RFQ STRIPS 1506~1.docx

ON-GOING PRE-QUALIFICATION OF STRIPS/ANNUITY PARTICIPATING FIRMS

COMMBUYS Number: BD-15-1062-LOT-00001-00000002534 MSLC Document Number: RFQ LOT Number 1506

The Commonwealth of Massachusetts

MASSACHUSETTS STATE LOTTERY COMMISSION

60 Columbian Street Braintree, MA 02184

Request for Qualification (RFQ)

Document Title: On-Going PRE-QUALIFICATION OF STRIPS/ANNUITY PARTICIPATING FIRMS COMMBUYS Number: BD-15-1062-LOT-00001-00000002534 MSLC Document Number: RFQ LOT Number 1506

March 26, 2015

Please note: This is a single document associated with a complete RFQ (also referred to as Solicitation) that can be found on www.COMMBUYS.com. All firms are responsible for reviewing and adhering to all information, forms, and requirements for the entire RFQ, which are all incorporated into this RFQ. Firms may also contact the COMMBUYS Helpdesk at COMMBUYS@state.ma.us or the COMMBUYS Helpline at 1-888-MA-STATE. The Helpline is open from 8:00 a.m. to 5:00 p.m. Monday through Friday Eastern Standard or Daylight time, as applicable, except on federal, state and Suffolk county holidays.

ALL RESPONSES MUST BE SUBMITTED THROUGH COMMBUYS

Table of Contents

RFQ Introduction and General Description Procurement Scope and Description

Note: ALL RESPONSES MUST BE SUBMITTED THROUGH COMMBUYS

The purpose of this Request for Qualification (RFQ) is for the Massachusetts State Lottery Commission (MSLC) to enter into purchase agreements with a pool of qualified firms to provide Zero Coupon Non-Callable U.S. Government Securities commonly referred to as STRIPS (Separate Trading of Registered Interest and Principal of Securities) via a competitive offering process. These STRIPS will fund jackpot prizes paid by the MSLC as an annuity. In Fiscal Year (FY) 2014 there were twenty two (22) security purchases which were all “Instant Ticket” prizes for one million dollars ($1 million) or more, (annual installments of fifty thousand dollars ($50,000) or more). This document outlines the MSLC’s interest in purchasing Zero Coupon Non-Callable U.S. Government Securities (STRIPS) and the offering parameters and procedures the MSLC will use to affect such purchases.

The current investment policy of the MSLC calls for the purchase of STRIPS, but each qualified firm must demonstrate that it has the capability to offer other investments should the MSLC change its investment policy. Any MSLC investment purchase, whether they are STRIPS, Bonds, or Notes will be done by a competitive offering process. This RFQ will be primarily focused on STRIPS purchases, but in your response, detail any material changes necessary if the MSLC was to alter its investment policy.

Number of Awards The MSLC intends to establish a qualified list of firms for prospective STRIPS purchases pursuant to multiple contracts. The goal of the MSLC is to pre-qualify firms to meet the qualifications of the RFQ and who demonstrate a commitment to collaborate with the MSLC to ensure a seamless STRIPS program. The MSLC reserves the right to restrict or expand the total number of pre-qualified firms if it is in the best interest of the MSLC.

Adding Firms after Initial Contract Award If, over the life of the contract, the SST/PMT seeks to add additional firms these may first be drawn from pre-qualified firms that responded to this RFQ. If necessary to meet the requirements of the Commonwealth, the RFQ may be re-opened to obtain additional Quotes/Response. This Contract is an "open enrollment" Contract. If necessary to meet the requirements of the MSLC, the RFQ may be reopened to obtain additional firms at the following intervals: (1) upon the annual anniversary date of the initial RFQ; and/or (2) upon a decision at any time of the MSLC to open the RFQ up to more firms if it is in the best interest of the MSLC. All firms shall be provided with co-terminus dates.

Eligible Entities Any contract resulting from this RFQ will be open for use to the Issuing Entity Only. It is the intent of this contract that the MSLC is the only user.

Acquisition Method The acquisition method to acquire goods and/or services from this RFQ is an Outright Purchase/Fee for Service.

Performance & Payment Time Frames that continue Beyond Duration of the Contract All terms of purchases, or other agreements for services entered into during the duration of this contract and whose performance and payment time frames extend beyond the duration of this contract shall remain in effect for performance and payment purposes (limited to the time frame and services established per each written agreement). No new purchases, or other agreements for services may be executed after the contract has expired, excepting any options and/or extensions thereto as may be exercised at the sole discretion of MSLC.

