OCA-DGCP-073 Manhattan Felony Alternative to Incarceration Court-Based Services Issued Thursday, August 13, 2026 Due Thursday, September 17, 2026 at 2:00 PM Eastern

Office of Court Administration Division of Grants, Contracts and Procurement

Request for Proposals #OCA-DGCP-073 New York State

Manhattan Felony Alternative to Incarceration Court-Based Services

NEW YORK STATE UNIFIED COURT SYSTEM

i

Contents

RFP Articles

I. Background Information II. Project Information III. Award IV. Minimum Qualifications V. Project Services VI. Insurance Requirements VII. Award Selection Criteria and Method of Award VIII. Required Documents IX. Submission of Proposal X. Questions XI. Pre-Bid Conference XII. General Specifications

Attachments*

Attachment I - Standard Request for Bid Clauses & Forms Attachment III - Vendor Responsibility: Acknowledgment Form and VR Questionnaire Attachment IV - Procurement Lobbying forms

* Attachments are available for download from the Unified Court System’s Current Solicitation webpage:

https://www.nycourts.gov/grants-contracts-procurement/current-solicitations

Exhibits

Exhibit 1: Document Enclosure Checklist Exhibit 2: Proposal Cover Sheet Exhibit 3: Vendor Assurance and Conflict-of-Interest Disclosure Exhibit 4: Insurance Requirements Exhibit 5: Appendix B: Terms and Conditions Applicable to Materials Produced Under the

Agreement

I. BACKGROUND INFORMATION

The mission of the New York State Unified Court System (“UCS”) is to deliver equal justice under the law and to achieve the just, fair and timely resolution of all matters that come before our courts. In the service of our mission, the UCS is committed to operating with integrity and transparency, and to ensuring that all who enter or serve in our courts are treated with respect, dignity, and professionalism.

We affirm our responsibility to promote a court system free from any and all forms of bias and discrimination and to promote a judiciary and workforce that reflect the rich diversity of New York State. More information about the UCS is available at https://www.nycourts.gov.

II. PROJECT INFORMATION

The UCS Office of Court Administration’s (“OCA”) Division of Grants, Contracts and Procurement (“DGCP”) is soliciting proposals via this Request for Proposals (“RFP”) to procure a provider for the Manhattan Felony Alternative to Incarceration Court in the New York County (Manhattan) Supreme Court, Criminal Term (Felony ATI) to serve individuals with co-occurring behavioral health disorders (the “Program” or “Project”).

The Program provides a community-based alternative to incarceration for individuals involved in the criminal justice system. The approach of the Program provides a holistic case managed plan to allow a defendant charged with a felony, including violent offenders, to receive services that prevent the need for incarceration. The Program consists of court ordered mandated supportive services including mental health, substance use disorder treatment, and vocational education and job placement. Launched in 2019, the Program aims to reduce incarceration and recidivism while promoting public safety through individualized treatment plans and ongoing monitoring.

The Program, which maintains an active caseload of approximately 350 cases, seeks to enhance public safety and reduce recidivism by providing targeted, evidence-informed services that address participants’ criminogenic and behavioral health needs. The Program promotes accountability and compliance with court mandates while supporting rehabilitation and long-term stability, through coordinated case management, and community-based interventions.

UCS anticipates the Awarded Contractor (as defined in Article III below) will begin to perform the Project Services (as set forth in Article V below) on or about November 1, 2026. The maximum appropriation for the first 12-month period of the Contract (as defined in Article III below) is $2,400,000. Subsequent yearly allocations are subject to available state appropriations.

Key Bid Dates (Note: OCA reserves the right to modify any Key Bid Date as it may deem appropriate.)

EVENT DATE

Bid Issue Date Thursday, August 13, 2026

Question Due Date Thursday, August 27, 2026 at 2:00PM Eastern

Bid Submission Deadline Date Thursday, September 17, 2026 at 2:00PM Eastern

Estimated Contract Start Date November 1, 2026

Note: Throughout this RFP, the terms bidder, proposer, vendor and applicant are used interchangeably, as are RFP, bid and solicitation.

III. AWARD

UCS intends to award one contract (“Contract”) to a single successful bidder (“Awarded Contractor”) for a term commencing on or about November 1, 2026 and terminating on or about October 31, 2031 (“Contract Term”).

The Contract resulting from this RFP will be subject to the approval of the New York State Attorney General and the Office of the New York State Comptroller.

IV. MINIMUM QUALIFICATIONS

Proposals will be considered only from applicants who meet the following minimum qualifications:

Individuals or organizations with at least three (3) years of experience performing services relevant to those described herein.

Qualified applicants must have the capacity to provide Project Services (as set forth in Article V, below), to Program participants (“Participant(s)”) within New York County.

V. PROJECT SERVICES

UCS seeks proposals describing how the applicant will provide the services listed below (“Project Services”). The selected applicant shall be required to:

1. Intake, Assessment and Treatment Planning: Social Workers will conduct independent intake and risk-needs assessments using validated tools to identify criminogenic and behavioral health needs based on these assessments. Social Workers will develop individualized treatment and supervision plans tailored to each Participant. Case Managers will support the intake process and assist in gathering relevant Participant information.

