Cherelle Parker, Mayor

Jacqueline Dunn, City Treasurer

The City of Philadelphia

REQUEST FOR PROPOSALS FOR

MUNICIPAL ADVISORY SERVICES

WORK SUMMARY:

The Office of the City Treasurer ("CTO") is requesting proposals from qualified institutions to serve as Municipal Advisors ("MAs") for the City of Philadelphia (the "City"). The City intends to select a pool of eligible MAs who will provide financial guidance, fiduciary, and advisory services as needed.

PROPOSED COMPENSATION:

Prospective Applicants are required to submit a detailed fee structure proposal that reflects the requested services they are able to provide. In the submitted proposal, Applicants should confirm they will not propose increases in the proposed fee structure for the next five years.

RFP ISSUE DATE:

November 3, 2026

RESPONSE DEADLINE:

No later than 5:00 PM Philadelphia Time on December 14, 2026. To be considered, a complete proposal must be submitted by this time. In-process proposals will be deemed incomplete.

OFFICIAL RFP CONTACT:

Edna Abrah-Asiedu

Assistant City Treasurer

Edna.Abrah-Asiedu@phila.gov

SUBMISSION REQUIREMENTS:

All proposals must be submitted electronically to the correct contract opportunity established for this RFP (identified by opportunity number) through eContract Philly at https://philawx.phila.gov/econtract/ mailto:Edna.Abrah-Asiedu@phila.gov

TABLE OF CONTENTS

1. INTRODUCTION

1.1 Values

1.2 Contracting with the City of Philadelphia

1.3 Contacting Us

1.4 Feedback about this RFP

2. THE OPPORTUNITY

2.1 Summary

2.2 Background

2.3 RFP Schedule

2.4 Outcome Goals

2.5 Award Terms

3. SCOPE OF WORK

3.1 Description of Services

3.2 Performance Metrics, Contract Management & Payments

4. HOW TO SUBMIT YOUR RESPONSE

4.1 What You Must Include in Your Proposal

4.2 How To Submit Your Application

4.3 Proposal Binding

5. HOW WE CHOOSE

6. GENERAL RULES GOVERNING RFPs/PROPOSALS

6.1 Health Insurance Portability and Accountability Act (HIPAA)

6.2 Special Rules Applicable to Joint Ventures

6.3 Mandatory Political Contribution Disclosures and Penalties

6.4 Political Contribution Limits for City Contractors

6.5 City Employee Conflict Provision

6.6 Reservation of Rights

6.7 Confidentiality and Public Disclosure

APPENDICES

Appendix A – General Provisions

Appendix B – Small & Local Business Plan

Appendix C - City of Philadelphia Tax and Regulatory Status and Clearance Statement .. 27

1. INTRODUCTION

1.1 Values

The City of Philadelphia is committed to ensuring all businesses have access to contracting opportunities with the City and seeks to promote the economic development of small and local businesses.

1.2 Contracting with the City of Philadelphia

Consistent with our values, the City requires that all contractors and subcontractors comply with all applicable laws, regulations, and policies, including:

IF ELIGIBLE, YOU ARE ENCOURAGED TO:

✓ Apply for Local Business Entity (LBE) certification with City’s Procurement Department. If you provide your LBE status and/or promise to have a Local Impact, this must be used by the contracting department as a positive factor in evaluation and potential selection.

Additionally, some opportunities are exclusively reserved for LBE certified businesses.

✓ Register as a certified Small Business Enterprise (SBE) with the City’s Office of Economic

Opportunity (OEO) and be added to the OEO’s registry of certified businesses. The City and prime contractors use this registry to find and solicit small business vendors for contracts and subcontracts.

✓ Get Paid Faster! Enroll on the Vendor Payment Portal to effortlessly submit electronic invoices and monitor payment progress 24/7. The process of submitting invoices through the Vendor Payment Portal is user-friendly, efficient, and free.

LBEs and SBEs are encouraged to respond directly to this RFP.

CITY BUSINESS

LICENSES AND

PERMIT

REQUIREMENTS

PAYMENT OF CITY

BUSINESS TAXES

OR OTHER

INDEBTEDNESS

OWED TO THE CITY

CHAPTER 17-1300.

PHILADELPHIA 21ST

CENTURY MINIMUM

WAGE AND BENEFITS

STANDARD

1 2 3 4

COMPLIANCE WITH

OEO’S SMALL &

LOCAL BUSINESS

PLAN

https://www.phila.gov/services/business-self-employment/bidding-on-a-city-contract/get-certified-as-a-local-business-entity/ file:///C:/Users/Jacqueline.dunn/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/0ILFGUKP/phila.sbecompliance.com https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fvendor-payments.phila.gov%2Flogin&data=05%7C01%7CMihir.Mulloth%40phila.gov%7Cd3a519484f624cce6fc708db9fe39835%7C2046864f68ea497daf34a6629a6cd700%7C0%7C0%7C638279572083787221%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=EktpSPaS%2B8p3KxRyI13X2Icwkl9aYLDJ0KfEzw1NsTI%3D&reserved=0 https://business.phila.gov/ https://business.phila.gov/ https://business.phila.gov/ https://business.phila.gov/ https://www.phila.gov/services/business-self-employment/business-taxes/ https://www.phila.gov/services/business-self-employment/business-taxes/ https://www.phila.gov/services/business-self-employment/business-taxes/ https://www.phila.gov/services/business-self-employment/business-taxes/ https://www.phila.gov/services/business-self-employment/business-taxes/ https://www.phila.gov/services/business-self-employment/business-taxes/ https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296070 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296070 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296070 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296070 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296070 https://www.phila.gov/documents/executive-order-no-6-25-small-and-local-businesses-on-city-contracts/ https://www.phila.gov/documents/executive-order-no-6-25-small-and-local-businesses-on-city-contracts/ https://www.phila.gov/documents/executive-order-no-6-25-small-and-local-businesses-on-city-contracts/ https://www.phila.gov/documents/executive-order-no-6-25-small-and-local-businesses-on-city-contracts/