Contract Duration The expected duration of this contract is as follows:

Three (3) years (36 months) commencing on the resulting contract commencement (start) date. However MSLC will continue to qualify firms on a rolling basis through January 31, 2018. All contracts will end, including all qualifications made on a rolling basis by June 30, 2018. Two (2) options to renew for one (1) year (12 months) each. The MSLC, at its sole discretion, shall have the option to extend the term of any contract(s) resulting from this RFQ for up to two (2) one (1) year (12 months) periods with a maximum contract term of five (5) years including the initial term and all possible renewal options. The MSLC shall exercise its option by submitting written notice to the firm(s) at least thirty (30) days prior to the termination.

Estimated Value of the Contract The estimated value resulting from this RFQ is to be determined (TBD), subject to selected qualified firm’s Quotes or offers. The MSLC makes no guarantee that any commodities or services will result from this RFQ. Any estimates or past solicitation volumes referenced in this RFQ are included only for the convenience of firms, and are not to be relied upon as any indication of future purchase levels.

If, due to unforeseen circumstances, the scope of services is substantially changed or modified, the MSLC maintains the right to amend the RFQ to increase or decrease the maximum obligation in order to obtain the best value. Any qualified firm will be bound by the terms of the RFQ.

Procurement Calendar and Response Requirements The following is the tentative time schedule for the MSLC’s search for firms to provide STRIPS. All dates are subject to modification by the MSLC with notice. This RFQ will be open and rolling.

· Issuance of RFQ: March 26, 2015.

· RFQ Open period: RFQ proposals accepted starting March 26, 2015, through January 31, 2018. (Open and rolling period) unless otherwise indicated.

· Awards for contracts will be made on a rolling basis throughout the open period.

· Questions concerning this RFQ will be accepted throughout the open period via writing to Lotteryprocurement @masslottery.com.

· The MSLC reserves the right to request additional information from firms responding to this RFQ.

· The MSLC reserves the right to reject any and all responses to this request, to waive any minor informality in a response, to request clarification of information from any firm responding and to effect any agreement deemed by the MSLC to be in the Commonwealth’s best interest with one (1) or more of the firms responding. The MSLC reserves the right to amend or cancel this RFQ at any time.

PROCUREMENT CALENDAR - INITIAL

PROCUREMENT CALENDAR – OPEN/ROLLING

Times are Eastern Time, as displayed on the COMMBUYS system clock displayed to firms after logging in. If there is a conflict between the dates in this Procurement Calendar and dates in the RFQ’s Header, the dates in the RFQ’s Header on COMMBUYS shall prevail. Firms are responsible for checking the RFQ record, including Q&A, on COMMBUYS for Procurement Calendar updates.

Evaluation Process and Criteria (Components) The evaluation process and criterion are designed to select multiple qualified firms to be included in a pool of firms eligible to provide Zero Coupon Non-Callable U.S. Government Securities commonly referred to as STRIPS (Separate Trading of Registered Interest and Principal of Securities) to the MSLC via a competitive offering process. Only responsive Quote/proposals that meet all mandatory requirements, as outlined in this RFQ, will be evaluated and qualified by the SST/PMT. The following process will be followed to review the criteria and specifications set forth in this RFQ:

A. Review of all mandatory specifications;

B. Review mandatory Invest in Massachusetts Data Form (see Attachment J);

C. Review mandatory Supplier Diversity Program (SDP)/(see Attachment G Three [3] Forms);

The MSLC shall have sole authority to evaluate and make the final selection of qualified firms pursuant to this RFQ. The selection will be made after evaluation of technical proposals by the SST/PMT and final approval by the MSLC.

Mandatory Requirements Mandatory specifications must be met in order for a firm to be evaluated and may be used to disqualify firms. The SST/PMT reserves the right, in its discretion, to determine if non-compliance with a mandatory Specification is insignificant or can be easily corrected.

RFQ sections that include terms such as “must”, “shall”, “will” and “required” are “mandatory.” Failure to meet the requirements of a mandatory specification may result in the disqualification of a firm's proposal.

NOTE: ALL RESPONSES MUST BE SUBMITTED THROUGH COMMBUYS

COMMBUYS is the official source of information for this RFQ and is publicly accessible at no charge at www.COMMBUYS.com. Information contained in this document and in COMMBUYS, including file attachments, and information contained in the related RFQ Q&A, are all components of the RFQ, as referenced in COMMBUYS, and are incorporated into the RFQ and any resulting contract.

Firms are solely responsible for obtaining all information distributed for this RFQ via COMMBUYS. The RFQ Q&A supports firm submission of written questions associated with an RFQ and publication of official answers.

It is each firm’s responsibility to check COMMBUYS for: any amendments, addenda or modifications and any Q&A records related to this RFQ. The Commonwealth accepts no responsibility and will provide no accommodation to a firm who submits a Quote/Response based on an out-of-date RFQ or on information received from a source other than COMMBUYS.

