1. hobbies and interests
2. games
3. lottery

REQUEST FOR PROPOSAL
RFP COVER SHEET
Administrative Information:
Microsoft Dynamics GP software
RFP
TITLE OF RFP:
with implementation services and
Number:
support
Agency:
Iowa Lottery
Lottery seeks to
Available to Political
Microsoft Dynamics GP
purchase:
Subdivisions?
software with
Implementation Services
and Support
Number of mos. or yrs.
Implementation Number of possible
of the initial term of the
annual extensions:
date plus
contract:
One (1) Year
14-01
Yes
Five (5) years
Issuing Officer:
Tammy Cooper
Phone: 515-725-7877 Fax: 515-725-7901 E-Mail: tcooper@ialottery.com
Mailing Address:
Iowa Lottery
2323 Grand Avenue
Des Moines, IA 50312
PROCUREMENT TIMETABLE—Event or Action:
Lottery Posts Notice of RFP on TSB website
Lottery Issues RFP
RFP written questions, requests for clarification, and suggested
changes from Contractors due:
Lottery’s written response to RFP questions, requests for clarifications
and suggested changes due:
Proposals Due Date:
Proposals Due Time:
Date/Time (Central
Time):
October 15, 2013
October 15, 2013
October 23, 2013
3:00 p.m.
October 25, 2013
November 14, 2013
3:00 p.m.
Anticipated Date to issue Notice of Intent to Award:
November 25, 2013
Award of Contract presented for Lottery Board approval (if necessary)
December 9-20, 2013
Anticipated Date to execute contract:
December 2013
Relevant Websites:
Internet website where Addenda
to this RFP will be posted:
Web-address:
http://bidopportunities.iowa.gov/ and
www.ialottery.com
Number of Copies of Proposals Required to be Submitted:
Firm Proposal Terms
Per Section 3.2.14, the minimum Number of Days following the deadline
for submitting proposals that the Contractor guarantees all proposal
terms, including price, will remain firm:
1 original plus 5
photocopies and 1
electronic copy
120 Days
Table of Contents
1. INTRODUCTION
1.1. Purpose
1.2. Definitions
1.3. Overview of the RFP Process
1.4. Background Information
2. ADMINISTRATIVE INFORMATION
2.1. Issuing Officer
2.2. Restriction on Communication
2.3. Downloading the RFP from the
Internet
2.4. Procurement Timetable
2.5. Questions,
Requests
for
Clarification and Suggested
Changes
2.6. Amendment to the RFP
2.7. Amendment and Withdrawal of
Proposal
2.8. Submissions of Proposals
2.9. Proposal Opening
2.10. Costs of Preparing the Proposal
2.11. No Commitment to Contract
2.12. Rejection of Proposals
2.13. Nonmaterial Variances
2.14. Reference Checks
2.15. Information from Other Sources
2.16. Verification
of
Proposal
Contents
2.17. Proposal Clarification Process
2.18. Disposition of Proposals
2.19. Public Records and Requests
for Confidential Treatment
2.20. Copyright Permission
2.21. Release of Claims
2.22. Evaluation
of
Proposals
Submitted
2.23. Award Notice and Acceptance
Period
2.24. No
Contract
Rights
until
Execution
2.25. Choice of Law and Forum
2.26. Restrictions on Gifts and
Activities
2.27. No Minimum Guaranteed
2.28. Appeals
3. FORM
AND
CONTENT
PROPOSALS
3.1. Instructions
3.2. Technical Proposal
3.3. Cost Proposal
OF
4. SPECIFICATIONS AND TECHNICAL
REQUIREMENTS
4.1. Overview
4.2. Mandatory (Pass/Fail) Technical
Requirements
4.3. Scored Mandatory Requirement
5. EVALUATION AND SELECTION
5.1. Introduction
5.2. Evaluation Committee
5.3. Overview of Evaluation
5.4. Evaluation Criteria
5.5. Preferences
6. CONTRACTUAL
TERMS
AND
CONDITIONS
6.1. Preface
6.2. Acceptance of Terms and
Conditions
6.3. Agreement Terms and Renewal
6.4. Contract Length
6.5. Performance Security
6.6. CPI Cost Adjustments
ATTACHMENT 1 – Proposal Compliance
and Certification Statement
ATTACHMENT 2 – Authorization to
Release Information Statement
ATTACHMENT 3 – Contractor
Requirement Check List
ATTACHMENT 4 – Cost Proposal Format
ATTACHMENT 5 – Lottery Applications
Security Policy
ATTACHMENT 6 – Lottery Logging
Policy
ATTACHMENT 7 – Class O Background
form
ATTACHMENT 8 – Sample Contract
SECTION 1
INTRODUCTION
1.1.