Please closely review the City’s contract attachments, including the standard terms and conditions found in the General Provisions under Appendix A of this RFP. Any contract resulting from this RFP will incorporate and be governed by these documents.

1.3 Contacting Us

For technical assistance with the eContract Philly website, email eContractPhilly@phila.gov or call

(215) 686-4914.

• Please note the phone number provided is not a live helpline.

• Allow for two (2) business days prior to any application deadline to receive a response to your request. The City will not extend a deadline even if it has not responded to your question or request.

• All other questions regarding the RFP, including substantive questions, must be submitted in accordance with Section 2.3. Applicants are otherwise prohibited from contacting City representatives concerning this RFP or related matters.

1.4 Feedback about this RFP

The City recently updated the design of the RFP we use for Professional Services and would like feedback from vendors. If you have feedback you would like to share, please complete this voluntary survey. Thank you.

mailto:eContractPhilly@phila.gov https://phila.formstack.com/forms/updated_rfp_feedback_survey https://phila.formstack.com/forms/updated_rfp_feedback_survey

2. THE OPPORTUNITY

2.1 Summary

The Office of the City Treasurer ("CTO") is requesting proposals from qualified institutions to serve as Municipal Advisors ("MAs") for the City of Philadelphia and its various credits (the "City"). The

City’s credits include the City of Philadelphia’s General Obligation Bonds (“GO”), Tax and Revenue

Anticipation Notes (“TRAN”), and Other Tax-supported Bonds (“OTB”) (collectively “GO Bonds”), the

Philadelphia Water Department’s Water and Wastewater Revenue Bonds (“Water Bonds”), Philadelphia Gas Works (“PGW”) Gas Revenue Bonds, and the Department of Aviation (“PHL”) Airport

Revenue Bonds, Notes/Commercial Paper (“Notes”), and Letters of Credit transactions (“LOC”). Other areas of municipal finance may be supported for each credit on an as-needed basis.

Qualified firms must be registered with the Municipal Securities Rulemaking Board (“MSRB”) and

Securities and Exchange Commission ("SEC") as required by the Dodd-Frank Wall Street Reform and

Consumer Protection Act.

Firms responding to this Request for Proposals (“RFP”) may submit proposals for one, some, or all of the above credits. If the proposing firm is also a broker/dealer, the City will require that the firm’s financial advisory practice be completely separated from the brokerage and selection as an MA will preclude that firm from acting as underwriter on any bond transactions for the credit(s) on which the firm is selected as MA.

2.2 Background

CTO Overview

CTO safeguards City funds, serves as the disbursement agent for all City-related payments, and invests those funds that are in excess of the amount needed to meet daily cash requirements. The

CTO also manages new and outstanding debt in accordance with the City’s debt management policies, and works to improve and maintain the City’s credit ratings.

Project Background

CTO is seeking the services of experienced MAs to act as trusted financial advisors and fiduciaries for the City helping to navigate complex debt issuances, capital planning and municipal securities.

Problem Statement

CTO is seeking the services of experienced MAs to act as trusted financial advisors and fiduciaries for the City helping to navigate complex debt issuances, capital planning and municipal securities.

For FY28-FY32, the City anticipates issuing new money and refunding bonds for all City credits and letter of Credit (LOC) agreements and renewals, as well as needing other capital market and investment-related advice. Bond transactions may be sold either on a competitive basis or on a negotiated basis.

2.3 RFP Schedule

RFP Posted November 3, 2026

Applicant Questions Due

Applicants must submit questions regarding this opportunity by November 12, 2026, at 5:00 PM Philadelphia time. All questions must be submitted via email to

Edna.Abrah-Asiedu@phila.gov

Answers Posted on eContract

Philly November 23, 2026, 5:00PM Philadelphia time

Proposals Due December 14, 2026, 5:00 PM Philadelphia time

Applicant Interviews, Presentations

(City Discretion)

Weeks of January 18 and 25, 2027

Virtual options available.

Applicant Selection Week of February 22, 2027

Contract Execution March – June 2027

Commencement of Work July 1, 2027

The above dates are estimates only. Notice of changes in any pre-proposal meeting or site visit date, time or location, due date for Applicant questions, or proposal due date will be posted as a notice/Addendum with the original RFP on eContract Philly and will become a part of the RFP.

2.4 Outcome Goals

The City Treasurer’s Office sets the following outcome goals to define the standards of success for the prospective firm(s). These goals are derived from our comprehensive scope of work and are intended to guide proposers in understanding the key outcomes we seek:

• Advice on optimal financing structures and strategies to reduce costs and maximize investor interest in transactions.