Firms are advised that the MSLC (1) restricts submission of written questions to the RFQ Q&A tool, (2) requires all Quote/Response to be submitted using the online submission tools available to active COMMBUYS account holders only, and (3) requires submission of a Supplier Diversity Program (SDP) Plan as specified in this RFQ file attached. Firms are solely responsible to monitor this site for RFQ amendments, if any. Firms may monitor the record by frequently checking the Header Information for the list of Amendments. Firms with active COMMBUYS accounts may also monitor the record through COMMBUYS email notification and record tracking tools enabled when a firm acknowledges receipt of an RFQ. To establish a COMMBUYS account, firms must select the Register link on www.COMMBUYS.com and complete the online subscription process.

COMMBUYS Subscription: Firms may elect to obtain a free COMMBUYS Seller subscription, which provides value-added features, including automated email notification associated with postings and modifications to COMMBUYS records. However, in order to respond to an RFQ, firms must register and maintain an active COMMBUYS Seller subscription account.

All firms submitting a Quote/Response to this RFQ (previously referred to as Solicitation) agree that, if awarded a contract (1) they will maintain an active seller account in COMMBUYS; (2) they will, when directed to do so by the procuring entity, activate and maintain a COMMBUYS-enabled catalog using Commonwealth Commodity Codes; (3) they will comply with all requests by the procuring entity to utilize COMMBUYS for the purposes of conducting all aspects of purchasing and invoicing with the Commonwealth, as added functionality for the COMMBUYS system is activated; (4) they understand and acknowledge that all references to the Comm-PASS website, or related requirements throughout this RFQ, shall be superseded by comparable requirements pertaining to the COMMBUYS website; and (5) in the event the Commonwealth adopts an alternate market center system, they will be required to utilize such system, as directed by the procuring entity. Commonwealth Commodity Codes are based on the United Nations Standard Products and Services Code (UNSPSC).

The COMMBUYS system introduces new terminology, which firms must be familiar with in order to conduct business with the Commonwealth. To view this terminology and to learn more about the COMMBUYS system, please visit the COMMBUYS Resource Center.

Written Questions via the RFQ Q&A on COMMBUYS The “RFQ Q&A” provides the opportunity for firms to ask written questions and receive written answers from the SST/PMT regarding this RFQ, all firms’ questions must be submitted through the RFQ Q&A found on COMMBUYS (see below for instructions). Questions may be asked only prior to the Deadline for Submission of Questions stated in the Estimated Procurement Calendar. The MSLC reserves the right not to respond to questions submitted after this date. It is the firm’s responsibility to verify receipt of questions. Upon submission, firms must send a validation email confirming questions submission email to MSLCprocurement@massMSLC.com.

Please note: Questions submitted to the SST/PMT using any other medium (including those that are sent by mail, fax, email or voicemail, etc.) will not be answered. To reduce the number of redundant or duplicate questions, firms are asked to review all questions previously submitted to determine whether the firm’s question has already been posted.

Firms are responsible for entering content suitable for public viewing, since all of the questions are accessible to the public. Firms must not include any information that could be considered personal, security sensitive, inflammatory, incorrect, collusory, or otherwise objectionable, including information about the firm or other firms. The SST/PMT reserves the right to edit or delete any submitted questions that raise any of these issues or that are not in the best interest of the MSLC or this RFQ.

All answers are final when posted. Any subsequent revisions to previously provided answers will be dated.

It is the responsibility of the prospective firm and awarded firm to maintain an active registration in COMMBUYS and to keep current the email address of the firm’s contact person and prospective Contract Manager, if awarded a contract, and to monitor that email inbox for communications from the MSLC, including requests for clarification. The MSLC and the Commonwealth assume no responsibility if a prospective firm’s/awarded firm’s designated email address is not current, or if technical problems, including those with the prospective firm’s/awarded firm’s computer, network or internet service provider (ISP) cause email communications sent to/from the prospective firm/awarded firm and the MSLC to be lost or rejected by any means including email or spam filtering.

Amendment Deadline The SST/PMT reserves the right to make amendments to the RFQ after initial publication. It is each firm’s responsibility to check COMMBUYS for any amendments, addenda or modifications to this RFQ, and any RFQ Q&A records related to this RFQ. The SST/PMT and the Commonwealth accept no responsibility and will provide no accommodation to firms who submit a Quote/Response based on an out-of-date RFQ or on information received from a source other than COMMBUYS.

References and Reference Information and/or Requirements Firms must complete the Business Reference Form (Attachment F) as directed. Firms must provide all requested information on this form for three (3) business references. In completing this form, note that the “firm” is the name of the firm submitting a Quote/Response in response to this RFQ and the “RFQ Name/Title” and the “Agency Document Number” can be found on the cover of this RFQ document and in the Short Description field in the Header Information of the RFQ record in COMMBUYS. Also, please note: “Reference Name” is the name of the organization (if not applicable, then name of the individual) that is providing the reference; “Contact” is the name of the individual inside the organization that will provide the reference; and the “Address,” “Phone Number”, and “Fax/Internet Address” are those of the “Contact” so that the SST/PMT may be able to reach them.

