IT-RFP# 202603058 - Records Management System_Final.docx

STATE OF MAINE

Department of Secretary of State Maine State Archives

RFP# 202603058

Records Management System

RFP Coordinator

Submitted Questions Due Date

April 16, 2026, no later than 4:00 p.m., local time

TABLE OF CONTENTS

Page

A. PURPOSE AND BACKGROUND

B. GENERAL PROVISIONS

C. ELIGIBILITY TO SUBMIT BIDS

D. CONTRACT TERM

E. NUMBER OF AWARDS

A. QUESTIONS

B. AMENDMENTS

C. PROPOSAL SUBMISSION

A. EVALUATION PROCESS – GENERAL INFORMATION

B. SCORING WEIGHTS AND PROCESS

C. SELECTION AND AWARD

D. APPEAL OF CONTRACT AWARDS

A. CONTRACT DOCUMENT

B. STANDARD STATE CONTRACT PROVISIONS

APPENDIX A – PROPOSAL COVER PAGE

APPENDIX B – RESPONSIBLE BIDDER CERTIFICATION

APPENDIX C – ELIGIBILITY CERTIFICATION FORM

APPENDIX D – QUALIFICATIONS AND EXPERIENCE FORM

APPENDIX E – SUBCONTRACTORS FORM

APPENDIX F – TECHNICAL ASSESSMENT FORM

APPENDIX G – PROPOSED SERVICES FORM

APPENDIX H – COST PROPOSAL FORM

PUBLIC NOTICE

State of Maine Department of Secretary of State Maine State Archives

RFP# 202603058

Records Management System

The State of Maine is seeking proposals from qualified vendors for the purchase of a Records Management System (RMS).

A copy of the RFP and all related documents can be obtained through Vendor Self Service (VSS): https://mevss.hostams.com/PRDVSS1X1/AltSelfService

Proposals must be submitted to the Office of State Procurement Services, via Vendor Self Service (VSS). Proposal submissions must be received no later than 4:00 p.m., local time, on May 4, 2026. Proposals will be opened the following business day.

RFP TERMS/ACRONYMS with DEFINITIONS

The following terms and acronyms, as referenced in the RFP, have the meanings indicated below:

State of Maine Department of Secretary of State Maine State Archives

RFP# 202603058

Records Management System

PART I INTRODUCTION

A. Purpose and Background

The Secretary of State, Maine State Archives (Department) is seeking an off-the-shelf cloud-based records management software system as defined in this Request for Proposals (RFP) document. This document provides instructions for submitting proposals, the procedure and criteria by which the awarded Bidder will be selected, and the contractual terms which will govern the relationship between the State of Maine (State) and the awarded Bidder.

The Department requires a solution to keep track of records retention schedules, designated records officers, transmittals of record transfers, disposition records, and ideally, inventory and storage locations of the boxes in the State Records Center warehouse. The solution must:

· Have an online tracking system for when records leave and are returned. In addition, we require an agency specific self-service web portal for agencies to accession boxes and submit reference requests.

· Be capable of ingesting and extracting metadata from electronic records and run format validation and transformation processes would be a plus.

This system is for tracking purposes only. Materials tracked may have PII in them but will not be accessed via this system.

B. General Provisions

1. From the time the RFP is issued until award notification is made, all contact with the State regarding the RFP must be made through the RFP Coordinator. No other person/State employee is empowered to make binding statements regarding the RFP. Violation of this provision may lead to disqualification from the bidding process, at the State’s discretion.

2. Issuance of the RFP does not commit the Department to issue an award or to pay expenses incurred by a Bidder in the preparation of a response to the RFP. This includes attendance at personal interviews or other meetings and software or system demonstrations, where applicable.

3. All proposals must adhere to the instructions and format requirements outlined in the RFP and all written supplements and amendments (such as the Summary of Questions and Answers), issued by the Department. Proposals must follow the format and respond to all questions and instructions specified below in the “Proposal Submission Requirements” section of the RFP.

4. Bidders will take careful note that in evaluating a proposal submitted in response to the RFP, the Department will consider materials provided in the proposal, information obtained through interviews/presentations (if any), and internal Departmental information of previous contract history with the Bidder (if any). The Department also reserves the right to consider other reliable references and publicly available information in evaluating a Bidder’s experience and capabilities.

5. The proposal must be signed by a person authorized to legally bind the Bidder and must contain a statement that the proposal and the pricing contained therein will remain valid and binding for a period of 180 days from the date and time of the bid opening.

6. The RFP and the awarded Bidder’s proposal, including all appendices or attachments, will be the basis for the final contract, as determined by the Department.

