RFP 26-001 - RFP document 07.27.26.pdf

RFP 26-001 - Record Retention and Management Services Page 1 of 26

REQUEST FOR PROPOSAL

SOLICITATION NUMBER:

RFP 26-001

FOR THE PROCUREMENT OF:

Record Retention and Management Services

SOLICITATION RELEASE DATE:

Tuesday, July 28, 2026

RESPONSE DUE DATE:

Wednesday, September 30, 2026 by 3:00pm ET

NYS OFFICE OF MENTAL HEALTH Record Retention and Management Services

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Table of Contents

Contents

1. INTRODUCTION

2. KEY DATES AND EVENTS

3. ISSUING OFFICE/DESIGNATED CONTACTS

4. TERMS & DEFINITIONS

5. SCOPE OF WORK

5.1. Overview and Background

5.2. Services Required

5.3. Offeror Minimum Qualifications to Bid

5.4. Staff Qualifications and Requirements

5.5. Ongoing Operations and Services .......................................... Error! Bookmark not defined.

5.5.1 Termination and Transition to New Vendor

5.5.2. Termination and Transition to New Vendor Plan

5.5.3. Termination and Transition Responsibilities

6. SOLICITATION EVENTS

6.1. Intent to Bid

6.2. Pre-Bid Conference

6.3. Question and Answer Period

6.4. Response Due Date

7. PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS

7.1. Proposal Format

7.2. Administrative Proposal

7.2.1. MWBE/EEO/SDVOB Requirements

7.2.2. Procurement Lobbying Requirements

7.2.3. Vendor Responsibility Questionnaire

7.2.4. Encouraging the Use of New York State Subcontractors and Suppliers

7.2.5. Freedom of Information Law – Proposal Redactions

7.2.6. Additional Forms

7.3. Technical Proposal

7.3.1. Cover Letter and Proposal Response Forms

7.3.2. Executive Summary

7.3.3. Offeror Qualifications

7.3.4. Technical Proposal Response

7.3.4.1 Part 1: Written Technical Proposal

7.3.4.2 Part 2: Site Visit to Offeror's Storage Facility

7.4. Financial Proposal

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7.4.1. Financial Proposal Summary

7.4.2. Financial Proposal Worksheets

7.5. Proposal Submission

7.6. Mandatory Bid Submission Requirements

8. EVALUATION AND AWARD

8.1. Determination/Method of Award

8.2. Evaluation Process and Criteria

8.2.1. Initial Screening – Administrative and Mandatory Requirement Assessment (Pass/Fail – No

Points) ………………………………………………………………………………………………………..18

8.2.2. Technical Proposal Evaluation (70 Points)

8.2.3. Cost Proposal Evaluation (30 Points)

9. ADMINISTRATIVE INFORMATION

9.1. Term of the Agreement

9.2. Debriefing

9.3. Protest Procedures

9.4. Right To Modify

9.5. Freedom of Information Requirements

9.6. Vendor Responsibility

9.7. Sales and Compensating Use Tax Certification (NYS Tax Law, § 5-A)

9.8. Extraneous Terms

9.9. Clarification Process

9.10. Material Deviations

9.11. New Releases and Advertising

9.12. Executive Order No. 16: Prohibiting State Agencies and Authorities from Contracting with

Businesses Conducting Business in Russia

9.13. Executive Summar No. 22: Leading By Example: Directing State Agencies to Adopt a

Sustainability and Decarbonization Program

10. INSURANCE REQUIREMENTS

10.1. Proof of Workers’ Compensation Coverage

10.2. Proof of Disability Benefits Coverage

10.3. Additional Insurance Information

11. OMH RESERVED RIGHTS

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1. INTRODUCTION

The NYS Office of Mental Health (OMH) is seeking proposals from experienced and qualified records retention contractors to perform Record Retention and Management Services under five (5) year contracts on behalf of the following entities:

• C202946 - Central New York Psychiatric Center (CNYPC) – Marcy, NY

& Community Based Operations (CBOs) – statewide

• T203101 - Secure Treatment and Rehabilitation Center – Oakview (STARC-OV) – Marcy, NY

• T203102 - Secure Treatment and Rehabilitation Center – Bridgeview (STARC-BV) – Ogdensburg, NY

Minority and Women-Owned Business Enterprise Goal (MWBE): 0%

Service-Disabled-Veteran Owned Business Enterprise Goal (SDVOB): 0%

Anticipated Contract Term(s): Five (5) years, effective April 01, 2027

The contract(s) resulting from this RFP shall be awarded to the responsive and responsible Offeror whose proposal demonstrates the Best Value based on a formal evaluation process comprised of a combination of technical and financial factors as defined in this solicitation document.

“Best Value” is defined as that proposal that meets the mandatory requirements and receives the highest overall composite score based on a technical evaluation and financial evaluation. OMH anticipates making a single Best Value determination and awarding a total of three (3) contracts to the selected Offeror, consisting of one (1) contract for CNYPC and two (2) separate smaller contracts for the participating STARC locations.

The RFP Financial Proposal evaluation shall be scored per the sum of Offeror’s Financial Proposals for all three (3) contracts.

