COUNTY OF ULSTER

REQUEST FOR PROPOSALS

RFP-UC26-032

WORKERS’ COMPENSATION ADMINISTRATION

ULSTER COUNTY DEPARTMENT OF GENERAL SERVICES

EDWARD JORDAN

DIRECTOR OF GENERAL SERVICES

100 Development Court

KINGSTON, NY 12401

RECEIPT CONFIRMATION FORM

PLEASE COMPLETE AND RETURN THIS CONFIRMATION FORM WITHIN 5 WORKING DAYS

OF RECEIVING BID PACKAGE TO:

Ancolie Martelly; Principal Buyer Telephone: (845) 340-3405

Ulster County Department of General Services

100 Development Court, Kingston, NY 12401

Fax: (845) 340-3434

Email: anma@ulstercountyny.gov

RFP-UC25-032: (WORKERS’ COMPENSATION ADMINISTRATION)

Failure to return this form may result in no further communication or addenda regarding this Bid.

Company Name: ______________________________________________________________________

Address: ____________________________________________________________________________

City: ______________________________________________ State: _________ Zip Code: __________

Contact Person: _______________________________________________________________________

Phone Number: ______________________________EXT:_____ Fax Number: ____________________

Email: ______________________________________________________________________________

I have received a copy of the above noted PROPOSAL.

_____ We will be submitting a PROPOSAL

_____ We will NOT be submitting a PROPOSAL – (please indicate reason)

Signature: __________________________________________________________________

Title: ______________________________________________________________________

If a bidders meeting has been arranged for this Bid, please indicate if you plan to attend: Yes / No

COUNTY OF ULSTER – DEPARTMENT OF GENERAL SERVICES

100 DEVELOPMENT COURT, KINGSTON, NY 12401

PHONE: 845-340-3400 / FAX: 845-340-3434 / WEB: www.ulstercountyny.gov/Departments/General-Services

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 3 -

REQUEST FOR PROPOSAL

DATE: June 18, 2026

NOTICE IS HEREBY GIVEN THAT SEALED PROPOSALS ARE SOUGHT AND REQUESTED FOR

THE FOLLOWING:

RFP NAME: WORKERS’ COMPENSATION

ADMINISTRATION

RFP NUMBER: RFP-UC26-032

MAIL PROPOSAL TO: Ulster County Department of General Services

Kingston, NY 12401

SUBMISSION DATE July 17, 2026 by 4:00 P.M.

Proposals received after the time specified will not be opened.

CONTACT PERSON: Ancolie Martelly; Principal Buyer

Ph: 845-340-3405 Email: anma@ulstercountyny.gov

PROPOSALS MUST BE SUBMITTED IN A SEALED ENVELOPE OR PACKAGE.

PRINT (ON THE FACE OF ENVELOPE): 1) NAME & ADDRESS OF COMPANY

2) RFP NAME & NUMBER

It is the responder’s responsibility to read the attached RFP Specifications.

By: Edward Jordan

Director of General Services

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 4 -

REQUEST FOR PROPOSAL

1.0 PURPOSE

Ulster County is requesting proposals to obtain the services of a third-party administrator for the Ulster

County Self-Insurance Plan (the “Plan”). A detailed response to this proposal is requested. It is imperative that responders outline all of their administrative and managerial capabilities based on the requirements of this RFP and provide any additional information you believe will emphasize your expertise and distinguish your firm from its competitors. Should the results of this RFP lead to a change to the current administration of the Plan, it is anticipated that the contract inception and transition process would begin on September 1, 2026 with the transition of the plan’s administration completed on or about January 1, 2027.

A review of each finalist's claim operation, information system, and staff assigned to this account will be conducted. Finalist candidates will also be invited to make a presentation to the RFP Selection

Committee ("Committee")

Ulster County is seeking to mitigate and manage the costs associated with work-related injuries. The successful responder will provide a minimum of the following services:

• Claim Management

• Claims Administration

• Loss Reporting

• Financial Reporting

• Cost Savings Analysis

• Statutory Reporting Requirements

• Excess Carrier Reporting

• Mandatory Medicare Reporting

• Electronic Filing with NYS WCB

• Supplemental Benefits and Special Funds Reimbursement Administration

The Plan currently has approximately 7,728 full and part-time employees. Approximately 959 volunteer firefighters are also covered.

Claim Volume: Incident only – new 171

Medical only – new 99

Lost time – new 189

Medical only – tail 45

Lost time – tail 340

Please be advised that these figures represent an average of 5 years (1/1/21-12/31/25) .

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 5 -

The anticipated Schedule A – Scope of Services, which is expected to be incorporated into the resulting contract, is included as Attachment A.

The Plan provides Workers’ Compensation coverage for those Plan Participants listed in Attachment B.

A sample Open and Closed Claims Loss Run Report is also shown in Attachment B.