• Leadership and organization to support bond or other transactions from kickoff to closing.

• Comprehensive financial planning, policy development and advisory services.

mailto:Edna.Abrah-Asiedu@phila.gov

2.5 Award Terms

Term

The term of this contract is expected to start on or about July 1, 2027, and end on or about June 30, 2028.

The City may, at its sole option, amend the contract to add up to 4

(four) additional terms, each not to exceed one year.

Compensation Contract will state maximum compensation including all expenses.

Cost Proposal Type

Prospective Applicants are required to submit a detailed fee structure proposal that reflects the services they are able to provide being requested through this RFP. In the submitted proposal, Applicants should confirm it will not propose increases in the proposed fee structure for the next four years.

Terms of Payment

The CTO reserves the right to condition payments on the satisfactory completion of the specified milestones, tasks, services and/or work products listed under Section 3.1: Description of

Services.

3. SCOPE OF WORK

3.1 Description of Services

This Section 3.1, Description of Services includes the requirements for the project, including the services to be performed and the deliverables that must be met by the selected Applicant. The City reserves the right to change certain service requirements or deliverables based on changed circumstances, like a change in the business or technical environment or contract negotiations with

Applicant(s) selected for negotiations, without issuing a revised RFP.

Applicants should read this section closely. An Applicant’s proposed scope of work must detail how they will meet the service requirements or achieve the deliverables described in this section.

Applicants may also propose additional or revised services or deliverables to achieve the outcomes described in Section 2.3 Outcome Goals of this RFP. However, Applicants must explain why each of these additional services or deliverables are necessary, and when and how they will be completed.

Overview

The Office of the City Treasurer ("CTO") is requesting proposals from qualified institutions to serve as Municipal Advisors ("MAs") for the City of Philadelphia (the "City"). The City would like to select a pool of eligible MAs who will provide financial guidance, fiduciary and advisory services as needed.

The MAs will demonstrate extensive experience and capability to help the City navigate complex debt issuances, capital planning and municipal securities. Specifically, the MAs will assist the City with:

• Navigating complex debt issuances and capital planning.

• Issuance of municipal securities and financial products and specific needs, objectives, and or circumstances of the City.

• Comprehensive financial planning, policy development and advisory.

• Other fiduciary services as required by the City.

All MAs will report directly to the City Treasurer or their Designee. As defined in the City's Debt

Management Policy, the City Treasurer’s Office is responsible for selecting the MAs, overseeing the relationship between the City and its MAs, and reviewing MAs’ performance regularly. The MAs will serve in a fiduciary capacity and will acknowledge in writing the firm's fiduciary status without qualification. In all cases, the MAs and their staff will offer their advice to the City in conformity with the City's policies.

Service Requirements

The CTO requires, at a minimum, the services listed below, including the specific tasks and work activities described. Applicant's proposed scope of work must state in detail how they will carry out each task, including identifying the personnel responsible for completing the task. For each service specified, the Applicant must propose clear criteria to determine when the underlying tasks are satisfactorily completed. Applicants may propose additional or revised tasks and activities, but they must explain why each is necessary to achieve the project objectives.

▪ Advise the CTO, PWD, PGW and PHL on optimal financing structures for issuing

Bonds, Notes, and LOCs, including determining the method of sale, and maximizing investor support for each transaction;

▪ Manage the implementation of Bonds, Notes, and LOC transactions. For each transaction, this involves advising and supporting the CTO, PWD, PGW and PHL in selecting the financing team (such as underwriters and LOC providers); negotiating business terms with relevant parties; and developing and analyzing plans of finance;

▪ Act as an agent for the CTO, PWD, PGW and PHL when communicating with underwriters and ratings agencies, as requested;

▪ Maintain a pricing database that summarizes and compares the City’s historical pricings relative to market indices, comparable issuances, orders, allotments and established pre-sale goals;

▪ Assist the CTO, PWD, PGW and PHL with competitively sold financings, including:

preparing the Notice of Sale, bid forms, procedures, and specifications, arranging electronic bidding logistics; verifying bids;

▪ Review preliminary and final official statements for adequacy and accuracy of disclosure;

▪ Monitor post-sale trading of the GO, Water, PGW and Airport Bonds;

▪ Advise the CTO, PWD, PGW and PHL on industry-specific developments that may impact debt issuance, including legal or regulatory developments;

▪ Provide information on other major national, state, and local debt issuances to serve as a reference and benchmark for the GO, Water, PGW and Airport Bonds;

▪ Provide additional services and economic or financial advice as necessary on a day-to-day basis;

▪ Assist in structuring and bidding escrows as well as purchasing State and Local

Government Series ("SLGS") and Open Market Securities (“OMS”) as requested;

▪ Provide requested assistance with respect to defeasance or escrow accounts, bond redemptions, and prepayments;

▪ Structure and manage bidding investment agreements;

▪ Assist in evaluating derivative proposals related to the debt issuance to minimize debt service costs;

▪ Advising the CTO, PWD, PGW and PHL with industry-specific knowledge that may impact the bonds, including legal or regulatory developments.