OMH reserves the right to seek clarifications, evaluate and/or reject all proposals in whole or in part, and to waive or modify technicalities, irregularities, and omissions or solicit new proposals if in the Agency’s sole judgement, the best interests of the State shall be served. Following contractor selection, and prior to contract signing, OMH reserves the right to further negotiate costs or other specifics with the tentative awardee.

Please refer to Section 8.1, Determination/Method of Award for further details.

2. KEY DATES AND EVENTS

Event Date/Time

Solicitation Publication Date: Tuesday, July 28, 2026

Attachment B - Intent to Bid Submission Date: Monday, August 10, 2026 by 3:00pm ET

Attachment B-1 - Mandatory Pre-Bid Conference Registration Due Date:

Monday, August 10, 2026 by 3:00pm ET

Mandatory Pre-Bid Conference (Webex) Date & Time: Wednesday, August 12, 2026 at 11:00am ET

Offeror Question Submission Due Date: Wednesday, August 26, 2026 by 3:00pm ET

Issuance Date of Responses to Questions: Wednesday, September 9, 2026

Proposal Submission Due Date & Time: Wednesday, September 30, 2026 by 3:00pm ET

Mandatory OMH Site Visits to Offerors’ Storage Facilities: Week of October 12 & October 19, 2026 (TBD)

Notification of Selection for Award: Early November 2026

Contract Approval/Award Notification Date: Upon OSC Approval

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OMH reserves the right to change any of the dates stated in this solicitation. Such changes will be published as Addendums to the solicitation.

3. ISSUING OFFICE/DESIGNATED CONTACTS

The issuing Agency for this solicitation is the NYS Office of Mental Health (OMH). Pursuant to State Finance

Law §139-j and §139-k, this solicitation includes and imposes certain restrictions on communications between OMH and vendor during the procurement process. All inquiries/communications regarding this procurement must be addressed to the Designated Contacts listed below.

Purpose Designated Contact Designated Contact Email Address

Procurement/Solicitation 1 Peter A. Rogers, Contract Management Specialist I, Bureau of Procurement Enterprise Services peter.rogers@omh.ny.gov

Procurement/Solicitation 2 Andrew Alliger, Contract Management Specialist II, Bureau of Procurement Enterprise Services andrew.alliger@omh.ny.gov

Technical/Facility Donna Lince, Business Officer I, CNYPC donna.lince@omh.ny.gov

State Finance Law 139-j and 139-k imposes a “Restricted” Period for the duration of this procurement, which is defined as “The period of time commencing with the earliest written notice, advertisement, or solicitation intending to result in a procurement contract with OMH and ending with the final contract award

(if applicable) by the New York State Office of the State Comptroller (OSC).

During the Restricted Period, no vendor-initiated contact with an OMH Official shall be permitted regarding this procurement except as provided herein. This prohibition applies to any oral, written, or electronic communication under circumstances where a reasonable person would infer that the communication was intended to influence this procurement. Violation of any of the requirements described in this section may be grounds for a determination that the vendor is non-responsible and therefore in illegible for contract award pursuant to this procurement. Two (2) violations within four (4) years of the rules against impermissible contacts during the restricted period may result in the violator being de-barred from participating in any OMH procurement for a period of four (4) years from the date of debarment.

4. TERMS & DEFINITIONS

The terms “shall”, “must”, and “will” are used interchangeably to designate mandatory requirements and obligations.

The terms “should”, and “may” are used interchangeably to designate preferred but non-mandatory requirements and obligations.

The terms “bidder”, “offeror”, “vendor”, “proposer”, and “supplier” may be used interchangeably and shall have the same meaning.

The terms “OMH”, “Facility”, “Hospital(s)”, “PC”, and “Psychiatric Center” may be used interchangeably and shall have the same meaning unless otherwise defined.

5. SCOPE OF WORK

5.1. Overview and Background

Central New York Psychiatric Center (CNYPC) in Marcy, NY is a maximum-security Office of Mental

Health (OMH) hospital serving incarcerated individuals within the NYS Department of Correctional and Community Supervision (DOCCS) and county jails, as well as civilly committed individuals who

RFP 26-001 - Record Retention and Management Services Page 6 of 26 have been transferred from DOCCS directly to CNYPC in accordance with the Sexual Offender

Management Treatment Act (SOMTA).

Pursuant to SOMTA, OMH operates two Secure Treatment and Rehabilitation Center (STARC) programs to provide sex offence-specific treatment for people committed under Mental Hygiene Law

Article 10. STARC-Oakview (STARC-OV) shares a campus with CNYPC (9005 Old River Road, Marcy, NY 13403). STARC-Bridgeview shares a campus with St. Lawrence Psychiatric Center

(SLPC, 1 Chimney Point Drive, Ogdensburg, NY 13669).

CNYPC and the thirty-one (31) Corrections Based Operations (CBOs), as well as the two STARC programs, create and maintain clinical records for all patients who actively receive mental health services. Additionally, thousands of screening records are created each year for individuals who are interviewed by CNYPC staff to determine a need for services. All clinical records and screening records (hereafter referred to as ‘records’) are confidential, protected by New York State and Federal

Privacy Laws and must be retained indefinitely. Records are routinely sent to off-site archive record storage and retrieved as needed.

5.2. Services Required

Similar but separate scopes of work are included for each of the following:

• C202946 - CNYPC-CBOs

• T203101 - STARC-Oakview

• T203102 - STARC-Bridgeview

See draft contract boilerplates for each of the above provided as part of the RFP solicitation package.