Purpose
The purpose of this Request for Proposals (RFP) is to solicit proposals from
Responsible Contractors to provide the goods and/or services identified on the RFP
cover sheet and further described in Section 4 of this RFP to the Lottery. The Lottery
intends to award a Contract beginning and ending on the dates listed on the RFP
cover sheet, and the Lottery, in its sole discretion, may extend the Contract for up to
the number of annual extensions identified on the RFP cover sheet.
1.2.
Definitions
For the purposes of this RFP and the resulting contract, the following terms shall
mean:
1.2.1.
“Proposal” or “Technical Proposal” means the Contractor’s proposal submitted
in response to the RFP.
1.2.2.
“Contract” means the contract(s) entered into with the successful Contractor(s) as
described in Section 6.2.
1.2.3.
“Contractor” means a vendor submitting Proposals in response to this RFP.
1.2.4.
“Lottery” means the agency identified on the RFP cover sheet that is issuing the
RFP and purchases from the Contract.
1.2.5.
“Responsible Contractor” means a Contractor that has the capability in all
respects to perform the requirements of the Contract. In determining whether a
Contractor is a Responsible Contractor, the Lottery may consider various factors
including, but not limited to, the Contractor’s competence and qualifications to
provide the goods or services requested, the Contractor’s integrity and reliability,
the past performance of the Contractor and the best interest of the Lottery.
1.2.6.
“Responsive Proposal” means a Proposal that complies with the material
provisions of this RFP.
1.2.7.
“RFP” means this Request for Proposal and any attachments, exhibits, schedules
or addenda hereto.
1.2.8.
“Software” means Microsoft Dynamics GP.
1.2.9.
“I/3” refers to State of Iowa Accounting System Integrated Information for Iowa.
1.2.10.
“GMS” refers to games management system provided by Scientific Games
International, Inc. (SGI).
1.3.
Overview of the RFP Process
Contractors will be required to submit their Proposals in hardcopy and on CD-ROM. It
is the Lottery’s intention to evaluate Proposals from all Responsible Contractors that
submit timely Responsive Proposals, and award the Contract(s) in accordance with
Section 5, Evaluation and Selection.
1.4.
Background Information
This RFP is designed to provide Contractors with the information necessary for the
preparation of competitive Proposals. The RFP process is for the Lottery’s benefit
and is intended to provide the Lottery with competitive information to assist in the
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selection process. It is not intended to be comprehensive. Each Contractor is
responsible for determining all factors necessary for submission of a comprehensive
Proposal.
Currently the lottery uses OSAS® Open Systems Accounting Software version 7.03.
Only the general ledger module is used. The lottery processes Contractor payments
through the State of Iowa Accounting System Integrated Information for Iowa (I/3) as
required by statute. The lottery also utilizes a games management system (GMS)
provided by Scientific Games International, Inc (SGI) as the main accounts receivable
system.
The lottery is seeking to expand the use of an accounting software application offering
several modules that will provide for an integrated accounting system. The software
system must allow information from I/3 and GMS to be integrated into the accounting
system. After review of various accounting software applications, the Lottery has
determined Microsoft Dynamics GP as the software that best fits our needs to
accomplish our goals.
Software requirements are described in Section 4.
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SECTION 2
ADMINISTRATIVE INFORMATION
2.1
Issuing Officer
The Issuing Officer identified in the RFP cover sheet is the sole point of contact
regarding the RFP from the date of issuance until a Notice of Intent to Award the
Contract is issued.
2.2
Restriction on Communication
From the issue date of this RFP until a Notice of Intent to Award the Contract is
issued, Contractors may contact only the Issuing Officer. The Issuing Officer will
respond only to written questions regarding the procurement process. Questions
related to the interpretation of this RFP must be submitted as provided in Section 2.
Oral questions related to the interpretation of this RFP will not be accepted.
Contractors may be disqualified if they contact any State employee other than the
Issuing Officer about the RFP except that Contractors may contact the State Targeted
Small Business Office on issues related to the preference for Targeted Small
Businesses.
2.3
Downloading the RFP from the Internet
The RFP and any addenda to the RFP
will be posted at
http://bidopportunities.iowa.gov/ and www.ialottery.com. The Contractor is advised to
check the website periodically for Addenda to this RFP, particularly if the Contractor
downloaded the RFP from the Internet as the Contractor may not automatically
receive addenda. It is the Contractor's sole responsibility to check daily for addenda
to posted documents.
2.4
Procurement Timetable
The dates provided in the procurement timetable on the RFP cover sheet are
provided for informational and planning purposes. The Lottery reserves the right to
change the dates. If the Lottery changes any of the deadlines for Contractor
submissions, the Lottery will issue an addendum to the RFP.