▪ (Optional) Provide, whether virtual or in person, trainings and seminars to the CTO, PWD, PGW and PHL staff.

Tangible Work Products

The CTO requires completion and delivery of, at a minimum, the tangible work products listed below. An Applicant’s scope of work must state in detail how they will produce each work product, including the specific personnel responsible for its delivery. For each work product, the Applicant must propose clear criteria to determine its satisfactory completion and delivery. Applicants may propose additional or revised tangible work products, but they must explain why each is necessary to achieve the project objectives.

▪ Provide comprehensive financing timetables and distribution lists;

▪ Prepare detailed analyses and evaluations of potential refunding opportunities, new money issues, and potential debt tender offerings;

▪ Draft and review advertisements for the sale of bonds and LOCs;

▪ Develop credit rating strategies and coordinate rating agency presentations;

▪ Develop and coordinate credit enhancement and Bond insurance strategies, including assisting with the procurement of credit enhancement and Bond insurance;

▪ Assist the CTO, PWD, PGW and PHL in preparing and delivering investor presentations designed to facilitate a clear understanding of the City’s financing programs;

▪ Assist the CTO, PWD, PGW, PHL and other relevant parties in preparing necessary disclosure documents;

▪ Participate in pricing discussions and meetings, provide data on market comparables and indices, offer cost-benefit analyses of alternative structuring and pricing options, deliver an independent pricing view for each maturity (considering available coupon and price options), and recommend fair pricing levels for current issues based on historical pricing data and comparable credits;

▪ Provide competitive procurement and purchase of SLGS and OMS for escrows as needed;

▪ Deliver ongoing trading performance reports, including refunding monitoring tools and opportunities, peer pricing benchmarks, and long-term market updates; and

▪ Provide a Municipal Advisor Report (an “MA Memo”) detailing key aspects of each transaction to the CTO, PWD, PGW and PHL within two weeks of transaction closing.

General Requirements

Municipal Advisory service requirements include:

Qualified firms must be registered with the Municipal Securities Rulemaking Board (“MSRB”) and

Securities and Exchange Commission ("SEC") as stated in the Dodd-Frank Wall Street Reform and

Consumer Protection Act.

3.2 Performance Metrics, Contract Management & Payments

Performance Metrics

The City of Philadelphia is interested in identifying metrics to monitor and improve performance during the life of the contract. Benchmarks are set by the CTO based on duration and composition of the account. The CTO will consider manager performance against benchmarks, demonstrated expertise and compliance, quality of service, and overall experience with the manager. The final set of performance metrics and frequency of collection will be negotiated by each successful Applicant and the CTO prior to the finalization of an agreement between parties and may be adjusted over time as needed.

Performance

Metric

Data Source Data

Collection

Frequency

Data

Collection

Responsibil ity

Data Review

Cadence

Past

Performance

Benchmark

(if known)

Timely completion of

MA Memo post transaction

MA memo Transaction based

Municipal

Advisor

Transaction based (one to two weeks after closing)

N/A

Frequency of issuer communication

Regular meetings with CTO, email/phone communications

Rolling Municipal

Advisor

Rolling N/A

Timely administrative execution

Rating agency/UW communications, financial modeling requests

Transaction based

Municipal

Advisor

Transaction based

N/A

Contract Performance Monitoring

As part of the City of Philadelphia’s commitment to improved outcomes, the City seeks to actively and regularly monitor service delivery to enhance contract management, improve results, and adjust service delivery based on learning what works. Reliable and relevant data is necessary to drive service improvements, ensure compliance, inform trends to be monitored, and evaluate results and performance. As such, the City reserves the right to request/collect other key data and metrics from providers related to the performance of the contract and to reject any item of work that does not meet the performance standards described in the contract.

The CTO will regularly communicate expectations, challenges, and areas for improvement to its MAs via phone/email communications and during recurring meetings. As outlined in the service requirements and performance metrics, MAs are expected to proactively engage with the CTO by providing updated financing solutions and modeling, facilitating conversations with transaction participants (including underwriters and rating agencies), and managing working groups. The CTO may conduct formal performance reviews -either post-transaction or on an as-needed basis -to ensure advisors are meeting the City’s expectations and to address any unmet needs.

How We Will Pay the Selected Applicant

The contract for each chosen provider will include a contract maximum amount that cannot be exceeded without a written contract amendment. Applicants must provide a detailed cost proposal, with a line-item breakdown of the costs for specific services and work products proposed. Cost proposals must be “fixed price” proposals. The proposed price must include all costs that will be charged to the City for the services and tangible work products the Applicant proposes to perform and deliver to complete the project, including, but not limited to, costs for the following, if the

Department is to pay for them: employee compensation and fringe benefits; communication;

printing; administrative expenses; bonding; acquisition of real estate; rent, utilities, maintenance and security related to real estate; travel (reimbursable only at rates approved by the Department);

project management; development; testing; implementation; maintenance; training; and all other work proposed. Any contract resulting from this RFP will provide for a not-to-exceed amount in the compensation section of the contract.

4. HOW TO SUBMIT YOUR RESPONSE

4.1 What You Must Include in Your Proposal

For your proposal to be considered, proposals must be submitted:

a) electronically;

b) through the City’s designated system (not email);

c) before the deadline; and,

d) signed by an authorized representative of the Applicant.