2.0 PROPOSAL/SUBMITTAL RETURN DATE

2.1 RETURN CONFIRMATION FORM

Receipt Confirmation Form which follows the cover page of this RFP should be completed and emailed or faxed to the Ulster County Department of General Services immediately if planning on submitting a proposal. Failure to file this form with Ulster County General Services may result in no further communications regarding this RFP. In order to better evaluate the County’s procedures, those deciding not to respond to the RFP are asked to return the sheet with a short explanation of the reason(s) they will not be submitting.

2.2 RETURN DATE

One unbound original, one (1) photocopy, and one electronic copy (CD or thumb drive) of the proposal in

MS Word and PDF format and other required documents comprising the entire proposal must be submitted, sealed in an opaque envelope/package clearly marked on the outside with the name and number of the RFP, and the name and address of the responder. All copies and the original document must be clearly identified as such. The Original Document is required to contain original ink-signed signature pages.

The electronic copy should include all submittal documents including scanned signature pages.

Proposals must be received no later than 4:00 P.M. on July 17, 2026 at the following address:

Ulster County Department of General Services

Edward Jordan, Director of General Services

2.3 SUBMISSION CONDITIONS

The Proposal submitted by the individual Responder(s) is the document upon which Ulster County will make its initial judgment regarding the Responders qualifications, understanding of the County’s scope and objectives, methodology, and ability to perform services under the contract.

Those submitting Proposals do so entirely at their expense. There is no express or implied obligation by

County of Ulster to reimburse any firm or individual for any costs incurred in preparing or submitting

Proposals, preparing or submitting additional information requested by the County, or for participating in any selection interviews.

Submission of a proposal indicates acceptance of the conditions contained in this RFP, unless clearly and specifically noted otherwise in the proposal.

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 6 -

Proposals will remain valid until the execution of a contract by Ulster County, unless otherwise rejected consistent with this RFP.

Oral, faxed, or telephoned submittals, or modification thereof, will not be accepted. The County of Ulster reserves the right to waive any and all informalities and to disregard all nonconforming, non-responsive or conditional Proposals. Ulster County reserves the right to reject any or all proposals.

The County of Ulster may, at any time by written notification to all Responders, change any portion of the

RFP described and detailed herein.

2.4 GENERAL GUIDELINES

This section of the RFP provides general guidance for preparing proposals. Specific instructions on the format and content of the proposal are contained in Section 4.0 SUBMITTAL CONTENT AND

FORMAT. The responder’s proposal must include all data and information requested by the RFP and must be submitted in accordance with these instructions. The proposal shall be compliant with the requirements as stated in the General Specifications specified in this RFP. Nonconformance with the instructions provided in the RFP may result in an unfavorable proposal evaluation.

The proposal shall be clear, concise and shall include sufficient detail for effective evaluation and for substantiating the validity of stated claims. The proposal should not simply rephrase or restate the

RFP requirements, but rather shall provide convincing rationale to address how the responder intends to meet these requirements. Responders shall assume that the County (1) has no prior knowledge of their facilities and experience, and (2) will base its evaluation on the information presented in the responder’s proposal.

Elaborate brochures or documentation, binding, detailed artwork, or other embellishments are unnecessary and are not desired. Similarly, for oral presentations, elaborate productions are unnecessary and not desired.

All submitted proposals become the property of Ulster County. The County Department of General Services will retain one copy of all unsuccessful proposals and will destroy extra copies of such unsuccessful proposals.

2.5 QUESTIONS/CLARIFICATIONS

No oral interpretations as to the meaning of the RFP or revisions to the RFP will be made for any responder.

Requests for clarification or interpretation shall be made in writing and directed to

Ancolie Martelly; Principal Buyer

Ulster County Department of General Services, 100 Development Court

Email: anma@ulstercountyny.gov or Fax 845-340-3434

At least ten (10) calendar days before the date established for submitting proposals. Inquiries will not be considered after that date. Transmittal of questions via facsimile is acceptable.

Any interpretation deemed necessary by Ulster County will be in the form of an addendum to the RFP and, when issued, will be delivered as promptly as is practicable to all responders. All addenda shall become part

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 7 -

of the RFP. Responders shall not rely upon any oral statements or conversations they may have with Ulster

County employees or third parties regarding the RFP whether at any pre-proposal conference or otherwise.

3.0 SUBMITTAL CONTENT AND FORMAT

In order for the County to conduct a uniform review process of all proposals, proposals must be submitted in the format set forth below. Failure to follow this format may be cause for rejection of the proposal because adherence to this format is critical for the County’s evaluation process:

SECTION I

Title Page: Showing RFP number, closing date and time, responder’s name, address, telephone and fax number of the company. Responder must also clearly identify the name(s) of the contact person responsible for inquiries regarding the RFP submission and the person responsible to bind the company contractually. Along with the names of these individuals, responder must provide their phone and fax numbers and email address for each.

Table of Contents: The Table of Contents must indicate the material included in the proposal by section and page number.

SECTION II: THIRD PARTY ADMINISTRATION INFORMATION

1. Provide a brief overview of your company and history of your organization including an organization chart. Please describe any parent/subsidiary/affiliate relationships and your legal status

(e.g., corporation, partnership, joint venture, etc.).