2.5
Questions, Requests for Clarification, and Suggested Changes
Contractors are invited to submit written questions and requests for clarifications
regarding the RFP. Contractors may also submit suggestions for changes to the
requirements of this RFP. The questions, requests for clarifications, or suggestions
must be in writing and received via email in PDF or Microsoft Word format, by the
Issuing Officer before the date and time listed on the RFP cover sheet. Emails should
indicate “Software RFP” in the subject line. Oral questions will not be permitted. If
the questions, requests for clarifications, or suggestions pertain to a specific section
of the RFP, Contractor shall reference the page and section number(s). The Lottery
will send written responses to questions, requests for clarifications, or suggestions
received from Contractors on or before the date listed on the RFP cover sheet. The
Lottery’s written responses will become an addendum to the RFP. If the Lottery
decides to adopt a suggestion that modifies the RFP, the Lottery will issue an
addendum to the RFP.
5
The Lottery assumes no responsibility for oral representations made by its officers or
employees unless such representations are confirmed in writing and incorporated into
the RFP through an addendum.
2.6
Amendment to the RFP
The Lottery reserves the right to amend the RFP at any time using an addendum. The
Contractor shall acknowledge receipt of all addenda in its Proposal. If the Lottery
issues an addendum after the due date for receipt of Proposals, the Lottery may, in its
sole discretion, allow Contractors to amend their Proposals in response to the
addendum.
2.7
Amendment and Withdrawal of Proposal
The Contractor may amend or withdraw and resubmit its Proposal at any time before
the Proposals are due. The amendment must be in writing, signed by the Contractor
and received by the time set for the receipt of Proposals. Electronic mail and faxed
amendments will not be accepted. Contractors must notify the Issuing Officer in
writing prior to the due date for Proposals if they wish to completely withdraw their
Proposals.
2.8
Submission of Proposals
The Lottery must receive the Proposal at the Issuing Officer’s address identified on
the RFP cover sheet before the “Proposals Due” date listed on the RFP cover sheet.
This is a mandatory requirement and will not be waived by the Lottery. Any
Proposal received after this deadline will be rejected and returned unopened to
the Contractor. Contractors mailing Proposals must allow ample mail delivery time
to ensure timely receipt of their Proposals. It is the Contractor’s responsibility to
ensure that the Proposal is received prior to the deadline. Postmarking by the due
date will not substitute for actual receipt of the Proposal. Electronic mail and faxed
Proposals will not be accepted.
Contractors must furnish all information necessary to enable the Lottery to evaluate
the Proposal. Proposals that fail to meet the mandatory requirements of the RFP will
be rejected. Oral information provided by the Contractor shall not be considered part
of the Contractor's Proposal unless it is reduced to writing.
2.9
Proposal Opening
The Lottery will open Proposals after the deadline for submission of Proposals has
passed. The Proposals will remain confidential until the Evaluation Committee has
reviewed all of the Proposals submitted in response to this RFP and the Lottery has
issued a Notice of Intent to Award a Contract. See Iowa Code Section 72.3.
However, the names of Contractors who submitted timely Proposals will be publicly
available after the Proposal opening. The announcement of Contractors who timely
submitted Proposals does not mean that an individual Proposal has been deemed
technically compliant or accepted for evaluation.
2.10
Costs of Preparing the Proposal
The costs of preparation and delivery of the Proposal are solely the responsibility of
the Contractor.
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2.11
No commitment to Contract
The Lottery reserves the right to reject any or all Proposals received in response to
this RFP at any time prior to the execution of the Contract. Issuance of this RFP in no
way constitutes a commitment by the Lottery to award a contract.
2.12
Rejection of Proposals
The Lottery may reject outright and not evaluate a Proposal for reasons including but
not limited to:
2.12.1
The Contractor fails to deliver the cost proposal in a separate envelope.
2.12.2
The Contractor acknowledges that a mandatory requirement of the RFP cannot be
met.
2.12.3
The Contractor's Proposal changes a material requirement of the RFP or the
Proposal is not compliant with the mandatory requirements of the RFP.
2.12.4
The Contractor’s Proposal limits the rights of the Lottery.
2.12.5
The Contractor fails to include information necessary to substantiate that it will be
able to meet a requirement of the RFP as provided in Section 3 of this RFP.
2.12.6
The Contractor fails to timely respond to the Lottery's request for information,
documents, or references.
2.12.7
The Contractor fails to include Proposal Security, if required.
2.12.8
The Contractor fails to include any signature, certification, authorization, stipulation,
disclosure or guarantee as provided in Section 3 of this RFP.
2.12.9
The Contractor presents the information requested by this RFP in a format
inconsistent with the instructions of the RFP or otherwise fails to comply with the
requirements of this RFP.
2.12.10 The Contractor initiates unauthorized contact with state employees regarding the
RFP.
2.12.11 The Contractor provides misleading or inaccurate responses.
2.12.12 The Contractor’s Proposal is materially unbalanced.
2.12.13 There is insufficient evidence (including evidence submitted by the Contractor and
evidence obtained by the Lottery from other sources) to satisfy the Lottery that the
Contractor is a Responsible Contractor.