Prohibitions Firms are prohibited from communicating directly with any employee of the MSLC or any member of the SST/PMT regarding this RFQ except as specified in this RFQ, and no other individual, Commonwealth employee, or representative is authorized to provide any information or respond to any question or inquiry concerning this RFQ. Firms may contact the contact person using the contact information provided in the Header Information of this RFQ in the event that this RFQ is incomplete or information is missing. Firms experiencing technical problems accessing information or attachments stored on COMMBUYS should contact the COMMBUYS Helpdesk (See the document cover page for contact information).

In addition to the certifications found in the Commonwealth’s Standard Contract Form, by submitting a Quote/Response, the firm certifies that the Quote/Response has been arrived at independently and has been submitted without any communication, collaboration, agreement, understanding and/or planned common course or action with any other firm of the commodities and/or services described in this RFQ.

Reporting Firms are responsible for compliance with all other contract reporting requirements including, but not limited to, Supplier Diversity Program (SDP) and other contract reports, as required by this RFQ/contract.

Security and Confidentiality The successful firms must comply with any and all state and federal statutory and regulatory requirements in connection with the transmittal of personally identifying information (PII) or information which may be used to identify individuals including but not limited to email and IP addresses. The successful firm shall comply fully with all security procedures, data security and privacy requirements herein this contract and of the Commonwealth and Commonwealth Agencies in performance of the contract. The firm shall not divulge to third parties any confidential information obtained by the successful firm or its agents, distributors, resellers, sub-contractors officers or employees in the course of performing contract work, including, but not limited to, security procedures, business operations information, personally identifiable information, or commercial proprietary information in the possession of the Commonwealth Agency.

Audit During the term of this contract and for a period of six (6) years thereafter, the MSLC, its auditors, the Operational Services Division (OSD), the Office of the Inspector General (IGO) or other authorized representatives shall be afforded access at reasonable times to the firm's accounting records, including sales information on any system, reports or files, in order to audit all records relating to goods sold or services performed pursuant to this contract. If such an audit indicates that firm has materially overcharged the MSLC, the firm agrees to remit the overcharged amount and be responsible for payment of any costs associated with the audit.

Contract Requirements To be eligible for contract award, a firm must agree and comply with the following provisions:

A. The firm must agree to the terms and conditions contained within the Commonwealth Terms and Conditions attached hereto as Attachment A and the Standard Contract Form Attached hereto as Attachment B.

B. The firm must comply with all Federal, State, and local rules and regulations as they apply to the work to be performed under this RFQ.

C. The firm must be operating in a business or similar to that which is described in this RFQ for a minimum of five (5) years with the capacity to accommodate all needs contained in this RFQ and have demonstrable and relevant experience.

D. The firm must provide a minimum of three (3) references for which work has been performed, preferably similar in scope and size to that specified in this RFQ within the prior three (3) years of the date of this RFQ (see Attachment F).

E. The firm must include a statement acknowledging that all technical and business requirements are understood and shall be complied with by the firm in performing the service(s) being sought by the MSLC.

F. The firm must state that pursuant to M.G.L. c. 7, § 22 (20) the undersigned certifies under the penalties of perjury that this proposal is in all respects bona fide, fair and made without collusion or fraud with any other person. The word “person” shall mean any natural person, joint venture, partnership, corporation or other business or legal entity.

G. The firm must include a statement pursuant to M.G.L. c7, § 22 (20) that the authorized signatory certifies under penalties of perjury that the proposal submitted is in all respects a bona fide and fair response made without collusion or fraud with any other person.

H. The MSLC reserves the right to obtain, from sources other than the firm, information concerning the firm, the firm’s capabilities and the firm’s performance under other contracts which the MSLC deems pertinent to this RFQ and to consider such information in evaluating the firm’s response.

Limitation of Liability and Indemnification Firms agree to and shall comply with the following provisions:

A. The MSLC shall not be liable to the firm under any theory of liability for any direct, indirect, incidental, special consequential or exemplary damages that may be incurred from the shipping and delivery of the firm’s products, or placement of the firm’s products at any MSLC location or at any MSLC agent’s location.

B. To the maximum extent permitted by law, the firm agrees to defend, indemnify and hold harmless the MSLC, its directors, officers, and employees from and against any and all third party claims, actions, suits or proceedings, as well as any and all losses, liabilities, damages, costs and expenses arising out of or accruing from any violation of this agreement and any damages, injuries, which may occur from the defect and/or design of any product.

Alterations Firms may not alter (manually or electronically) the RFQ language or any RFQ component files, except as directed in this RFQ. Modifications to the body of the RFQ, specifications, terms and conditions, or which change the intent of this RFQ are prohibited and may disqualify a Quote/Response.