7. Following announcement of an award decision, all submissions in response to this RFP will be public records, available for public inspection pursuant to the State of Maine Freedom of Access Act (FOAA) (1 M.R.S. § 401 et seq.). State contracts and information related to contracts, including bid submissions, are generally public records per FOAA.

8. In the event that a Bidder believes any information that it submits in response to this RFP is confidential, it must mark that information accordingly and include citation to legal authority in support of the Bidder’s claim of confidentiality. In the event that the Department receives a FOAA request that includes submissions marked as confidential, the Department shall evaluate the information and any legal authority from the Bidder to determine whether the information is an exception to FOAA’s definition of public record. If the Department determines to release information that a Bidder has marked confidential, it shall provide advance notice to the Bidder to allow for them to seek legal relief.

9. The Department, at its sole discretion, reserves the right to recognize and waive minor informalities and irregularities found in proposals received in response to the RFP.

10. If awarded a contract resulting from this RFP, vendors shall be required to disclose, in writing and in accordance with applicable Maine law, any actual or potential conflicts of interest. Such disclosure must include any financial, professional, or personal relationships that could give rise to a conflict of interest or the appearance of a conflict of interest. Failure to disclose a known conflict or appearance of conflict may result in disqualification, contract termination, or other remedies as provided by law.

11. All applicable laws, whether or not herein contained, are included by this reference. It is the Bidder’s responsibility to determine the applicability and requirements of any such laws and to abide by them.

C. Eligibility Requirements

Maine State Archives has four (4) requirements that a Bidder must meet to be eligible to submit a bid in response to this RFP. These requirements, also known as Pass/Fail Requirements, are as follows:

1. The Bidder must be able to store data at geographically disparate locations within the US and in other locations not prohibited under U.S. law. The storage locations used must be assignable by AIP. It must be possible to select at least two locations within the continental US that are at least 500 miles apart.

2. All data must be encrypted in transit and at rest.

3. The Bidder agrees to make initial customizations to the code and to maintain the code over time to achieve and stay in compliance with the State of Maine’s records management laws and rules.

4. The Bidder is required to have support for this system within the State of Maine.

Bidders that meet these requirements will signify their compliance by responding affirmatively to questions 1-4 in Eligibility Requirements (Pass/Fail) of Appendix C – Eligibility Certification Form. Should a Bidder submit a bid in which one or more of these questions is answered in the negative, the Department will consider the Bidder ineligible and will not further review the bid.

D. Contract Term

The Department is seeking cost-efficient proposals to provide services, as defined in this RFP, for the anticipated contract period defined in the table below. The dates below are estimated and may be adjusted, as necessary, in order to comply with all procedural requirements associated with the RFP and the contracting process. The actual contract start date will be established by a completed and approved contract.

Contract Renewal: Following the initial term of the contract, the Department may opt to renew the contract for two (2) renewal periods, as shown in the table below, and subject to continued availability of funding and satisfactory performance.

The term of the anticipated contract, resulting from the RFP, is defined as follows:

E. Number of Awards

The Department anticipates making one (1) award as a result of this RFP process.

PART II SCOPE OF SERVICES TO BE PROVIDED

The State is seeking proposals from qualified bidders to provide a comprehensive, secure, web-based, off-the-shelf cloud-based records management software solution to replace the current storage system with a solution with enhanced search capability, real-time analytics, and streamlined access to both digital and physical records. The ideal solution will support organizational efficiency, enable quick search and retrieval, and maintain high standards of security and compliance.

The scope of services includes, but is not limited to, the following components:

A. Technical Requirements

ACCESSIBILITY: All IT products must be accessible to persons with disabilities and must comply with State Accessibility Policy and Standards and the Americans with Disabilities Act. All IT applications must comply with the Digital Accessibility Policy (https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/DigitalAccessibilityPolicy.pdf). In addition, all IT applications and content delivered through web browsers must comply with the State Web Standards (https://www.maine.gov/oit/sites/maine.gov.oit/files/inline-files/WebStandards.pdf)

STATE IT POLICIES: All IT products and services delivered must conform to the State IT Policies, Standards, and Procedures (https://www.maine.gov/oit/policies-standards) effective at the time this Contract is executed.