2. How long has your organization been in the Workers’ Compensation administration business? How is your firm distinguished from competitors with respect to providing all of the administrative, service and case management requirements of Workers’ Compensation?

3. How familiar is your organization with administering claims for New York State counties and other municipalities? Please list specific references.

4. What is the number of clients to whom you provide Workers’ Compensation services, broken down by size based on the following numbers of employees:

• Less than 1,000 employees

• 1,000 – 4,999

• 5,000 – 10,000

• Over 10,000

5. Describe your Internal Audit Control procedures including frequency, methodology and persons in charge of the audit process and corrective actions.

6. Provide a list of all the WC claims services that are provided in-house and the services that are contracted to outside vendors.

7. Please provide the names, titles, addresses, telephone numbers, fax numbers, and email addresses of the individuals responsible for responding to this RFP.

8. Your firm must carry professional liability insurance as outlined in Schedule C of these specifications.

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 8 -

SECTION III: CLIENT SERVICE/CLAIM PROCESSING/QUALITY ASSURANCE

1. Indicate the name and contact information for all the account executive you would assign to this account. Would this be the main contact for all aspects of the services required? We will ask the finalists for the following information: provide the names, titles, qualifications, and biographies of the implementation team and ongoing administrative staff that would be assigned to the Ulster

County account. Finalists will be expected to have the key contacts attend the finalist meeting and/or make the key contacts available for technical interviews over the phone.

2. What is the location of your customer service center that will service Ulster County, and what are its days/hours of operation? Is there a toll-free number available for employee use? Would this be a dedicated unit for Ulster County only? If not, what number of clients would this service team be responsible for?

3. Please describe any ancillary programs that your organization can offer to Ulster County (e.g., Safety and Loss Prevention Programs, OSHA reporting, Industry Benchmarking services, etc.).

4. Please describe your ability to have a dedicated claims adjuster on-site at Ulster County, and the fees associated with that service.

The culture of this account maintains high expectations, and the responder’s ability to respond to customer needs is essential. Ulster County will evaluate customer service and flexibility that can be anticipated from the responders, based on the RFP process, interviews, and final presentation to the

County.

5. Please comment on the flexibility to structure your program to include the County’s preferred vendor arrangements and allow for future changes as they arise. Your staff will be asked to work cooperatively and effectively with the various departments, participants, and vendors associated with Ulster County that may contribute to managing and preventing a work-related accident.

6. The successful responder must be an active partner with Ulster County, the injured employee, and health care providers to ensure a safe and successful return to work. The RFP should include your ability to help identify potential return to work candidates and to aggressively return them to work.

7. Supplemental Benefits and Special Funds Recovery: As a self-insured employer, the County expects the successful responder to have an aggressive recovery program. The County currently receives reimbursement pursuant to the VF/VAW-10 benefit law under Section 51. Provide a detailed description of your recovery program. Provide a description of how prior injuries are investigated and documented in the claim note system and how recovery information can be captured on the loss run. Once established, how often will reimbursements be requested? How often are reimbursements dispersed? Describe your process. Are there any fees associated with 25-

A Recovery, VF/VAW-10, Third Party Recovery, Subrogation/Apportionment Recovery, or Excess

Insurance Recovery? Who is responsible for administering applicable cases, the successful responder or the County?

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 9 -

8. Special Investigation Unit: Describe any services associated with fraud detection in accordance with section 114 and 114-a of the NY Workers’ Compensation Law.

9. Subrogation Unit: Describe any services and the process you have in place with respect to subrogation recovery.

10. Medical/Vocational Nurse Case Management Services: Describe the number of different options available to deliver these services. Are these services available at the branch location that would service the County? Provide a description of both on-site and telephonic services. A description of the preferred pricing and how these fees are managed must be included.

11. Local representation at regularly scheduled meetings with Ulster County will be required at least quarterly, and at other times on an as-needed basis. Confirm that this will be included in your services at no additional cost.

12. Where applicable and necessary, describe your process for arranging qualified legal representation

(with Ulster County’s approval) throughout Workers’ Compensation proceedings, including but not limited to hearings, stipulations, pre-trials, structured settlements, facilitation of settlements and other appropriate actions when warranted, and recommendations (with basis for recommendation).

13. Account References: Please provide the names and telephone numbers of two clients acquired within the past three years, and one client that has left your organization within the past two years, if any. Provide information that demonstrates cost savings achieved for clients over the past ten

(10) years.

14. Describe your operating procedure audit system of checks and balances for processing claim payments, including the measures used to prevent and detect overpayments and underpayments.

15. The successful responder must have the capability of providing customized reports upon the request of the County.

16. The successful responder must, upon the County’s request, have the capability of calculating yearly worker’s compensation premiums of each of the plan members in accordance with the local laws of

Ulster County, as well as be able to assist with calculating the Ulster County Self-Insurance Plan’s annual budget. Please describe your process for these two items.

