Request-for-Proposal-Financial+Advisor.pdf

STATE OF NORTH DAKOTA

Minot State University

500 University Ave. West Minot, ND 58707

REQUEST FOR PROPOSAL (RFP)

RFP Title: Financial Advisor

RFP Number: MSU-26-002

Issued: August 12, 2025

TABLE OF CONTENTS

SECTION ONE – INSTRUCTIONS

1.1 PURPOSE OF RFP

1.2 PROCUREMENT OFFICER CONTACT INFORMATION

1.3 DEFINITIONS

1.4 RFP SCHEDULE

1.5 ASSISTANCE TO INDIVIDUALS WITH A DISABILITY

1.6 SECRETARY OF STATE REGISTRATION REQUIREMENTS

1.7 BIDDERS LIST REGISTRATION

1.8 STATE PROCUREMENT WEBSITE (SPO ONLINE)

1.9 AMENDMENTS TO THE RFP

1.10 DEADLINE FOR QUESTIONS AND OBJECTIONS

1.11 PREPROPOSAL CONFERENCE OR SITE INSPECTION

1.12 OFFER HELD FIRM

1.13 OFFEROR RESPONSIBLE FOR COSTS

1.14 TAXES

1.15 PROPOSAL RECEIPT DEADLINE – LATE PROPOSALS REJECTED

1.16 PROPOSAL OPENING

1.17 AMENDMENT AND WITHDRAWAL OF PROPOSALS

1.18 NEWS RELEASES

1.19 CONFLICT OF INTEREST

1.20 ATTEMPT TO INFLUENCE PROHIBITED

1.21 COLLUSION PROHIBITED

1.22 PROTEST AND APPEAL

1.23 SPECIFICATIONS PREPARED BY NON-STATE PERSONNEL

1.24 SUPPLIER REGISTRATION (PAYEE)

SECTION TWO – BACKGROUND

2.1 BACKGROUND INFORMATION

SECTION THREE – SCOPE OF WORK

3.1 SCOPE OF WORK

3.2 APPLICABLE DIRECTIVES

3.3 REQUIREMENTS

A. DELIVERABLES

B. LOCATION OF WORK/TRAVEL

C. RISK MANAGEMENT

D. PROJECT MANAGEMENT PLAN

E. CONTRACT TERM

3.4 EXPERIENCE AND QUALIFICATIONS

A. Minimum Qualifications B. Experience C. Background Check

SECTION FOUR – PROPOSAL INSTRUCTIONS

4.1 PROPOSAL PREPARATION

4.2 PROPOSAL SUBMISSION INSTRUCTIONS

4.3 PROPOSAL FORMAT

4.4 TECHNICAL PROPOSAL

4.5 COST PROPOSAL

SECTION FIVE – AWARD AND PROPOSAL EVALUATION

5.1 AWARD

5.2 RESPONSIVENESS

5.3 RESPONSIBILITY – SUPPLEMENTARY INVESTIGATION

5.4 EVALUATION CRITERIA

5.5 COST PROPOSAL EVALUATION

5.6 CLARIFICATIONS OF PROPOSALS – DISCUSSIONS

5.7 RIGHT OF REJECTION

5.8 BEST AND FINAL OFFERS

5.9 TIE PROPOSALS

5.10 NEGOTIATIONS

5.11 NOTICE OF INTENT TO AWARD

5.12 CONTRACT APPROVAL

5.13 EVALUATION DEBRIEFING

SECTION SIX – CONTRACT INFORMATION

6.1 NORTH DAKOTA CONTRACTUAL REQUIREMENTS – BACKGROUND

6.2 STATE CONTRACT TERMS AND CONDITIONS – OFFEROR’S PROPOSED CHANGES

6.3 CONTRACT PROVISIONS

A. Contract Type B. Payment Procedures C. Inspection & Modification D. Contract Changes – Unanticipated Amendments E. Purchasing Card

6.4 CONTRACTUAL TERMS AND CONDITIONS – NO MATERIAL CHANGES

6.5 SCOPE OF WORK

6.6 CONTRACT TERM

6.7 RIGHT TO INSPECT PLACE OF BUSINESS

ATTACHMENTS

Attachment #1 – Technical Proposal Evaluation Worksheet

Attachment #2 - Contract

SECTION ONE – INSTRUCTIONS

1.1 PURPOSE OF RFP

The State of North Dakota, acting through its MINOT STATE UNIVERSITY (the STATE) is soliciting proposals for the purpose of retaining a consulting firm to act as Minot State University’s financial advisor in providing bond sale services and other financial consulting services relating to the bond sale.

Minot State University (MSU) intends to continue the relationship with the selected firm for the duration of the potential bond sale.

1.2 PROCUREMENT OFFICER CONTACT INFORMATION

The Procurement Officer is the point of contact for this RFP. Offerors shall direct all communications regarding this RFP to the Procurement Officer. Do not add the Procurement Officer to any marketing distribution lists.

PROCUREMENT OFFICER: Jessica Jastrzebski EMAIL: jessica.jastrzebski@minotstateu.edu

PHONE: 701-858-4153

A person or firm interested in submitting a proposal should ensure all communications related to the procurement are only with the designated point of contact. This section does not restrict communication with state officials or any member of the legislative assembly unless the state official or member of the legislative assembly is involved directly with the procurement for which the person is interested or has submitted a bid or proposal (N.D.C.C. § 54-44.4-01.1).