Additionally, your proposal must include the information listed in the Proposal Requirements below and be organized in the order shown. Failure to submit your proposal in the manner and format required by this RFP may result in your proposal being rejected.

Proposal Requirements:

1. Table of Contents

2. Introduction/Executive Summary (Give a short description of your proposal.)

Provide an overview of your company, the goods or services you offer and how you plan to meet the

City’s needs.

3. Applicant Profile (Tell the City about yourself).

Please complete the Applicant information sheet and include it with your proposal submission.

Part 1. Please provide the following for the Applicant’s Business:

1. Name of Business

2. Business Address

3. Telephone Number

4. Fax Number (if applicable)

5. E-mail Address

6. Website Address

7. Federal Taxpayer Identification Number or Federal Employer Identification Number

Part 2. Please provide the following for the Applicant’s Primary Contact:

1. Name

2. Job Title

3. Address

4. Telephone Number

5. Fax Number (if applicable)

6. E-mail Address

Part 3. Please provide a description of the Applicant’s business background by answering the following:

1. What is the Applicant’s Business Organization type (i.e. corporation, partnership, LLC, for or not for profit, etc.)?

2. Is the Applicant’s Business registered to do business in Philadelphia and/or Pennsylvania?

3. What is the country and state of the Applicant’s business’ formation?

4. How many years has the Applicant’s business been operating?

5. What is the primary mission of the Applicant’s business?

6. What is the Applicant’s significant business experience?

7. Is the Applicant registered with OEO as a certified SBE or certified as an LBE by the

Procurement Department?

4. Proposed Scope of Work (Tell the City what you propose to do).

Review Section 3 of this RFP, “Scope of Work” and directly state what services and materials you will provide to meet the City’s described needs. Be specific, and, as necessary, describe your services and materials in plain language for the evaluation team to understand. Include a proposed budget or cost proposal, and a schedule for when the services and materials will be provided.

Please also respond to the credit specific questions in Appendix D: Municipal Advisor

Questions.

5. Statement of Qualifications; Relevant Experience (Tell the City why you are the best choice).

Provide a statement of your relevant qualifications and demonstrate how your experience meets or exceeds the City’s requirements. Include a list and description of similar projects you have worked on, including the number of such projects and the amount of time spent on them.

6. References (Tell us who can vouch for similar work you have completed).

Provide at least three references, preferably for projects that are similar to the work sought by this

RFP. Include the company/entity, a contact person’s name, the contact person’s title, their address, their email address, and telephone number. The more similar the reference is to the City the better, such as other municipal government entities.

7. Proposed Subcontractors (Tell the City who will work with you).

Please provide a complete list of prospective subcontractors with whom you plan to work on this project. Include:

• Company Name

• EIN

• Scope of Work

• SBE or LBE Certification (if applicable)

• Percentage of total work allocated to each firm

In addition, as required by OEO pursuant to Mayoral Executive Order 06-25, please complete the

Solicitation & Participation Form included as an attachment to Appendix B and submit it as part of https://www.phila.gov/documents/executive-order-no-6-25-small-and-local-businesses-on-city-contracts/ your proposal. This captures all S/LBEs you have asked to work on this project with you, whether they have committed to do so, and the amount or percentage of the overall contract anticipated to be paid to each.

8. Requested Exceptions to Contract Terms (Tell the City any changes you would like to the contract).

In exceptional cases, a successful Applicant might be afforded exceptions to the City’s Contract

Terms. State if you would like to request exceptions to the City’s Contract Terms, including those contained in this RFP, including Appendix A and any other documents incorporated by link or reference. Identify the location of the proposed change as well as possible (noting the document, section, heading, and page), the reason for the change request, and proposed alternative language.

The City may consider your proposed changes or may disqualify your proposal at its option.

However, please be aware that exceptions are not made often, so thoroughly explain why the change is necessary and appropriate for the contract. Any proposed exceptions to the City’s

Contract Terms are subject to various internal review procedures before they can be accepted.

Note: Your proposal is a binding offer to contract and failure to propose exceptions binds you to the

City’s terms, if your proposal is accepted.

9. Tax and Regulatory Status and Clearance Statement (Certify that you do not owe the City).

Obtain a Tax Clearance Certificate and complete Appendix C attesting to Applicant’s tax and regulatory compliance with the City.

10. Disclosure of Litigation, Administrative Proceedings, and Contract Defaults (Tell the City about any legal proceedings or contract disputes your company or its leaders were involved with).

Provide a description of any legal proceedings or contract disputes in the past five (5) years that might affect your business, finances, or ability to perform the work described by this RFP. Include all instances of litigation, bankruptcy, debarment, suspension, contract default claims, any criminal conviction or indictments, settlements, and court or administrative orders. For each matter, state the name and nature of the matter, the parties involved, and its current status. For contract disputes, provide the name and contact information for the opposing party. Provide the same information for any matter involving an officer, director, principal, partner, or affiliate of the

Applicant, and for any intended subcontractor of the Applicant.

