Johns Creek to determine Offeror responsibility, unless prior written consent has been given by the Offeror; and (4) other constitutional protections.

2.3.2 Procurement Officer Review of Proposals. Upon opening the proposals received in response to this RFP, the procurement officer in charge of the solicitation will review the proposals and separate out any information that meets the referenced exceptions in Section 2.3.1 above, providing the following conditions have been met:

Confidential information is clearly marked and separated from the rest of the proposal.

The proposal does not contain confidential material in the cost or price section.

An affidavit from an Offeror’s legal counsel attesting to and explaining the validity of the trade secret claim is attached to each proposal containing trade secrets.

Information separated out under this process will be available for review only by the procurement officer, the evaluation committee members, and limited other designees. Offerors must be prepared to pay all legal costs and fees associated with defending a claim for confidentiality in the event of an Open Records Request from another party.

2.4 Classification and Evaluation of Proposals

2.4.1 Initial Classification of Proposals as Responsive or Non-responsive All proposals will initially be classified as either “responsive” or “non-responsive.” Proposals may be found non-responsive any time during the evaluation process or contract negotiation if any of the required information is not provided; the submitted price is found to be excessive or inadequate as measured by criteria City in the RFP; or the proposal is not within the plans and specifications described and required in the RFP. If a proposal is found to be non-responsive, it will not be considered further.

2.4.2 Determination of Responsibility

The procurement officer will determine whether an Offeror has met the standards of responsibility. Such a determination may be made at any time during the evaluation process and through contract negotiation if information surfaces that would result in a determination of non-responsibility. If an Offeror is found non-responsible, the determination must be in writing, made a part of the procurement file and mailed to the affected Offeror.

2.4.3 Evaluation of Proposals

The Technical Evaluation Committee will evaluate the remaining proposals and recommend whether to award the contract to the highest scoring Offeror(s) or, if necessary, to seek discussion/negotiation or a best and final offer in order to determine the highest scoring Offeror(s). All responsive proposals will be evaluated based on stated evaluation criteria. In scoring against stated criteria, the City may consider such factors as accepted industry standards and a comparative evaluation of all other qualified RFP responses in terms of differing price, quality, and contractual factors. These scores will be used to determine the most advantageous offering to the City.

2.4.4 Completeness of Proposals

Selection and award will be based on the Offeror’s proposal and other items outlined in this RFP. Submitted responses may not include references to information located elsewhere, such as Internet websites or libraries, unless specifically requested. Information or materials presented by Offerors outside the formal response or subsequent discussion/negotiation or “best and final offer,” if requested, will not be considered, will have no bearing on any award, and may result in the Offeror being disqualified from further consideration.

2.4.5 Opportunity for Discussion/Negotiation and/or Oral Presentation/Product Demonstration After receipt of all proposals and prior to the determination of the award, the City may initiate discussions with one or more Offerors should clarification or negotiation be necessary. Offerors may also be required to make an oral presentation (shortlist interview) and/or product demonstration to clarify their RFP response or to further define their offer. In either case, Offerors should be prepared to send qualified personnel to Johns Creek, Georgia to discuss technical and contractual aspects of the proposal. Oral presentations, if requested, shall be at the Offeror’s expense.

2.4.6 Evaluation Committee Recommendation for Contract Award

The Technical Evaluation Committee will provide a written recommendation for contract award to the procurement officer that contains the scores, justification and rationale for its decision. The procurement officer will review the recommendation to ensure its compliance with the RFP process and criteria before concurring in the evaluation committee’s recommendation.

2.5 City’s Rights Reserved

While the City has every intention to award a contract as a result of this RFP, issuance of the RFP in no way constitutes a commitment by the City of Johns Creek to award and execute a contract. Upon a determination such actions would be in its best interest, the City, in its sole discretion, reserves the right to:

cancel or terminate this RFP;

reject any or all proposals received in response to this RFP;

waive any undesirable, inconsequential, or inconsistent provisions of this RFP which would not have significant impact on any proposal;

not award if it is in the best interest of the City not to proceed with contract execution; or if awarded, terminate any contract if the City determines adequate City funds are not available.