5.3. Offeror Minimum Qualifications to Bid

The Offeror must submit documentation for satisfying Offeror minimum qualifications (below).

The Offeror must submit satisfactory evidence that it has at least five (5) years’ experience within the past ten (10) years in implementing, maintaining, and supporting Record Retention and Management

Services for clients who have multiple locations such as inpatient hospitals, offsite outpatient programs/locations, etc.

The proposed Record Retention and Management Services must be a commercially available system and have been in full production for the last thirty-six (36) months for at least three (3) clients. A portion of each of those three (3) clients’ annual reimbursement must be, in part, from direct claiming of

Medicaid and/or Medicare.

5.4. Staff Qualifications and Requirements

The Offeror must demonstrate that it has the staffing resources with the necessary skills, training, and experience that would be dedicated to the implementation, maintenance, and support of the Record

Retention and Management Services.

For each proposed staff member, the Offeror must provide the resource’s resume and information regarding the qualifications, skills, training, and experience.

The Offeror must provide at least two (2) client reference projects/assignments for each proposed staff member. Each candidate’s client references must include implementations within the past 5 years. The dates of the relevant experience must be included in the resume and the Staff Qualification Form.

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OMH shall have the right to require the Offeror to remove any individual assigned to this project, at any time during the term of this contract, at OMH’s sole and absolute discretion. The Offeror shall replace the individual with an individual with equivalent or higher skills and experience at OMH’s discretion.

The Offeror shall immediately notify OMH of the resignation or discharge of the primary points of contact assigned to this project. Transfer of knowledge must occur prior to the departure of any staff members.

The Offeror shall propose a qualified replacement for OMH’s review and approval.

5.5. Ongoing Operations and Services

5.5.1. Termination and Transition to New Vendor

Continuity and performance of Record Retention and Management Services at all times throughout the contract term is a critical requirement. It is the prime responsibility of the Vendor to ensure continuity of Record Retention and Management Services during the contract term including the period in which OMH would transition to a new Vendor. The Vendor must provide

OMH with a full explanation on how it will handle a transition situation at the end of the contract period. At the direction of OMH, the Vendor must provide any and all data to the new Vendor.

5.5.2. Termination and Transition to New Vendor Plan

The Vendor must provide a Termination and Transition to New Vendor Plan which includes a description of the methods and processes which will be utilize to transition to a new Vendor at the end of the contract period. This Termination and Transition Plan will include:

• The development of the tasks necessary to terminate the existing services and transition to the new Record Retention and Management Services vendor;

• Defines the Termination and Transition functions and responsibilities;

• Establishes the Termination and Transition;

• Describes the Termination and Transition processes at the end of the contract period.

5.5.3 Termination and Transition Responsibilities

The current Vendor must assist the succeeding Vendor in the transition from the current Vendor’s services to the new Vendor’s Record Retention and Management Services. The current Vendor shall support end-of-contract transition efforts by providing technical and project support. The focus of this support will be on knowledge transfer, and in the planning and assisting in the execution of the cutover and transition.

Ther Termination and Transition Responsibilities include, but are not limited to:

• Providing knowledge transfer to OMH and the new Vendor

• Providing sufficient experienced personnel during this transition period to ensure an efficient and smooth transition.

• Providing necessary handholding and transition support to ensure the continuity and performance of the services to the new Vendor.

• Ensuring that all the documentation of OMH’s current processes and procedures are kept up to date and all such documentation is handed over to OMH and the successor Vendor during the transition process.

• The selected Vendor must not delete any data at the end of the contract term without the express approval of OMH. Data retention during the transition period must comply with the standards set forth in this RFP.

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6. SOLICITATION EVENTS

6.1. Intent to Bid

Interested Offerors are requested to indicate their Intent to Bid by submitting their Attachment B via email to the Designated Contact(s), peter.rogers@omh.ny.gov and andrew.alliger@omh.ny.gov, listed in this solicitation document on or before intent to bid due date. Submission of an Intent to Bid is discretionary unless otherwise explicitly stated within the solicitation.

If you opt not to submit a proposal in response to this solicitation, please return Attachment B-2, No

Bid Explanation Form, as per instructions no later than the proposal due date and time.

6.2. Mandatory Pre-Bid Conference

A Mandatory Pre-Bid Conference is scheduled for Wednesday, August 12, 2026 at 11:00am ET. The format shall be an informational presentation about procurement provided via Webex.

The Pre-Bid Conference is an opportunity for interested Offerors to learn more about this procurement.

Only those Offerors who attend the mandatory pre-bid conference are eligible to submit a proposal in response to this RFP solicitation.

To register to attend the Pre-bid Conference, Offerors must return the completed Attachment B-1 Pre-

Bid Conference Registration form contained within the Library of Attachments that is included with this solicitation. The Pre-bid Conference Registration form should be submitted no later than Monday, August 10, 2026 by 3:00pm ET.

Upon OMH receipt of the Pre-bid Conference Registration form, interested Offerors shall be added to the Webex invite.

Questions asked, and answers given, during the course of the Pre-bid conference are not considered official or binding. Offerors must submit questions in writing per the instructions of the Question and

Answer period as stated in the solicitation in order to receive an official response.