Ownership of Submitted Quote/Response The SST/PMT shall be under no obligation to return any Quote/Response or materials submitted by a firm in response to this RFQ. All materials submitted by firms become the property of the Commonwealth of Massachusetts and will not be returned. The Commonwealth reserves the right to use any ideas, concepts, or configurations that presented in a firm’s Quote/Response, whether or not the Quote/Response is selected for contract award.

Quote/Response stored on COMMBUYS in the encrypted lock-box is the file of record. Firms retain access to a read-only copy of this submission via COMMBUYS, as long as their account is active. Firms may also retain a traditional paper copy or electronic copy on a separate computer or network drive or separate media, such as a Universal Serial Bus [USB] or flash drive, as a backup.

Firm’s Contact Information It is the firm’s responsibility to keep the firm’s Contract Manager Information current. If this information changes, the firm must notify the MSLC Contract Manager by email immediately, using the address located in the Header Information on COMMBUYS.

The Commonwealth assumes no responsibility if a firm’s designated email address is not current, or if technical problems, including those with the firm’s computer, network or internet service provider (ISP), cause email communications between the firm and the SST/PMT to be lost or rejected by any means including email or spam filtering.

Publicity Any firm awarded a contract under this RFQ is prohibited from selling or distributing any information collected or derived from the contract.

Other Required Specifications and Limitations

1. Electronic Funds Transfer (EFT). All firms responding to this RFQ must agree to participate in the Commonwealth Electronic Funds Transfer (EFT) {Attachment I} program for receiving payments, unless the firm can provide compelling proof that it would be unduly burdensome. EFT is a benefit to both firms and the Commonwealth because it ensures fast, safe and reliable payment directly to firms and saves both parties the cost of processing checks. Firms are able to track and verify payments made electronically through the Comptroller’s web system. A link to the EFT application can be found on the OSD Forms page (www.mass.gov/osd). Additional information about EFT is on the website (massfinance.state.ma.us/BidWeb/Bid.asp).

Successful firms, upon notification of contract award, will be required to enroll in EFT as a contract requirement by completing and submitting the Authorization for Electronic Funds Payment Form to the MSLC for review, approval, and forwarding to the Office of the Comptroller. If the firm is already enrolled in the program, it may so indicate in its response. Because the Authorization for Electronic Funds Payment Form contains banking information, this form, and all information contained on this form, shall not be considered a public record and shall not be subject to public disclosure through a public records request.

The requirement to use EFT may be waived by the SST/PMT on a case-by-case basis if participation in the program would be unduly burdensome on the firm. If a firm is claiming that this requirement is a hardship or unduly burdensome, the specific reason must be documented in its response. The SST/PMT will communicate the findings with the firm.

2. Minimum Quote/Response (RFQ Response) Duration. Firm’s Quote/Response made in response to this firm must remain in effect for at least one hundred twenty (120) calendar days from the date of Quote/Response submission.

3. Public Records. All responses and information submitted as a response to this RFQ may be subject to the Massachusetts Public Records Law, M.G.L., c. 66, § 10, and c. 4, §§ 7, 26. Any statements in submitted responses that are inconsistent with these statutes shall be disregarded.

4. Reasonable Accommodation. Firms with disabilities or hardships that seek reasonable accommodation, which may include the receipt of this RFQ information in an alternative format, must communicate such requests in writing to the contact person. A firm requesting accommodation must submit a written statement which describes the firm’s disability and the requested accommodation to the contact person for this RFQ. The SST/PMT reserves the right to reject unreasonable requests.

5. Restriction on the Use of the Commonwealth Seal. Firms are prohibited by law from the use of the Commonwealth of Massachusetts Seal in their RFQ package or subsequent marketing materials if they are awarded a contract.

6. Subcontracting Policies. Prior approval of the MSLC is required for any subcontracted service of the contract. Firms are responsible for the satisfactory performance and adequate oversight of its subcontracting.

7. Supplier Diversity Program (SDP). Massachusetts Executive Order 524 established a policy to promote the award of state contracts in a manner that develops and strengthens Minority and Women Business Enterprises (M/WBEs) that resulted in the Supplier Diversity Program in Public Contracting. M/WBEs are strongly encouraged to submit responses to this RFQ, either as prime Firms, joint venture partners or other type of business partnerships. Similarly, Executive Order 546 established the Service-Disabled Veteran-Owned Business Enterprise (SDVOBE) Program to encourage the participation of businesses owned and controlled by service-disabled veterans in all areas of state procurement and contracting, thereby including them in the SDP. All firms must follow the requirements set forth in the SDP section of this RFQ, which will detail the specific requirements relating to the firm’s inclusion of M/WBEs and/or SDVOBEs. Firms are required to develop creative initiatives to help foster new business relationships with M/WBEs and/or SDVOBEs within the primary industries affected by this RFQ. In order to satisfy the compliance of this section and encourage firm’s participation of SDP objectives, the Supplier Diversity Program (SDP) Plan for large procurements greater than one hundred fifty thousand dollars ($150,000.) will be evaluated at ten percent (10%) or more of the total evaluation. Once an SDP commitment, expressed as a percentage of contract revenues, is approved, the agency will then monitor the firm’s performance, and use actual expenditures with Supplier Diversity Office (SDO) certified M/WBE firms and the Center for Veterans Enterprise certified SDVOBEs to fulfill their own SDP expenditure benchmarks. M/WBE and SDVOBE participation must be incorporated into and monitored for all types of procurements regardless of size; however, submission of an SDP Plan is mandated only for large procurements over one hundred fifty thousand dollars ($150,000).