3.0 MANDITORY REQUIREMENTS

This section identifies all mandatory requirements which must be present in the Offeror’s proposal before further consideration will be given. Offeror must prepare and submit a response which references the page(s) of the Technical Response where satisfaction of the Mandatory Requirements is substantiated.

3.1 Background Information

The City of Johns Creek is located in the northeast corner of Fulton County; bounded on the south by the Chattahoochee River, on the east by Gwinnett County and the Chattahoochee, on the north by Forsyth County and on the west by the cities of Alpharetta and Roswell. Johns Creek has an approximate population of 84,000.

Johns Creek is the 10th largest city in the state of Georgia, Marietta being the 11th largest. Johns Creek officially became a city on Dec. 1, 2006, when governance of the new city transferred from Fulton County to Johns Creek's elected officials and city government. Johns Creek's transition from six unincorporated northeast Fulton communities - Newtown, Warsaw, Ocee, Shakerag, Autrey Mill and Johns Creek - to cityhood was initiated through the state legislative process and approval of House Bill 1321. Governor Sonny Purdue signed House Bill 1321 on March 29, 2006 and voters approved incorporation on July 18, 2006.

3.2 Overview

The purpose of this Request for Proposal (RFP) is to solicit offers from qualified Retirement Plan Consultants providers for the City. The City intends to enter into a contract with one or two experienced and qualified proposer to provide Governmental 401(a) and 457 Plan consulting for the City General Employee Retirement Plan.

The City has an annual budget and all Benefit plans/services to be provided for employees are subject to that budget and annual funds appropriation.

The City is requesting proposals to provided Retirement Plan Consulting services. The proposer will be expected to provide key services related to the governmental 401(a) and 457(b) plans. Qualified consultants will meet the listed required qualifications and key duties and are required to complete a response to the questionnaire attached to this RFP.

3.3 Scope of Work

To assist with the City of Johns Creek Retirement Plans in regards to:

Plan level Services

3(21) Co-Fiduciary responsible services to the plan Review of current plan design and architecture Investment policy review and recommendations Assignment of a lead retirement consultant Develop an annual calendar Provide progress reports on investments Produce all meeting presentations Provide fiduciary education to plan level sponsor Lead Investment Committee meetings and take minutes (min of quarterly) Vendor contract negotiations Plan Document/Contract review and advice Peer/Industry Benchmarking and analysis Regulatory compliance/plan governance Recordkeeper Fee Review annually Recordkeeper/Custodian searches (as needed), including RFI/RFP materials Client References Dedicated Financial Advisor assigned for continuity

Individual/Employee Level Services

Enrollment assistance with expertise in non-technological workforce Assist participants in accessing account information and negotiating websites Determine proper savings level/deferral rates Provide fiduciary advice (not just education to employees) Investment diversification recommendations Distribution option counseling

Access to Call Center Provide one-on-one meetings: multiple days per Year (negotiable) for 5 locations (City Hall and 4 fire stations)

3.4 Minimum Qualifications

All proposing providers must meet the following minimum qualifications:

Agree to sign an agreement with the City 3(21) Co-Fiduciary to the plan Experts in the field of investments and plan governance Ability to meet Scope of Services listed above Free of Conflict of Interest in regards to Record-keepers Have a local (Georgia) client services team Have 5 or more years of experience providing retirement consulting services Have a team that can provide quarterly fund analysis and provide quarterly reports at a scheduled meeting.

3.6 RFP Schedule

Event Date

Release of RFP April 25, 2022

Deadline to Submit Questions May 13, 2022 5:00 PM ET *Submit only electronically in BidNet

Deadline to Submit bid proposals May 23, 2022 2:00 PM ET Electronically via BidNet with Hard Copies Delivered to City Hall City of Johns Creek Purchasing RFP 22-138HR 11360 Lakefield Drive Johns Creek, GA 30097

Shortlist Notification On/around May 27, 2022

Shortlist Interviews June 6-10, 2022

Notice of Intent to Award July 8, 2022

Executed/Contract & Notice to Proceed July 15, 2022

4.0 PROPOSAL REQUIREMENTS, SUBMISSION, AND EVALUATION

4.1 Process for Submitting Statements of Qualifications

Failure to meet these requirements will result in the Proposals being determined “non-responsive” and the entire submittal will be rejected.