6.3. Question and Answer Period

The Question and Answer period is an opportunity for interested Offerors to submit questions and requests for clarification with regards to this solicitation. All questions and requests for clarification should cite the associated section, paragraph, and page number where applicable. In order to receive an official response, all questions must be submitted in writing to the Designated Contact(s) by

Wednesday, August 26, 2026 by 3:00pm ET. Questions received after the due date and time are not guaranteed a response.

A complete list of the submitted questions and OMH’s official responses shall be posted to the NYS

Contract Reporter ad for this solicitation as well as distributed via email to all interested and known potential Offerors by OMH by Wednesday, September 9, 2026.

The Question and Answer document will not include the names of the entity that submitted the question.

Offerors will remain anonymous to the extent allowed by the law.

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6.4. Response Due Date

Proposals must submitted electronically via email to the Issuing Office by Wednesday, September 30, 2026 at 3:00pm ET. No facsimile or hard copy proposals will be accepted. It is the Offeror’s responsibility to ensure that the proposal is received by the Issuing Office by the Proposal Submission due date and time.

Proposals received via email by the Issuing Office must conform with the information and submission formats requested herein, or attached hereto, under the terms and conditions of this solicitation.

Proposals received via email after the Proposal Submission due date or time will be disqualified from consideration. Submitted proposals will not be opened by the Issuing Office until after the Proposal

Submission due date and time.

The OMH will provide a confirmation email that the proposal has been received.

The email subject line must include the following information: The Solicitation Number and Vendor

Name. If the proposal requires files be sent in multiple emails, indicate the email number, e.g. 1 of 2.

Electronic submissions must be emailed to: bids@omh.ny.gov with cc to peter.rogers@omh.ny.gov and andrew.alliger@omh.ny.gov.

If opt not to submit a proposal in response to this solicitation, please return Attachment B-2, No Bid

Explanation Form, as per instructions no later than the Proposal Submission due date and time.

Proposals that are illegible, incomplete, or that contain any omissions, erasures, alterations, additions or items not called for in the solicitation or that contain irregularities of any kind may be rejected. All costs associated with the preparation of a bid are the responsibility of the Offeror. Offerors may modify, in writing, the content of any proposal at any time prior to the Proposal Submission due date and time.

Proposals may also be withdrawn or canceled before the Proposal Submission due date and time.

7. PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS

7.1. Proposal Format

The rules established for submission content and format will be enforced. Variations from the rules prescribed herein may subject the Offeror to outright disqualification.

All proposals must be in the possession of the OMH designated contact(s) by Wednesday, September

30, 2026 by 3:00pm ET. It is the sole responsibility of the Offeror to ensure the proposal is received by the Proposal Submission due date and time. No late submissions shall be accepted.

It shall be the responsibility of each Offeror to see that its material is appropriately contained in some accessible form that best guards against the loss of property in transmission or in handling by OMH once received.

The following sections describe the required format and information to be provided by each Offeror.

Offerors responding to this RFP must satisfy all requirements stated in this RFP. All Offerors are required to submit complete Administrative, Technical and Financial Proposals. A proposal that is incomplete in any material respect may be rejected.

To expedite review of the proposals, Offerors are instructed to submit Administrative, Technical, and

Financial Proposals in separate files, formatted with delineated responses to each section of each proposal. This separation of information will facilitate the review of the material requested. No mailto:bids@omh.ny.gov mailto:peter.rogers@omh.ny.gov mailto:andrew.alliger@omh.ny.gov

RFP 26-001 - Record Retention and Management Services Page 10 of 26 information beyond that specifically requested is required, and Offerors are requested to keep their submissions to the shortest length, still ensuring a complete presentation of qualifications. Additional information, if submitted, should be in a separate package. Proposals must contain sufficient information to assure OMH of their accuracy.

Evaluation of the Administrative, Technical, and Financial Proposals received in response to this RFP will be conducted separately. Offerors are therefore cautioned not to include any cost information in the

Technical Proposal documents, or such Proposals may be rejected.

7.2. Administrative Proposal

All Administrative forms and requirements listed below and as presented in the Proposal Submission

Checklist should be included in the Vendor’s Administrative Proposal. A proposal that is incomplete in any material respect may be eliminated from consideration. The information requested should be provided in the prescribed format. Responses that do not follow the prescribed format may be eliminated from consideration. All responses to the RFP will be subject to verification for accuracy.

Please provide the forms in the same order in which they are requested. Referenced attachments may be located in the Library of Attachments published in conjunction with this RFP.

7.2.1. MWBE/EEO/SDVOB Requirements

Vendors are required to comply with Minority and Woman-owned Business Enterprises (MWBE) participation requirements as stated in this RFP. As part of your proposal, submit the following documents, as appropriate.