Engaging in unauthorized communication or seeking to obtain information about an open solicitation with any state employee or official other than the responsible Procurement Officer or designee is sufficient grounds for suspension or debarment. (N.D.A.C. § 4-12-05-04(7))

1.3 DEFINITIONS

For the purposes of this RFP, the acronyms and defined terms are as follows:

Acronym or Term Name or Definitions Contractor Entity that has an approved contract with the State of North Dakota CT Central Time Zone OMB Office of Management and Budget RFP Request for Proposal Solicitation Closing Deadline for receipt of proposals listed in the RFP Schedule SPO Office of Management and Budget, State Procurement Office SPO Online State Procurement Office Online system MSU Minot State University

1.4 RFP SCHEDULE

EVENT DATE and TIME

RFP issued August 12, 2025

Deadline for submission of Questions and Objections August 22, 2025 by 3:00 PM, CT Solicitation Amendment with responses to Questions issued approximately (if required)

August 26, 2025

Deadline for receipt of proposals (Solicitation Closing) September 4, 2025 by 3:00 PM, CT Proposal evaluation completed by approximately September 9, 2025

EVENT DATE and TIME

Notice of intent to award issued approximately September 12, 2025 Secretary of State Registration, if determined to be required.

September 12, 2025

Contract start approximately September 22, 2025

1.5 ASSISTANCE TO INDIVIDUALS WITH A DISABILITY

Contact the Procurement Officer, as soon as possible, if an individual with a disability needs assistance with the RFP, including any events in the RFP schedule, so reasonable accommodations can be made.

1.6 SECRETARY OF STATE REGISTRATION REQUIREMENTS

The North Dakota Secretary of State has registration requirements for individuals and businesses transacting business in North Dakota. If the successful Offeror is determined to have a registration requirement with the North Dakota Secretary of State, they must be registered before the contract award and registration must remain active for the duration of the contract period (N.D.C.C. § 54-44.4- 09.1)

See the OMB Guidelines to Vendor Registry for more information.

Visit the Secretary of State's Vendor Registration webpage for information on registration requirements and fees. Visit FirstStop, the Secretary of State's business and licensing software, for online form options.

Check the Business Records database to see if a business is registered.

Contact Secretary of State's office by email or call 701-328-2900 (choose menu item 2, then option 1).

If you need to register, fees apply.

Vendors may need to obtain businesses licenses. See the list of licenses required of businesses in the State of North Dakota. The link includes information on who to contact, application fees, renewal dates, and the legal reference.

1.7 BIDDERS LIST REGISTRATION

Individuals or business entities desiring to be notified of bidding opportunities may apply to be placed on the Bidders List. (N.D.C.C. § 54-44.4-09) Bidders Lists are used to notify vendors when solicitations are issued on the State Procurement Office Online system (SPO Online). Placement on the Bidders List does not guarantee a vendor will receive notice of every solicitation (N.D.A.C. § 4-12-05-01). There are no fees to register as a bidder. The online application form requests contact information for the receipt of solicitation notices. The Bidders List application and SPO Online system use commodity codes to identify categories of goods, services, and information technology.

The commodity codes used for this solicitation are: 946-all, 958-all and 918-all.

Visit the OMB website for instructions and the online Bidders List Application:

Bidders List Registration Website

For assistance with Bidders List Registration, contact State Procurement Help Desk at 701-328-1728 or infospo@nd.gov.

1.8 STATE PROCUREMENT WEBSITE (SPO ONLINE)

This RFP and any related amendments and notices will be posted on the North Dakota OMB website using SPO Online. Offerors are responsible for checking this website to obtain all information and documents related to this RFP: https://apps.nd.gov/csd/spo/services/bidder/main.htm

Select “Recent Solicitations”. Recent Solicitations are listed by close date.

Notices related to this RFP will be sent to the Bidders List for the needed commodity or service and other known potential Offerors.

Offerors not having completed the Bidders List registration may request to receive notices related to this RFP by contacting the Procurement Officer in writing with the following information: RFP title, business name, contact person, mailing address, telephone number, and email address.

1.9 AMENDMENTS TO THE RFP

If an amendment to this RFP is issued, it will be provided to all Offerors on the Bidders List for the solicitation and to those prospective Offerors who have contacted the Procurement Officer to receive notices related to the RFP. An Offeror shall include in their proposal any required acknowledgements of amendments to the RFP.

1.10 DEADLINE FOR QUESTIONS AND OBJECTIONS

Offerors should carefully review the RFP including all Attachments. Offerors may ask questions to obtain clarification and request additional information, or object to material in the RFP. Questions and objections must be submitted to the Procurement Officer in writing by the deadline identified in the RFP Schedule. If no deadline is specified, questions or objections must be received at least seven days prior to the Solicitation Closing deadline. The Procurement Officer may elect to respond to questions received after the deadline.

Questions and objections should include a reference to the applicable RFP section or subsection. Email is the preferred method of submission with the RFP number and title cited in the email subject line.

Responses to questions will be distributed as a solicitation amendment unless the question can be answered by referring the Offeror to a specific section of the RFP.

1.11 PREPROPOSAL CONFERENCE OR SITE INSPECTION

The STATE will not hold a preproposal conference or site inspection for this RFP.

1.12 OFFER HELD FIRM

Offerors must hold proposals firm for at least 180 days from the deadline for receipt of proposals (Solicitation Closing). The STATE may send a written request to all Offerors to hold their offer firm for a longer period of time.