4.1.1 Proposal Format and Requirements

Proposals should be prepared simply and economically, avoiding the use of elaborate promotional materials beyond those sufficient to provide a complete presentation.

To aid in thorough and consistent review, the technical proposal shall be submitted on no more than twenty (20), one sided 8 ½” x 11” pages in no smaller than 10 point font and shall be organized to correspond to the sections described below in Proposal Requirements. All pages shall be numbered. Standard purchasing required documents & forms required by the City (such as Immigration and Security Form and Affidavit Verifying Lawful Presence etc.) and proposer introductory letter/cover page shall not count towards the page limit.

The technical proposals shall be organized to include an introductory letter followed by table of content and sections as described below: (1) Firm Experience, (2) Experience/Qualification of Consultant’s Team, (3) Scope of Service Understanding/Firm’s Approach, (4) Response to Questionnaire and, (5) References.. As described below in Packaging of Proposals, the hard copy original must also include the Required Forms (RFP cover page, RFP Proposals Letter, Disclosure Form, W9, E-verify, 50-36-1 form (person submitting Proposal), example COI, or any other form part of this RFP packet). As described below in Packaging of Proposals, the Fee Proposal should be packaged separately in a sealed envelope.

Introduction (1 page cover letter) The introduction should include a cover letter which includes at a minimum the firm name, address, telephone number, e-mail address for the primary contact person, proposed project manager, former firm names, official Georgia address (if applicable), joint venture partner information (if applicable), and sub-consultants to be used by the firm. If the firm has branch offices, state which office will be performing the majority of the work. Cover letter shall acknowledge receiving and acceptance of the bid requirements and any addendums. Statement expressing the proposer’s willingness to perform the services as described in this RFP. A statement as to the availability of staff and other required resources for performing all services as described in this RFP. Cover page will not count against the maximum page limit for proposer’s response to the RFP.

Firm Experience (15 points max) Provide a brief history of your firm and the firm’s retirement plan consulting experience. If you have experience with governmental entities include this too.

Explain how the firm controls the quality of services provided to clients, the number of consultants in the firm, and average number of clients assigned per consultant. What is the maximum number of clients per consultant you maintain?

What do you see as your organization’s strongest area of expertise?

Discuss any assumptions relating to the responsibilities and/or commitments the Offeror is expecting of the City throughout the life of the project.

Experience / Qualification of Consultant’s Team (15 points) Assuming your firm is selected, provide biographical information/experience on the individuals proposed to serve as primary consultant, his/her principal assistant, and other key members assigned to the account and the office where they are located. Specify the anticipated role and scope of involvement of each individual. For the primary consultant and principal assistant, proved the names of all clients and nature of their relationships.

How many personnel in your firm are CFA’s? How many at least have five years of institutional experience in public funds administration and what are their areas of investment expertise?

Resumes can be attached as an Appendix in your technical proposal response limited to the primary consultant, his/her principal assistant, and other key members assigned to the account.

Scope of Service Understanding & Firm’s Approach (30 points max)

State the Offeror’s belief of the scope of the intended strategy with the City and your firm’s approach. If there are any gaps between what the Offeror believes should be the proper scope of services, given all information available, the Offeror should clearly identify these gaps in their approach.

Areas to include in approach:

a. Explain your general investment consulting services. Describe your capabilities

b. In research and recommending alternative investment strategies or asset classes. Are you proactive in this area or do you wait for an indication of interest? Please explain your approach and include any steps, measures your firm utilizes.

Response to Questionnaire (15 points max) Response to the attached Questionnaire. (See attached Word Document questionnaire):

References (10 points max)

Provide 5 local and current clients as a reference. Include organization, contact name, phone, email and number of years servicing the organization and services provided.