• Attachment I – MWBE/EEO Policy Statement

• Attachment I-1 – EEO Employment Opportunity Staffing Plan

7.2.2. Procurement Lobbying Requirements

Offerors are required to comply with the Procurement Lobbying Guidelines as outlined in

Attachment J of this RFP. As part of your proposal, submit the following documents:

• Attachment D-1 – Offeror’s Affirmation of Understanding of OMH Procurement Lobbying

Guidelines

• Attachment D-2 – Disclosure of Prior Non-Responsibility Determinations Non-Collusive

Bidding Certification

Offerors must complete and certify that the submission of a proposal complies with section 163-D of the NYS State Finance Law. As part of your proposal, submit the following document:

• Attachment E – Non-Collusive Bidding Certification

7.2.3. Vendor Responsibility Questionnaire

Offerors must complete, certify, and file a New York State Vendor Responsibility

Questionnaire. OMH recommends that Offerors file the required Vendor Responsibility

Questionnaire online via the New York State VendRep System. To enroll in and use the New York

State VendRep System, see the VendRep System Instructions at:

RFP 26-001 - Record Retention and Management Services Page 11 of 26 http://www.osc.state.ny.us/vendrep/info_vrsystem.htm or go directly to the VendRep System online at: https://onlineservices.osc.state.ny.us/Enrollment/login?0

Offerors must provide their New York State Vendor Identification Number when enrolling.

To request assignment of a Vendor ID or for VendRep System assistance, contact the OSC Help

Desk at 866- 370-4672 or 518-408-4672 or by email at ciohelpdesk@osc.state.ny.us.

Offerors opting to complete and submit a paper questionnaire can obtain the appropriate questionnaire from the VendRep website, www.osc.state.ny.us/vendrep, or may contact the Office of the State Comptroller’s Help Desk for a copy of the paper form.

7.2.4. Encouraging the Use of New York State Subcontractors and Suppliers

• Attachment M – Encouraging the Use of New York State Subcontractors and Suppliers

• Attachment N – New York State Business Usage Form

7.2.5. Freedom of Information Law – Proposal Redactions

Offerors must clearly and specifically identify any portion of the proposal that an Offeror believes constitutes proprietary information entitled to confidential handling as an exception to the Freedom of Information Law.

7.2.6. Additional Forms

• ST-220 CA, Sales and Compensating Use Tax Certification

• Submit proof of coverage for New York State Workers’ Compensation & Disability Benefits

Insurance as explained in Section 10, Insurance Requirements of this solicitation.

• Attachment A – Solicitation Cover Sheet

• Attachment P – Sexual Harassment Prevention Certification

• Attachment Q – Gender-Based Violence and the Workplace Certification

• Attachment R – Certification Regarding Executive Order 16

• If required, provide verification of being registered to conduct business in New York State or the applicable state in which the Offeror is incorporated. For NYS verification, go to NYS

Department of State at www.dos.ny.gov; for any other state, go to that state’s licensing agency

7.3. Technical Proposal

The purpose of the Technical Proposal is to demonstrate the qualifications, competency, and capacity of the Offeror to perform the services described in this RFP. The Technical Proposal should demonstrate the qualifications of the Offeror and of the staff assigned to provide the service sought through the potential contract award(s).

Any assumptions or descriptions regarding the roles and responsibilities of the OMH resources within the Offeror’s proposal shall not bind OMH during contract negotiation.

http://www.osc.state.ny.us/vendrep/info_vrsystem.htm https://onlineservices.osc.state.ny.us/Enrollment/login?0 http://www.dos.ny.gov/

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Offeror proposals must completely address all minimum and/or mandatory requirements. To ensure you are not unnecessarily disqualified from evaluation, thoroughly read all proposal requirements, and provide complete responses. Vague, contradictory, or incomplete responses to requirements may result in a reduced technical score or may result in having the proposal deemed non-responsive and disqualified from further consideration.

Offerors must provide all information requested by OMH as part of their proposal(s). Vendors must also indicate any specific information that is considered proprietary and/or confidential. OMH will not enter into any additional nondisclosure agreements with Offerors to obtain information requested in the RFP.

All information identified by the Offeror as proprietary and/or confidential will be treated as such by

OMH. Failure to provide requested information may result in the Offeror’s proposal being deemed non-responsive and disqualified from any further consideration.

7.3.1. Cover Letter and Proposal Response Forms

As an introduction to the Vendor’s proposal, the Vendor shall provide, at a minimum, the following information:

• Title Page: The technical proposal should begin with a Title Page bearing the name and address of the vendor and the name and number of this RFP.

• Claim of Confidentiality: Any information that is claimed to be confidential is to be noted by reference and included after the Title Page and before the Table of Contents, and if applicable, also in the Offeror’s Financial Proposal. An explanation for each claim of confidentiality shall be included (refer to RFP Section 9.5: Freedom of Information

Requirements). The entire proposal cannot be given a blanket confidentiality designation.

Any confidentiality designation must apply to specific sections, pages, or portions of pages of the proposal.

• Table of Contents: The Table of Contents shall follow the Claim of Confidentiality, if applicable, and the Title Page for the Technical Proposal, organized by section, subsection, and page number.

• Transmittal Letter: A Transmittal Letter shall accompany the Technical Proposal. The purpose of this letter is to transmit the proposal and acknowledge the receipt of any amendments. The Transmittal Letter should be brief and signed by an individual who is authorized to commit the Offeror to the services and requirements as stated in this RFP.

The Transmittal Letter should include the following:

• Name and address of the Offeror;

• Name, title, email address, and telephone number of primary contact for the Offeror;

• Solicitation Title, and Solicitation Number that the proposal is in response to;

• Signature, typed name, and title of an individual authorized to commit the Offeror to its proposal;

• Federal Employer Identification Number (FEIN) of the Offeror;

• Acceptance of all State RFP and contract terms and conditions; if any exceptions are taken, they are to be noted in the Executive Summary;

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• Acknowledgement of all Addendums to this RFP.