B. Functional Requirements

1. Provide an off-the-shelf cloud-based records management software system.

2. Ensure the solution is compatible with major operating systems and browsers.

3. Secure storage and structured categorization of both digital and physical documents.

4. Advanced search functionality, including Metadata-based search Full-text indexing, Custom tagging and categorization, Search by date, document type, content, and location metadata OCR (Optical Character Recognition) and AI-based search capabilities for scanned documents

5. Ability to add new assets on demand.

6. Seamless integration with existing membership databases and CRM platforms.

7. Support for API connections to other enterprise systems

8. Capability to integrate with data visualization tools for reporting.

9. Compatibility with cloud-based collaboration tools (Microsoft 365, SharePoint, Dropbox, etc.).

10. Security & Compliance

11. Role-based access control and user multi factor authentication (MFA).

12. Data encryption at rest and in transit.

13. Audit trails and reporting for compliance verification.

14. Disaster Recovery & Backup (redundant storage, recovery planning) See section D(e) below.

15. Automated compliance checks to ensure data integrity and regulatory adherence.

C. Project Objectives

1. Enable secure creation, ingestion, and assignment of records retention schedules. Track retention schedules and manage automated alerts.

2. User account and permissions management.

3. Manage records transmittals and transfers.

4. Facilitate records disposition.

5. Track inventory and warehouse storage locations.

6. Transition from the existing service provider to a more efficient and technologically advanced system that can meet the current and future organization's storage needs.

7. Ensure seamless access to both digital and physical documents with enhanced searchability and indexing.

8. Implement real-time analytics for quick decision-making and data retrieval.

9. Achieve a fully compliant, secure, and scalable solution that supports regulatory obligations.

10. Optimize organizational workflows for membership data, governance documents, and archived records.

11. Comprehensive deployment and migration plan from the current system.

12. Perform migration from existing records management system to new solution.

13. Staff and volunteer training and detailed user documentation.

14. Ongoing support and maintenance services.

15. Integration roadmap for membership databases and CRM platform.

16. Custom reporting templates and search configuration tools.

17. Real-time analytics dashboard and data visualization components.

18. 24/7 Support Availability

19. Service-Level Agreements (SLAs) (uptime guarantees, response times)

20. Dedicated Project Manager

21. Ongoing Training Opportunities

C. Record Creation & Classification

1. Support for physical and digital records. The comprehensive management, storage, protection, and retrieval systems used to handle the Department’s information, regardless of whether it exists as tangible paper/microfilm or electronic data. This approach is often structured as a hybrid records system, which integrates both formats to ensure compliance, accessibility, and efficient workflow. This system is just for tracking purposes, materials tracked may have PII in them but will not be accessed via this system.

a. The awarded bidder must offer comprehensive training and onboarding to help users understand how to navigate and effectively utilize the software. User Support – including size of internal team, hours of service, average and guaranteed response time, ticketing system used, escalation process, etc.

b. Access to customer support teams for assistance with any issues that may arise during the implementation and use of the software.

c. Forums and online communities where users can share experiences and seek advice from other users.

d. Bidders must offer ongoing support to assist users with regular updates, version releases, security patches and troubleshooting.

e. Disaster Planning and Recovery – describe your backup plan in the event of a major/natural disaster so the system does not shut down. Any plan must confirm with SOM OIT policy BackUpRecoveryProcedures.docx

f. BusinessContinuityDisasterRecoveryPolicy.docx

g. Confirm Bidder’s support aligns with the software compliance features to ensure legal and regulatory adherence.

h. Provide detailed guides and manuals that provide step-by-step instructions on how to use the software. Help Topics – online and searchable database

i. Offer guidance on how to integrate the software with other systems or services to streamline workflows.

j. Automated data classification upon upload.

k. Intelligent sorting based on predefined categories and metadata.

l. Batch indexing capabilities for physical-to-digital conversions.

m. Machine learning-based tagging for dynamic data categorization.

n. Retention & Lifecycle Management (automated archiving, deletion policies)

2. Records Retention Schedule (Sample)

3. Physical Records: Paper files, printed material, manuals,

4. Digital Records: Emails, PDFs, scanned documents, databases, shared drive files, cloud- based records, and backups, archived folders.

5. Records must be retained for the minimum period required by law, regulation, or business Need. See https://www.maine.gov/sos/archives/records-management/state-government-agency-policies-and-guidance/state-agency-record-schedules for state agency schedules.

22. Digital records are considered official records when they serve as the primary source.

23. The ability to clearly mark/categorize records subject to legal holds that must not be destroyed.

24. Provide Template-driven record creation aligned with agency requirements.

25. New data records are generated based on a pre-defined, standardized template, allowing for the automatic population of default fields and consistent data structure. It is used to streamline data entry, reduce manual effort, and ensure accuracy across various systems. Can provide box labels as example.

a. Container number

b. 8-digit location

c. Umbrella

d. Unit

e. Subunit

f. Series Title

g. File name

h. Dispo date

i. Agency 3

j. Box #

k. TR #

l. Vacant location

D. Retention Schedule Management

1. Ensure automated tracking of retention periods based on record type.

2. Enable notifications for upcoming reviews or disposition.

3. Ensure customizable retention policies per regulatory or Department requirements.

E. Role Designation & Access Control

1. Manage access and permissions for users including records officers, access card holders, etc.

F. Transmittal & Transfer Processing

1. Create and manage transmittal forms.

2. Track transfers between departments or storage locations.

3. Provide support for barcode creation and support legacy existing barcodes with optional RFID support.

4. Record Circulation Tracking capabilities. Use circulation tracking to manage check-in/check-out requests, including tracking the status of requests, maintaining a history of custody changes, and generating and emailing overdue notices.