2. Support Services: Social Workers will provide ongoing therapeutic interventions, including counseling and crisis interventions, to address mental health, substance use, and co-occurring disorders.

3. Case Management and Monitoring: Social Workers and Case Managers will work collaboratively to deliver intensive case management, including maintaining regular contact with Participants, monitoring compliance with court mandates, and tracking progress toward treatment and program goals. Each Social Worker and Case Manager shall maintain a caseload of no more than 30 Participants to ensure high-quality, individualized services.

4. Service Coordination and Referrals: Case Managers, in coordination with Social Workers, shall facilitate referrals and placement in appropriate community-based services, including, but not limited to, substance use treatment, mental health services, cognitive behavioral therapy, educational and vocational training, and prosocial programming. Case Managers will play a primary role in coordinating services and supporting Participant engagement.

5. Court Reporting and Collaboration: Social Workers will prepare assessment updates and recommendations for the court, while Case Managers will provide supporting information on Participant compliance and service engagement. All staff will collaborate with court personnel, attorneys, and service providers to support Participant outcomes and public safety.

6. Recovery Support Services: Integrate peer mentor services to enhance Participant engagement, support treatment adherence and recovery outcomes, and complement case management services through structured, evidence-based peer support aligned with Program objectives.

7. Data Collection and Documentation: Assist in collecting and maintaining all required data as specified by UCS. Social Workers and Case Managers will maintain accurate and timeline documentation, including assessments, case notes, service plans, referrals, and progress reports, within designated databases and case management systems.

8. Provide ongoing feedback to the relevant stakeholders of the Project to support continuous quality improvement and make recommendations for data-informed policy changes.

9. Provide appropriate supervision and oversight for any staff included in this Project.

VI. INSURANCE REQUIREMENTS

Awarded Contractor shall be required to maintain the insurance specified in Exhibit 4 hereto (Insurance Requirements) at its own cost and expense during the Contract Term and any renewal or extension thereof.

VII. AWARD SELECTION CRITERIA AND METHOD OF AWARD

A single award will be made pursuant to this RFP. The Awarded Contractor must: (1) meet the minimum qualifications outlined in Article IV above; (2) be a responsible bidder as determined in accordance with the criteria in Article XII; and (3) receive the highest composite (average technical + cost) score in excess of the minimum score as determined by the selection criteria set forth herein.

Proposals will be reviewed and rated by a team of qualified UCS staff.

In the event of a tie composite score, the applicant with the higher cost score, i.e., lowest total cost, will prevail.

Proposals will be scored as follows:

Technical Criteria (80%) Maximum Points

Organizational Capacity 30 Proposed Service Delivery 50 Maximum Technical Points 80

Cost (20%) 20 Maximum Cost Points 20

MAXIMUM TOTAL POINTS 100

Cost submissions will be scored as follows:

The proposal with the lowest cost will be awarded maximum cost points (20); each higher cost proposal will be awarded points according to the following formula:

ݐݏ݁ݓܮ ݐݏܿ ݈ܽݏݎ ÷ ݎℎ݁݃݅ܪ ݐݏܿ ݈ܽݏݎ × 20

For example: Assuming the lowest cost proposal is $100 and the next higher cost proposal is $125, the $100 cost proposal would be awarded 20 points and the $125 cost proposal would be awarded 16 points based on the following computation:

100 ÷ 125 = (. 8) × 20 = 16

Note: A minimum Technical Criteria point score of 40 (average of all evaluators) is required for an award to be made.

VIII. REQUIRED DOCUMENTS

General Requirements All documentation must be submitted on prescribed forms, without alteration. Where no form is included or specified, submissions must be single-spaced with one-inch page margins (not including attachments or financial forms) using a 12-point font. Pages should be numbered. To facilitate photocopying, do not permanently bind documents.

Applicants must submit every document listed below, as well as the documents listed in the Document Enclosure Checklist annexed as Exhibit 1 hereto. Failure to provide all documents in the manner required may result in disqualification of an applicant’s proposal.

A complete set of the documents required below must be submitted.

a. Narrative Description - Organizational Capacity

Applicants must submit a narrative description of no more than five (5) pages addressing all of the organizational capacity requirements listed below:

1. Briefly describe the proposer’s experience providing services related to alternatives to incarceration (“ATI”), pretrial services, or court-based behavioral health services to justice-involved populations with mental health, substance use, and co-occurring needs. Include the number and duration of projects.

2. Describe the proposer’s experience using validated risk-needs assessment tools to develop individualized treatment and supervision plans in collaboration with case management staff.

3. Describe the proposer’s approach to intensive case management, including maintaining required caseloads, monitoring court compliance, and supporting participant engagement.

4. Describe the proposer’s experience and expertise in providing integrated intake, assessment, case management, and recovery support services in a court-involved setting.

5. Describe the proposer’s organizational structure and how it supports delivery of multidisciplinary services, including social work, case management, peer mentors, supervision, and data staff.

6. Describe the proposer’s capacity to manage government-funded programming, including, but not limited to, the ability to meet fiscal and programmatic reporting requirements; and working effectively in partnership with the court.