SECTION IV: FINANCIAL ADMINISTRATION PRICING

Fee/Cost Proposal must be provided separately and unbound from the main proposal. The

Fee/Cost Proposal is evaluated apart from the main proposal. This Fee/Cost Proposal shall be submitted in Original, Photocopy, and Electronic formats as described in Section “3.2 RETURN

DATE.” The hardcopy Cost/Fee proposal shall be submitted in a separate envelope marked

“COST PROPOSAL” with the RFP name and number, submitted at the same time (in the same package) as the proposal. The electronic format may be submitted as a separate file on the same flash drive as the main proposal.

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 10 -

The fee schedule supplied will include all items of labor, materials, travel, equipment and other costs necessary to fully provide the service. The responder’s name must appear on all cost proposal sheets.

Important Note on Fees: Please be specific in this section as you should assume that fees not itemized in response to this RFP will not be considered chargeable. Due to the importance of the fee schedule for the services that will be rendered for Ulster County, all fees and/or reimbursements that may be billed to the County must be identified in this section. The information contained in this section will be considered as your organization’s full proposal and Ulster County will not make any payments to your organization if they are not clearly identified and quoted in this section.

1. All fees associated with this account for loss runs, claims, review, state reporting, excess carrier reporting, claims adjusting, ISO/CIB Indexing, Section 111 Mandatory Reporting, and claim notes information viewing, are assumed to be included in the individual claim fee. Responders must indicate if additional fees are required for any of the above services.

2. Three-year proposals will be accepted. Fees for NEW and TAKE-OVER claims should be identified and broken down by medical only and lost time cases. Pricing must include Life of Contract and Life of Claim Fees. Separate fees for incident-only reports and cases that are indexed by the WCB with no payment made, and fees for re-opening a closed file should also be included with your pricing quote.

Please provide a quote for 1-800 telephone reporting and/or on-line capabilities, and the location of the office providing that function.

3. Attach a detailed schedule itemizing all aspects of the services outlined in this RFP. Identify which of these costs would be one-time charges for set-up, implementation or similar. Outline whether there would be any other start-up/conversion or termination costs. For how long will you guarantee this fee schedule? Is there a minimum contract term you would require? In addition to the above responses, please identify any other service, activity or fee not covered (i.e., postage, handling, supplies, servicing, reports, etc.) that would be a potential cost for Ulster County.

4. Provide detailed descriptions of all administrative fees, including how those fees would be affected if the account executive or representative is located in a different city. Reporting measures, such as opening/closing ratios, average cost per closed claim, payment and budget projections to assist in the analysis of cash flow and annual budget expectations, comparative analyses of current period(s) versus prior period(s), analytical input and recommendations on all Plan activity, etc., must be reported on a regular basis and included in the administrative fees. Is benchmarking of frequency and severity of claims included in the administrative fees? If not, is your organization capable of providing this data for other counties as a tool to measure our performance? What is the fee for providing this information on a quarterly basis?

5. Clearly identify the services included in the fees above and provide a detailed description of each.

Also identify any services that are excluded and describe how those costs would be billed to the

County. If fees are incorporated into the medical or expense components of claim reporting, indicate whether detailed quarterly reports of those fees (e.g., IME costs) can be provided to the County.

Identify all types of bill review fees, including, but not limited to, MG-2 review fees, nurse case management fees, and any other fees incurred as a result of the administrative handling of claims.

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 11 -

6. Ulster County reserves the right to select specific vendors to meet particular needs in order to achieve the best possible savings and outcomes. Any outside vendors proposed to provide services under this contract must be identified in your proposal, along with a description of any fees, commissions, financial arrangements, or other compensation exchanged between your organization and those vendors. Ulster County also reserves the right to approve any vendor involved in the administration of this account, including, but not limited to, PPO/fee schedule services, CPT coding services, rehabilitation services, surveillance and investigative services, independent medical examinations (IMEs), and similar services.

7. Describe any tape transfer fees and time commitment to transfer data should the contract be awarded to your firm. Describe the role you will take in this process and describe your policy and responsibility to ensure that data is transferred appropriately as the former or new TPA of Ulster

County. Please estimate a time frame for the transfer of functioning data.

8. Describe your typical banking arrangements, how claims payments are made and reimbursed, and how your fees are paid. Ulster County will be the recipient of interest on the account while funds are held for claim payments. Ulster County may hold the funds in a preferred financial institution via a sweep account.

9. Each responder should understand that, whenever deemed appropriate, the County reserves the right to audit the claim records and other records of the selected responder as they pertain to the

Workers' Compensation Plan. The County also reserves the right to retain independent auditors and to conduct on-site audits of the selected responder's records and files. Moreover, the County maintains that any and all files and records pertaining to the administration of its claims are the sole and exclusive property of Ulster County. All such files and records are subject to return by the successful responder to the County in a commercially reasonable form and manner at the conclusion of the contract term. Additionally, the selected responder may not charge extra fees for providing data tape(s) or for space and equipment utilized by outside auditors. Upon completion of the audits, the selected responder’s representatives must make themselves available to Ulster County in order to resolve any deficiencies and/or shortcomings of the services provided. By submitting your proposal, you agree that you understand all aspects of this Item #9, and that the County (or an authorized agent) reserves the right to audit your administrative processes including, but not limited to, the following items:

• Data Processing

• Claims Processing

• Internal Control/Functions

• Managed Care/Utilization Review Procedure & Results

• Claim, Service, and Plan management

Ulster County shall have online access to claim information, including the ability to view documents.