G. Records Disposition

1. Workflow for approval and documentation of record disposition, destruction or transfer to archives of variable amounts of records.

2. Audit trails of all disposition actions.

3. Legal hold capability that flags records and prevents destruction.

H. Inventory & Warehouse Location Tracking in all three locations

1. Track box-level and catalog/volumes inventory.

2. Assign and monitor warehouse bay/shelf/volume locations.

3. Real-time analysis of record access, modification, and retrieval.

4. Dashboards for monitoring document activity, usage patterns, and compliance checks.

5. Automated reporting on document lifecycle, including access frequency and archival status.

6. Provide a customizable management dashboard for system users and system administrators to monitor and generate reports on repository activities which may include file formats and sizes, content acquisition activities, number of ingests and associated performance of these processes, collections statistics storage usage and distribution.

7. Provide integrations with external reporting or analytics tools.

8. Distinguish which warehouse location 8-digit location or digital record

i. reporting

ii. metrics

iii. new inventory

iv. recently disposed of records

v. marked for litigation

I. Security

The system must provide a robust security system that aligns with the State of Maine IT and SOS IS security measures, supports a mechanism internally to associate Identity Provider (IDP) authenticated users with roles as configured via the Administrative User Interface. Specific requirements for security include:

a. Must integrate with SOM Active Directory via OpenID Connect or SAML protocols, or an equivalent SOS IDP.

b. Federation must support SAML 2.0 and/or OpenID Connect (OIDC).

c. The system must enforce Role-Based Access Control (RBAC).

d. Authenticated users shall be mapped to roles via administrative configuration.

e. Multi-factor authentication (MFA) shall be supported where required.

f. Session timeout and reauthentication must comply with State standards.

g. All data ingested or added into the System and all usage data are under the custodianship of the Department. With the exception of access made available to authorized individuals by the Department, all data within the system in any form is private and confidential. It must be kept secure, protected from unauthorized access, and not be sold, disclosed, nor used by the awarded Bidder, its agents, affiliates, partners or third parties of any kind except as required by Federal or Maine State law.

h. State data must not be used for AI model training or analytics beyond contract scope. Upon termination, all State data shall be returned and securely destroyed in accordance with NIST media sanitization standards.

i. All data must be encrypted in transit and at rest. All data in transit must be encrypted using TLS 1.2 or higher (TLS 1.3 preferred). All data at rest, including backups and logs, must be encrypted using AES-256 or equivalent strength.

j. Cryptographic modules shall be FIPS-validated.

k. Encryption keys must be managed through secure KMS or HSM solutions with access logging and rotation policies.

l. The System shall log authentication events, role changes, administrative actions, data access, and configuration changes.

m. Logs must be time-synchronized and protected against alteration or deletion.

n. Logs must be retained according to State retention policies.

o. Logs must be exportable to State-approved SIEM systems upon request.

p. Records from all Maine State Government Executive Branch Departments and potentially other branches will reside within the System. Cloud service providers that receive, process, store, or transmit data types categorized as TLP: Amber or TLP: Red, which include federally protected data, must have one of the following, or combination thereof, acceptable third-party audit reports for SaaS and hosting cloud environment:

i. Maintain a Federal Risk and Authorization Management Program (FedRAMP) certification for the appropriate data impact level (e.g., Moderate, High);

ii. Maintain an International Organization for Standardization/International Electrotechnical Commission (ISO/IEC) 27001 certification; or,

iii. Provide annually a Service Organization Control (SOC) 2 Type II audit report with the appropriate trust principles.

Also, in conjunction with the awarded Bidder, the Department may engage other third parties or entities to periodically conduct third party security reviews and penetration tests against the hosting environment.

q. All software on systems hosting state information must be fully supported by the original product vendor, an active open-source development community, or an accountable other-party that provides responsive support; and the systems must be current with all security patches.

r. All software components must be vendor-supported or actively maintained.

s. No end-of-life software shall be used.

t. Security vulnerabilities must be remediated within defined service levels.

u. Open-source components must be monitored for security advisories.