7. Provide an organizational chart showing all supervisory staff of the proposer (this chart will not be included in the page limit).

b. Project Staff Resumes

Submit resumes for all staff who will provide Project Services. For those positions currently vacant, submit detailed job descriptions.

c. Narrative Description - Proposed Service Delivery

Applicants must submit a narrative description of no more than five (5) pages addressing all of the Project description requirements listed below.

1. Describe the proposer’s plan for delivery of the Project Services described herein and how it will meet Project goals and objectives.

2. Describe the proposer’s staffing plan, including the roles, responsibilities, qualifications, level of effort (percentage of time), and amount of on-site time to be allocated for each person who will provide Project Services. Additionally, outline any plans to subcontract Project Services, if applicable.

3. Describe how the proposer will conduct comprehensive intake, including validated risk-needs assessments, and develop individualized treatment and supervision plans based on criminogenic, behavioral health, and social service needs.

4. Describe how the proposer will implement intensive case management services through coordinated work between Social Workers and Case Managers to support Participant engagement, court compliance, and goal attainment.

5. Describe how the proposer will ensure caseloads do not exceed 30 Participants per Social Worker and Case Manager to support individualized and high-quality services.

6. Describe how the proposer will integrate peer mentor services to enhance Participant engagement, support treatment adherence and recovery outcomes, and complement case management services.

7. Describe how the proposer will coordinate timely referrals and linkages to community-based services, including behavioral health treatment, housing support, education, vocational training, and other supportive services.

8. Describe how the proposer’s staff will document their activities with Participants and how this information will be maintained.

9. Describe how the proposer will provide continuous feedback to the relevant stakeholders of the Project, including frequency, format, and how the feedback will support data-informed Program improvements.

10. Describe the proposer’s plan to collect, maintain, and report data as required by UCS.

11. Describe the proposed supervisory structure for the Project and how the proposer will ensure appropriate supervision.

d. Line-Item Budget Proposal

1. Applicants must submit a line-item budget proposal for the initial twelve (12) month period of the Contract Term. The budget must be submitted on the Required Budget Form available at: https://www.nycourts.gov/grants-contracts-procurement/current-solicitations. Proposals must align with the requirements of the UCS Financial Planning and Control Manual, Contracts with Not-for-Profit Organizations, available at:

https://www.nycourts.gov/LegacyPDFS/admin/financialops/FPCM- PDFs/V2_contracts/Financial-Planning-and-Control-Manual-NotforProfit-Contracts.pdf.

Note that there shall be no other charge, cost, reimbursement, or expense of any kind payable by UCS in connection with or arising from the performance of Project Services. The Awarded Contractor will be solely responsible for all costs and expenses incurred in connection with the performance of Project Services that are not expressly included in its budget.

2. The maximum allocation for the first 12-month period of the Contract is $2,400,000.

Subsequent budget periods during the Contract Term will be subject to the availability of appropriated funds and will be determined based on fiscal and programmatic considerations.

3. Non-Allowable Costs/Expenses

The following items may not be included in applicant’s budget:

Major capital expenditures Interest costs Fundraising costs Advertising costs except for recruitment of Project Services personnel Entertainment costs

e. Budget Narrative

Applicant must submit a separate narrative of not more than three (3) pages that briefly describes the expenses included in each budget category of its budget proposal, and how they relate to the Project Services. The Personal Services description must include a brief description of responsibilities. The Non-Personal Services (NPS) description must include a brief description of how each expense category relates to the provision of Project Services. The proposing organization must include a budget narrative for any subcontracted services, if any. For travel expenses, if any, explain which staff will be traveling and the destination, purpose, and frequency of travel.

f. Additional Documents

In addition to the documents listed above, applicants must submit all documents listed in the Document Enclosure Checklist attached as Exhibit 1 hereto.

IX. SUBMISSION OF PROPOSAL

a. Proposal Delivery

Applicants must submit their proposals by hand delivery or mail. Only one (1) signed, hard copy original complete proposal is required. Proposals will not be accepted electronically or by fax.

Proposals must be clearly addressed and submitted to:

NYS Unified Court System Division of Grants, Contracts and Procurement

2500 Pond View, Suite 104 Castleton-on-Hudson, New York 12033

ATTN: Kyle Cunningham

All envelopes/cartons must also be labeled with the following information on two sides:

“Deliver immediately to Kyle Cunningham” “Sealed Application - Do not open”

“RFP # OCA-DGCP-073 Manhattan Felony Alternative to Incarceration Court-Based Services

– Due September 17, 2026 at 2:00 PM Eastern”

b. Submission Deadline

Applications must arrive at the address above by no later than Thursday, September 17, 2026 at 2:00 PM Eastern. Any application received after this deadline will be declared late and may be disqualified. Notwithstanding the foregoing, a late application may be accepted by UCS in its sole discretion if: (i) an insufficient number of timely applications meeting the requirements of this RFP are received; or (ii) the applicant has satisfactorily demonstrated to UCS that the late application was caused solely by factors outside the control of the applicant. However, in no event shall UCS be obligated to accept a late application, and in making such determination, UCS will consider whether accepting a late application would materially benefit or disadvantage a particular applicant. It is recommended that applicants allow several extra days for shipping in order to meet the deadline.