1.13 OFFEROR RESPONSIBLE FOR COSTS

Offeror is responsible for all costs associated with the preparation, submittal, and evaluation of any proposal including any travel and per diem associated with demonstrations and presentations.

1.14 TAXES

The STATE is not responsible for and will not pay itemized local, state, or federal taxes. Purchases of tangible personal property made by a state government agency is exempt from sales tax. The state sales tax exemption number is E-5412, and certificates will be furnished upon request by the purchasing agency. The contractor must provide a valid Vendor Tax Identification Number as a provision of the contract.

The purchasing agency will determine if services provided under this contract are Form 1099 reportable. The purchasing agency may require the contractor to submit an IRS Form W-9.

The state tax exemption number should not be used by contractors in the performance of a contract.

A contractor or service provider performing any contract, including service contracts, for the United States Government, State of North Dakota, counties, cities, school districts, park board or any other political subdivisions within North Dakota is not exempt from payment of sales or use tax on materials, tangible personal property, and supplies used or consumed in carrying out contracts. In these cases, the contractor is required to file returns and pay sales and use tax just as required for contracts with private parties. Contact the North Dakota Tax Department at 701-328-1246 or visit their website at https://www.nd.gov/tax/tax-resources/ for more information.

A contractor performing any contract, including a service contract, within North Dakota is also subject to the corporation income tax, individual income tax, and withholding tax reporting requirements, whether the contract is performed by a corporation, partnership, or other business entity, or as an employee of the contractor. In the case of employees performing the services in the state, the contractor is required to withhold state income tax from the employees’ compensation and remit to the state as required by law. Contact the North Dakota Tax Department at 701-328-1248 or visit their website for more information.

1.15 PROPOSAL RECEIPT DEADLINE – LATE PROPOSALS REJECTED

An Offeror is solely responsible for ensuring their proposal is received by the STATE prior to the Solicitation Closing deadline identified in the RFP schedule regardless of the method of submission. A solicitation amendment will be issued if this deadline is changed. An Offeror may contact the Procurement Officer to inquire whether their proposal has been received. Proposals delivered late will be rejected pursuant to N.D.A.C. § 4-12-08-13.

1.16 PROPOSAL OPENING

A public opening will not be held.

This is a formal sealed Request for Proposal (RFP) process. Proposals will be secured and held unopened until the Solicitation Closing deadline. Per N.D.A.C § 4-12-08-04, the openings may be made public at the discretion of the purchasing agency. If a public opening is held, only the names of Offerors that submitted proposals can be revealed at the opening, and each proposal will be opened in a manner to avoid disclosure of the contents to the competing Offerors.

1.17 AMENDMENT AND WITHDRAWAL OF PROPOSALS

Offeror may amend, supplement, or withdraw proposal prior to the Solicitation closing deadline. No changes will be accepted after the Solicitation closing deadline. After the Solicitation closing deadline, Offeror may make a written request to withdraw their proposal and shall provide evidence that a substantial mistake has been made, at which point the STATE may permit withdrawal.

1.18 NEWS RELEASES

Offerors shall not make any news releases related to this RFP without prior approval of the STATE.

1.19 CONFLICT OF INTEREST

Under state laws and rules, a state employee or official shall not participate directly or indirectly in a procurement when the state employee or official knows of a conflict of interest. Potential conflicts of interest include state employees or their immediate family members employed by the firm, seeking employment with the firm, or with a financial interest in the firm. Potential conflicts of interest will be addressed in accordance with N.D.A.C. § 4-12-04-04. (N.D.C.C. § 12.1-13-03)

Persons employed by the State of North Dakota, or within one year thereafter, may be prohibited from acquiring a pecuniary interest in a public contract or transaction. Offerors should review N.D.C.C. § 12.1-13-02 to ensure compliance and avoid such conflict(s) of interest.

1.20 ATTEMPT TO INFLUENCE PROHIBITED

Offerors must not give or offer to give anything to a state employee or official that might influence or appear to influence procurement decisions. Suspected attempts to influence will be handled in accordance with N.D.A.C. § 4-12-04-05.

1.21 COLLUSION PROHIBITED

Offerors must prepare proposals independently, without collusion. Suspected collusion will be handled in accordance with N.D.A.C § 4-12-04-06.

1.22 PROTEST AND APPEAL

An interested party may protest a solicitation pursuant to N.D.C.C. § 54-44.4-12 and N.D.A.C. § 4-12- 14-01. When a solicitation contains a deadline for submission of questions and objections, protests of the solicitation will not be allowed if these faults have not been brought to the attention of the Procurement Officer before the specified deadline. If no deadline for questions is specified, protests based upon defects in the solicitation must be made at least seven calendar days before the deadline for receipt of proposals.

An Offeror that has submitted a response to a solicitation and is aggrieved may protest an award or notice of intent to award pursuant to N.D.C.C. § 54-44.4-12 and N.D.A.C. § 4-12-14-02. The protest must be submitted in writing to the Procurement Officer during the protest period, which is seven calendar days beginning the day after the notice of intent to award is issued.

The protestor may appeal the decision of the Procurement Officer to the Director of OMB or designee in writing within seven calendar days after receiving notice of the decision pursuant to N.D.C.C. § 54-44.4- 12 and N.D.A.C. § 4-12-14-03.

1.23 SPECIFICATIONS PREPARED BY NON-STATE PERSONNEL

When a purchasing agency has specifications prepared by someone other than a state employee or official on behalf of the STATE, that person or business entity must be excluded from submitting bids or proposals in accordance with N.D.A.C. § 4-12-06-06.