7.3.2. Executive Summary

The Offeror shall condense and highlight the contents of the Technical Proposal in the Executive

Summary. The summary must include high-level information related to the Offeror’s experience with implementing and providing services and solutions for clients of similar scope as those contemplated by this RFP. The summary must include a high-level discussion of the proposed

Record Retention and Management solution’s fit against the OMH requirements, highlighting the efficiencies and advantages the solution provides to the agency.

The Executive Summary must also include any exceptions or assumptions the Offeror’s proposal is taking to the RFP’s scope of work and/or the terms and conditions presented in the OMH contract boilerplate. As stated elsewhere in the solicitation, Offerors must be willing to enter into resulting contracts substantially in accordance with the terms, conditions, and form presented in the OMH contract boilerplates. Submission of assumptions and exceptions within the Offeror’s proposal shall not bind OMH to acceptance of those terms during contract negotiation.

7.3.3. Offeror Qualifications

The Offeror should describe in detail their firm’s qualifications and experience providing the services contemplated by this RFP. Responses to this section should minimally address the following:

• Offeror Information

The Offeror must submit satisfactory evidence that it has at least five (5) years’ experience with the past ten (10) years in providing Record Retention and Management Services.

The Offeror shall provide information related to the Offeror organization and current clients.

At a minimum, the response shall include the following information:

o The number of years the Offeror has provided Record Retention and Management

Services;

o The number of Record Retention clients/customers and geographic locations that the Offeror currently serves;

o The names and titles of headquarters or regional management personnel who may be involved with supervising the services to be performed under this contract;

o An organizational chart that identifies the structure of the Offeror’s organization, including any parent company, headquarters, regional offices, and subsidiaries of the Offeror.

• Key Staff Qualifications & Experience

The Offeror shall provide information for the key staff qualifications and experience as described in RFP Section 5.4: Staff Qualifications and Requirements. The Offeror must provide the resume and staff member information for each staff member that is being proposed to meet the requirements of this RFP.

In addition, the Offeror shall provide a project organizational chart for all proposed staff members (including subcontractors) which outlines the staff reporting relationships.

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• Business References

The Offeror shall provide three (3) relevant references and their contact information on

Attachment C: Business References in the Library of Attachments, for whom the Offeror has provided Record Retention and Management Services within the past five (5) years.

Business references shall be evaluated as component of the Past Performance section of the Technical Proposal evaluation. During the evaluation phase, OMH will reach out to these identified references by email or phone to complete a reference check questionnaire. It is the Offeror’s responsibility to provide responsive references willing to participate in the questionnaire process.

7.3.4. Technical Proposal Response

The Offeror shall provide a comprehensive narrative describing how the Offeror will meet all technical requirements specified within the draft contract Scope of Work. The Offeror must provide the requested information as outlined below:

7.3.4.1 Part 1: Written Technical Proposal (maximum 50 points)

Section 1: Executive Summary (max 5 points)

The Executive Summary shall contain a brief introduction of the Offeror and the proposal. It shall be concise and need not repeat any information detailed in other sections of this RFP. At a minimum, the Executive Summary shall summarize the Offeror’s understanding of the requirements of the RFP and why the firm should be selected for these contracts.

Section 2: Past Performance (max 5 points)

In this section, the Offeror shall provide information on their experience providing record storage, retention and retrieval services similar to those described in this RFP. At a minimum, the response to this section shall include:

• A list of previous clients to whom you have provided similar services and volume, i.e. file level tracking and retrieval, in the last two (2) years.

Include the dates that services were provided, the length of the contract, the client name, address, phone number, and email address of the client’s contact.

• Examples of recent successes in providing record storage, retention, retrieval, and management services.

Section 3: Technical Capability (max 20 points)

In this section, the Offeror shall outline their approach to providing a solution to the needs of this RFP. At a minimum, the Offeror shall describe their solution to approaching the Scope of Work per this RFP. Responses should include at a minimum:

• A detailed description of the process of conducting the initial inventory of both cartons and records;

• A detailed description of how routine retrieval, delivery and inventory is handled;

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• A detailed description of the industry-standard Record Management

Software (RMS) that is used to track records;

• Identify key personnel who will be directly involved in providing the services and the roles they will have in the proposed project; and

• Proof of company bonding.

Section 4: Physical Facility (max 15 points)

In this section, the Offeror shall provide a detailed description of how the storage facility meets the requirements as detailed in Section 1.2 B: Storage Facility

Requirements of the contract Scope of Work. The response to this section should describe at a minimum:

• The physical storage facility including square footage & shelving parameters;

• The climate control system;

• Fire-detection/suppression system;

• Security systems;

• How records are stored; and

• The physical storage capacity allowed for CNYPC-CBOs/STARC for both current and future records.

Section 5: Samples (max 5 points)

In this section, the Offeror shall provide sample reports and exhibits to supplement answers provided in the previous section. At a minimum, responses to this section shall include:

• Company HIPAA Policy and any related training materials;

• Copy of company’s Integrated Pest Management (IPM) plan; and

• Sample reports.