c. Amendment of Proposals

Proposers may only amend submitted proposals prior to the Bid Submission Deadline Date. Amended proposals must be submitted in packaging which clearly indicates “Amended Proposal for RFP # OCA- DGCP-073.” Amended proposals must be signed by an individual who is duly authorized to amend the proposer’s original proposal. Amended proposals must be submitted in the same manner as original proposals described herein. Amended proposals received by UCS after the Bid Submission Deadline Date will be rejected for lateness.

d. Withdrawal of Proposal Prior to Bid Submission Deadline Date

A proposal may be withdrawn at any time prior to the Bid Submission Deadline Date. If multiple proposals are submitted by the same bidder, the bidder must clearly indicate to which proposal the withdrawal applies.

e. Bidder Confidential/Proprietary Information

If applicable, bidders must specifically identify those portions of its proposal that it deems to contain confidential or proprietary information or trade secrets, and, upon request, must provide justification why such material should not be disclosed to parties other than UCS and the Offices of the New York State Attorney General and Comptroller. Bidders are advised that any material deemed confidential by bidder may still be subject to disclosure in connection with any governmental or judicial proceeding or inquiry or as may be required by applicable law, including, but not limited to, Article 6 of the New York Public Officers Law (Freedom of Information Law). Such confidential/proprietary information must be in a separate folder from the non-confidential sections of the proposal.

f. No-Bids

Proposers deciding not to answer this RFP are requested to send a no-bid letter to OCA, Attn: Kyle Cunningham, Senior Court Analyst, NYS Unified Court System, Division of Grants, Contracts and Procurement, 2500 Pond View, Suite 104, Castleton-on-Hudson, NY 12033. The envelope must be clearly marked in the lower left corner as follows: RFP # OCA-DGCP-073. No-bid letters may alternatively be sent by email to kccunnin@nycourts.gov. Please indicate in “Subject” field: RFP # OCA-DGCP-073 – No-Bid.

X. QUESTIONS

Any and all questions applicants may have in connection with this RFP are to be directed by email only to:

Kyle Cunningham kccunnin@nycourts.gov

Please indicate in “Subject” field: RFP # OCA-DGCP-073 Manhattan Felony Alternative to Incarceration Court-Based Services Question(s)

The deadline to submit questions is Thursday, August 27, 2026 at 2:00 PM Eastern. No questions will be entertained after this deadline. A written Questions & Answers (Q&A) listing all questions received and their answers will be posted on the UCS website at https://www.nycourts.gov/grants-contracts-procurement/current-solicitations in the Additional Documents section for the appropriate solicitation and emailed to the applicants list promptly after this deadline.

IMPORTANT: Contact by any prospective applicant, or any representative thereof, with any other personnel of the UCS in connection with this RFP may violate the Procurement Lobbying Act of 2005 (see Attachment IV), will jeopardize the respective applicant's standing and may cause rejection of its proposal.

XI. PRE-BID CONFERENCE

A pre-bid conference will not be held.

XII. GENERAL SPECIFICATIONS

The terms and conditions set forth below are binding on, and incorporated into this RFP, the Bidder’s proposal, and any contract resulting from this RFP.

Access to Court Facilities Awarded Contractor(s) must comply with all applicable location rules, policies, guidelines and procedures in order to be granted access to court facilities. Where applicable to the performance of work under an awarded contract, bidders shall be wholly responsible for familiarity with the physical layout and access to the courts and buildings in question, including but not limited to, roadways, overhangs, parking, security, elevators, required access permits or insurance certificates. Court staff cannot modify security measures, access protocols, or parking restrictions to facilitate Awarded Contractor’s entrance to or egress from court facilities unless required to do so by law.

Binding Nature of Bid/Proposal on Bidders

All bids/proposals shall remain binding on bidders until such time as UCS/OCA provides written notification of its intent to award the contract to a specific bidder or until the bidder requests withdrawal of its bid/proposal in writing, and such withdrawal is accepted by UCS/OCA in its sole discretion in accordance with applicable law and the terms of this RFP, whichever occurs first.

Charities Registration (not-for-profit corporations only)

Not-for-profit corporation vendors must be registered with the New York State Office of the Attorney General as a charitable organization, and the registration must be up to date at the time of contract approval. Vendors must be sure all their documents are up-to-date and comply with the vendor responsibility requirements as outlined below. To determine the status of your charities registration with the Attorney General, contact: https://www.charitiesnys.com/RegistrySearch/search_charities.jsp

Clarification/Correction of Bids/Proposals

In addition to any rights articulated elsewhere in this solicitation, UCS reserves the right to require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of a bidder’s proposal and/or to determine a bidder’s compliance with the requirements of this solicitation. This clarifying information, if requested in writing by UCS, must be submitted by the bidder in accordance with formats as prescribed by UCS at the time said information is requested and, if received by the due date set forth in UCS’s request for clarification, shall be included as a formal part of the bidder’s proposal. Clarifying information, if any, whether provided orally, visually, or in writing, will be considered in the evaluation process. Failure to provide required information by its associated due date may result in rejection of the bidder’s proposal.

Nothing in the foregoing shall mean or imply that UCS is obligated to seek or allow clarifications or corrections as provided for herein.

Compliance with Laws

Prior to and during the provision of all services under the contract resulting from this RFP, Awarded Contractor(s) must comply with all applicable federal, state, and local laws, rules, and regulations, including, but not limited to, fire, health, and safety codes.