11. Statement of Financial Capacity (Demonstrate how stable your business is).

Provide documentation demonstrating fiscal solvency and financial capability to perform the work sought by this RFP. You may include any of the following:

• A general, independent statement of the Applicant’s financial condition, prepared by an external auditor or accountant;

• Applicant’s most recent audited or unaudited financial statements, including:

o Balance Sheet, o Income Statement, or o Cashflow Statement;

• Most recent IRS Form 990 (for non-profit organizations only); or,

• Any other documentation that demonstrates your financial capacity to meet the requirements of this RFP.

12. Local Business Entity or Local Impact Certification (Tell the City if you are a local business or how you envision affecting the local economy).

The City is committed to leveraging its buying power to uplift and grow our local economy, which will result in more jobs for Philadelphians, including local and small businesses. For this reason, the City will consider local impact as a significant factor in our proposal evaluation for this contracting opportunity. If you meet the requirements of a certified Local Business Entity (LBE), we strongly recommend that you get certified for free by following the steps found HERE and include a copy of your certification with your proposal and/or include a statement about how you envision impacting the local economy through this work.

13. Disclosure Requirements (Tell the City about your political contributions).

Excess political contributions to City candidates and incumbents can disqualify you from a City contract. Complete the mandatory disclosures required as part of the electronic application process in eContract Philly, including any local political campaign contributions, by selecting “Apply for

Contract” from the opportunity information screen (where this RFP was located). Additional information and instructions are located under the “Disclosure/Eligibility” tab on the top of the eContract Philly homepage. Please make sure to review these requirements closely before completing these disclosure forms.

4.2 How To Submit Your Application

Online Submission Required by the Application Deadline

You must complete your application through eContract Philly before the deadline to be considered for this contract opportunity. Proposals may be changed at any time up until the submission deadline and the City will not review your proposal until after the deadline. The proposal is not considered submitted until the “submit” button is pressed at the conclusion of the eContract Philly submission process. You will receive a confirmation email that your Application was submitted.

Applicants are encouraged to allow sufficient time to complete the application process in order to become familiar with the requirements of the eContract Philly interface, upload all required documents, and resolve any technical issues prior to the submission deadline. The City need not accept, and may discard, responses that are incomplete, late, or submitted in any other format.

Electronic File Limitations eContract Philly accepts attachments up to 8MB of the following file types: Microsoft Word, Microsoft Excel, Microsoft Project, Adobe PDF or in a compressed zip file. Larger attachments must be split into smaller attachments to accommodate this file size limitation. There is no limit to the number of attachments that may be uploaded.

https://www.phila.gov/services/business-self-employment/bidding-on-a-city-contract/get-certified-as-a-local-business-entity/ https://philawx.phila.gov/ECONTRACT/default.aspx

Every Entity Applies for Itself

Except in the case of Joint Ventures, which follow special rules described below, every entity must apply for itself. If the prospective applicant is not already registered with eContract Philly, you must first register for an account before you can apply to this opportunity. Note that each legal entity must have a separate account; you may not utilize or repurpose another entity’s account for this application. To identify each legal entity, the eContract Philly application system uses an entity’s

Taxpayer Identification Number, either a Social Security Number (SSN) or Employer Identification

Number (EIN). Make sure the Tax Identification Number associated with your profile matches the

Tax Identification Number of the company that is applying. Applications from an affiliated entity or made on another entity’s behalf will cause the City to reject the proposal.

See the Joint Venture rules if you are applying on behalf of a Joint Venture.

Use the Submission Checklist Below

This is a tool to help you to submit a complete, accurate, responsive, and on time application.

DOES MY RESPONSE MEET THE PROPOSAL REQUIREMENTS?

Did you submit the proposal before the stated deadline of this RFP?

Did the proposal explain how Applicant meets the goals and objectives, tasks, milestones, and deliverables, and other requirements described by the Department in the Opportunity and Scope of Work sections?

Does your cost proposal meet the requirements under “Compensation”?

Does your service proposal meet the requirements under “Description of Services”?

Does your proposal meet the overall format and content requirements described in “What you must include in your proposal”?

If eligible, did you register with the Office of Economic Opportunity as a certified SBE or with the Procurement Department as a certified LBE?

If eligible, did you enroll with the City’s Vendor Payment Portal to effortlessly submit electronic invoices and monitor payment progress 24/7?

Did you review the entire RFP and contract attachments, including the Contract Terms and

Conditions, and request any exceptions? You must propose contract language changes with your proposal or the City’s terms are deemed accepted.

Was the proposal submitted electronically through eContract Philly?

file:///C:/Users/Jacqueline.dunn/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/0ILFGUKP/phila.sbecompliance.com https://www.phila.gov/services/business-self-employment/bidding-on-a-city-contract/get-certified-as-a-local-business-entity/ https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fvendor-payments.phila.gov%2Flogin&data=05%7C01%7CMihir.Mulloth%40phila.gov%7Cd3a519484f624cce6fc708db9fe39835%7C2046864f68ea497daf34a6629a6cd700%7C0%7C0%7C638279572083787221%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=EktpSPaS%2B8p3KxRyI13X2Icwkl9aYLDJ0KfEzw1NsTI%3D&reserved=0

Did you complete the mandatory political contribution disclosures through the application?

Was the proposal submitted to the correct opportunity number?

Was the application signed by clicking on the “submit” button at the conclusion of the eContract Philly submission process? The proposal is not considered submitted until this button is pressed, regardless of when you started to complete the proposal.

You will receive an email acknowledgment of your submission.