7.3.4.2 Part 2: Site Visit to Offeror’s Storage Facility (maximum 20 points)

Offerors must provide a site visit of their storage facility to the Technical Proposal

Evaluation Committee. Site visits will be scheduled with each Offeror during the evaluation period in mid-October. Site visits shall take place within two (2) weeks of notification by the Technical Proposal Evaluation Committee and/or OMH

BPES.

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7.4. Financial Proposal

The purpose of this section is to prescribe the items that must be included in the Offeror’s Financial

Proposal. All proposed costs must be directly related to the services contemplated by this RFP.

Financial Proposals that do not conform to the format, organization, and instructions provided may be removed from consideration.

7.4.1. Financial Proposal Summary

The Financial Proposal must begin with an introduction and summary that provides an overview and description of the Offeror’s approach that was used to determine the overall costs of the services contemplated by this RFP. The summary should address how the firm aims to provide a fair and transparent pricing model that is competitive in the market, while ensuring quality products and services.

Offerors should provide detailed documentation and justification for their proposed costs, including any costs associated with administrative overhead, markup percentages, materials and supplies, training, reporting, compliance, and other expenses.

The Financial Proposal Summary must include a signature from an authorized Offeror employee who has the authority to contractually agree to the costs provided in the Financial Proposal.

7.4.2. Financial Proposal Worksheets

Costs must be disclosed on Attachments F-1, F-2 & F-3 – Financial Proposal Worksheets, providing costs associated with each of the three (3) pending contracts. Failure to submit the

Financial Proposal Worksheets in accordance with the instructions provided therein, including any changes to form or data provided in the worksheets, may result in the Offeror’s proposal being deemed non-responsive and result in elimination from further evaluation.

The Financial Proposal Worksheets must include pricing only for the products and services as presented. Optional pricing or services will not be taken into consideration. All costs must be inclusive of the firm’s administrative considerations including, but not limited to, overhead costs, materials, subcontractor fees, and other incidental costs.

Please note that pricing on all as-needed replacement items must include any associated labor cost.

Each of the three (3) Financial Proposal Worksheets has been formatted & locked to allow for input of Year 1 unit costs in the “Rate” and “Rate Year 1” column. Worksheet formulas will automatically calculate subtotals & totals, including an allowable 3% annual escalation in each unit cost for years 2 through 5 of the contracts.

Prior to submission Offerors should sign each of the three (3) completed Financial Proposal

Worksheets, attesting to

For evaluation purposes, the lowest proposed Total Cost for the sum of the three (3) Financial

Proposal Worksheets will receive the maximum points available, and all other proposals will receive points relative to the lowest cost based on the following formula:

(lowest cost/cost being evaluated) x maximum points

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7.5. Proposal Submission

Electronic proposals must be emailed to: bids@omh.ny.gov. Please also cc peter.rogers@omh.ny.gov and andrew.alliger@omh.ny.gov.

To be deemed responsive to this RFP, Offerors must meet all mandatory requirements and the written proposals must address all response criteria requested herein. Failure to comply with the requirements or provide all responses may result in the Offeror’s proposal being deemed non-responsive and removed from further consideration, or a reduced Technical Proposal score.

Proposals must be submitted via email no later than Wednesday, September 30, 2026 at 3:00pm

ET. No facsimiles, hard copy proposals, or links to third-party cloud or other hosted solutions will be accepted. It is the Offeror’s responsibility to ensure that the proposal is submitted and received by the

Proposal Submission due date and time. Proposals received after the Proposal Submission date and time will be disqualified from consideration.

The email subject line must include the following information: The Solicitation Number and Vendor

Name. If the proposal requires files be sent in multiple emails, indicate the email number, e.g. 1 of 2.

A complete Electronic Proposal should contain and be organized into the follow three volumes:

Volume 1 – Technical Proposal should include responses to all major sections identified in Section

7.3, Technical Proposal and on the Proposal Submission Checklist contained in the associated

Library of Attachments.

Volume 2 - Financial Proposal should be comprised of the signed Financial Proposal Summary and completed Attachments F-, F-2 & F-3 - Financial Proposal Worksheets as defined in Section 7.4, Financial Proposal.

Volume 3 - Administrative Proposal should be comprised of one set of Administrative attachments as outlined in Sections 7.2, Administrative Proposal and on the Proposal Submission Checklist contained in the associated Library of Attachments.

Complete proposals must be received by Wednesday, September 30, 2026 at 3:00pm ET.

OMH will provide a confirmation email to the Offeror that the proposal has been received.

Proposals that are illegible, incomplete, or that contain any omissions, erasures, alterations, additions, or items not called for in the solicitation or that contain irregularities of any kind may be rejected. All costs associated with the preparation of the proposal are the responsibility of the Offeror. Offerors may modify, in writing, the content of any proposal at any time prior to the Proposal Submission due date and time. Proposals may be withdrawn or canceled before the Proposal Submission due date and time.

7.6. Mandatory Proposal Submission Requirements

The submission of a proposal constitutes a binding offer to perform said services in accordance with or exceeding all mandatory requirements outlined in this IFB and in the OMH contract boilerplate. Such binding offer shall be firm and not revocable a period of 120 days after the deadline for proposal submission and will continue thereafter until the successful Offeror notifies OMH otherwise in writing.

Such deadline may be extended further by mutual agreement between the successful Offeror and

OMH.