2.12.14 The Contractor alters the language in Attachment 1, Certification Statement or
Attachment 2, Authorization to Release Information Statement.
2.13
Nonmaterial Variances
7
The Lottery reserves the right to waive or permit cure of nonmaterial variances in the
Proposal if, in the judgment of the Lottery, it is in the Lottery or State’s best interest to
do so. Nonmaterial variances include but are not limited to: minor failures to comply
that do not affect overall responsiveness, that are merely a matter of form or format,
that do not change the relative standing or otherwise prejudice other Contractors, that
do not change the meaning or scope of the RFP, or that do not reflect a material
change in the requirements of the RFP. In the event the Lottery waives or permits
cure of nonmaterial variances, such waiver or cure will not modify the RFP
requirements or excuse the Contractor from full compliance with RFP specifications or
other Contract requirements if the Contractor is awarded the Contract. The
determination of materiality is in the sole discretion of the Lottery.
2.14
Reference Checks
The Lottery reserves the right to contact any reference to assist in the evaluation of
the Proposal, to verify information contained in the Proposal and to discuss the
Contractor’s qualifications and the qualifications of any subcontractor identified in the
Proposal.
2.15
Information from Other Sources
The Lottery reserves the right to obtain and consider information from other sources
concerning a Contractor, such as the Contractor’s capability and performance under
other contracts, the qualifications of any subcontractor identified in the Proposal, the
Contractor’s financial stability, past or pending litigation, and other publicly available
information.
2.16
Verification of Proposal Contents
The content of a Proposal submitted by a Contractor is subject to verification. If the
Lottery determines in its sole discretion that the content is in any way misleading or
inaccurate, the Lottery may reject the Proposal.
2.17
Proposal Clarification Process
The Lottery reserves the right to contact a Contractor after the submission of
Proposals for the purpose of clarifying a Proposal. This contact may include written
questions, interviews, site visits, a review of past performance if the Contractor has
provided goods and/or services to the State or any other political subdivision
wherever located, or requests for corrective pages in the Contractor’s Proposal. The
Lottery will not consider information received from or through Contractor if the
information materially alters the content of the Proposal or the type of goods and/or
services the Contractor is offering to the Lottery. An individual authorized to legally
bind the Contractor shall sign responses to any request for clarification. Responses
shall be submitted to the Lottery within the time specified in the Lottery's request.
Failure to comply with requests for additional information may result in rejection of the
Proposal.
2.18
Disposition of Proposals
All Proposals become the property of the State and shall not be returned to the
Contractor. Once the Lottery issues a Notice of Intent to Award the Contract, the
contents of all Proposals will be in the public domain and be available for inspection
by interested parties, except for information for which Contractor properly requests
8
confidential treatment or according to exceptions provided in Iowa Code Chapter 22
or other applicable law.
2.19
Public Records and Requests for Confidential Treatment
The Lottery will treat all information submitted by a Contractor as public records
unless the Contractor properly requests that specific parts of the Proposal be treated
as confidential at the time of submitting the Proposal. The Lottery’s release of public
records is governed by Iowa Code chapter 22. Contractors are encouraged to
familiarize themselves with Chapter 22 before submitting a Proposal. The Lottery will
copy and produce public records as required to comply with Chapter 22 or other
applicable law.
Any request for confidential treatment of specific information must be included in the
transmittal letter with the Contractor’s Proposal. In addition, the Contractor must
enumerate the specific grounds in Iowa Code Chapter 22 or other applicable law
which support treatment of the material as confidential and explain why disclosure is
not in the best interest of the public. Pricing information cannot be considered
confidential information. The request for confidential treatment of information must
also include the name, address, and telephone number of the person authorized by
the Contractor to respond to any inquiries by the Lottery concerning the confidential
status of the materials.
Any Proposal submitted which contains information for which Contractor is requesting
Confidential treatment must be conspicuously marked by the Contractor on the
outside as containing confidential information, and each page upon which confidential
information appears must be conspicuously marked as containing confidential
information. Failure to properly identify specific information as confidential shall
relieve Lottery personnel from any responsibility if confidential information is
viewed by the public or a competitor, or is in any way released. If Contractor
identifies its entire Proposal as confidential, the Lottery may reject the Proposal
as non-responsive.
If the Contractor designates any portion of its Proposal as confidential, the Contractor
must submit a copy labeled as “Public Copy” from which the confidential information
has been excised. This excised copy is in addition to the number of copies requested
in Section 3 of this RFP. The confidential material must be excised in such a way as
to allow the public to determine the general nature of the material removed and to
retain as much of the Proposal as possible.