Confidential/Proprietary Information

If applicable, applicants must specifically identify those portions of its proposal it deems to contain confidential or proprietary information or trade secrets, and, upon request, must provide justification why such material should not be disclosed to parties other than UCS and the Offices of the New York State Attorney General and Comptroller. Applicants are advised that any material deemed confidential by applicant may still be subject to disclosure in connection with any governmental or judicial proceeding or inquiry or as may be required by applicable law, including but not limited to Article 6 of the New York Public Officers Law (Freedom of Information Law). Such confidential/proprietary information must be in a separate folder from the non-confidential sections of the proposal.

Confidentiality and Data Security

Awarded Contractor(s) acknowledges that any and all information, records, files, documents, or reports contained in any media format provided to the Awarded Contractor(s) by the UCS, or which may be otherwise encountered by Awarded Contractor(s), shall be considered extremely confidential and shall be handled accordingly at all times. Neither the Awarded Contractor(s) nor any of its employees, servants, vendors, agents or volunteers shall at any time be permitted to utilize such confidential information for any purpose outside the scope of any resulting agreement from this RFP without the express prior written authorization of UCS. Any breach of this confidentiality by the Awarded Contractor(s) or by any of its employees, servants, subcontractors, agents, or volunteers, may result in the immediate termination of any resulting agreement by UCS and may subject the Awarded Contractor(s) to further penalties.

Awarded Contractor(s) shall use, and require its employees and authorized agents to use, at least the degree of care a reasonably prudent person would use to protect and prevent improper access to the records.

Awarded Contractor(s) is prohibited from maintaining confidential files and records provided to or generated by Awarded Contractor(s) in a mobile or portable device. Remote access to the UCS confidential information is prohibited unless industry standard protocols for remote access are in place (e.g., SSL, VPN). In addition, Awarded Contractor(s) will be required to comply with the data security and confidentiality requirements of other government agencies that supply data to UCS.

Contract Terms

The successful bidder shall be required to comply with the provisions set forth in this RFP, as well as such other provisions contained in an agreement, in form and content satisfactory to UCS in its sole discretion.

Estimated Quantities

Any quantities specified in this solicitation constitute estimates only, and accordingly no commitment or guarantee to reach any specified volume of work is made or implied.

Awarded Contractor(s) must accept all requests for Project Services placed by UCS during the term of an awarded contract.

Federal Requirements

If an award made under this bid is funded in whole or in part with federal funds, the bid/award recipient shall, at its cost and expense, promptly and fully comply with, and assist UCS as may be necessary in complying with, any federal requirements applicable to such federal award and funding. It is the responsibility of the applicant to be fully familiar with the federal terms and conditions of the award.

Financial Stability

Upon request by UCS, applicant shall provide its audited financial statements prepared in accordance with Generally Accepted Accounting Principles (GAAP) for the past three (3) consecutive years and a copy of its last three (3) annual reports.

Implied Requirements

Products and services that are not specifically requested in this solicitation, but which are necessary to provide the functional capabilities proposed by the bidder, shall be included in the offer except as specified herein.

Indemnity

Awarded Contractor(s) shall indemnify, defend and hold harmless UCS, its officers and employees from and against any and all claims, causes of action, damages, costs, liabilities and expenses of any kind (including reasonable attorneys’ fees and the cost of legal defense) which UCS may incur by reason of:

(i) Awarded Contractor’s breach of any term, provision, covenant, representation or warranty contained in the contract awarded as a result of this bid; (ii) any act, omission, negligence or intentional misconduct of Awarded Contractor(s) or its employees, subcontractors, agents, volunteers or of other persons under its direction and control; (iii) Awarded Contractor’s performance or failure to perform under the contract;

or (iv) enforcement by UCS of the awarded contract or any provisions thereof. UCS will notify Awarded Contractor of any claim, action, or demand for which indemnity is required in the reasonable opinion of UCS and will cooperate reasonably with Awarded Contractor at Awarded Contractor’s expense. Any law firm Awarded Contractor chooses to defend UCS must be experienced in defending similar claims and will be subject to UCS approval, which will not be unreasonably withheld. Awarded Contractor may not settle any lawsuit or matter relating to the culpability or liability of UCS without the prior written consent of UCS. UCS reserves the right to participate in any defense of a claim and/or to be represented by counsel of its own choosing at its own expense.

Awarded Contractor shall also defend, indemnify, and hold UCS harmless from and against any and all damages, expenses (including reasonable attorneys' fees), claims, judgments, liabilities and costs in any action for infringement of a patent, copyright, trademark, trade secret or other proprietary right arising out of the awarded contract.

Independent Contractor Status

It is expressly understood and agreed that the Awarded Contractor’s status shall be that of an independent provider of services and that no officer, employee, servant or subcontractor of the Awarded Contractor is an employee of the UCS, OCA or State of New York. The Awarded Contractor(s) shall be solely responsible for the work, assignment, compensation, benefits, and personal conduct and standards of all such persons assigned to the provision of services. Nothing herein shall be construed to impose any liability or duty on the UCS, OCA or State of New York to persons, firms, consultants corporations, or other organizations employed or engaged by the Awarded Contractor(s), either directly or indirectly, in any capacity whatsoever, nor shall the UCS, OCA or State of New York be liable for any acts, omissions, liabilities, obligations or taxes of any nature including, but not limited to, unemployment and Workers’ Compensation insurance of the Awarded Contractor(s) or any of its employees or subcontractors.