Unless otherwise specified in this RFQ, the following SDP forms are required to be submitted by the deadlines noted below in order to meet the mandatory participation requirements of the SDP. At the time of the Quote/Response submission if the proposal value exceeds one hundred fifty thousand dollars ($150,000).

SDP Resources Resources available to assist firms in finding potential M/WBE partners can be found at www.mass.gov/sdp.

Resources available to assist firms in finding potential SDVOBE partners can be found on the Operational Services Division’s SDO webpage at www.mass.gov/sdo.

The Operational Services Division’s Supplier Diversity Program offers training on SDP Plan requirements. The dates of upcoming trainings can be found at:www.mass.gov/anf/budget-taxes-and-procurement/procurement-info-and-res/osd-events-and-training/osd-training-and-outreach.html. In addition, the SDP webinar is on the SDP website at www.mass.gov/SDP.

Supplier Diversity Program Subcontracting Policies In addition to the Subcontracting Policies (see Subcontracting Policies section below and see Subcontracting By Firm, in the Commonwealth Terms and Conditions) that apply to all subcontracted services, agencies may define specific required deliverables for a firm’s SDP Plan, including, but not limited to, documentation necessary to verify subcontractor commitments and expenditures with Minority- or Women-Owned Business Enterprises (M/WBEs) and Service-Disabled Veteran-Owned Business Enterprises (SDVOBE) for the purpose of monitoring and enforcing commitments made in a firm’s Supplier Diversity Program (SDP) Plan.

Instructions for Execution and Submission of Commonwealth Standard Forms The purpose of this section is to provide guidance to Bidders on the Commonwealth Standard forms to be submitted (in addition to the other forms and documents required) and how they must be executed and submitted. Please note that these instructions are meant to supplement the Instructions found on each of these forms. It is advisable to print this document first so that it may be referenced when filling out these forms.

Commonwealth Terms and Conditions - Attachment A Attachment A is to be submitted on paper with original blue ink signature and date, or submit a copy of a previously executed, up-to-date copy of the form as directed below, (see Attachment A). If the Bidder has already executed and filed the Commonwealth Terms and Conditions form pursuant to another RFR or contract, a copy of this form may be included in place of an original. If the Bidder’s Name, address or Tax ID Number have changed since the Commonwealth Terms and Conditions form was executed, a new Commonwealth Terms and Conditions form is required. The Commonwealth Terms and Conditions are hereby incorporated into any contract executed pursuant to this RFR. This form must be unconditionally signed by one (1) of the authorized signatories (see the Contractor Authorized Signatory Listing, Attachment H below), and submitted without alteration. If the provisions in this document are not accepted in their entirety without modification, the entire Quote/Response offered in response to this Solicitation may be deemed non-responsive. The company’s correct legal name and legal address must appear on this form, and must be identical to the legal name and legal address on the Request for Taxpayer Identification and Certification Number (MA Substitute W9 Form).

Commonwealth Standard Contract Form - Attachment B Attachment B is to be submitted on paper with original blue ink signature, and date, (see Attachment B). By executing this document, the Bidder certifies, under the pains and penalties of perjury, that it has submitted a Response to this RFR that is the Bidder’s Offer as evidenced by the execution of its authorized signatory, and that the Bidder’s Response may be subject to negotiation by the SST/PMT. This form cannot be changed or modified. This form must be signed as is. In addition, the terms of this RFR, the Bidder’s Response, and any negotiated terms shall be deemed accepted by the MSLC and included as part of the contract upon execution of this document by the MSLC. If the Bidder does not have a Vendor Code beginning with “VC,” or does not know what their Vendor Code is, the Bidder should leave the Vendor Code field blank. The Bidder should not enter a Vendor Code assigned prior to May 2004, as new Vendor Codes have been assigned to all companies since that time.

Signature and date must be handwritten in blue ink, and the signature must be that of one of the people authorized to execute contracts on behalf of the Contractor on the Contractor Authorized Signatory Listing (see Attachment H).