If the Lottery receives a request for information that includes information Contractor
has marked as confidential, Lottery will give written notice to the Contractor at least
seven calendar days prior to the release of the information to allow the Contractor to
seek injunctive relief pursuant to Section 22.8 of the Iowa Code. After seven calendar
days, the Lottery will release the information marked confidential unless a court of
competent jurisdiction determines the information is confidential under Iowa Code
Chapter 22 or other applicable law.
The Contractor’s failure to request confidential treatment of material will be deemed a
waiver of any right to confidentiality the Contractor may have had.
9
2.20
Copyright Permission
By submitting a Proposal, the Contractor agrees that the Lottery may copy the
Proposal for purposes of facilitating the evaluation of the Proposal or to respond to
requests for public records. By submitting a Proposal, the Contractor consents to
such copying and warrants that such copying will not violate the rights of any third
party. The Lottery shall have the right to use ideas or adaptations of ideas that are
presented in Proposals.
2.21
Release of Claims
By submitting a Proposal, the Contractor agrees that it will not bring any claim or
cause of action against the Lottery based on any misunderstanding concerning the
information provided in the RFP or concerning the Lottery's failure, negligent or
otherwise, to provide the Contractor with pertinent information in this RFP.
2.22
Evaluation of Proposals Submitted
Proposals that are timely submitted and are not rejected will be reviewed in
accordance with Section 5 of the RFP. The Lottery will not necessarily award a
contract resulting from this RFP to the Contractor offering the lowest cost. Instead,
the Lottery will award the Contract to the Responsible Contractor whose Responsive
Proposal the Lottery believes will provide the best value to the Lottery and the State.
2.23
Award Notice and Acceptance Period
Notice of Intent to Award the Contract(s) will be sent to all Contractors submitting a
timely Proposal and may be posted at the website shown on the RFP cover sheet.
Negotiation and execution of the Contract(s) shall be completed no later than thirty
(30) days from the date of the Notice of Intent to Award or such other time as
designated by Lottery. If the successful Contractor fails to negotiate and deliver an
executed Contract by that date, the Lottery, in its sole discretion, may cancel the
award and award the Contract to the remaining Contractor the Lottery believes will
provide the best value to the State.
2.24
No Contract Rights until Execution
No Contractor shall acquire any legal or equitable rights regarding the Contract unless
and until the Contract has been fully executed by the successful Contractor and the
Lottery.
2.25
Choice of Law and Forum
This RFP and the Contract shall be governed by the laws of the State of Iowa.
Changes in applicable laws and rules may affect the award process or the Contract.
Contractors are responsible for ascertaining pertinent legal requirements and
restrictions. Any and all litigation or actions commenced in connection with this RFP
shall be brought in the appropriate Iowa forum.
2.26
Restrictions on Gifts and Activities
Iowa Code Chapter 68B restricts gifts which may be given or received by State
employees and requires certain individuals to disclose information concerning their
activities with State government. Contractors are responsible to determine the
applicability of this Chapter 68B to their activities and to comply with its requirements.
In addition, pursuant to Iowa Code section 722.1, it is a felony offense to bribe or
attempt to bribe a public official.
10
2.27
No Minimum Guaranteed
The Lottery does not guarantee any minimum level of purchases under the Contract.
2.28
Appeals
A Contractor whose proposal has been timely filed and who is aggrieved by the award
of the Lottery may appeal the decision by filing a written notice of appeal before the
Iowa Lottery Authority Board, 2323 Grand Avenue, Des Moines, Iowa 50312-5307,
within three days of the date of the award, exclusive of Saturdays, Sundays, and state
legal holidays. The notice of appeal shall state the grounds upon which the
Contractor challenges the lottery’s award. Following receipt of a notice of appeal
which has been timely filed, the board shall notify the aggrieved Contractor and the
Contractor who received the contract award of the procedures to be followed in the
appeal. The board may appoint a designee to proceed with the appeal on its behalf.
A notice of appeal may not stay negotiations with the apparent successful Contractor.
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SECTION 3
3.1.
3.1.1.
FORM AND CONTENT OF PROPOSALS
Instructions
These instructions prescribe the format and content of the Proposal. They are
designed to facilitate a uniform review process. Failure to adhere to the Proposal
format may result in the rejection of the Proposal.
The Proposal shall be typewritten on 8.5" x 11" paper (may be double sided), size
12 Arial font, exceptions may apply to schematics, attachments, diagrams, etc. and
sent in sealed envelope. The proposal shall also be provided electronically on a CD
or a flash drive.
The Proposal shall be divided into two parts: (1) the Technical Proposal and (2) the
Cost Proposal. The Technical Proposal and the Cost Proposal shall be labeled as
such and placed in a separate sealed envelope. The envelopes shall be numbered
in the following fashion: 1 of 4, 2 of 4, etc. The envelopes shall be labeled with the
following information:
RFP Number: IL 14-01
Tammy Cooper
Iowa Lottery
2323 Grand Avenue
Des Moines IA 50312
[Contractor's Name and Address]
The Lottery shall not be responsible for misdirected packages or premature opening
of Proposals if a Proposal is not properly labeled.
