OCA-DGCP-070 QA_FINAL ADA.pdf

OCA-DGCP-070 Guardianship:

Direct Services NYC, 7th, 8th, 9th and 10th Judicial Districts

Questions and Responses The New York State Unified Court System (UCS) thanks the vendors that submitted the question below concerning the Guardianship (RFP) issued on June 26, 2026.

Question 1:

May one applicant apply for multiple Target Service Areas and subcontract with other local nonprofits to fulfill guardianship appointments in those areas?

a. If yes, will the subcontractor's physical office in at least one county within the applicable Target Service Area satisfy the minimum qualification requiring a physical office in that area?

b. If yes, may the applicant submit a single application covering multiple Target Service Areas, or is a separate application required for each?

UCS Response:

No. Pursuant to Article III Award, applicants may only apply to deliver guardianship services individually, meaning the applicant itself must fulfill the main objective of the RFP, which is fulfilling guardianship appointments. The RFP has been amended pursuant to Amendment 1 to clarify this. Applicants may subcontract with other entities in furtherance of applicant’s provision of guardianship services; for example, legal services organizations or other support services.

Question 2:

The RFP indicates that advance payment of up to 25% of the annualized funding amount may be available at UCS's sole discretion. Can UCS confirm whether advance payment will be made available to awardees, and if so, what the process for requesting it will be?

UCS Response:

UCS may decide to advance up to 25% of the annualized funding amount once the contract is approved by the New York State Offices of the Attorney General and Comptroller. Advance payments are made at the sole discretion of UCS. The process for requesting an advance payment will be articulated once contracts are fully approved by oversight agencies.

Question 3:

With respect to the resume requirement in Article VIII, Section (b), item 16(a): are resumes required only for existing staff whose positions will be fully or partially funded through this contract, or for all current organizational staff?

UCS Response:

Resumes are required only for existing staff whose positions will be fully or partially funded through this contract. Where positions are vacant, a detailed job description will suffice.

Question 4:

The RFP refers throughout to serving "indigent incapacitated persons." Does OCA define "indigent" for purposes of this contract, for example, by reference to a percentage of the federal poverty level, an income threshold, an asset limit, or another standard, or is the determination of indigency left to the discretion of the appointing court and/or the awarded provider? If a specific standard applies, we would appreciate knowing what it is.

UCS Response:

The Court will refer cases with low estate values with qualifying indigent incapacitated persons to the successful applicants. The applicants will not be responsible for determining indigency for the purposes of this contract.

Question 5:

If an applicant is expected to build up to serving 75 new clients annually over the course of the contract term, should the proposed budget reflect full annual capacity beginning in Year 1, or should it show a phased ramp-up of staffing and expenses by contract year?

UCS Response:

The proposed budget should reflect the full annual capacity for the first 12-month period of the resulting contract.

Question 6:

Are applicants required to maintain a physical office in each county served, or is one office within the 10th Judicial District acceptable if staff provide mobile and in-person services throughout Nassau and Suffolk Counties?

UCS Response:

Pursuant to Article IV Minimum Qualifications, within three (3) months of contract award, applicants must have a physical office IN AT LEAST ONE county within the Target Service Area for which they are applying.

Question 7:

If the applicant receives occasional court-awarded fees in individual guardianship cases, should those fees be listed as program income, organizational revenue, or excluded if they are not part of the proposed OCA-funded service model?

UCS Response:

Pursuant to Article VIII Required Documents, Narrative Description – Organizational Capacity, the organization must submit all revenue sources and resource development plan. Pursuant to Article VIII Required Documents, Line-Item Budget Proposal (c), applicants must submit a line-item budget solely for the initial 12-month period of the contract awarded under this RFP.

Question 8:

The RFP requires applicants to serve the entire Target Service Area. For the 10th Judicial District, may an applicant apply to serve a single county (Nassau or Suffolk) individually, or must every applicant propose to serve both counties?

No. Applicants must apply to serve the entire designated Target Service Area.

Question 9:

May an applicant request less than the maximum available funding for a Target Service Area (e.g., less than $1,000,000 for the 10th Judicial District) in order to phase caseload growth, or would a proposal for less than the full allocation be deemed non-responsive?

UCS Response:

Yes. Applicants may request less than the maximum available funding in each Target Service Area.

Question 10:

The minimum of 75 clients annually per $1,000,000 is described as being "in addition to existing clients." Does the 75-client minimum count only new Article 81 appointments received under the resulting contract, or does it include clients the agency already serves in the Target Service Area?

How should an existing provider document this?

UCS Response:

For awarded applicants who do not have existing contracts or subcontracts funded by UCS for these services, applicants must serve a minimum of 75 clients annually per $1,000,000 in awarded funds. The requirement is the same for awarded applicants with pre-existing UCS contracts or subcontracts for these services, except that such applicants must be sure to demonstrate and maintain 75 clients per $1,000,000 in funds received pursuant to the current solicitation in addition to their current caseload and maintain such caseload volume in subsequent years. In both scenarios, clients that are counted toward caseload minimums for other funders would not be eligible to count toward the UCS caseload minimum.

Question 11:

The RFP permits subcontracting in the standard delivery of guardianship services. May an applicant subcontract responsibility for an entire case (for example, cases in specialized settings such as nursing homes), or is subcontracting limited to discrete portions of a case or discrete professional services?

No. Applicants may not subcontract responsibility for an entire case. Applicants may, however, subcontract with other entities in furtherance of applicant’s provision of guardianship services;

for example, legal services organizations or other support services.

Question 12:

For a subcontracted professional service such as legal services, must the subcontractor be identified by name in the proposal, or may the applicant describe the role and qualifications with the specific entity to be finalized after award?

UCS Response:

If known at the time of submission, subcontractors who will fulfill part of the scope of work should be named and described in the proposal. If the subcontractor’s identity is not known at the time of submission, the entity’s role and qualifications should be described in the proposal, and subsequent written approval of the subcontractor by UCS may be required as indicated in the

RFP.

Question 13:

Is the 15% de minimis indirect cost rate calculated on total direct costs including subcontractor costs, or on direct costs net of subcontracts?

UCS Response:

Per the UCS Financial Planning and Control Manual, applicants must comply with the rules outlined in the Office of Management and Budget Guidance for Grants and Agreements, Subpart E, Section 200.414 if using an indirect cost rate. The de minimis indirect cost rate must be calculated as 15% of modified direct costs, not total direct costs.

Question 14:

Should the initial 12-month line-item budget reflect a full year of service beginning October 1, 2026, or a partial-year ramp-up period?

The initial 12-month line item budget should reflect a full year of service beginning on October 1, 2026.

Question 15:

Are the three required references to be submitted on a prescribed form or in a specified format?

UCS Response:

No, there is no prescribed form or specified format for the submission of references.

Question 16:

Regarding the above RFP, can a nonprofit that currently holds a community guardian contract with NYC's Human Resources Administration apply for this contract? Are we considered a provider holding a contract for similar services, and if so, does this impact our current contract?

UCS Response:

Article IV Minimum Qualifications specifies who is eligible to receive an award under this RFP.

For purposes of this RFP, only an organization with a current UCS contract for guardianship or similar services would be considered a provider holding a contract for similar services. An applicant that holds a contract with NYC’s Human Resources Administration for guardianship services is eligible to apply, although the proposed budget should ensure no duplication of funding for the same services. Any resulting UCS contract will require that clients counted toward caseload minimums for other funders (e.g., HRA) not count toward the UCS caseload minimum.