Fee Proposal-(15 points max)-(see attached Word document) Offeror shall provide, one hard copy and one electronic copy of their firm’s fee proposal. Hard copy shall be in a sealed envelope marked envelope #2 Fee Proposal, firm name and RFP 22-143HR. Do not include fee proposal information in the technical proposal.

4.1.2 Packaging of Proposals

Offerors must separately package the technical proposal/required forms and the fee proposal. Proposals must be received both electronically and in hard-copy to be considered.

The electronic version of the proposal must be submitted through BidNet. The technical proposal must be uploaded in one (1) color PDF in “Envelope #1.” The required City forms (RFP 1st page, RFP Proposals Letter, Disclosure Form, W9, E-verify, 50-36-1 form (person submitting Proposal), example COI, copy of any professional licenses etc.) must be uploaded in one (1) PDF, also in “Envelope #1.” The financial proposal must be uploaded in one (1) PDF in “Envelope #2.”

The hard-copy version of the proposal must be submitted in-person or by mail and include six (6) hard copies of technical proposal. Only one hard-copy of the six (marked/stamped as “original”) needs to contain the required City forms (RFP cover page, RFP Proposals Letter, Disclosure Form, W9, E-verify, 50-36-1 form (person submitting Proposal), example COI, copy of any professional licenses etc.). Only one hard-copy of the fee proposal should be submitted in an envelope marked #2, firm’s name, Fee Proposal, RFP 22-143HR. The hard-copy fee proposal should be submitted in the same package but must be separately sealed within the package.

Outside of package for hard copies shall be marked as:

City of Johns Creek Purchasing

RFP 22-143HR

11360 Lakefield Drive Johns Creek, GA 30097

4.1.3 Submission of Proposals

Offerors must submit the electronic proposal through BidNet and deliver the six (6) hard copy proposals to City Hall. Both the electronic proposal through BidNet and hard copies received at City Hall prior to 2:00 pm, Monday, May 23, 2022 Eastern Time.

Any proposals received after the due date and time will not be accepted by BidNet and late hard copies delivered to City Hall will not be opened.

4.2 Evaluation Process

All proposals will undergo an Administrative Review. Only those proposals deemed responsive will be considered.

4.2.1 Administrative Review

The proposals will be reviewed by the RFP Issuing Officer for the following administrative requirements:

1. Submitted by deadline. Any proposal received after the due date and time will not be evaluated.

2. All required documents have been submitted.

3. Requisite number of technical proposals.

4. Separately sealed financial proposal.

5. All documents requiring an original signature (RFP cover page, RFP Proposals Letter, Disclosure Form, W9, E-verify, 50-36-1 form (person submitting Proposal), example COI, etc.) have been signed and are included.

4.2.2 Mandatory Requirements Review

All responsive proposals (which pass the Administrative Review) will be reviewed by the Technical Evaluation Committee.

4.2.3 Technical Proposal Evaluation

The Technical Evaluation Committee will evaluate the quality of each proposal passing the Administrative Review. The RFP carries a total weight of 100 points. Technical submittals will be evaluated and scored in categories.

Firm Experience (15%) Experience / Qualification of Consultant’s Team (15%) Scope of Service Understanding & Firm’s Approach (30%) Response to Questionnaire (15%) References (10%) Fee Proposal (15%)

100%

In scoring against stated criteria, the City may consider such factors as accepted industry standards and a comparative evaluation of all other qualified RFP responses in terms of offerings, services, quality, and contractual factors. These scores will be used to determine the most advantageous offering to the City.

4.2.4 Interviews

The City reserves the right to invite Offerors to participate in a virtual or in person interview for further clarity and insight to their firms Technical Proposal. Please reserve the week of June 6-10, 2022 for shortlist Offeror interviews at City Hall, 11360 Lakefield Drive, Johns Creek, GA 30097.

4.3 Rejection of Proposals/Cancellation of RFP

The City reserves the right to reject any or all proposals, to waive any irregularity or informality in a proposal, and to accept or reject any item or combination of items, when to do so would be to the advantage of the City.

It is also within the right of the City to reject proposals that do not contain all elements and information requested in this document. The City reserves the right to cancel this RFP at any time. The City will not be liable for any cost/losses incurred by the Offerors throughout this process.