3.2
3.1.2.
One (1) original and one (1) electronic copy of both parts of the Proposal, each in
a sealed envelope, plus five (5) photocopies of the technical proposal in a sealed
envelope(s) shall be timely submitted to the Issuing Officer. The electronic copy of
the cost proposal shall be in a separately sealed envelope, along with the original
paper copy of the cost proposal.
3.1.3.
If the Contractor designates any information in its Proposal as confidential pursuant
to Section 2, the Contractor must also submit one (1) copy of the Proposal from
which confidential information has been excised as provided in Section 2 and which
is marked “Public Copy”.
3.1.4.
Proposals shall not contain promotional or display materials.
3.1.5.
Attachments shall be referenced in the Proposal.
3.1.6.
If a Contractor proposes more than one solution to the RFP requirements, each
shall be labeled and submitted separately and each will be evaluated separately.
Technical Proposal
The following documents and responses shall be included in the Technical
Proposal in the order given below:
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3.2.1
Transmittal Letter (Required)
An individual authorized to legally bind the Contractor shall sign the transmittal
letter. The letter shall include the Contractor’s mailing address, electronic mail
address, fax number, and telephone number. Any request for confidential treatment
of information shall be stated in the transmittal letter in accordance with the
provisions of Section 2.
3.2.2
Table of Contents
The Contractor shall include a table of contents of its Proposal and submit the
check list of submittals per Attachment 3.
3.2.3
Executive Summary
The Contractor shall prepare an executive summary and overview of the functions
available in the software and the services associated with installation and
implementation.
3.2.3.1
Statements that demonstrate that the Contractor has read, understands
and agrees with the terms and conditions of the RFP including the
contract provisions in Section 6.
3.2.3.2
An overview of the Contractor’s plans for complying with the
requirements of this RFP.
3.2.3.3
Any other summary information the Contractor deems to be pertinent.
3.2.4
Specifications and Technical Requirements
The Contractor shall answer whether or not it will comply with each requirement in
Section 4 of the RFP. Where the context requires more than a yes or no answer or
the specific requirement so indicates, Contractor shall explain how it will comply
with the requirement. Merely repeating the Section 4 requirements may be
considered non-responsive and result in the rejection of the Proposal. Proposals
must identify any deviations from the requirements of the RFP or requirements the
Contractor cannot satisfy. If the Contractor deviates from or cannot satisfy the
requirement(s) of this section, the Lottery may reject the Proposal.
3.2.5
Contractor Background Information
The Contractor shall provide the following general background information:
3.2.5.1
Name, address, telephone number, fax number and e-mail address
of the Contractor including all d/b/a’s or assumed names or other
operating names of the Contractor and any local addresses and phone
numbers
3.2.5.2
Form of business entity, i.e., corporation, partnership, proprietorship,
limited liability company
3.2.5.3
State of incorporation, state of formation, or state of organization
3.2.5.4
The location(s) including address and telephone numbers of the offices
and other facilities that relate to the Contractor’s performance under the
terms of this RFP
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3.2.6
3.2.7
3.2.8
3.2.5.5
Number of employees
3.2.5.6
Organizational chart
3.2.5.7
Name, address and telephone number of the Contractor’s
representative to contact regarding all contractual and technical matters
concerning the Proposal
3.2.5.8
Name, contact information and qualifications of any subcontractors who
will be involved with this project the Contractor proposes to use and the
nature of the goods and/or services the subcontractor would perform.
3.2.5.9
Contractor’s accounting firm
3.2.5.10
The successful Contractor will be required to register to do business in
Iowa before payments can be made. For Contractor registration
documents, go to: http://das.gse.iowa.gov/procurement/vendor_reg.html
Experience
The Contractor must provide the following information regarding its experience:
3.2.6.1
Number of years in business.
3.2.6.2
Number of years’ experience with providing the types of goods and/or
services sought by the RFP.
3.2.6.3
The level of technical experience in providing the types of goods and/or
services sought by the RFP.
3.2.6.4
Letters of reference from three (3) previous customers or clients
knowledgeable of the Contractor’s performance in providing goods
and/or services similar to the goods and/or services described in this
RFP and a contact person and telephone number for each reference.
Personnel
The Contractor must provide resumes for all key personnel who will be involved in
providing the goods and/or services contemplated by this RFP. The following
information must be included in the resumes:
3.2.7.1
Full name
3.2.7.2
Education
3.2.7.3
Relevant qualifications and experience, particularly as it relates to the
requirements of the RFP.
Financial Information
The Contractor must provide the following financial information:
14
3.2.8.1
3.2.8.2
3.2.9
Copies of audited financial statements for its’ three (3) most recent
fiscal periods.