SECTION V: STAFFING/OPERATIONS

1. Based on your review of the County’s Summary Loss Run, describe the total number of staff you

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 12 -

would dedicate to this account.

• Number of full-time adjusters assigned solely to this account. Comment on your ability to guarantee that dedicated adjusters will have a minimum of 10 years of NYS Workers’

Compensation claims work experience.

• Will there be separate adjusters for medical only and lost time cases?

• Caseload for medical only adjuster(s)?

• Caseload for lost time adjuster(s)?

• Description of clerical and other support staff for each adjuster.

2. Provide job descriptions for the supervisors/managers and other home office staff dedicated to this account.

3. Describe the supervisory involvement in claims management and the audit processes, including the nature of cases and frequency of internal audits. How many files are the supervisors responsible for? What is the minimum frequency of supervisory claim reviews?

4. Indicate the number of lost time adjusters that will be dedicated to the account during transition.

5. Identify the training standards for your adjusters, including the number of hours and resources allotted/required for training.

SECTION VI: INFORMATION SYSTEMS CAPABILITIES AND HARDWARE

1. Describe the hardware platform and software system you are currently using for record keeping and administering all aspects of Workers’ Compensation. Was the software developed internally, leased, or purchased from another provider?

2. What software products will be used to deliver services to Ulster County? Describe the software’s flexibility for customization.

3. Indicate whether all documents are scanned into your system. If this is not currently performed, is it a goal for your organization? What is the anticipated timeline? Are paper documents retained?

If so, for how long? Do defense attorneys have access to all documents in your possession? Will each adjuster have access to the NYS WCB e-case system? Describe the information you are currently exchanging with the WCB or any vendor via the system.

4. Comment on your ability to allow the County to review and interact with adjusters’ claim notes, as well as standards for adjuster communication in the note system (e.g., all activity, after IME, claimant interview, insured discussion, etc.).

5. Provide a sample copy of the Loss Run that will be available to the County. Describe as many reporting features as possible regarding how loss run information can be formatted. Indicate how often and how many copies will be sent to the County. Are there additional fees for custom or special reports? If so, what is your fee schedule?

6. Comment on your ability to allow Ulster County access to your system, including the number of users that will be allowed access. Indicate whether additional staff access will result in additional

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 13 -

fees, and the fee per additional user. Is the licensing structure based on named or concurrent licenses?

7. Is the SROI (Subsequent Report of Injury) process automated with a perpetual calendar or other software utility? Describe your system’s ability to automate lost time payments and what safeguards exist to ensure the payments are consistent with current WCB decisions. Describe your policies and procedures relative to recovering overpayments.

8. Ulster County’s preference is to electronically transfer C-2F, C-11, and C-240 information by email. Are there any email restrictions? Comment on your ability to receive this information directly into the system/claim file.

9. Describe your computer security policies and processes. Please comment on:

• System access procedures

• Security validation procedures

• Confidentiality of data/HIPAA compliance

• Disaster recovery procedures

• Backup and restore procedures

• Encryption procedures

• Cybersecurity procedures

10. Are internal controls of your recordkeeping system audited by an independent accounting firm on an annual or more frequent basis? If so, please provide a copy of the most recent report.

11. Identify any additional fees and the process involved for data conversion.

SECTION VII: IMPLEMENTATION

Provide a complete outline including a detailed time schedule of the proposed implementation process assuming a January 1, 2027 implementation date.

SECTION VIII: REFERENCES

Please provide an extensive client listing and at least three references of workers’ compensation clients that are as similar as possible to Ulster County in size, plan design, and industry.

SECTION IX: RETURN DOCUMENTS

Complete and sign all Return Sheets as indicated at the end of this RFP document.

4.0 EVALUATION CRITERIA

Only those proposals that contain complete information and required certifications will be considered. All proposals will be evaluated and examined by a committee of Ulster County representatives using multiple

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 14 -

criteria. The project may be awarded to a qualified responder that, based on the committee’s evaluation, submits the proposal that best meets the County’s needs.

The submitted proposals will be evaluated based on the following criteria:

▪ OVERALL PLAN TO PROVIDE REQUIRED SERVICES (30 Points)

• Completeness of responder’s proposed plan to provide Workers’ Compensation

Administration.

• Demonstrated capability of the responder to satisfactorily meet not only the requirements outlined in this document but all necessary phases of the program.

• Plan and timeline to accomplish all required tasks.

▪ FEE/PRICING PROPOSAL (25 Points)

• Cost of proposal

• Reasonableness of fees and budget

• Reasonableness of optional fees

▪ QUALIFICATIONS AND EXPERIENCE (25 Points)

• Responder’s experience with projects of similar size and scope

• Personnel qualifications and experience

• Responder’s business history and viability

• References

▪ UNDERSTANDING OF COUNTY’S GOALS AND OBJECTIVES (15 Points)

• Responder understands and proposal addresses the needs of the County and offers a program that will meet or exceed the County’s objectives.