4.4 City’s Right to Investigate and Reject

The City may make such investigations as deemed necessary to determine the ability of the Offeror to provide the supplies and/or perform the services specified.

4.4.1 Offeror Financial Stability

The City may request Offerors demonstrate their financial stability to supply, install and support the services specified by: (1) providing financial statements, preferably audited, for the 2 (two) consecutive years immediately preceding the issuance of this RFP, and (2) providing copies of any quarterly financial statements that have been prepared since the end of the period reported by your most recent annual report.

5.0 TERMS AND CONDITIONS

5.1 RFP Amendments

The City reserves the right to amend this RFP prior to the proposals due date. All amendments and additional information will be posted to BidNet https://www.bidnetdirect.com/georgia/cityofjohnscreek and the DOAS/Georgia Procurement Registry, located at: http://ssl.doas.state.ga.us/PRSapp/PR_index.jsp . Offerors are encouraged to check these website frequently for addendums.

5.2 Proposal Withdrawal

A submitted proposal may be withdrawn prior to the due date by a written request to the Issuing Officer. A request to withdraw a proposal must be signed by an authorized individual.

5.3 Cost for Preparing Proposals

The cost for developing the proposal is the sole responsibility of the Offeror. The City will not provide reimbursement for such costs.

5.4 Contract

Prior to award, the apparent winning Offeror will be required to enter into discussions with the City to resolve any contractual differences before an award is made. These discussions are to be finalized and all exceptions resolved within one (1) week of notification. Failure to resolve contractual differences will lead to rejection of the Offeror's proposal.

The City reserves the right to modify the Contract to be consistent with the successful offer and to negotiate with the successful Offeror other modifications, provided that no such modifications affect the evaluation criteria set forth herein, or give the successful Offeror a competitive advantage.

5.5 Contract Term

The term of this contract shall be from commencement of services and until all services are rendered and all invoices postmarked by the City during said term shall be filled at the contract price. Initial term of 3 years with option for two additional one year term for a total of 5 years.

5.6 Conflict of Interest

If an Offeror has any existing client relationship that involves the City of Johns Creek, the Offeror must disclose each relationship.

5.7 Minority Business Policy

It is the policy of the City of Johns Creek that minority business enterprises shall have a fair and equal opportunity to participate in the City purchasing process. Therefore, the City of Johns Creek encourages all minority business enterprises to compete for, win, and receive contracts for goods, services, and construction.

Also, the City encourages all companies to sub-contract portions of any City contract to minority business enterprises.

The City of Johns Creek, in accordance with Title VI of the Civil Rights Act of 1964 and 78 Stat. 252, 42 USC 2000d—42 and Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, part 21, Nondiscrimination in federally assisted programs of the Department of Transportation issued pursuant to such Act, hereby notifies all bidders that it will affirmatively ensure that in any contract entered into pursuant to this advertisement, minority business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, sex, or national origin in consideration for an award.

5.8 ADA Guidelines

The City of Johns Creek adheres to the guidelines set forth in the Americans with Disabilities Act. Offerors should contact the Issuing Officer at least one day in advance if they require special arrangements when attending the Offeror's Conference, if any. The Georgia Relay Center at 1-800-255-0056 (TDD Only) or 1-800-255-0135 (Voice) will relay messages, in strict confidence, for the speech and hearing impaired.

5.9 Compliance with Laws

The Offeror will comply with all City, State of Georgia and Federal laws, rules, and regulations.

5.10 Governing Terms

This RFP expressly limits acceptance to the terms stated below. Any additional or different terms proposed by Offeror and expressed in any form (acknowledgements, confirmations, invoices, catalogs, brochures, technical data sheets, etc.), whether before or after Offeror’s receipt of this contract, shall not be binding upon City. City’s silence or acceptance of the Materials shall not constitute consent to such additional or different terms.

5.11 Indemnification

The Offeror agrees to indemnify, hold harmless and defend the City, its public officials, officers, employees, and agents from and against any and all liabilities, suits, actions, legal proceedings, claims, demands, damages, costs and expenses (including reasonable attorney’s fees) to the extent rising out of any act or omission of the Offeror, its agents, subcontractors or employees in the performance of any resultant contract except for such claims that arise from the City’s sole negligence or willful misconduct.