Inspection of Bidder’s/Awarded Contractor’s Facilities

The UCS/OCA reserves the right to inspect bidder’s proposed facilities, as part of the bid evaluation.

Subsequent to award, Awarded Contractor’s facilities shall be made available for periodic inspection. In all instances, advance notification will be communicated by appropriate UCS personnel.

Intellectual Property

If Awarded Contractor(s) is required to produce specially commissioned materials pursuant to the awarded contract (the “Work”), whether in written form, on tape, on computer-readable media, or in another tangible or intangible form, Awarded Contractor acknowledges and agrees that UCS shall have the option to: (i) retain a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use the Work; or (ii) be the sole owner of the Work (the Work shall be considered a "work made for hire”), for Work generated under the awarded contract at no additional cost to UCS.

Minor Bid Irregularities

Provided the same will not materially benefit or disadvantage any particular bidder or substantially alter the requirements of this bid, UCS may: (i) waive technicalities; (ii) waive minor irregularities, omissions or incompletions in the bid or a bid response; (iii) waive any bid requirements that are unmet by all bidders;

(iv) consider any and/or all alternatives and/or enhancements suggested by the successful bidder; or (v) make an award under the bid in whole or in part and negotiate contract terms and conditions with the successful bidder to meet UCS requirements consistent with such award.

Notice of Substantial Change in Contractor’s Status

In addition to complying with the requirements of State Finance Law Section 138 (requiring prior approval of subcontractors and assignments or conveyances), Awarded Contractor shall notify UCS of any substantial change in the ownership, membership, or financial viability of the Awarded Contractor(s) in writing immediately upon its occurrence. In addition to any other remedies available at law or in equity, UCS shall have the right to cancel the contract, in whole or in part, for cause, if it finds, in its sole judgment, that such substantial change adversely affects the delivery of services under the contract or is otherwise not in the best interests of UCS.

Online RFP Package: Disclaimer

Bidders accessing any UCS/OCA solicitations and related documents from the New York State UCS website https://www.nycourts.gov/grants-contracts-procurement/current-solicitations under “Current Solicitations” shall remain solely and wholly responsible for reviewing the respective solicitation and bid documents on the internet regularly, up to the scheduled date and time of the bid/proposal due date, to ensure their knowledge of any amendments, addenda, modifications, or other information affecting the solicitation or bid documents in question.

Payment

Awarded Contractor(s) shall send true and accurate invoices on a quarterly basis by email or by conventional mail to such person as UCS/OCA shall designate in the contract resulting from this RFP or by such other method to another person at another address as UCS/OCA shall designate.

Payment shall be made quarterly in arrears and shall be made within thirty (30) days of submission by Awarded Contractor(s) and approval by UCS of invoices satisfactory to UCS and Office of the State Comptroller.

Notwithstanding the foregoing, at the sole discretion of UCS, and subject to the availability of funds, advance payment of up to twenty-five percent (25%) of the annualized funding amount allocated for each budget period may be available for awarded contracts with not-for-profit organizations.

Payment for services performed under the awarded contract shall be conditioned upon the acceptance and approval of such services. Payment shall also be conditioned on whether those services are sufficiently complete both in accordance with the RFP specifications and to the extent necessary for UCS to utilize those services for their intended purpose.

Pricing

All pricing submitted pursuant to the solicitation shall be net and include all costs for the performance of all services required under this solicitation, including transportation costs.

Other than the pricing submitted on the Required Budget Form, there shall be no other charge, cost, reimbursement or expense of any kind payable by UCS in connection with, or arising from, Awarded Contractor’s performance of the services set forth herein. Awarded Contractor(s) shall be solely responsible for all costs and expenses incurred in connection with the performance of such services.

Pricing shall be submitted only on, and in the format prescribed by, the Required Budget Form. Bidder must quote pricing and compute all price extensions prompted by the Required Budget Form. In the event of a bidder’s miscalculation, the unit price will prevail. UCS reserves the right to make mathematical corrections based on unit price(s). Pricing in the awarded contract for amounts in increments not equal to pricing units indicated in the Required Budget Form will be prorated accordingly.

Rejected and Unacceptable Bids/Proposals/Awards

UCS reserves the right to reject any and all proposals or bids submitted in response to this solicitation. In addition, UCS may reject any bids/proposals from any bidders who are in arrears to the State of New York upon any debt or performance of any contract; or who have previously defaulted on any contractual obligations (as contracting party, surety or otherwise) or on any obligation to the State of New York; or who have been declared not responsible or disqualified by any agency of the State of New York, or who have any proceeding pending against them relating to the responsibility or qualification of the bidders to receive public contracts, whose proposal is incomplete or otherwise non-responsive in any material respect; or who are found to be non-responsible based on any of the criteria specified in the section headed “Responsible Bidder.”