▪ LOCAL ECONOMIC DEVELOPMENT (5 Points)

• Vendors located within Ulster County will receive five points.

• Vendors located within a contiguous county will receive three points.

• Vendors located within New York State will receive one point.

5.0 QUALIFICATION OF RESPONDENT

Each responder shall provide a statement of qualifications as required by these specifications.

The County of Ulster may make such investigations it deems necessary to determine the ability of the responder to perform the work. The responder shall furnish to the County, within five (5) days of a request, all such information and data for this purpose as may be requested. The County reserves the right to reject any proposal if the information submitted by, or investigation of, such responder fails to satisfy the County that such responder is properly qualified to carry out the obligations set forth in this RFP and/or the resulting contract and to complete the work contemplated therein. Conditional proposals will not be accepted.

6.0 PRE-PROPOSAL MEETING (VENDOR’S CONFERENCE)

A pre-proposal meeting is not scheduled at this time.

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 15 -

7.0 METHOD OF AWARD

It is the intention of the County that the award of this project shall be made to the responder whose total proposal, in the opinion of Ulster County, best meets the established criteria listed herein. All aspects of evaluation will be taken into consideration in awarding the project.

It is understood by the parties that the contract resulting from this RFP shall be executed only to the extent of the monies available to the County of Ulster.

A notice of award shall not be binding upon the County until the contract has been fully executed by both parties.

8.0 CONTRACT PERIOD

The term of the contract will be for A PERIOD OF three (3) years commencing on January 1, 2027 through

December 31, 2029 with a County option to renew for two (2) additional one-year terms under identical prices and conditions.

The successful responder shall execute a contract with the County of Ulster in substantial conformance with this RFP and the attached sample County of Ulster AGREEMENT FOR PROFESSIONAL SERVICES.

Federal law and regulations governing the privacy of certain health information requires a “Business

Associate Agreement” between the COUNTY and the awarded Vendor [45 C.F.R. Section 164.504(e)]. The

COUNTY and the awarded Vendor agree to enter into a separate Business Associate Agreement, to be executed simultaneously with the Agreement For Professional Services.

9.0 INTERVIEWS

If the Evaluation Committee determines necessary, interviews may be scheduled with selected responders as soon as possible after the initial evaluation. This will permit further evaluation and to allow the Evaluation

Committee to inquire further into the experience the responder has had on similar projects, willingness and ability to work closely with Ulster County staff and others, thorough understanding of the various aspects of the requirements, and ability to maintain a schedule and complete the services on time and other matters deemed pertinent.

10.0 ALTERNATE PROPOSALS

Ulster County reserves the right to consider alternatives submitted by Responders that provide enhancements beyond the RFP requirements. Proposal alternatives may be considered if deemed to be in the best interest of

Ulster County's. Responders shall clearly identify and explain in detail where such alternatives deviate from or qualify the terms of the proposal and specifications as issued.

11.0 COMPLIANCE WITH LAWS, LICENSES AND PERMITS

The responder(s) agree that they will fully comply with all applicable Federal, State and County policies, procedures, standards and laws, rules and regulations.

Vendor must submit construction documents, stamped plans, and/or specifications where required and in accordance with Title 19 NYCRR Part 1203 to the Authority Having Jurisdiction (Ulster County Safety

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 16 -

Office).

Vendor must provide proof of compliance with the NYS Energy Code through a code approved Prescriptive or Performance based compliance path to the Authority Having Jurisdiction (Ulster County Safety Office).

12.0 PERSONNEL IDENTIFICATION

All personnel must carry on their person photo identification (e.g. employee identification badge, valid driver’s license, etc.), while on Ulster County property and promptly show such identification when requested to do so by any Ulster County employee. Representatives of the County reserve the right to reject and bar from the facility, for good and sufficient reason, in the sole discretion of the County, any employee hired by the Contractor.

13.0 INSURANCE

The successful responder shall, at their own expense, maintain in effect at all times during the performance of the work under this contract, if any, resulting from this RFP, at least the insurance coverage specified in

Schedule C “Insurance Requirements” that is part of the sample Contract Agreement for Professional

Services which is included in this RFP. The successful responder shall file with Ulster County General

Services, within ten (10) days of notice of award, evidence of insurance certifying the required coverage.

14.0 N/A

15.0 DISCLOSURE OF OWNERSHIP INTEREST

Pursuant to Resolution Number 8 of 2023, the Ulster County Legislature approved a requirement of full transparency and disclosure of the name(s) of individual(s) and business entities holding ownership interest in business entities that enter into contract(s) with Ulster County. Therefore, the following information shall be disclosed, in writing, to the Ulster County Department of General Services and then be provided to the Chair of the Legislature and the Chair of the Ways and Means Committee, at the time a business entity submits a bid to the Ulster County Department of General Services, or, prior to entering into written contract for such work, whichever is sooner:

1. The names of all individuals with an interest in, ownership or control of 10% or more of the profits or assets of such business entity, or of 10% of the stock in the case of a business entity that is a corporation for profit.

