STATE OF MAINE

Office of the State Treasurer

RFP# 202510144

Debt Management Financial Advisor

RFP Coordinator

Submitted Questions Due Date

January 21, 2026, no later than 4:00 p.m., local time

TABLE OF CONTENTS

Page

A. PURPOSE AND BACKGROUND

B. GENERAL PROVISIONS

C. ELIGIBILITY TO SUBMIT BIDS

D. CONTRACT TERM

E. NUMBER OF AWARDS

A. QUESTIONS

B. AMENDMENTS

C. PROPOSAL SUBMISSION

A. EVALUATION PROCESS – GENERAL INFORMATION

B. SCORING WEIGHTS AND PROCESS

C. NEGOTIATIONS

D. SELECTION AND AWARD

E. APPEAL OF CONTRACT AWARDS

A. CONTRACT DOCUMENT

B. STANDARD STATE CONTRACT PROVISIONS

APPENDIX A – PROPOSAL COVER PAGE

APPENDIX B – RESPONSIBLE BIDDER CERTIFICATION

APPENDIX C – QUALIFICATIONS AND EXPERIENCE FORM

APPENDIX D – SUBCONTRACTORS FORM

APPENDIX E – PROPOSED SERVICES FORM

APPENDIX F – ADDITIONAL INFORMATION FORM

APPENDIX G -- COST PROPOSAL

PUBLIC NOTICE

State of Maine Office of the State Treasurer

RFP# 202510144

Debt Management Financial Advisor

The State of Maine is seeking proposals for debt advisory and consultation services for the State Treasurer’s debt portfolio.

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

Proposals must be submitted to the Office of State Procurement Services, via Vendor Self Service (VSS). Proposal submissions must be received no later than 4:00 p.m., local time, on February 10, 2026. Proposals will be opened the following business day.

RFP TERMS/ACRONYMS with DEFINITIONS

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

State of Maine Office of the State Treasurer

RFP# 202510144

Debt Management Financial Advisor

PART I INTRODUCTION

A. Purpose and Background

The Office of the State Treasurer (OST) is seeking proposals from qualified financial advisory firms to provide debt advisory and consultation services for the State Treasurer’s debt portfolio as defined in this Request for Proposals (RFP) document. This document provides instructions for submitting proposals, the procedure and criteria by which the Provider(s) will be selected, and the contractual terms which will govern the relationship between the State of Maine (“State”) and the awarded Bidder(s).

OST is responsible for issuing General Obligation notes and bonds for the State of Maine. OST prepares the proposals, obtains the approvals, prints the bonds and notes, receives bids, and closes the sale. Records are maintained on all issues and debt is tracked. Continuing disclosure is the responsibility of OST.

As of June 30, 2025, there were outstanding general obligation bonds of the State in the principal amount of $360.52 million. The State had $65 million in Authorized but Unissued general obligation bonds as of December 31, 2024.

The State’s general obligation bonds all have a maturity of no more than 10 years and are generally issued once a year in May or June and usually at a fixed rate. Bond ratings as of March 31, 2025, are as follows:

General Obligation Bonds: Moody's (Aa1), S&P (AA)

OST currently manages the following activities related to the sale of the State’s general obligation notes and bonds: working with state agencies to determine the amount of sale, managing the preparation of the official statements, scheduling calls and meetings with rating agencies, pricing, receiving and verifying bids, and coordinating settlement. OST, in conjunction with bond counsel, currently handles matters related to the post-sale compliance with the Federal government and determines the arbitrage rebate liability. Throughout the year, OST manages relationships with the rating agencies by providing updated financial information (e.g., budgets, revenue estimates, CAFR). Payments for debt service on general obligation bonds are made by OST. OST projects future debt service and assists in preparation of budgets for debt service. In addition, OST is responsible for short-term borrowing through bond and tax anticipation notes and all related activities.

Official Statements for General Obligation Bonds and Bond Anticipation notes can be found at: https://www.maine.gov/treasurer/debts-bonds/official-statements.

B. General Provisions

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

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

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

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

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

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

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

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

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

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

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

C. Eligibility to Submit Bids

The firm must be currently registered as a municipal advisor with the SEC and MSRB and remain such throughout the term of the proposed contract.

D. Contract Term

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

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

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

E. Number of Awards

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

PART II SCOPE OF SERVICES TO BE PROVIDED

A. Advise OST on all matters related to the sale of bonds and maintenance of debt portfolio.

1. This is to include insight on general market conditions and outlook for bonds and notes including, but not limited to new issues, new products, market trends and investor preference;

2. Provide OST advice on the structuring of issues including the use and amount of fixed and variable rate debt, private vs. public placement, serial and term bonds, insured vs. uninsured securities, callable vs. non-callable securities, premium vs. par and discounted securities, maturity schedules, and other structuring options to achieve the lowest rates while maintaining or improving the State’s credit ratings;