1.24 SUPPLIER REGISTRATION (PAYEE)

The successful Offeror will be required to complete Supplier Registration, if not already registered as a Supplier. Any individual or business who will be receiving payment from a state agency or higher education institution must complete a registration process to collect important financial and taxpayer information. Payments are generally made by check or automatic clearing house (ACH), and taxpayer information must be collected in compliance with IRS requirements. The State and North Dakota University System (NDUS) have separate financial systems and vendor registration processes.

SECTION TWO – BACKGROUND

2.1 BACKGROUND INFORMATION

Minot State University (MSU) is requesting proposals for the purpose of retaining a consulting firm to act as MSU’s financial advisor in providing bond sale services and other financial consulting services relating to the bond sale. MSU intends to continue the relationship with the selected firm for the duration of the potential bond sale.

SECTION THREE – SCOPE OF WORK

3.1 SCOPE OF WORK

Services to be provided:

Services shall include, but not be limited to, Recommendations of financing options including size, timing, maturity schedules and marketing;

Reviewing debt structure for compliance with local, state and federal regulations;

Preparation of the official statement in compliance with disclosure guidelines, as appropriate, and the printing and distribution of same;

Recommendation of competitive or negotiated sales and participation in the negotiation of price and terms for negotiated sales;

Coordination of the printing and delivery of bonds, and interaction with Bond Counsel and rating agencies;

Recommendation of acceptance or rejection of bids; and Other services related to capital financing normally provided by a financial consultant but not mentioned above.

MSU will not permit the financial consultant’s firm to purchase bonds in a negotiated sale. MSU will permit the financial consultant’s firm to bid in a competitive sale.

3.2 APPLICABLE DIRECTIVES

The contractor is responsible for identifying and complying with all state and federal requirements that apply to the contract.

3.3 REQUIREMENTS

A. DELIVERABLES

In responding to this Request for Proposal the following items need to be addressed:

1. Experience of firm including the experience of the local (regional) office. MSU is interested in specific issues the firm has been involved in within the state of North Dakota.

2. Description of any innovations the firm has developed or worked on for tax-exempt or taxable security issues or other capital financing initiatives, briefly outlining the problem, the solution, and the results.

3. Describe the structure of the firm including size and branches. If the firm is a component of an organization, provide the name and relationship to the parent organization.

4. Provide background information for the staff that would be assigned to MSU. Include position in the firm, years and types of experience, and educational background.

5. Attach a list of at least three (3) references including names and contact information.

Describe the services provided to each reference.

6. The written proposal of services should include the name, phone number and e-mail of the primary contact person. The proposal, although not a contract, is to be signed by an authorized official of your firm.

7. Written disclosure of any potential conflict of interest.

8. A statement on how the firm will provide the services outlined in this request. Describe the firm’s ability to provide timely access and service to MSU.

B. LOCATION OF WORK/TRAVEL

No on-site work is required.

C. RISK MANAGEMENT

The contractor will take appropriate measures to ensure the safety of their employees, state employees, the public, and property. The contractor must identify any potential risks, issues and problems associated with the project and identify ways to mitigate those potential risks.

D. PROJECT MANAGEMENT PLAN

The contractor will be expected to use appropriate project management to ensure the work is accomplished on time, within budget, and meets quantity and quality standards.

1. The contractor will be required to collaborate with the STATE to agree upon the contract schedule, including a work breakdown, schedule of tasks and activities, and progress milestones.

2. The contractor will be required to coordinate with the STATE to develop a communication plan. Any problems or unforeseen events must be communicated timely to the STATE project manager and any changes must be agreed upon between the parties and set forth in a written amendment to the contract. If the STATE requires corrective action, the contractor will be notified in writing.

3. Contract Closeout Plan

When the contract is completed, the STATE and contractor will communicate regarding the contract closeout, including transition of any records. A contract closeout debrief may be performed at the discretion of the Procurement Officer or project manager designated by the STATE. The debriefing time and location will be negotiated between the STATE and contractor. The contractor must collaborate in the development of a Project Closeout Report to include feedback regarding the project implementation and any lessons learned.

E. CONTRACT TERM

The Contract begins on its effective date, approximately September 22, 2025, and ends when the work is completed for a period not to exceed two years.

MSU reserves the right to extend the Contract for an additional period of time beyond the current termination date of the Contract by written amendment to the contract as agreed upon by the parties.

3.4 EXPERIENCE AND QUALIFICATIONS

A. Minimum Qualifications

Offerors must have the following minimum qualifications in order to be considered for contract award:

1. A Certified Financial Planner (CFP) or Chartered Financial Analyst (CFA) designation.

2. Previous experience in the business of providing financial advisory services to issuers of tax-exempt debt.

3. A firm that is independent of banking, underwriting or other interests to assure that the firm can effectively represent the University in negotiations with bankers, underwriters, and other service providers needed for the issuance of debt.

4. Experience with various debt instruments including bonds, notes, commercial paper, variable rate issues, swaps, leases, and conduit financings.

5. Experience with various credits, including general obligation, revenue bonds, and special assessment districts.

6. Experience with obtaining credit supports and bond insurance.

7. Experience with rating agencies and familiarity with the credit rating process. Knowledge of the rating criteria used not only by the major credit rating agencies, but also the typical large institutional purchasers of tax-exempt debt.