Request for Taxpayer Identification Number and Certification (MA Substitute W9 Form – Attachment D) Attachment D is to be submitted on paper with original blue ink signature and date, or submit a copy of a previously executed, up-to-date copy of the form as directed. Filling in the form and signing is required. You do not need to provide a copy of the 2nd page instructions. If a Bidder has already submitted a Request for Taxpayer Identification and Certification Number (MA Substitute W9 Form) and has received a valid Massachusetts Vendor Code, an original W-9 form is not required. A copy of the form as filed may be included in place of an original. If the Bidder’s Name, address or Tax ID Number have changed since the MA Substitute W9 Form was executed, a new MA Substitute W9 Form is required. The information on this form will be used to record the Bidder’s legal address and where payments under a State contract will be sent. The company’s correct legal name and legal address must appear on this form, and must be identical to the legal name and legal address on the Commonwealth Terms and Conditions. Please do not use the U.S Treasury’s version of the W9 Form (see Attachment D).

Certificate of Compliance Attachment E Attachment E is to be submitted the bidder must demonstrate compliance with Commonwealth tax laws, including M.G.L. C. 62C, s.49A. The bidder must submit an original or photocopy of a Certificate of Good Standing, which has been issued by the Massachusetts Department of Revenue within the past year. If your firm DOES NOT HAVE A CURRENT (within the past year) Massachusetts Compliance Certificate:

· Your firm DOES NOT HAVE A CURRENT (within the past year) Massachusetts Compliance Certificate:

· If requested via FAX you must provide two (2)things:

· A copy of the filled in request form that was sent to MA DOR. If this method is used, you simply need to print a copy of the request confirmation and insert an image or hardcopy in this response template.

· A copy of the transmission request. Make sure you retain a copy of the fax transmittal confirmation receipt and provide an image or photocopy of the proof of transmittal along with a copy of the original form faxed.

· A screenshot or copy of the request confirmation showing the request number via the MA DOR Website at https://wfb.dor.state.ma.us/webfile/certificate/Public/Webforms/Welcome.aspx

· If your firm DOES HAVE A CURRENT (within the past year) Massachusetts Compliance Certificate which has a date of certificate no more than one year from your submission date of this proposal, then provide a copy of the certificate.

Do not provide a copy of the Secretary of State form from Massachusetts or your state of incorporation certifying that you are a registered corporation in your state or in Massachusetts. The form required is a Tax Compliance form that can only come from the Commonwealth of Massachusetts’ Department of Revenue. Even if you are not a registered tax-paying corporation in Massachusetts, the Massachusetts’ DOR will still supply a Tax Compliance certificate upon request.

Business Reference Form – Attachment F Attachment F - Download this form and complete as directed; include with submission. Ink signature is not required, (see Attachment F). Bidders must provide all requested information on this form for three (3) SST/PMT business references including: Largest customers in MA if applicable; and the largest state government customers if applicable. In completing this form, note that the “Bidder” is the name of the company submitting a Quote/Response in response to this RFR and the “RFR Name/Title” and the “Agency Document Number” can be found on the cover of the RFR document and in the Short Description field in the Header Information of the Bid record in COMMBUYS. Also, please note that: “Reference Name” is the name of the organization (if not applicable, then name of the individual) that is providing the reference; “Contact” is the name of the individual inside the organization that will provide the reference; and the “Address,” “Phone Number,” and “Fax/Internet Address” are those of the “Contact” so that the SST/PMT may be able to reach them.

Supplier Diversity Program Attachment G Attachment G: Firms are required to fill in and submit this form SDP Plan Form #1 – SDP Plan Commitment even if they choose not to participate in the program. If a firms does not wish to participate they should fill in Part I of the form and only sign the form. Firms are welcome to cross out the other Parts of the form to make it clear that they are not participating. Firms are not obligated to participate in this program.

Provide this form (page 1 only) along with your response in this section. A certified Bidder may not list itself as being a Supplier Diversity Program Partner to its own Firm. This form is NOT the same as the SDO certification of the firm’s Firm.

Contractor Authorized Signatory Listing - Attachment H Attachment H is to be submitted on paper with original blue ink signature and date, (see Attachment H). In the table entitled “Authorized Signatory Name” and “Title,” type the names and titles of those individuals authorized to execute contracts and other legally binding documents on behalf of the Bidder. Bidders are advised to keep this list as small as possible, as Contractors will be required to notify the Procurement/Contract Manager of any changes. If the person signing in the signature block on the bottom of the first page of this form will also serve as an “Authorized Signatory,” that person’s name must be included in the typed table. With regard to the next paragraph, which begins “I certify that I am the President, Chief Executive Officer, Chief Fiscal Officer (CFO), Corporate Clerk or Legal Counsel for the Contractor,” if your organization does not have these titles, cross them out and handwrite the appropriate title above the paragraph. The signature and date should be in blue ink. The title, telephone, fax, and email should be typed or handwritten legibly.