PART III KEY RFP EVENTS

A. Vendor Self Service System (VSS)

The Office of State Procurement Services Vendor Self Service System website is found at the link below: https://www.maine.gov/dafs/bbm/procurementservices/vendors/vendor-self-service-system A copy of the RFP and all associated documents will be published in VSS.

Only documents published in VSS will be considered binding.

Any interested party may view open solicitations in VSS using the Public Access feature.

Vendors must have an active User ID and password in VSS to submit questions and respond to solicitations, including this RFP.

Vendor registration instructions and User Guide may be found at the link above, which include steps for searching for an existing account/User ID, or registering for a new account/User ID.

Vendors interested in responding to a solicitation are encouraged to obtain a User ID and password for VSS as soon as possible.

Vendors must have an active Vendor Code (VC or VS) to contract with the department.

B. Questions

1. General Instructions: It is the responsibility of all Bidders and other interested parties to examine the entire RFP and to seek clarification, in writing, if they do not understand any information or instructions.

a. Questions must be submitted in VSS as soon as possible but no later than the date and time published in VSS.

b. Questions should be clearly stated and reference the applicable section and/or page number of the RFP.

c. The Department assumes no liability for assuring accurate/complete/on time transmission and receipt.

2. Question & Answer Summary: Responses to all questions will be compiled in writing and published in VSS no later than seven (7) calendar days prior to the Proposal Submission Deadline. It is the responsibility of all interested parties to go to VSS to obtain a copy of the Question & Answer Summary. Only those answers issued in writing in VSS will be considered binding.

C. Amendments

All amendments released in regard to the RFP will be published in VSS. It is the responsibility of all interested parties to go to VSS to obtain amendments. Only those amendments published in VSS are considered binding.

D. Proposal Submission

1. Proposals Due

a. Proposal submissions must be received no later than the Proposal Submission Deadline (closing date) published in VSS.

b. Any proposal submissions or any additional or revised proposal files received after the Proposal Submission Deadline will be rejected without exception.

2. Delivery Instructions

a. Proposal submissions must be submitted to the Office of State Procurement Services via VSS.

b. Only proposal submissions received via VSS will be considered. The Department assumes no liability for assuring accurate/complete receipt.

c. Submissions containing links to file sharing sites or online file repositories will not be accepted as submissions. Only proposal submissions that have the actual requested files attached will be accepted.

d. Encrypted submissions received which require opening attachments and logging into a proprietary system will not be accepted. Bidders should work with their Information Technology team to ensure that the proposal submission will not be encrypted due to any security settings.

e. File size limits are 15MB per file. Bidders may separate their submissions into multiple files, as necessary, due to file size concerns.

3. Submission Format

a. Bidders must submit multiple files, with each file named and containing the required information as defined below.

File 1 [Bidder’s Name] – Preliminary Information PDF format preferred, and must include:

· Appendix A (Proposal Cover Page)

· Appendix B (Responsible Bidder Certification)

· And all required eligibility documentation stated in PART IV, Section I.

File 2 [Bidder’s Name] – Eligibility Certification Form PDF format preferred, and must include:

· Appendix C (Eligibility Certification Form)

· And all required information and attachments stated in PART IV, Section II.

File 3 [Bidder’s Name] – Organization Qualifications and Experience PDF format preferred, and must include:

· Appendix D (Organization Qualifications and Experience Form)

· Appendix E (Subcontractors Form)

· And all required information and attachments stated in PART IV, Section III.

File 4 [Bidder’s Name] – Proposed Services PDF format preferred, and must include:

· Appendix F (Technical Assessment Form)

· Appendix G (Proposed Services Form)

· And all required information and attachments stated in PART IV, Section IV.

File 5 [Bidder’s Name] – Cost Proposal PDF format preferred, and must include:

· Appendix H (Cost Proposal Form)

PART IV PROPOSAL SUBMISSION REQUIREMENTS

This section contains instructions for Bidders to use in preparing their proposals. The Department seeks detailed yet succinct responses that demonstrate the Bidder’s qualifications, experience, and ability to perform the requirements specified throughout the RFP.

Bidders’ proposals must follow the outline used below, including the numbering, section, and sub-section headings. Failure to use the outline specified in PART IV, or failure to respond to all questions and instructions throughout the RFP, may result in the proposal being disqualified as non-responsive or receiving a reduced score. The Department, and its evaluation team, has sole discretion to determine whether a variance from the RFP specifications will result either in disqualification or reduction in scoring of a proposal. Rephrasing of the content provided in the RFP will, at best, be considered minimally responsive.

Bidders are not to provide additional attachments beyond those specified in the RFP for the purpose of extending their response. Additional materials not requested will not be considered part of the proposal and will not be evaluated. Bidders must include any forms provided in the submission package or reproduce those forms as closely as possible. All information must be presented in the same order and format as described in the RFP.