8. Experience with refinancing and other negotiated underwritings, including underwriter selection and issue pricing.

9. Sufficient, qualified staff with previous public sector finance experience. Key staff members should be willing and available to respond to questions from the University’s financial staff on a continuing basis.

10. Adequate technical support to meet the needs of the University.

The Offeror must have and keep current any professional licenses and permits required by federal, state, and local laws for performance of this contract. Offerors that do not possess required licenses at the time proposals are due will be determined non-responsive to the RFP and will be rejected.

B. Experience The Offeror must provide information specific to the personnel assigned to work on this RFP.

Offerors must provide a narrative description of the personnel assigned to the project team along with their title, resume and a description of the work they will perform for the project.

Offerors should provide three reference names and phone numbers for similar projects they have completed. Offerors may provide letters of reference from previous clients. The STATE reserves the right to contact any references provided by the offeror.

Offeror must meet the following experience requirements to be considered for contract award. A proposal from the Offeror that does not meet minimum experience requirements will be rejected.

The Offeror must have a minimum of seven (7) years of experience as a Financial Advisor and successful completion of at least three (3) prior projects for the public sector.

C. Background Check If STATE, including the state agency entering into this contract on behalf of the STATE, has the necessary authority under N.D.C.C. §12-60-24, STATE may require personnel that contractor assigns to perform work under this contract, including employees, contracted staff, subcontractors, or other individuals, to submit to a criminal history record check. STATE shall have the right to reject any individual contractor assigns to perform work under this contract if, in STATE’s sole discretion, it determines that the results of the criminal history record check make the individual unacceptable. Contractor agrees to be responsible for all costs associated with criminal history record checks carried out pursuant to this paragraph.

Forms and information regarding North Dakota Criminal History Record Checks are available on the following website: https://attorneygeneral.nd.gov/public-safety/criminal-history-records/requesting-a-criminal-history-record-check/

SECTION FOUR – PROPOSAL INSTRUCTIONS

4.1 PROPOSAL PREPARATION

The STATE discourages overly lengthy and costly proposals. An Offeror must prepare their proposal using the prescribed proposal format and provide all the requested information; this will enable the proposal to be evaluated fairly and completely. If an Offeror submits more than one proposal, each proposal must be prepared in accordance with these instructions.

Each proposal will include a Technical Proposal and a Cost Proposal prepared in accordance with these instructions. The Technical Proposal and the Cost Proposal must be submitted as separate documents, clearly labeled with the name of the Offeror, and marked “Technical Proposal” and “Cost Proposal.” Costs must not be revealed in the Technical Proposal. Options may be discussed in the technical proposal, but all cost information must be in the Cost Proposal only. DO NOT submit documents that are embedded into proposal documents or that contain links to documents on an external website.

4.2 PROPOSAL SUBMISSION INSTRUCTIONS

EMAIL

Sealed proposals are required; therefore, proposals cannot be submitted by email to the Procurement Officer.

UPLOAD RESPONSE THROUGH THE STATE PROCUREMENT ONLINE SYSTEM (SPO ONLINE):

Offeror must electronically submit proposals through the State Procurement Office Online system (SPO Online) by the Solicitation Closing deadline.

DO NOT WAIT UNTIL THE “LAST MINUTE” TO SUBMIT A RESPONSE. We recommend uploading your response 24 hours prior to the Solicitation Closing deadline.

Offeror must begin the electronic submission process well in advance of the Solicitation Closing deadline to allow for transmission and resolution of any technical difficulties. Be advised that the STATE is not responsible for an Offeror’s failure to timely submit a proposal due to any technical difficulties. If you experience any technical difficulties, contact the Procurement Officer or the State Procurement Office at infospo@nd.gov or 701-328-2740.

If documents are in the process of being uploaded when the Solicitation Closing deadline occurs, the upload process will stop. The attempted submission will not be uploaded successfully and is ineligible for consideration. The STATE takes no responsibility for electronic submissions that are captured, blocked, filtered, quarantined, or otherwise prevented from uploading by any anti-virus or other security software.

1. This solicitation is posted on SPO Online at: https://apps.nd.gov/csd/spo/services/bidder/main.htm

2. Select “Recent Solicitations” and find the solicitation. Solicitations are listed by close date.

3. Use “Upload Response” to upload a maximum of five (5) clearly labeled documents before the Solicitation Closing deadline provided in the RFP Schedule.

4. Offeror must upload their Technical Proposal and Cost Proposal in separate files.

5. The maximum file size allowed is 50 MB per file.

6. There is a 50 character file name limitation for the document being uploaded.

7. There is 75 character limit in the TITLE field within SPO Online.

8. All SPO Online field entries must be alphanumeric. Dashes and underscores are allowed; however, the system DOES NOT accept other special characters such as apostrophe, & symbol, quotation marks, etc.

9. DO NOT submit documents that are embedded (zip files), movies, wmp, encrypted, or mp3 files.

10. Offeror will receive an email confirmation from infospo@nd.gov that the upload response was received including the “File Description” for the uploaded files. Review this email to ensure all files were successfully uploaded. If Offeror DOES NOT receive an email confirmation, the upload was NOT successful, and the files will need to be uploaded again. If Offeror does not receive an email confirmation after the reattempt, contact the Procurement Officer or the State Procurement Office at infospo@nd.gov or 701-328-2740.

Visit https://www.omb.nd.gov/sites/www/files/documents/doing-business-with-the-state/procurement/spo-electronic-response-external-job-aid.pdf for the SPO Electronic Response Job Aid which describes how to submit an electronic response.