2. The names of all principals, partners, officers, or directors of the business entity and their immediate family members, and members of household as defined by Section 2(K) of the Ulster

County Ethics Law.

3. The names of any subsidiary business entities directly or indirectly controlled by the business entity.

4. For business entities holding 10% or more of the profits or assets of a business entity seeking to do business with Ulster County, the names of all principals, partners, officers, or directors of the business entity and their immediate family members and members of household; and, be it

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 17 -

further

RESOLVED, that the names of the individuals as set forth above shall be entered into the Ulster County financial software system, and shall be included when any resolution or contract is presented by any Ulster

County department for approval by the Ulster County Legislature; and, be it further

RESOLVED, that nothing contained in this policy shall be construed as affecting the eligibility of any business entity to perform a public contract because that entity made a contribution to any committee during the one-year period immediately preceding the effective date of this act.

This information must be provided in the Disclosure of Ownership Interest Certification Form, which is included in the required forms section at the end of this solicitation.

16.0 DISQUALIFICATION

The County reserves the right to refuse to issue an award to a responder that fails to comply with any pre-qualification regulations of the County, if any such regulations or requirements are cited, or otherwise included in the Request for Proposal.

Proposals received from responders who have previously failed to complete contracts within the time required, or who have previously performed similar work in an unsatisfactory manner, may be rejected. A proposal may be rejected if the responder cannot show that it has the necessary ability, resources and qualified employees to commence the work at the time prescribed and thereafter to perform and complete the work at the rate or within the time specified. A proposal may be rejected if the responder is already obligated for the performance of other work that would delay the commencement, performance or completion of the work described in this RFP.

17.0 PAYMENT

PAYMENT PROCESSING: Responder will invoice the County monthly. Each invoice shall be prepared in such form and supported by such documentation as the County may reasonably require. Payments cannot be processed by the County until an invoice referring to the Contract Number and are mailed to the proper departmental address. The County will pay the proper amounts due the vendor within sixty (60) days of receipt by the County of the vendor’s invoice with the requested supporting documentation and approval of the vendor’s invoice by the Department Head and the Ulster County Comptroller.

18.0 FREEDOM OF INFORMATION

The responder agrees to comply with the Freedom of Information Law (FOIL) and such rules and regulations as the County and the State may from time to time make, including, but not limited to, such rules as may be devised governing access to public documents pursuant to Article 6 of the Public Officers Law, popularly known as the Freedom of Information Law.

Proposals submitted in response to this RFP shall be considered public documents and, with limited exceptions, all proposals, including proposals that are recommended for award, will be available for inspection and copying by the public.

If a Responder considers any portion of its proposal to be protected under the law, the Responder shall clearly and distinctly identify each such portion with words such as "CONFIDENTIAL, “or

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 18 -

“PROPRIETARY". If a request is made for disclosure of such portion, Ulster County will determine whether the material should be made available under the law. If the material is not exempt from public disclosure law, Ulster County will notify the Responder of the request and allow the Responder five days to take whatever action it deems necessary to protect its interests. If the Responder fails or neglects to take such action within said period, Ulster County will release portions of the proposal deemed subject to disclosure.

By submitting a proposal, the Responder assents to the procedure outlined in this paragraph and shall have no claim against Ulster County on account of actions taken under such procedure.

19.0 AFFIDAVIT OF NON-COLLUSION

The completion AND submission of the Affidavit of Non-Collusion, which is included with this RFP and is required with the submittal, certifies that the prices in the submitted proposal have been arrived at independently without collusion, consultation, communication, or agreement for the purpose of restricting competition, as to any matter relating to such prices with any other responder with or any competitor.

20.0 SUSPENSION AND DEBARMENT

By submitting a proposal in response to this RFP, each responder warrants that neither it nor any of its officers, employees, subcontractors, or agents is excluded or in any other manner barred from doing business with any federal, state, or local agency, municipality, or department. Any misrepresentation or false statement related to a responder’s status in this regard will result in rejection of such responder’s submission.

In addition, if the successful responder or any of its officers, employees, subcontractors, or agents become excluded or barred in any manner from doing business with any federal state, or local agency, municipality, or department, during the period in which goods and/or services are provided pursuant to this RFP, the successful responder agrees to immediately notify the County Attorney of such status. Any misrepresentation or false statement related to the successful responder’s status in this regard, or any failure by the successful responder to immediately notify the County Attorney of any change in such status, shall result in immediate termination of County’s business relationship with the successful responder in addition to such other remedies as may be provided by law, in equity, pursuant to the terms and conditions of this

RFP document, or the conditions of the contract, if any, resulting from this RFP.

21.0 PREVAILING WAGE RATES

The successful Responder is required to pay the Prevailing Wage Rates and the Prevailing Hourly

Supplements pursuant to Section 220-A of the NYS Labor Law if applicable.