Proposal Format and Contents

Section I Preliminary Information (File #1)

1. Proposal Cover Page Bidders must complete Appendix A (Proposal Cover Page). It is critical that the cover page show the specific information requested, including Bidder address(es) and other details listed. The Proposal Cover Page must be dated and signed by a person authorized to enter into contracts on behalf of the Bidder.

2. Responsible Bidder Certification Bidders must complete Appendix B (Responsible Bidder Certification). The Responsible Bidder Certification must be dated and signed by a person authorized to enter into contracts on behalf of the Bidder.

3. Eligibility Requirements (File #2) Bidders must provide documentation to demonstrate meeting eligibility requirements stated in PART I, C. of the RFP. This includes:

1. The Bidder must be able to store data at geographically disparate locations within the US and in other locations not prohibited under U.S. law. The storage locations used must be assignable by AIP. It must be possible to select at least two locations within the continental US that are at least 500 miles apart.

2. All data must be encrypted in transit and at rest.

3. The Bidder agrees to make initial customizations to the code and to maintain the code over time to achieve and stay in compliance with the State of Maine’s records management laws and rules.

4. The Bidder is required to have support for this system within the State of Maine.

Bidders that meet these requirements will signify their compliance by responding affirmatively to questions 1-4 in Eligibility Requirements (Pass/Fail) of Appendix C – Eligibility Certification Form. Should a Bidder submit a bid in which one or more of these questions is answered in the negative, the Department will consider the Bidder ineligible and will not further review the bid.

Section III Organization Qualifications and Experience / Subcontractors Form (File #3)

1. Overview of the Organization Bidders must complete Appendix D (Qualifications and Experience Form) describing their qualifications and skills to provide the requested services in the RFP. Bidders must include three (3) examples of projects which demonstrate their experience and expertise in performing these services, as well as highlighting the Bidder’s stated qualifications and skills.

2. Subcontractors Bidders must complete Appendix E (Subcontractors Form) to provide a list that specifies the name, address, phone number, contact person, and a brief description of organizational capacity and qualifications for any subcontractors to be used. If no subcontractors will be used, indicate as such on the form.

3. Organizational Chart Bidders must provide an organizational chart. The organizational chart must include the project being proposed. Each position must be identified by position title and corresponding to the personnel job descriptions.

4. Litigation Bidders must attach a list of all current litigation in which the Bidder is named and a list of all closed cases that have closed within the past five (5) years in which the Bidder paid the claimant either as part of a settlement or by decree. For each, list the entity bringing suit, the complaint, the accusation, amount, and outcome.

5. Licensure/Certification Bidders may provide documentation of any applicable licensure/certification or specific credentials that are related to providing the proposed services of the RFP. This documentation may include:

6. Certificate of Insurance Bidders must provide a certificate of insurance on a standard ACORD form (or the equivalent) evidencing the Bidder’s general liability, professional liability and any other relevant liability insurance policies that might be associated with the proposed services.

Section IV Proposed Services (File #4)

1. Technical Assessment Bidders must complete Appendix F (Technical Assessment Form) to describe the Bidder’s capability to meet the stated requirements and policies identified in this RFP.

2. Services to be Provided Bidders must complete Appendix G (Proposed Services Form) to discuss the Scope of Services referenced above in Part II of the RFP and what the Bidder will offer, including a description of the methods and resources the Bidder will use and how each task involved will be accomplished. Bidders must also describe how the expectations and/or desired outcomes as a result of these services will be achieved. If subcontractors are involved, Bidders must clearly identify the work each will perform.

3. Implementation - Work Plan Bidders must provide a realistic work plan for the implementation of the program through the first contract period. The work plan must be displayed in a timeline chart, and concisely describe each program development and implementation task, the month it will be carried out, and the person or position responsible for each task. If applicable, Bidders must identify all tasks to be delegated to subcontractors.

Section IV Cost Proposal (File #5)

1. Cost Proposal Form Bidders must complete Appendix H (Cost Proposal Form).

2. General Instructions

a. The cost proposal must include the costs necessary for the Bidder to fully comply with the contract terms, conditions, and RFP requirements.

b. No costs related to the preparation of the proposal for the RFP, or to the negotiation of the contract with the Department, may be included in the proposal. Only costs to be incurred after the contract effective date that are specifically related to the implementation or operation of contracted services may be included.

PART V PROPOSAL EVALUATION AND SELECTION

Evaluation of the submitted proposals will be accomplished as follows:

A. Evaluation Process – General Information

1. An evaluation team, composed of qualified reviewers, will judge the merits of the proposals received in accordance with the criteria defined in the RFP.