4.3 PROPOSAL FORMAT

Prepare the Technical Proposal and Cost Proposal in accordance with these instructions.

Technical Proposal – Format the proposal with the following labeled sections:

Section 1 – Cover Letter Section 2 – RFP Amendments Section 3 – Scope of Work Strategy Section 4 – Experience and Qualifications Section 5 – Contract Provisions Section 6 – Open Records and Confidentiality Section 7 – Financials

Cost Proposal – The Cost Proposal must be a separate document. Format the Cost Proposal following the RFP instructions.

4.4 TECHNICAL PROPOSAL

SECTION 1 – COVER LETTER

Proposals shall include a cover letter that includes the following:

1. The name of the Offeror, name of the person to contact regarding the proposal, email address, telephone number, and mailing address.

2. Offerors are instructed to review the “Conflict of Interest” provisions in RFP Section 1 “Instructions.” If the firm, its employees, or subcontractors working on the contract have an apparent or actual conflict of interest, provide a statement disclosing the circumstances of the apparent or actual conflict of interest. Otherwise, provide a statement that your firm, employees, and subcontractors do not have a conflict of interest.

3. The cover letter must be signed by an individual with authority to bind the Offeror. By signing the cover letter, an Offeror certifies that it complies with:

a. All the requirements, terms, and conditions as set forth in this RFP.

b. The requirement that the Offeror’s proposal accurately describes the goods and services being offered to the STATE, and the proposal will be held firm for the period specified.

c. All local, state, and federal laws, rules, code laws, rules, code, regulation, and policies, including those relating to nondiscrimination, accessibility, civil rights, and equal employment.

d. The requirement that this proposal was prepared independently without collusion.

SECTION 2 – RFP AMENDMENTS

Provide signed copies of all Solicitation Amendments issued by the STATE that were required to be acknowledged by Offerors.

SECTION 3 –SCOPE OF WORK STRATEGY

Offeror must review the requirements and deliverables provided in RFP Section 3, Scope of Work.

1. Applicable Directives. The Offeror must identify any state and federal requirements that apply to the contract.

2. Strategy for Scope of Work Requirements. The Offeror must provide narrative statements to demonstrate their understanding of the scope of work requirements. Explain the proposed strategy to accomplish the scope of work, meet all requirements, and provide the deliverables described in the scope of work within the STATE’s project schedule.

3. Value-Added Options. Offerors may include any optional services or goods that are not required by the STATE but are within the scope of work (e.g., an option for a higher level of service, equipment accessories, extended warranty options, etc.). Describe any value-added options being offered.

4. Location of Work. The proposal must respond to the STATE’s Location of Work instructions within the RFP Scope of Work. Describe where the work will be performed and any proposed travel.

5. State Furnished Property and Services. Provide a detailed breakdown of the Offeror’s expectations for STATE resources that will be needed for the project, including number of staff, qualifications, roles and responsibilities, and time requirements for the various phases of the project.

6. Risk Management. Offerors must describe measures to be taken to ensure the safety of its employees, state employees, the public, and property. Offerors must also identify any pertinent issues and potential problems related to the project and describe how those potential issues and problems could be mitigated.

7. Project Management Plan. The proposal must describe how the contractor intends to manage the project to ensure the work is accomplished on time, within budget, and meet quantity and quality standards. Offerors may provide a narrative or organizational chart to illustrate the lines of authority and accountability.

8. Proposed Schedule and Deliverables. The proposal must provide a timeline for accomplishing the work, in consideration of the STATE’s Contract Schedule within the RFP Scope of Work.

SECTION 4 –EXPERIENCE AND QUALIFICATIONS

Mandatory Requirements. An Offeror must provide information to demonstrate meeting the Offeror Experience and Qualifications Requirement in RFP Section 3, Scope of Work, Experience and Qualifications.

Experience and Qualifications of the Firm Provide a brief history and describe the organization of the firm. Describe the number of years the Offeror has provided the type of work requested in this RFP. Describe specific experience of their firm in completing similar projects. Provide a description of the project, approximate time frame of the project, and contact information for the customer. Offerors may provide letters of reference from customers.

Experience and Qualifications of the Project Team Provide a narrative or organizational chart that describes the organization of the proposed project team. Provide information for key project team members, including:

1. Description of anticipated work they will perform and approximate estimated hours;

2. Resume or description of the relevant education, training, experience, skills, and qualifications;

3. Offeror must provide a designated executive level contact that will act as a point of contact for any issues that need escalation or to discuss the needs of the STATE. This point of contact will be required to participate in any requested demonstration or presentation requested during the RFP process. They will discuss how the contract will be supported and how the Offeror and STATE will work together to ensure a successful outcome;

4. If the Offeror has vacant positions, identify the job description and minimum qualifications for staff members to be recruited;

5. Subcontractors. If an Offeror intends to use subcontractors, the Offeror must identify in the proposal the names of the subcontractors and the portions of the work the subcontractors will perform. Provide a statement that the Offeror will ensure that the subcontractor has or will obtain any required licenses and registrations, including registration with the North Dakota Secretary of State; and

6. Joint Venture. If submitting a proposal as a joint venture, provide narrative statements that describe the roles and responsibilities of each party to the joint vendor. If available, submit a copy of the joint venture agreement that identifies the parties involved and their rights and responsibilities.