UCS also reserves the right to reject any bidder: (i) whose facilities and/or resources are, in the opinion of OCA, inadequate or too remote from the UCS locations to render services in a timely manner in accordance with all requirements of this solicitation; (ii) who does not provide references in accordance with the bid specifications, or whose references report significant failure to comply with specifications;

or (iii) who are otherwise, in the opinion of OCA, unable to meet specifications.

UCS further reserves the right to set aside a bid award to a successful bidder if it is unsuccessful in negotiating a satisfactory contract within a time frame acceptable to the UCS, in which event UCS may then invite the next responsible and responsive bidder with the next highest evaluation score to enter into negotiations for purposes of executing a contract.

Responsible Bidder

A bidder shall be defined as “responsible” in accordance with, but not limited to: references, past performance history, financial stability, responses to the Vendor Responsibility Questionnaire (see Attachment III-Vendor Responsibility Questionnaire), the criteria set forth in the paragraph headed “Rejected and Unacceptable Bids/Proposals/Awards,” as well as any other criteria necessary and reasonable to establish the bidder’s responsibility.

Silence of the Specifications

The apparent silence of the specifications contained as part of this package as to any detail or to the apparent omission of a detailed description concerning any point, shall be regarded as meaning that only the best commercial practices are to prevail. All interpretations of these specifications shall be made on the basis of this statement.

Subcontracting

Subcontracting, and any other transfer of any duties or obligations to be performed hereunder, will be permitted only with the prior written consent of UCS to the proposed subcontractors. In the event that bidder proposes to use one or more subcontractors, the specific subcontractors and the services proposed to be performed by such subcontractors, must be listed in bidder’s proposal. If a bidder that proposes to use one or more subcontractors is awarded the contract, the award will constitute the prior written approval of UCS to the subcontractors named in the bidder’s proposal. All subcontracts shall be in writing and contain provisions which are functionally identical to, and consistent with, the provisions of the contract.

Unless waived in writing by UCS, all subcontracts between the Awarded Contractor and subcontractors shall expressly name UCS as the sole intended third-party beneficiary of such subcontract. UCS reserves the right to review, approve, or reject any subcontract, as well as any amendments to said subcontract(s), and this right shall not make the UCS or the State of New York a party to any subcontract or create any right, claim, or interest in the subcontractor or proposed subcontractor against UCS or the State.

The Awarded Contractor(s) will be the prime contractor and will be responsible for all services required by this RFP. The UCS will communicate only with Awarded Contractor(s), and the Awarded Contractor(s) shall remain wholly liable for the performance by, and payment to, any such subcontractors, their employees, agents, consultants or representatives. UCS may require subcontractors to provide evidence of insurance, as applicable, prior to UCS approval. If total compensation to any subcontractor exceeds $100,000 in the aggregate, the subcontractor must submit and certify a Vendor Responsibility Questionnaire.

Awarded Contractor shall give UCS immediate notice in writing of the initiation of any legal action or suit which relates in any way to a subcontract with a subcontractor or which may affect the performance of the Awarded Contractor’s duties under the awarded contract.

Termination

Early termination of the contract for cause may result in, among other consequences, exercising any or all remedies available to UCS and New York State, including, but not limited to: the Awarded Contractor(s) both being declared non-responsible by the UCS/OCA pursuant to the UCS and Office of the State Comptroller’s guidelines on vendor responsibility and/or being removed from the UCS/OCA applicants list for future solicitations.

A. Early Termination for Budget Modification

1. If the UCS Budget (“Budget”) is modified (a “Budget Modification,” defined in subsection 2 below) for any State fiscal year included in the term of the awarded contract, in whole or in part (including any renewal or extension term), such that UCS determines, in its sole discretion, that it is necessary to reduce, eliminate, or otherwise modify the budget allocation covering payment thereunder, UCS shall have the option to terminate the awarded contract upon not less than thirty (30) days’ notice to Awarded Contractor(s), without liability for costs, expenses or damages as a result thereof.

2. For purposes of this subsection A, Budget Modification shall mean and include, with respect to the Budget or any appropriation contained therein:

i. any reduction, elimination or restriction upon access thereto as provided by law; or

ii. any restriction placed on UCS’ spending authority, including any restriction imposed by UCS upon itself in response to a request of the Executive or Legislative Branch of government.

3. Termination hereunder shall be further governed by the termination provisions contained in the awarded contract, as applicable.

B. Early Termination for Cause

Early termination of the contract for cause may result in, among other consequences, UCS and New York State exercising any or all remedies available to them, including, but not limited to, the

Awarded Contractor(s) being declared non-responsible by the UCS/OCA pursuant to the UCS and Office of the State Comptroller’s guidelines on vendor responsibility, and/or in the Awarded Contractor’s removal from the UCS/OCA’s bidders list for future solicitations.

Unified Court System Self-Insurance

UCS, a New York State governmental entity, is self-retained for risk of loss and liability.

Work for Hire

If Awarded Contractor(s) produces any materials for UCS pursuant to this RFP, such work shall be deemed a “work for hire” and shall be governed by the terms of Exhibit 5 (Appendix B: Terms and Conditions Applicable to Materials Produced Under the Agreement).

EXHIBIT 1

DOCUMENT ENCLOSURE CHECKLIST

The documents listed below must be submitted together with applicant’s proposal. Failure to do so as required may disqualify applicant’s response.