3. Provide assistance to OST via virtual meetings, and/or in person meetings (as requested by the Agency) on; rating agency matters and strategies for Agency meetings including the preparation of a briefing book for Agency visits, scheduling of meetings, identification and background of rating Agency personnel and synopsis of their likely concerns. Including the preparation of a briefing book for agency visits, scheduling of meetings, identification and background of rating agency personnel and synopsis of their likely concerns;

4. Provide OST advice on all issues related to the marketability of State bonds and provide analyses related to the marketing of bonds, including analysis of underwriter relations and negotiated versus competitive sales, bids, and contracts;

5. Inform OST of statutory and regulatory changes imposed by Congress, the US Treasury and other regulatory agencies, including but not limited to IRS, SEC and MSRB rules and policies;

6. Provide OST advice on other matters as requested including but not limited to, matters related to debt affordability, budgeting of debt service, and alternative ways to finance capital projects other than general obligation bonds, such as the use of short-term financing programs, lines of credit, letters of credit, commercial paper, public-private partnerships, GARVEE securities, securitization of tobacco settlements, etc.;

7. Provide guidance to OST on post sale compliance matters as requested;

8. Provide guidance to OST on the investment of bond proceeds;

B. Provide OST with Documents, Analysis and Publications.

1. When requested by OST, analyze various proposals that are presented;

2. Provide any newsletter and other informational material routinely provided to clients;

3. Complete post bond sale analyses. In negotiated sales, review bond underwriter performance and costs of issuance. Arrange for a pricing book which includes a statement reflecting the financial advisor’s opinion as to the fairness and reasonableness as to the timing of the sale, the gross underwriting spread, and the pricing of the securities. Report on the results of the sale compared to similar transactions in the market and the distributions of bonds among underwriters. For competitive sales, compare the results with MMD, other indices, and other similar transactions in the market at the time of the sale;

C. Assist OST in the sale of bonds and presentations to rating agencies.

1. Assist in the preparation of Preliminary and Final Official Statements and other offering documents;

2. Assist as needed in making presentations on proposed bond sales to rating agencies, elected officials, and potential purchasers of bonds;

3. Attend bond sales in person or via phone and assist in the evaluation of bids for both competitive and negotiated sales and recommend acceptance of bids. Review and advise OST as to the reasonableness of the timing of the sale, the gross underwriting spread and the price of the securities;

4. Assist OST in the procurement and selection of agents and services necessary or desirable for the sale and issuance of state bonds, including but not limited to verification agents, underwriters, dealers, insurers, liquidity providers, paying agents, printers and electronic bidding and posting services. Review the performance of any of these entities at the request of OST;

5. Provide assistance, and when appropriate, training to OST staff in order to enhance OST capacity for managing a variety of bond-related activities;

D. Perform other tasks consistent with the purpose of this contract as may be specified by OST including any other service necessary, customary, or incidental to the sale and issuance of debt and financing of capital projects.

PART III KEY RFP EVENTS

A. Vendor Self Service System (VSS)

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

Only documents published in VSS will be considered binding.

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

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

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

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

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

B. Questions

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

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

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

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

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

C. Amendments

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

D. Proposal Submission

1. Proposals Due

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

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

2. Delivery Instructions

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

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

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

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

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

3. Submission Format:

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

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

· Appendix A (Proposal Cover Page)

· Appendix B (Responsible Bidder Certification)

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

File 2 [Bidder’s Name] – Organization Qualifications and Experience PDF format preferred, and must include:

· Appendix C (Organization Qualifications and Experience Form)

· Appendix D (Subcontractors Form)

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

File 3 [Bidder’s Name] – Proposed Services PDF format preferred, and must include:

· Appendix E (Proposed Services Form)

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

File 4 [Bidder’s Name] – Cost Proposal Excel format preferred, and must include:

· Appendix G (Cost Proposal Form)

PART IV PROPOSAL SUBMISSION REQUIREMENTS

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

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

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

Proposal Format and Contents

Section I Preliminary Information (File #1)

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

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

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

a. Certificate of Current MSRB Registration

b. SEC Form MA

Section II Organization Qualifications and Experience (File #2)

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

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

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

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

5. Financial Viability Bidders must provide the following information for each of the past three tax years:

a. Balance Sheets

b. Income (Profit/Loss) Statements

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

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

Section III Proposed Services (File #3)

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

2. Additional Information Form Bidders must complete Appendix F (Additional Information Form). Bidders must provide a narrative to each item as they relate to the requested services in the RFP.

Section IV Cost Proposal (File #4)

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

2. General Instructions

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

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

PART V PROPOSAL EVALUATION AND SELECTION

Evaluation of the submitted proposals will be accomplished as follows:

A. Evaluation Process – General Information

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

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

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

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

B. Scoring Weights and Process

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

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

3. Scoring the Cost Proposal: The total cost proposed for conducting all the functions specified in the RFP will be assigned a score according to a mathematical formula. The lowest bid will be awarded 30 points. Proposals with higher bid values will be awarded proportionately fewer points calculated in comparison with the lowest bid.