Offerors and/or any proposed subcontractors MUST NOT have had a prior New York State contract terminated for cause within the past three years.

mailto:bids@omh.ny.gov mailto:peter.rogers@omh.ny.gov mailto:andrew.alliger@omh.ny.gov

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Offerors must submit their proposal on or before the Proposal Submission due date and time. No late proposals will be accepted. OMH reserves the right to disqualify any proposal that does not include the required documents.

8. EVALUATION AND AWARD

8.1. Determination/Method of Award

The contracts resulting from the RFP shall be awarded to the responsive and responsible Offeror whose proposal demonstrates the “Best Value” based on a formal evaluation process comprised of a combination of Technical and Financial factors as defined in this solicitation document. “Best Value” is defined as that proposal that meets the mandatory requirements and received the highest overall composite score based on separate Technical and Financial evaluations.

The RFP Financial Proposal evaluation shall be scored per the sum of the Offeror’s Financial Proposals for the three proposed contract C202946 (CNYPC-CBOs), T203101 (STARC-OV) & T203102 (STARC-

BV).

OMH reserves the right to seek clarifications, evaluate and/or reject all proposals in whole or in part, and to waive or modify technicalities, irregularities, and omissions or solicit new proposals if in the

Agency’s sole judgement, the best interests of the State shall be served. Following contractor selection, and prior to contract signing, OMH reserves the right to further negotiate costs or other specifics with the tentative awardee.

In the event that two or more Offerors receive the same final composite score, OMH shall use the following tie-breaker mechanisms in the order listed below to determine final ranking:

• The Offeror with the highest Technical Score.

• The Offeror with the highest Financial Score.

• The drawing by lot limited to those bidders. If time permits, the bidders involved shall be given an opportunity to attend the drawing. The drawing shall be witnessed by three persons and the contract file shall contain the names and contact information of the witnesses and the person supervising the drawing.

8.2. Evaluation Process and Criteria

All compliant proposals as described in Section 7, Proposal Preparation and Submission, accepted from qualified Offerors will be subject to an evaluation by OMH. OMH will establish separate Technical

Proposal and Financial Proposal Evaluation Committees.

The selection method will be based on a points system with the rating criteria weighted at:

• 70 points for Technical Proposal and live proposal (site visit, interviews)

• 30 points for Financial Proposal

The contracts resulting from this solicitation will be awarded to the Offeror with the highest composite scores for both sections.

8.2.1. Initial Screening – Administrative and Mandatory Requirement Assessment

(Pass/Fail – No Points)

Offeror proposals must completely address all minimum and/mandatory requirements. To ensure you are not unnecessarily disqualified from evaluation, thoroughly read all proposal requirements and provide complete responses. Vague, contradictory, or incomplete responses to requirements

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Only proposals passing the initial screen will be considered viable and subject to continued evaluation by OMH.

8.2.2. Technical Proposal Evaluation (70 Points)

The Technical Proposal Evaluation Committee will perform the Technical Proposal Evaluation for all proposals that pass the Initial Screening phase. The Technical Proposal Evaluation will be based upon the requirements set forth in this RFP and the Offeror’s Technical Proposal responses as outlined in RFP Section 7.3, Technical Proposal and its subsections.

The points for this section will be allocated as follows:

• Cover Letter and Proposal Response Forms (Pass/Fail)

• Executive Summary (max 5 points)

• Past Performance (max 5 points)

• Technical Capability (max 20 points)

• Physical Facility (max 15 points)

• Samples (max 5 points)

• Storage Facility Site Visit (max 20 points)

8.2.3. Financial Proposal Evaluation (30 Points)

The Financial Proposal Evaluation Committee will evaluate the financial proposals independently from the technical proposal evaluation. Cost information will be held in confidence until the completion of the technical evaluation. The Financial Proposal Evaluation will be based on the

Offeror’s written response provided in Attachments F-1, F-2& F-3 – Financial Proposal

Worksheets for CNYPC-CBOs, STARC-OV, and STARC-BV, respectively, as outlined in Section

7.4. of this RFP.

9. ADMINISTRATIVE INFORMATION

9.1. Term of the Agreement

The term of the agreement shall be five (5) years, effective April 1, 2027. Final award is contingent on final approval by the NYS Office of the State Comptroller (OSC).

9.2. Debriefing

A debriefing is available to any entity that submitted a response to this solicitation. A debriefing must be requested in writing within seven (7) business days of OMH’s notification of selection or non-selection. An Offeror’s written request for a debriefing must be submitted to the Designated Contact(s) identified in this solicitation. The debriefing shall occur as soon as practicable upon OMH’s receipt of a written request for a debriefing.

9.3. Protest Procedures

An Offeror wishing to challenge the selection of a firm for contract award must submit a written Notice of Protest on business letterhead within seven (7) business days of OMH’s notification of selection and non-selection to the Designated Contact(s) identified in this solicitation. If a request for a debriefing is conducted as set forth in this solicitation, then a Notice of Protest is due within two (2) business days after the Debriefing has occurred.

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The Notice of Protest must include, at a minimum, the following information: A) Solicitation Number and

Title; B) The specific factual and/or legal allegations setting forth the basis on which the protesting party challenges the selection, and C) a Contact Name, Address, Phone Number, and Email Address to which OMH shall send its Protest Determination.

OMH will review the Notice of Protest and within fifteen (15) business days notify the protesting party of its protest determination.