References Provide three (3) references for similar projects the Offeror has completed. Offerors must include the name of a contact person, address, email, and telephone number. Offerors are responsible for providing accurate reference contact information and are instructed to notify the reference that the STATE may be contacting them. Reference checks may begin within one (1) business day of the Solicitation Closing deadline. Evaluation may be impacted if the STATE is unable to contact the reference or the reference does not provide the requested information in a timely fashion.

SECTION 5 – CONTRACT PROVISIONS

Offeror shall review the RFP Section 6 and the STATE’s contract – Attachment #2.

The proposal must indicate whether the Offeror accepts the terms and conditions in the STATE’s contract.

An Offeror may state that they accept the STATE’s contract as written.

An Offeror may state any objections or propose changes or additions to the STATE’s contract.

Describe the changes to the contract being proposed or provide a red-line of the STATE’s contract.

Offeror is not to submit their own contract or standard terms and conditions with their proposals.

Offeror should address the specific language in the attached contract and submit any proposed changes.

North Dakota procurement statutes, rules, and policies allow some negotiation of the terms and conditions. No changes to the terms and conditions will be permitted without prior written approval from the STATE.

SECTION 6 – OPEN RECORDS AND CONFIDENTIALITY

All proposals and other material submitted become the property of the STATE and may be returned only at the STATE’s discretion. The State of North Dakota has broad open records laws. Proposals received are exempt from open record requirements until an award is made, in accordance with N.D.C.C. § 54-44.4-10(2). After award, proposals are subject to the North Dakota open records laws. Proposals or portions of proposals may be confidential only if specifically stated in law.

Offerors are instructed not to mark their entire proposal as “confidential”.

Offeror must provide one of the following in their proposal:

• Provide a statement indicating that their proposal does not contain any confidential information, OR

• Make a written request to hold confidential any trade secrets and other proprietary data contained in their proposal. Offeror must clearly identify the material considered confidential and explain why the material is confidential. See the North Dakota Office of the Attorney General website for additional information at https://www.legis.nd.gov/cencode/t44c04.pdf and https://attorneygeneral.nd.gov/open-records-meetings

If the STATE receives a request for public information, the Procurement Officer, in consultation with the Office of the Attorney General, shall determine whether the information is an exception to the North Dakota open records laws, and the information shall be processed accordingly.

SECTION 7 – FINANCIALS

Financials Offeror shall provide financial information in such a manner that the STATE can reasonably formulate a determination about the stability and financial strength of the organization. The STATE may request reports on financial stability from independent financial rating services in order to further substantiate stability.

A. Firm. Provide a narrative with the following information:

1. Organization/date of incorporation;

2. Ownership;

3. Number of employees; and

4. Revenues for the last fiscal year.

B. Financials. Provide at least one of the following:

1. Audited financial statements for the most recent 3 years;

2. An Annual Report as verification of financial status provided it contains at a minimum a

Compiled Income Statement and Balance Sheet verified by a Certified Public Accounting firm (the STATE reserves the right to contact the accounting firm if questions arise); or

3. Tax returns and financial statements including income statements and balance sheets for the most recent 3 years, and any available credit reports.

Financial information may be kept confidential if it falls under the definition of such found within N.D.C.C. § 44-04-18.4(2) (b). Offerors must contact the Procurement Officer with questions related to the confidentiality of financial documents.

Financials may be provided in a separate file or sealed envelope clearly labeled with the Offeror’s name and identified as “Financials”.

C. Disclosure. Disclose all judgments, pending or expected litigation, or other real potential financial reversals, which might materially affect the viability or stability of the Offeror’s organization; or certify that no such condition is known to exist.

4.5 COST PROPOSAL

Total Cost. Cost proposals must provide the total proposed cost for completing the RFP requirements.

Itemized Costs. Include a detailed itemization of the Cost Proposal, including all direct and indirect costs:

One time or startup costs Ongoing/Lifecycle Costs (For example, consumables, maintenance and support, etc.)

Commodities/Equipment/Supplies Total labor, including a breakdown of the number of hours at the various hourly rates Subcontractor costs Travel expenses Overhead Etc.

Value-Added Options. Offeror may include pricing for any value-added options that are described in the Offeror’s proposal as options, but not included in the total cost. Any options must be within the scope of work (e.g., an option for a higher level of service, equipment accessories, extended warranty options, etc.). Provide details related to initial cost, reoccurring costs, and options. The STATE shall not consider these costs as part of cost evaluation scoring.

All costs must be stated in U.S. currency. Any commodities being imported must be identified, and the price must include any applicable shipping and handling, customs, brokerage agency fees, and duties.

Offeror should describe any discount terms for prompt payment. Discounts for prompt payment will not be considered in evaluating costs.

SECTION FIVE – AWARD AND PROPOSAL EVALUATION

5.1 AWARD

The STATE intends to award a contract to the responsible Offeror whose proposal is determined to be responsive to the requirements of the solicitation and is determined to be the most advantageous in consideration of the RFP evaluation criteria.

5.2 RESPONSIVENESS

All proposals will be evaluated to determine if they are responsive to the requirements of the solicitation. The STATE reserves the right to waive minor informalities in accordance with N.D.A.C.

chapter 4-12-10. Minor informalities are insignificant omissions or nonjudgmental mistakes that are matters of form rather than substance, evident from RFP document, with a negligible effect on price, quantity, quality, delivery, or contractual conditions that can be waived or corrected without prejudice to other Offerors. Responsive proposals will be evaluated by the Procurement Officer or evaluation committee using the evaluation criteria stated within the RFP.