The scoring formula is:

(Lowest submitted cost proposal / Cost of proposal being scored) x 30= pro-rated score

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

C. Negotiations

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

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

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

D. Selection and Award

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

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

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

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

E. Appeal of Contract Awards

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

PART VI CONTRACT ADMINISTRATION AND CONDITIONS

A. Contract Document

1. The awarded Bidder will be required to execute a State of Maine Service Contract with appropriate riders as determined by the issuing department.

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

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

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

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

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

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

B. Standard State Contract Provisions

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

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

PART VII LIST OF RFP APPENDICES AND RELATED DOCUMENTS

Appendix A – Proposal Cover Page

Appendix B – Responsible Bidder Certification

Appendix C – Qualifications and Experience Form

Appendix D – Subcontractors Form

Appendix E – Proposed Services Form

Appendix F – Additional Information Form

Appendix G – Cost Proposal Form

APPENDIX A

Office of the State Treasurer

PROPOSAL COVER PAGE

RFP# 202510144

Bidder Name:

Chief Executive - Name/Title:

Tel:

E-mail:

Headquarters Street Address:

Headquarters City/State/Zip:

(Provide information requested below if different from above)

Lead Point of Contact for Proposal - Name/Title:

Tel:

E-mail:

Headquarters Street Address:

Headquarters City/State/Zip:

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

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

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

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

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

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

Name (Print):

Title:

Authorized Signature:

Date:

APPENDIX B

Office of the State Treasurer

RESPONSIBLE BIDDER CERTIFICATION

RFP# 202510144

Bidder Name:

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

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

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

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

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

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

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

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

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

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

Name (Print):

Title:

Authorized Signature:

Date:

APPENDIX C

Office of the State Treasurer QUALIFICATIONS and EXPERIENCE FORM

RFP# 202510144

Bidder Name:

Present a brief statement of qualifications. Describe the history of the Bidder’s organization, especially regarding skills pertinent to the specific work required by the RFP and any special or unique characteristics of the organization which would make it especially qualified to perform the required work activities. The Bidder may expand this form and use additional pages to provide this information.

Provide a description of projects the Bidder performed which occurred within the past five (5) years and reflect experience and expertise needed in performing the functions described in Part II – Scope of Services to be Provided of the RFP. The Bidder may expand this form and use additional pages to provide this information.

If the Bidder has not provided similar services, note this, and describe experience with projects that highlight the Bidder’s general capabilities.

Project One

Client Name:

Client Contact Person:

Telephone:

E-Mail:

Project Start/End Dates:

Brief Description of Project

Project Two

Client Name:

Client Contact Person:

Telephone:

E-Mail:

Project Start/End Dates:

Brief Description of Project

Project Three

Client Name:

Client Contact Person:

Telephone:

E-Mail:

Project Start/End Dates:

Brief Description of Project

APPENDIX D

Office of the State Treasurer

SUBCONTRACTORS FORM

RFP# 202510144

Bidder Name:

Subcontractors If subcontractors are to be used, Bidders must use the tables below to describe the name, address, phone number, contact person, and a brief description of the subcontractors’ organizational capacity and qualifications.

Subcontractor 1

Subcontractor Name:

Contact Person:

Telephone:

E-Mail:

Brief Description of Anticipated Role and Qualifications

Subcontractor 2

Subcontractor Name:

Contact Person:

Telephone:

E-Mail:

Brief Description of Anticipated Role and Qualifications

Subcontractor 3

Subcontractor Name:

Contact Person:

Telephone:

E-Mail:

Brief Description of Anticipated Role and Qualifications

APPENDIX E

Office of the State Treasurer

PROPOSED SERVICES FORM

RFP# 202510144

Bidder Name:

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

APPENDIX F

Office of the State Treasurer

ADDITIONAL INFORMATION FORM

RFP# 202510144

Debt Management Financial Advisor

Provide a narrative for each listed below.

APPENDIX G

Office of the State Treasurer

COST PROPOSAL FORM

RFP# 202510144

Bidder’s Organization Name:

Proposed Cost:

(The amount entered here should represent the proposed cost for the entire period of the initial 3-year contract)

Description

Proposed Annual Fee

Assist and advise OST on all matters related to the sale of bonds and maintenance of debt portfolio

Provide OST with Documents, Analysis and Publications

Assist OST in the sale of bonds and presentations to rating agencies

Perform other tasks consistent with the purpose of this contract as may be specified by OST including any other service necessary, customary, or incidental to the sale and issuance of debt and financing of capital projects

Other

Special Instructions

1. Bidders must submit a cost proposal that covers the Initial Period of Performance 7/1/2026 and ending on 2/28/2029 as defined in Part I of the RFP.

2. The Proposed Cost will be used to score the cost proposal as defined Part V, B, 3 of the RFP.

3. The Proposed Cost must be presented as a fixed amount.

State of Maine RFP# 202510144 1 Rev. 10/21/2025 – DAFS/Office of State Procurement Services image1.jpeg