The second (2nd) page of the form (entitled “Proof of Authentication of Signature”) states that the page is optional. In the case of the MSLC Contracts, this page is required, not optional. The person signing this page must be the same person signing the Standard Contract Form, the Commonwealth Terms and Conditions, and the Cost Table. The MSLC also requests documentation i.e. corporate vote, manager’s certificate, authorizing the person so named with the authority to execute any and all documents in connection with this contract.

Please note: In two (2) places where the form says “in the presence of a notary,” this should be interpreted to mean “in the presence of a notary or corporate clerk/secretary.” Either a notary or corporate clerk/secretary can authenticate the form; only one (1) is required. Organizations whose corporate clerks/secretaries authenticate this form are not required to obtain a Corporate Seal to complete this document.

Invest in Massachusetts Data Form (MA Data Form) – Attachment J Download this form and complete as directed; include with submission. Ink signature is not required. Bidders must execute and submit an Invest in Massachusetts Data Form (the “IMD Form”). Attachment J. Bidders, regardless of their certification status, are required to complete Parts I and II of the IMD Form in order to be deemed responsive and eligible for consideration, (see Attachment J – Invest in Massachusetts Data Form). Firms are required to fill in and submit this form even if they choose not to participate in the program. If a firm does not wish to participate they should fill in Part I completely and in Part II check the “no” box and fill in the signature block completely. Firms are welcome to cross out the other Parts of the form to make it clear that they are not participating. Firms are not obligated to participate in this program.

Firms are not obligated to participate in this program. However, as much as five percent (5%) of the scoring points are allocated to a high quality Invest in Massachusetts Plan. Provide the form (not the instructions also included in a link below) along with your response in this section.

Commonwealth of Massachusetts State Lottery Commission’s Disclosure Statement – Attachment L Download this form and complete as directed; include with submission. Ink signature is not required. Bidders must execute and complete with an accurate responses. In the event any information changes regarding these responses, the MSLC must be notified via email to the Commonwealth Contract Manager in (writing) immediately (see Attachment L – Commonwealth of Massachusetts State Lottery Commission’s Disclosure Statement).

Certification of Compliance Concerning Personal Information and Personal Data Form – Attachment M Download this form and complete as directed; include with submission. Ink signature is not required Bidders must read, complete, and sign the Certification of Compliance Concerning Personal Information and Personal Data (see Attachment M).

Certificate of Compliance Concerning Conflicts of Interest - Attachment N Download this form and complete as directed; include with submission. Ink signature is not required Bidders must read, complete, and sign the Certification of Compliance Concerning Conflicts of Interest (see Attachment N).

Mandatory Attachments and Enclosures The firm must submit a Letter of Transmittal/Cover (signed by an individual authorized to bind the qualified firm contractually and it must: state that the proposal, will remain in effect for a period of one hundred twenty (120) calendar days after the Proposal Due Date. Include the name, title, address, and telephone number of one or more individuals who can respond to requests for additional information; Include the name, title, address, email, and telephone number of one or more individuals who are authorized to negotiate and sign a contract for the firm. Include a statement that the firm has read and understands the technical and business specifications of this RFQ and agrees that its proposal meets all the technical and business requirements of this RFQ.

Change in Financial Condition Firms shall be required to immediately inform the Executive Director of the MSLC in writing of any major change in the financial condition or organization of the firm. Misrepresentation or failure of the firm to notify the MSLC shall be grounds for contract award cancellation and/or termination.

Business Profile/Financial Condition The MSLC reserves the right to request, at the MSLC expense through the reporting system in place at the time, a business profile, and financial condition report on any corporation, parent firm, directors, principals, officers, partnerships or sole proprietorships involved in submitting a response to this RFQ.

Quote/Response Rejection of RFQs The MSLC may reject any and all firm’s response(s) to this RFQ if it deems it is in its best interest to do so. The MSLC may also reject any and all firms for the following reasons:

A. Fails to adhere to one (1) or more of the provisions established in this RFQ;

B. Fails to submit its Quote/response at the time or in the format specified herein, or to supply the minimum information requested herein;

C. Fails to meet unconditionally all of the mandatory performance and business specifications of this RFQ;

D. Fails to state in writing its acceptance of the mandatory terms and conditions in Attachment A of this RFQ as they appear in Attachment A without change or alteration;

E. Fails to submit its RFQ, to the required address, before or on the deadline date established by the Procurement Calendar;

F. Materially misrepresents its services or provides demonstrably false information in its response; or;

G. Refuses to provide clarification, if requested by the Procurement Management Team (SST/PMT);

H. Fails to sign a contract within fifteen (15) business days of receipt of the contract for signing.

Request for Response (RFQ) – Attachments/Forms It shall be the firm’s responsibility to read this entire document, review all referenced attachments,…