If audited financial statements are not available, Contractor must
provide a completed W-9 containing information necessary to perform a
credit check and a minimum of three (3) letters of financial reference;
one of which must be a letter from the Contractor’s financial institution.
Terminations, Litigation, Debarment
The Contractor must provide the following information for the past five (5) years:
3.2.9.1
Has the Contractor had a contract for goods and/or services terminated
for any reason? If so, provide full details regarding the termination.
3.2.9.2
Describe any damages or penalties assessed against or dispute
resolution settlements entered into by Contractor under any existing or
past contracts for goods and/or services. Provide full details regarding
the circumstances, including dollar amount of damages, penalties and
settlement payments.
3.2.9.3
Describe any order, judgment or decree of any Federal or State
authority barring, suspending or otherwise limiting the right of the
Contractor to engage in any business, practice or activity.
3.2.9.4
A list and summary of all litigation or threatened litigation, administrative
or regulatory proceedings, or similar matters to which the Contractor or
its officers have been a party.
3.2.9.5
Any irregularities discovered in any of the accounts maintained by the
Contractor on behalf of others. Describe the circumstances and
disposition of the irregularities.
Failure to disclose these matters may result in rejection of the Proposal or
termination of any subsequent Contract. The above disclosures are a continuing
requirement of the Contractor. Contractor shall provide written notification to the
Lottery of any such matter commencing or occurring after submission of a Proposal,
and with respect to the successful Contractor, following execution of the Contract.
3.2.10
Criminal History and Background Investigation
The Contractor hereby explicitly authorizes the Lottery to conduct criminal history
and/or other background investigation(s) of the Contractor, its officers, directors,
shareholders, partners and managerial and supervisory personnel, and any staff
who will be involved in the performance of the Contract.
Because the resulting contract includes access to the Lottery IT data room and
equipment, all staff to perform work as part of this contract are required to undergo
a DCI background investigation to be conducted by the Iowa Department of Public
Safety, Division of Criminal Investigation (DCI) before any work may begin. The
background investigation will require the submission of Class O Lottery
Background, found as Attachment 7, and two completed fingerprint cards, by any
staff that will be working on-site or may have remote access to the Lottery system.
Once a Notice of Intent to Award has been issued, the awarded Contractor will be
15
required to submit the background forms. The Lottery may refuse a Contractor’s or
subcontractor’s employee from working or terminate the resulting contract based
upon the results of these background checks and disclosures. The Contractor is
advised that any person who knowingly provides false or intentionally misleading
information in connection with any investigation by the Lottery may cause a
subsequent contract to be canceled.
3.3
3.2.11
Acceptance of Terms and Conditions
The Contractor shall specifically agree that by submitting the Proposal, the
Contractor is accepting all terms and conditions stated in the RFP and attachments.
However, if the Contractor objects to any term or condition, the Contractor must
specifically refer to the RFP page and section number and provide the reason for
the objection. Objections or responses that materially alter the RFP may be deemed
non-responsive and result in rejection of the Proposal.
3.2.12
Certification Letter
The Contractor shall sign and submit with the Proposal, the document included as
Attachment #1 (Certification Statement) in which the Contractor shall make the
certifications included in Attachment #1.
3.2.13
Authorization to Release Information
The Contractor shall sign and submit with the Proposal the document included as
Attachment #2 (Authorization to Release Information Statement) in which the
Contractor authorizes the release of information to the Lottery.
3.2.14
Firm Proposal Terms
The Contractor shall guarantee in writing the goods and/or services offered in the
Proposal are currently available and that all Proposal terms, including price, will
remain firm 120 days following the deadline for submitting Proposals.
Cost Proposal
The Contractor shall provide its cost proposal in a separately sealed envelope for the
proposed goods and/or services. See Attachment 4.
3.3.1 CPI Contract Options
The resulting contract shall allow for a price increase or decrease adjustment of the
Contractor’s price beginning with each of the contract extensions. Each contract
extension will allow for an adjustment of the Contractor’s price based on a percentage
of the change in the National All Urban Consumer Price Index for the "all items"
classification. The applicable percentage of the total change will be based upon the
percentage quoted by the Contractor. Contractors are required to complete the CPI
markup/markdown percent even if the future increase or decrease in price is to be
zero (0) percent.
•
•
For example, if the Contractor rate is to be $100.00, the CPI increase is five (5)
percent and the Contractor bids a fifty (50) percent markup, then the new rate will
be $102.50. If the Contractor bids one-hundred (100) percent markup, then the
new rate will be $105.00.
The CPI is an annual rate determined by the U.S. Department of Labor. The
change will be computed from October to October.
16
•
The CPI markup percentage provided as part of the Cost Proposal would be
applicable for all contract extensions. The Lottery will not accept CPI markup
percentage proposals that vary by year and the Lottery will not allow a percentage
greater than one-hundred (100) percent.