Was the individual who signed the application authorized to sign on behalf of the

Applicant? For more information on who is authorized to sign your application, please see page 32 of the sample application found on eContract Philly here. You must be logged in to eContract Philly to access the document.

Does the Applicant’s eContract Philly Profile match the Applicant information provided in the proposal? Do the Taxpayer Identification Numbers match? (Do not use the SSN of the person filling out the proposal, unless the contract will be with that actual person; use the number of the entity applying and on its eContract Philly profile.)

Special Rule for Joint Ventures

4.3 Proposal Binding

Your proposal is a binding offer to contract for what you propose. Each Applicant agrees that it will be bound by the terms of its proposal for a minimum of 180 calendar days from the application deadline for this RFP and will enter a contract containing the same terms. If the City accepts your proposal as submitted, the City need not negotiate additional or different terms. Applicants must state clearly and conspicuously any modifications, waivers, objections, or exceptions they seek in a separate section of the proposal entitled “Requested Exceptions to Contract Terms.”

The City reserves the right, in its sole discretion, to negotiate terms and conditions different from and/or additional to the Contract Terms without notice to other Applicants.

https://philawx.phila.gov/ECONTRACT/Inc/sample_app.pdf

5. HOW WE CHOOSE

The City will consider many factors, including cost, when evaluating proposals submitted to this RFP. While cost is an important factor, it is not the sole, or necessarily the deciding factor. The City may choose to award the contract resulting from this RFP to an Applicant whose proposal is the most advantageous to the City and in the City’s best interest even if the Applicant is not offering the lowest price.

The City will base its selection on criteria that may include, but are not limited to:

1. Superior ability or capacity to meet particular requirements of contract and needs of

City Department and those it serves

2. Eligibility under Code provisions relating to campaign contributions

3. Superior prior experience of Applicant and staff

4. Superior quality, efficiency and fitness of proposed solution for City Department

5. Superior skill and reputation, including timeliness and demonstrable results

6. Special benefit to continuing services of incumbent, such as operational difficulties with transition or needs of population being served

7. Benefit of promoting long-term competitive development and allocation of experience to new, local, or small businesses

8. Lower cost

9. Administrative and operational efficiency, requiring less City oversight and administration

10. Anticipated long-term cost effectiveness

11. Meets prequalification requirements

12. Applicant’s Local Impact or LBE certification.

If a contract is awarded from this RFP, a notice will be published on the City’s eContract

Philly website identifying the name of the selected Applicant and the basis for award to that

Applicant, as well as the names of all other Applicants to this RFP. To access this notice, select the button that says “Notice of Intent to Contract” and search for your opportunity number.

6. GENERAL RULES GOVERNING

RFPs/PROPOSALS

WHAT ARE MY RESPONSIBILITIES IF I’M AWARDED THE CONTRACT?

Maintain an active Business Income and Receipts Tax (BIRT)

Account Number.

REGISTER HERE

Maintain an active Commercial Activity License (CAL) Number REGISTER HERE

Obtain a Philadelphia Tax and Regulatory Status Clearance and return Appendix C and stay current with all City and School

District taxes and fees or payment plans.

OBTAIN A TAX

CLEARANCE

CERTIFICATE HERE

Continuously disclose your political contributions and stay under the contribution limits that allow you to be awarded a contract.

SEE THE

“DISCLOSURE/

ELIGIBILITY” TAB ON

ECONTRACT PHILLY

HERE FOR MORE

INFORMATION

Submit all Contracting Disclosures requirements. Provide demographic information about your workforce and your work for the City in the past five years (This is only required once an organization is awarded a contract with the City of

Philadelphia).

CONTRACTING

DISCLOSURE AND

FILING INSTRUCTIONS

ARE HERE

Pay a Contract Preparation Fee

SEE AND PAY THE FEE

HERE

Contracts resulting from this RFP are “Service Contracts” and awarded Applicants, along with their subcontractors at any level, are “Service Contractors” who must comply with the 21st

Century Minimum Wage and Benefits Standard found in

Philadelphia Code Sec. 17-1300.

THE CURRENT LIVING

WAGE RATE AND

BENEFITS

REQUIREMENTS AND

APPLICABILITY CAN

BE LOCATED HERE

If the awarded contract is valued at or over $250,000, you must extend Equal Benefits to life partners of employees that are extended to spouses of its employees, under 17-1900 of the

Philadelphia Code.

INFORMATION

REGARDING EQUAL

BENEIFITS IS

LOCATED HERE

https://tax-services.phila.gov/_/ https://www.phila.gov/services/permits-violations-licenses/get-a-license/business-licenses-permits-and-approvals/get-a-commercial-activity-license/ https://www.phila.gov/services/payments-assistance-taxes/get-tax-clearance/ https://philawx.phila.gov/econtract/ https://www.phila.gov/services/business-self-employment/bidding-on-a-city-contract/file-transparency-in-business-act-disclosure-forms/ https://www.phila.gov/services/payments-assistance-taxes/pay-the-fee-for-a-professional-services-contract-online/ https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296110 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296544

Register for electronic payments

INSTRUCTIONS FOR

REGISTRATION CAN

BE FOUND HERE

Comply with OEO’s Small and Local Business Plan

SEE APPENDIX B

Comply with federal Health Insurance Portability and

Accountability Act (HIPAA) if applicable.