22.0 ULSTER COUNTY LIVING WAGE ACT

In accordance with Local Law 6 of 2021 also known as the Ulster County Living Wage Act, if this

Agreement is for an amount of FIFTY THOUSAND and 00/100 ($50,000.00) DOLLARS or more in a

County fiscal year (January 1 – December 31) and the Vendor has not received an exemption from the

Ulster County Living Wage Act specific to this Agreement, the Vendor shall pay their employees the

Living Wage then in effect for the period during which services are being covered by this Agreement.

The current Living Wage can be found on the Ulster County Department of General Services’ website https://ulstercountyny.gov/Departments/General-Services . The Ulster County Living Wage Act can be accessed electronically at any time by going to: https://legislature.ulstercountyny.gov/wp-https://ulstercountyny.gov/purchasing https://legislature.ulstercountyny.gov/wp-content/uploads/2025/06/Local-Law-No.-6-of-2021-Living-Wage_0.pdf

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 19 -

content/uploads/2025/06/Local-Law-No.-6-of-2021-Living-Wage_0.pdf

23.0 EXTENSION OF PRICES

Political sub-divisions, including the City of Kingston and others authorized by law, including certain non-profit independent post-secondary, secondary, and elementary educational institutions may participate in contracts resulting from this bid opening.

24.0 IMPLIED REQUIREMENTS

Products and services which are not specifically requested in this RFP, but which are necessary to provide a complete program/project as described herein, shall be included in the submitted proposal.

25.0 SUSTAINABILITY REQUIREMENTS

Ulster County is firmly committed to sustainability and environmental responsibility. As directed by

Executive Order #1 of 2023 (https://ulstercountyny.gov/environment/department-environment) issued by the County Executive, adherence to GreenNY sustainability requirements is now a fundamental aspect of our procurement process.

Ulster County has qualified to achieve certification as a New York State Green Purchasing Community.

The County’s sustainability initiative is designed to apply across a broad range of products and services.

Suppliers are advised to review the GreenNY sustainability requirements (https://ogs.ny.gov/greenny-purchasing-requirements-and-tools), familiarize themselves with the County’s initiatives aimed at mitigating the environmental footprint of its operations, and embrace the principles of environmental stewardship.

26.0 TIME TABLE FOR REQUEST FOR PROPOSAL

Listed below are specific and estimated dates and times of actions related to this request for proposal (RFP).

In the event it is necessary to change the return date for the RFP a supplemental addendum to this RFP shall be issued by the County.

Tuesday July 07, 2026 Last day to submit written inquiries

Friday July 17, 2026 Due Date for Proposals

Week of July 27, 2026 Selection Committee evaluates Proposals

Week of August 03, 2026 Oral Interviews By Invited Companies (If Deemed Necessary)

Week of August 10, 2026 Notice of Intent to Award

January 01, 2027 Contract Start Date https://legislature.ulstercountyny.gov/wp-content/uploads/2025/06/Local-Law-No.-6-of-2021-Living-Wage_0.pdf

RFP NAME: WORKERS’ COMPENSATION ADMINISTRATION RFP-UC26-032 - 20 -

(Rev. 12/17/25)

County Contract No.______________

AGREEMENT FOR

PROFESSIONAL SERVICES

THIS AGREEMENT is entered into by and between the COUNTY OF ULSTER, a municipal corporation and a county of the State of New York with principal offices at 244 Fair Street, Kingston, New York 12401 (the “County”), and [ENTER FIRM

NAME], a [to be completed by the County Attorney’s Office] with principal offices at [Enter Firm’s business address] (the “Firm”), (each, a “Party;” together, the “Parties”).

RECITALS

WHEREAS, the County, by and through its Department of [Enter County’s Dept. Name], desires to enter into an agreement for [state basic description of services to be performed]; and

WHEREAS, the Firm [state brief description of how Firm is qualified to provide service and was selected via response to the County’s

Request for Proposal RFP-UC___ (the “RFP”) pursuant to the terms and conditions of the RFP]; and

WHEREAS, the County has agreed to engage the Firm, and the Firm has agreed to contract with the County, to [state brief description of services to be provided] [pursuant to RFP No. _____________ and the Firm’s Response to RFP No. _____________] in accordance with the terms and conditions set forth in this Agreement.

NOW THEREFORE, in consideration of the promises and covenants set forth below, the Parties hereby agree as follows:

ARTICLE 1 - SCOPE OF SERVICES

The Firm agrees to perform the services identified in Schedule A, the Scope of Services (the “Services”), which is attached hereto and is hereby made a part of this Agreement. The Firm agrees to perform the Services in accordance with the terms and conditions of this

Agreement. It is specifically agreed to by the Firm that the County will not compensate the Firm for any services not included in Schedule

A without prior authorization, evidenced only by a written Change Order, Amendment, or Addendum to this Agreement, which is executed by the Ulster County Executive (the “Executive”) or the Ulster County Director of General Services (the “Director of General Services”), after consultation with the head of the County Department responsible for the oversight of this Agreement (the “Department Head”), and upon review by the County Attorney’s Office.

ARTICLE 2 - TERM OF AGREEMENT

The Firm agrees to perform the Services beginning [Enter Start Date], 20__, and ending [Enter Completion Date], 20_____.