Notwithstanding the foregoing indemnification clause, the City may join in the defense of any claims raised against it in the sole discretion of the City. Additionally, if any claim is raised against the City, said claim(s) cannot be settled or compromised without the City’s written consent, which shall not be unreasonably withheld.

5.12 Corrections/Credits

At City’s option, Offeror shall either issue an appropriate credit or undertake, at Offeror’s sole cost, corrections to materials made necessary by reason of Offeror’s failure to follow City’s specifications or Offeror’s other breach of the terms hereof. The remedies afforded City in this paragraph are in addition to, not in lieu of, any other remedy herein or provided by law or equity.

5.13 Insurance

In any resulting contract, Offeror shall maintain the following insurance (a) comprehensive general liability, including blanket contractual, covering bodily injuries with limits of no less than $1,000,000.00 per person and $2,000,000.00 per occurrence, and property damage with limits of no less than $1,000,000.00 per occurrence;

and (b) statutory worker’s compensation insurance, including employer’s liability insurance with limits of no less than $500,000. In addition to above general coverages, Offeror shall maintain Professional Liability Insurance with limits of $2,000,000 per occurrence and in aggregate. All insurance shall be provided by an insurer(s) acceptable to City, and shall provide for thirty (30) days prior notice of cancellation to City. Upon request, Offeror shall deliver to City a certificate or policy of insurance evidencing Offeror’s compliance with this paragraph. Offeror shall abide by all terms and conditions of the insurance and shall do nothing to impair or invalidate the coverage. The certificate holder is to be issued to:

City of Johns Creek 11360 Lakefield Drive Johns Creek, GA. 30097

Additional Insurer box must be checked off on the Certificate of Insurance.

5.14 Cancellation

If resulting in a contract, City may cancel the contract at any time prior to City’s acceptance of the materials, upon giving written notice of cancellation to Offeror/contractor. In such event, in lieu of the price(s) specified on the reverse hereof, contractor shall be entitled only to payment of the direct non-cancelable costs theretofore incurred by contractor and any direct non-cancelable committed costs theretofore committed by Contractor, as directly relating to the performance of contractor’s obligations hereunder prior to such cancellation; provided, however, the total amount of such costs shall not exceed the price(s) specified on the reverse side. City shall not be responsible for any other amounts whatsoever including, without limitation, penalties.

5.15 Independent Contractor

In any resulting contract, shall at all times be acting as an independent contractor and not be considered or deemed to be an agent, employee, joint venturer or partner of City. Offeror shall have no authority to contract for or bind City in any manner.

5.16 No Assignment

In any resulting contract, Offeror may not assign this agreement or any of its rights or responsibilities hereunder, without City’s prior written consent.

5.17 Audit

In any resulting contract, upon not less than two (2) days prior notice, City shall have the right to inspect and audit all records (including, without limitation, financial records) of Offeror which pertain to Offeror’s fulfillment of this agreement and charge therefore.

5.18 Attorney’s Fees

In any resulting contract, in the event of Offeror’s breach hereunder, City, in addition to the recovery of all monies and damages owed to City, shall be entitled to recover from Offeror the reasonable attorney’s fees and court costs incurred by City as a result of such breach.

5.19 Miscellaneous

In any resulting contract, (a) no remedy of City shall be exclusive of any other remedy herein or provided by law as equity, but each shall be cumulative. (b) City’s failure or forbearance to enforce any term hereof shall not be deemed to be a waiver of such right or claim, or any right of claim hereunder. Moreover, City’s waiver of any term hereof shall not operate or be construed as a waiver of any subsequent breaches of the same or any other term. (c) If any of the terms hereof shall be determined to be invalid or unenforceable, the remaining terms shall remain in full force and effect. (d) The terms contained in this contract constitute the entire agreement between City and Offeror and supersedes all other oral or written Request for Proposals, purchase orders, invoices, agreements and communications between City and Offeror relating to the subject matter hereof.