2. Officials responsible for making decisions on the award selection will ensure that the selection process accords equal opportunity and appropriate consideration to all who are capable of meeting the specifications. The goals of the evaluation process are to ensure fairness and objectivity in review of the proposals and to ensure that the contract is awarded to the Bidder whose proposal provides the best value to the State of Maine.

3. The Department reserves the right to communicate and/or schedule interviews/presentations with Bidders, if needed, to obtain clarification of information contained in the proposals received. The Department may revise the scores assigned in the initial evaluation to reflect those communications and/or interviews/presentations.

4. Changes to proposals, including updating or adding information, will not be permitted during any portion of the evaluation process. Therefore, Bidders must submit proposals that present their rates and other requested information as clearly and completely as possible.

B. Scoring Weights and Process

1. Scoring Weights: Proposal scores will be based on a 100-point scale and will measure the degree to which each proposal meets the following criteria. The proposal materials that will be evaluated under each section below are identified in Part V of the RFP.

2. Scoring Process: For proposals that demonstrate meeting the eligibility requirements in Section I, if applicable, the evaluation team will use a consensus approach to evaluate and score Sections II & III above. Members of the evaluation team will not score those sections individually but, instead, will arrive at a consensus as to assignment of points for each of those sections. Section IV, the Cost Proposal, will be scored as described below.

3. Scoring the Cost Proposal: The total cost proposed for conducting all the functions specified in the RFP will be assigned a score according to a mathematical formula. The lowest bid will be awarded 25 points. Proposals with higher bid values will be awarded proportionately fewer points calculated in comparison with the lowest bid.

The scoring formula is:

(Lowest submitted cost proposal / Cost of proposal being scored) x 25 points (Cost Proposal section above) = pro-rated score

No Best and Final Offers: The State of Maine will not seek or accept a best and final offer (BAFO) from any Bidder in this procurement process. All Bidders are expected to provide their best value pricing with the submission of their proposal.

C. Negotiations

1. The Department reserves the right to negotiate with the awarded Bidder(s) to finalize a contract. Such negotiations may not significantly vary the content, nature, or requirements of the proposal or the Department’s Request for Proposal to an extent that may affect the price of goods or services requested.

2. The Department reserves the right to terminate contract negotiations with an awarded Bidder who submits a proposed contract significantly different from the proposal they submitted in response to the advertised RFP.

3. In the event that an acceptable contract cannot be negotiated with the highest ranked Bidder, the Department may withdraw its award and negotiate with the next-highest ranked Bidder, and so on, until an acceptable contract has been finalized. Alternatively, the Department may cancel the RFP, at its sole discretion.

D. Selection and Award

1. The final decision regarding the award of the contract will be made by representatives of the Department subject to approval by the State Procurement Review Committee.

2. Notification of conditional award selection or non-selection will be made in writing by the Department.

3. Issuance of the RFP in no way constitutes a commitment by the State of Maine to award a contract, to pay costs incurred in the preparation of a response to the RFP, or to pay costs incurred in procuring or contracting for services, supplies, physical space, personnel or any other costs incurred by the Bidder.

4. The Department reserves the right to reject any and all proposals or to make multiple awards.

E. Appeal of Contract Awards

Any person aggrieved by the award decision that results from the RFP may appeal the decision to the Director of the Bureau of General Services in the manner prescribed in 5 M.R.S.A. § 1825-E and 18-554 Code of Maine Rules Chapter 120. The appeal must be in writing and filed with the Director of the Bureau of General Services, 9 State House Station, Augusta, Maine, 04333-0009 within fifteen (15) calendar days of receipt of notification of conditional contract award.

PART VI CONTRACT ADMINISTRATION AND CONDITIONS

A. Contract Document

1. The awarded Bidder will be required to execute an IT Service Contract (IT-SC) with Confidentiality and Non-Disclosure Agreement (NDA) including appropriate riders as determined by the issuing department. Bidders shall carefully review the IT-SC.

All exceptions will be negotiated between the awarded Bidder(s) and the State. The State will not accept any proposed exceptions as part of this RFP process. The State is not obligated to accept, negotiate, or compromise of any proposed exceptions.

The complete set of standard State of Maine Service Contract documents, along with other forms and contract documents commonly used by the State, may be found on the Office of State Procurement Services’ website at the following link: Office of .

2. Allocation of funds is final upon successful negotiation and execution of the contract, subject to the review and approval of the State Procurement Review Committee. Contracts are not considered fully executed and valid until approved by the State Procurement Review Committee and funds are encumbered. No contract will be approved based on an RFP which has an effective date less than fourteen (14) calendar days after award notification to Bidders. (Referenced in the regulations of the Department of Administrative and Financial Services, Chapter 110, § 3(B)(i).)