Documents requiring signature must be duly signed where indicated. The listed documents may not be modified, retyped or amended in any manner.

A complete set of RFP documents must be submitted. Failure to provide all documents in the manner required may result in disqualification of an applicant’s proposal.

____ Proposal Cover Sheet (Exhibit 2)

____ Vendor Assurance and Conflict-of-Interest Disclosure (Exhibit 3)

____ Narrative Description – Organizational Capacity (Article VIII (a))

____ Project staff resumes (Article VIII (b))

____ Narrative Description – Proposed Service Delivery (Article VIII (c))

____ Line-Item Budget Proposal/Budget Narrative (Article VIII (d) and Article VIII (e))

____ Certificates of NYS Workers’ Compensation and NYS Disability Benefits Insurance, or Certificate of Attestation of Exemption. (See Exhibit 4 “Insurance Requirements” for a list of accepted forms).

____ Copies of applicant’s certificate(s) of insurance or other adequate proof evidencing the insurance coverages required by the bid specifications (See Exhibit 4 “Insurance Requirements” for a list of accepted forms).

____ Attachment I - Standard Request for Bid Clauses & Forms

Q p.3 - Non-Collusive Bidding Certificate

Q p.4 - Corporate Acknowledgment

_N/A_ Attachment II – Not Applicable

____ Attachment III – Vendor Responsibility Questionnaire questionnaire filed online via Office of State Comptroller VendRep System and certified within 6 months of the bid opening date, or paper questionnaire

____ Attachment IV – Procurement Lobbying forms

Disclosure of Prior Non-Responsibility Determination (UCS 420)

Affirmation of Understanding and Agreement (UCS 421)

EXHIBIT 2

PROPOSAL COVER SHEET

Manhattan Felony Alternative to Incarceration Court-Based Services, $2,400,000 maximum total available funding for the initial 12-month period of the contract award

Legal Name of Applicant Executive Director/CEO Address Phone Fax Email Website Address (not required) Federal Tax Identification No. (TIN) Amount of Funding Requested New York State Charities Registration Number (if applicable) Years in Operation

Vendor’s Primary Contact for Proposal Matters:

NAME:

STREET:

CITY: STATE: ZIP:

TELEPHONE NUMBER: EMAIL:

Verification:

Authorized representative of Vendor must complete and sign below to verify that each copy of the submitted proposal includes all documents required per the Document Enclosure Checklist (Exhibit 1):

COMPANY NAME:

AUTHORIZED OFFICER’S NAME AND TITLE:

SIGNATURE: DATE:

Note: Applicants must submit this Proposal Cover Sheet together with all documents listed in the Document Enclosure Checklist attached as Exhibit 1 to this Request for Proposals

EXHIBIT 3

VENDOR ASSURANCE AND CONFLICT-OF-INTEREST DISCLOSURE

TO BE COMPLETED ON OFFEROR’S LETTERHEAD

Date

Kyle Cunningham Senior Court Analyst NYS OCA Division of Grants, Contracts and Procurement 2500 Pond View, Suite 104 Castleton-on-Hudson, NY 12033

Dear Mr. Cunningham:

Re: RFP #OCA-DGCP-073 Manhattan Felony Alternative to Incarceration Court-Based Services

Vendor Assurance and Conflict of Interest Disclosure

[INSERT OFFEROR NAME] hereby submits this firm and binding offer to the New York State Unified Court System, the judicial branch of the State of New York, in response to Request for Proposals (RFP) #OCA-DGCP-073 (Manhattan Felony Alternative to Incarceration Court-Based Services). The Proposal hereby submitted meets or exceeds all terms, conditions, and requirements set forth in the above-referenced RFP.

[INSERT OFFEROR NAME]’s complete offer is set forth in one bound assembled volume.

[INSERT OFFEROR NAME] hereby affirms that the solution proposed by the Offeror in the Proposal meets or exceeds the service level requirements set forth in the above-referenced RFP, including referenced attachments.

[INSERT OFFEROR NAME] hereby affirms that it knows of no factors existing at time of bid submission or which are anticipated to arise during the procurement or Contract term, which would 1) constitute a potential conflict of interest for Offeror or any subcontractor named in the Proposal, or 2) position the Offeror or any named subcontractor to violate or breach any other contract currently in force with the State of New York:

1. Furthermore [INSERT OFFEROR NAME] hereby attests that it will not act in any manner that is detrimental to any State project on which the Offeror is rendering services. Specifically, Offeror attests that the fulfillment of obligations by the Offeror, as stated in the Proposal, does not violate any existing contracts or agreements between the Offeror and the State;

2. The fulfillment of obligations by the Offeror, as stated in the Proposal, does not and will not create any conflict of interest, or perception thereof, with any current role or responsibility that the Offeror has with regard to any existing contracts or agreements between the Offeror and the State;

3. The fulfillment of obligations by the Offeror, as stated in the Proposal, does not and will not compromise the Offeror’s ability to carry out its obligations under any existing contracts between the Offeror and the State;

4. The fulfillment of any other contractual obligations that the Offeror has with the State will not affect or influence its ability to perform under any contract with the State resulting from this RFP;

5. During the negotiation and execution of any contract resulting from this RFP, the Offeror will not knowingly take any action or make any decision which creates a potential for…