SEE HIPAA SECTION

BELOW

6.1 Health Insurance Portability and Accountability Act (HIPAA) The work to be provided under any contract entered into pursuant to this RFP may be subject to the federal Health Insurance Portability and Accountability Act (HIPAA) or other state or federal laws or regulations governing the privacy and security of health information.

If the contract is with any of the “Covered Units” designated by the City or the chosen provider is otherwise a “Business Associate” under HIPAA, the selected Applicant must comply with the “Terms and Conditions Relating to Protected Health Information” which are posted on eContract Philly under the “About” section and which will be incorporated into the contract by reference.

6.2 Special Rules Applicable to Joint Ventures

Generally, applications submitted through eContract Philly from Applicants that purport to be filing an application on behalf of another individual or business entity will not be considered, even if the other business entity is an affiliate of the Applicant. In the case of multiple business entities that, if awarded a contract, have formed, or intend to form a joint venture to perform the contract, a single business entity may file an application on behalf of all such business entities, so long as: (i) the filing business entity is or will be a member of the joint venture, (ii) the application is made in the name of the existing or proposed joint venture, (iii) documentation is submitted with the application identifying all business entities that will comprise the joint venture, and demonstrating a binding agreement among those business entities to perform the contract as the joint venture identified in the application (for a joint venture that has not yet been formed, documentation signed by each identified business entity evidencing a commitment to form the joint venture if awarded the contract is sufficient), and (iv) the non-filing business entities are eligible for award of a City contract and make the disclosures required by Chapter 17-1400 of the Philadelphia Code (described in greater detail below) within fourteen (14) days after the joint venture receives notice that it has been awarded the contract.

https://vendor-payments.phila.gov/login https://www.phila.gov/privacypolicy/ https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296144

6.3 Mandatory Political Contribution Disclosures and Penalties Pursuant to Chapter 17-1400 of the Philadelphia Code, Applicants are required to disclose the following as part of their required online application:

• their direct and indirect campaign contributions to:

o political candidates and incumbents who are nominated for, running for, or serving in, a local Philadelphia elected office; and o political committees/parties that are operating in Philadelphia1

• any consultants used in responding to the RFP and political contributions those consultants have made as described above; and

• whether the Applicant or any representative of the Applicant has received from any City employee a request for money or other items of value.

Applicants who make material misstatements or omissions in required disclosures may be prohibited from entering into contracts resulting from this or any other RFP of the City for one to three years and subjected to fines of up to three-times (3x) the amount that a contribution exceeded the political contribution limits, up to $2,000 for each contribution, pursuant to Section 20-1302 of the Philadelphia Code

For more information, please consult the text of Chapter 17-1400, the “Disclosure/Eligibility” tab on eContract Philly, e-mail econtractphilly@phila.gov, or call 215-686-4914.

6.4 Political Contribution Limits for City Contractors

The current contribution limits are adjusted every four years (starting in 2008) and are posted on the eContract Philly home page. The limits are established by law, applied continuously throughout the life of an awarded contract and for as long as the official benefiting is in office. Applicants are advised that individuals and businesses that make campaign contributions in excess of the amounts set forth in Section 17-1404(1) of the Philadelphia Code are ineligible to enter into a City contract or subcontract at any tier in excess of $10,000 for individuals or $25,000 for businesses. Contributions are attributed according to Section 17-1405 of the Philadelphia Code and Applicants should take this into consideration in electing to apply for this opportunity and in selecting subcontractors, if any.

Applicants certify that their subcontractors are eligible to work on City contracts and will be responsible for any consequence if that later proves untrue. To assist Applicants, the City has provided disclosure forms under the “Disclosure/Eligibility” “Subcontractor Disclosure” tab on eContract Philly for subcontractors to complete and provide to the Applicant at their option. These forms do not need to be submitted to the City.

1 State and federal campaign contributions do not have to be disclosed unless the subject/candidate in the campaign is also running for, or currently serving in a local Philadelphia elected office.

https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296144 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-301528 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296144 https://philawx.phila.gov/econtract/ mailto:econtractphilly@phila.gov https://philawx.phila.gov/econtract/ https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296144 https://codelibrary.amlegal.com/codes/philadelphia/latest/philadelphia_pa/0-0-0-296144

6.5 City Employee Conflict Provision

City of Philadelphia employees and officials are prohibited from submitting a proposal in response to this RFP. No proposal will be considered in which a City employee or official has a direct or indirect interest.

6.6 Reservation of Rights

By submitting a response to this contract opportunity, the Applicant accepts and agrees to the City’s

Standard Reservation of Rights, linked and incorporated in this document by reference, and to the terms of this contract opportunity, including all information contained in this RFP and information posted or accessible by link from the eContract Philly “Opportunity List” page, accessible under the

“New Contract Opportunities” tab on the eContract Philly homepage.

6.7 Confidentiality and Public Disclosure

Each Applicant shall treat all information obtained from the City as a result of this opportunity or any resultant contract, which information is not generally available to the public, as confidential and/or proprietary to the City in accordance with the terms of any resultant contract. The Applicant shall exercise all reasonable precautions to prevent any information derived from such sources from being disclosed to any other person.