This provision means that a contract cannot be effective until at least fourteen (14) calendar days after award notification.

3. The State recognizes that the actual contract effective date depends upon completion of the RFP process, date of formal award notification, length of contract negotiation, and preparation and approval by the State Procurement Review Committee. Any appeals to the Department’s award decision(s) may further postpone the actual contract effective date, depending upon the outcome. The contract effective date listed in the RFP may need to be adjusted, if necessary, to comply with mandated requirements.

4. In providing services and performing under the contract, the awarded Bidder must act as an independent contractor and not as an agent of the State of Maine.

B. Standard State Contract Provisions

1. Contract Administration Following the award, a Contract Administrator from the Department will be appointed to assist with the development and administration of the contract and to act as administrator during the entire contract period. Department staff will be available after the award to consult with the awarded Bidder in the finalization of the contract.

2. Payments and Other Provisions The State anticipates paying the awarded Bidder on the basis of net 30 payment terms, upon the receipt of an accurate and acceptable invoice. An invoice will be considered accurate and acceptable if it contains a reference to the State of Maine contract number, contains correct pricing information relative to the contract, and provides any required supporting documents, as applicable, and any other specific and agreed-upon requirements listed within the contract that results from the RFP.

PART VII LIST OF RFP APPENDICES AND RELATED DOCUMENTS

Appendix A – Proposal Cover Page

Appendix B – Responsible Bidder Certification

Appendix C – Eligibility Certification Form

Appendix D – Qualifications and Experience Form

Appendix E – Subcontractors Form

Appendix F – Technical Assessment Form

Appendix G – Proposed Services Form

Appendix H – Cost Proposal Form

APPENDIX A

Department of Secretary of State Maine State Archives

PROPOSAL COVER PAGE

RFP# 202603058

Bidder Name:

Chief Executive - Name/Title:

Tel:

E-mail:

Headquarters Street Address:

Headquarters City/State/Zip:

(Provide information requested below if different from above)

Lead Point of Contact for Proposal - Name/Title:

Tel:

E-mail:

Headquarters Street Address:

Headquarters City/State/Zip:

· This proposal and the pricing structure contained herein will remain firm for a period of 180 days from the date and time of the bid opening.

· No personnel currently employed by the Department participated, either directly or indirectly, in any activities relating to the preparation of the Bidder’s proposal.

· No attempt has been made, or will be made, by the Bidder to induce any other person or firm to submit or not to submit a proposal.

· The above-named organization is the legal entity entering into the resulting contract with the Department if they are awarded the contract.

· The undersigned is authorized to enter contractual obligations on behalf of the above-named organization.

To the best of my knowledge, all information provided in the enclosed proposal, both programmatic and financial, is complete and accurate at the time of submission.

Name (Print):

Title:

APPENDIX B

Department of Secretary of State Maine State Archives

RESPONSIBLE BIDDER CERTIFICATION

RFP# 202603058

Bidder Name:

By signing this document, I certify to the best of my knowledge and belief that the aforementioned organization, its principals and any subcontractors named in this proposal:

a. Are not presently debarred, suspended, proposed for debarment, and declared ineligible or voluntarily excluded from bidding or working on contracts issued by any governmental agency.

b. Have not within three years of submitting the proposal for this contract been convicted of or had a civil judgment rendered against them for:

i. Fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a federal, state, or local government transaction or contract.

ii. Violating Federal or State antitrust statutes or committing embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property.

c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or Local) with commission of any of the offenses enumerated in paragraph (b) of this certification.

d. Have not within a three (3) year period preceding this proposal had one or more federal, state, or local government transactions terminated for cause or default.

e. Have not entered into a prior understanding, agreement, or connection with any corporation, firm, or person submitting a response for the same materials, supplies, equipment, or services and this proposal is in all respects fair and without collusion or fraud. The above-mentioned entities understand and agree that collusive bidding is a violation of state and federal law and can result in fines, prison sentences, and civil damage awards.

f. Is not a foreign adversary business entity (https://www.maine.gov/oit/prohibited-technologies).

g. Is not on the list of prohibited companies (https://www.maine.gov/oit/prohibited-technologies) or does not obtain or purchase any information or communications technology or services included on the list of prohibited information and communications technology and services https://www.maine.gov/oit/prohibited-technologies (Title 5 §2030-B).

Name (Print):

Title:

Authorized Signature:

Date:

APPENDIX C

Department of Secretary of State – Maine State Archives

ELIGIBILITY CERTIFICATION FORM

RFP# 202603058

Bidder’s Organization Name:

Eligibility Certification

1. The Bidder must be able to store data at…