5.3 RESPONSIBILITY – SUPPLEMENTARY INVESTIGATION

The STATE reserves the right to contact references, other customers, including state and local government agencies, regarding past experience with the Offeror. Prior experience of the state agency or institution with any prospective Offeror may also be taken into consideration during evaluation.

The STATE may, at any time, make a supplementary investigation as to the responsibility of any Offeror in accordance with N.D.A.C. § 4-12-11-04. This investigation may include, but is not limited to, financial responsibility, capacity to produce, sources of supply, performance record, or other matters related to the Offeror’s probable ability to deliver if a contract is awarded to the Offeror. If it is determined that an Offeror appears not to be sufficiently responsible, the proposal will be rejected.

5.4 EVALUATION CRITERIA

Proposals will be evaluated using a 100 point scale. The evaluation committee will award points based on the questions in the Technical Proposal Evaluation Worksheet – Attachment #1. The Technical Proposal evaluation score and Cost Proposal evaluation score will be added together to determine the total evaluation score. After the initial evaluation, the evaluation committee may determine which proposals are reasonably susceptible for award and continue the evaluation process with only those Offerors. Offerors whose proposals are not selected for further evaluation may request a debrief from the Procurement Officer after an award notice is issued. The final evaluation score will consider information received by the STATE, including but not limited to, discussions with Offerors, demonstrations, presentations, site visits, reference checks, and best and final offers.

The evaluation criteria and relative weight is as follows:

Technical Proposal Evaluation: 70 Points

A. Scope of Work Strategy – 40 Points B. Experience and Qualifications – 30 Points

Cost Proposal Evaluation: 30 Points

Preference Laws: Any applicable preference laws will be applied. For more information, refer to the Guidelines to Preference Laws.

5.5 COST PROPOSAL EVALUATION

The STATE will calculate evaluation points awarded to Cost Proposals. Any prompt payment discount terms proposed by the Offeror will not be considered in evaluating cost.

The reciprocal preference law, N.D.C.C. § 44-08-01, was repealed effective August 1, 2023.

The cost amount used for evaluation may be affected by the application of other costs required to implement the proposed solution to determine the total cost of the solution (i.e. cost for ITD to host a STATE hosted solution).

The lowest Cost Proposal will receive the maximum number of points allocated to cost. Cost proposals will be evaluated using the following formula.

Price of Lowest Cost Proposal Price of Proposal Being Rated X Total Points for Cost Available = Awarded Points

5.6 CLARIFICATIONS OF PROPOSALS – DISCUSSIONS

To determine if a proposal is reasonably susceptible for award, communications by the Procurement Officer or evaluation committee are permitted with an Offeror to clarify uncertainties or eliminate confusion concerning the contents of a proposal and determine responsiveness to the RFP requirements. Discussions will be limited to the specific section of the RFP or proposal indicated by the STATE. Discussions are generally conducted by telephone or internet-based conference.

In conducting discussions, there may be no disclosure of any information derived from proposals submitted by competing Offerors. Clarifications may not result in material or substantive change to the proposals. Evaluation scores may be adjusted based in consideration of information obtained through discussions.

5.7 RIGHT OF REJECTION

The STATE reserves the right to reject any proposals, in whole or in part. Proposals received from suspended or debarred bidders will be rejected. Proposals determined to be nonresponsive to the requirements of the RFP will be rejected. The STATE reserves the right to reject the proposal of an Offeror determined to be not responsible. The STATE reserves the right to refrain from making an award if determined to be in its best interest.

5.8 BEST AND FINAL OFFERS

The STATE is not obligated to request best and final offers; therefore, Offerors should submit their best terms (technical and cost) in response to this RFP.

If the STATE determines there is a need for additional information, substantial clarification or changes to the RFP or proposals, the STATE may request for best and final offers from Offerors that have submitted proposals determined to be reasonably susceptible for award. The best and final offer request will describe the additional information, clarification, or change being requested.

A date and time will be established for receipt of revised proposals. If an Offeror does not submit a best and final offer, the STATE shall consider its original proposal its best and final offer. Best and final offers will be evaluated using the evaluation criteria stated in the RFP. The STATE may request more than one best and final offer.

5.9 TIE PROPOSALS

In the event that two or more proposals contain identical pricing or receive identical evaluation scores, N.D.C.C. § 54-44.4-05.1 requires preference must be given to a resident North Dakota bidder, seller, vendor, offeror, or contractor as defined in N.D.C.C. § 44-08-02. In the event the tie is not resolved by application of this law, N.D.A.C. § 4-12-11-05 will be applied.

5.10 NEGOTIATIONS

Contract negotiations will be conducted in accordance with N.D.A.C. § 4-12-12. The STATE may enter negotiations with one or more Offeror whose proposals received the highest scores and are reasonably susceptible for award. During negotiations, the STATE and Offeror may agree to alter or otherwise change the terms and conditions and price of the proposed contract. Negotiation, if held, will be within the scope of the RFP and limited to those items that would not have an effect on the ranking of proposals.

Each Offeror will be responsible for all costs it incurs as a result of negotiations, including any travel and per diem expenses. Contract negotiations will be conducted primarily by email, conference calls, or internet-based conference. Any on-site negotiation, if needed, will be held in Minot, North Dakota.

The STATE may terminate negotiations, reject a proposal as nonresponsive, and continue or commence negotiations with other Offerors reasonably susceptible for award, if the Offeror:

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