The Contractor shall be required to complete the CPI markup percent in the cost
proposal format provided as Attachment 4.
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SECTION 4
4.1
SPECIFICATIONS AND TECHNICAL REQUIREMENTS
Overview
The successful Contractor shall provide the goods and/or services to Lottery and
other agencies using the Contract in accordance with the specifications and technical
requirements as provided in this Section. The Contractor shall address each
requirement in this Section and indicate whether or not it will comply with the
requirement. If the context requires more than a yes or no answer or the section
specifically indicates, Contractor shall explain how it will comply with the requirement.
Proposals must address each requirement. Merely repeating the requirements may
be considered non-responsive and may disqualify the Contractor. Proposals must
identify any deviations from the requirements of this RFP or requirements the
Contractor cannot satisfy. If the Contractor deviates from or cannot satisfy the
requirement(s) of this section, the Lottery may reject the Proposal.
There are two types of requirements addressed in Section 4:
4.2
•
Mandatory (pass/fail) Requirements: A Contractor must be able to satisfy all
these requirements to be deemed a Responsible Contractor.
•
Scored Mandatory Requirements: Proposals which pass the Mandatory
Requirements review will be reviewed by the evaluation committee and scored
in accordance with the evaluation criteria described in Section 5. Compliance
with the Scored Mandatory Requirements is also mandatory.
Mandatory (Pass/Fail) Technical Requirements
All items listed in this section are Mandatory Requirements. A pass/fail evaluation will
be utilized for these requirements. Contractors must mark either “yes” or “no” to
each requirement in their Proposals Checklist. By indicating “yes” a Contractor agrees
that it shall comply with that requirement throughout the full term of the Contract, if the
Contractor is successful. In addition, if specified by the requirements or if the context
otherwise requires, the Contractor shall provide references and/or supportive
materials to verify the Contractor’s compliance with the requirement. The Lottery shall
have the right to determine whether the supportive information and materials
submitted by the Contractor demonstrate the Contractor will be able to comply with
the Mandatory Requirements. If the Lottery determines the responses and supportive
materials do not demonstrate the Contractor will be able to comply with the
Mandatory Requirements, the Lottery may reject the Proposal.
4.2.1
Implementation Services
The successful contractor shall perform the initial install of the software, on-site, in
coordination with the Lottery IT department. Implementation will also include
transitioning data from the current Open Systems software to the Microsoft Dynamics
GP software.
Contractor shall be capable of completing the implementation by the desired
milestone dates set out as follows:
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Contract to begin
December 2013
Review current practices and business
needs; make recommendations
January 2014
Implementation
February 2014
Training
March 2014
Testing period
April to June 2014
Parallel system operational
May 2014
Go live date
July 1, 2014
4.2.2
Security
Contractor shall be capable of completing the configuration and implementation of the
system and shall follow common and known application security best practices
necessary to protect State information and information systems. Proposed security
architecture must be capable of meeting the Iowa Lottery Applications Security
Policy. The successful contractor shall review the policy and acknowledge they will
abide by these guidelines. The Iowa Lottery Applications Security Policy is attached
as Attachment 5.
The software will meet all security policy guidelines set by Lottery policies, procedures
and standards.
The software must enforce audit logging for all transactions in a manner which may
not be altered or turned off in accordance with Iowa Lottery Logging Policy. The Iowa
Lottery Logging Policy is attached as Attachment 6. The software should address
internal quality assurance (Q/A) procedures to protect against data entry errors.
4.3
Scored Mandatory Requirements
Contractor shall demonstrate the capabilities of providing the requirements of this
section. Each Technical Proposal shall contain the following elements.
4.3.1
Hosting
The Contractor shall provide the Lottery with the best practice installation
recommendation that is a cost effective solution to house the servers, software and
databases within the lottery’s building and control.
Contractor shall be capable of providing setup and installation instructions of the
application and database. The Contractor shall work with Lottery IT staff to ensure
compatibility, interoperability and security and that the infrastructure enables
appropriate availability of the system.
4.3.2
Software
The successful Contractor shall provide the Microsoft Dynamics GP software and
must be a certified Microsoft Dynamics partner.
The Lottery is seeking the software to provide for an integrated accounting system.
The lottery intends to utilize the following modules of the software:
•
General Ledger with AFA
19
•
Payables Management
•
Purchase Order Processing/Receiving
•
Management Reporter Designer User which shall produce the following:
o
Statement of net position
o
Statement of revenues, expenses and changes in net position
o
Budget to actual comparison
o
Other reports as needed (to be identified during implementation)
•
Fixed Asset Management
•
Inventory Control
•
Receivables Management
•
Other modules as recommended by Contractor
Software must provide for file imports from the GMS system and State of Iowa I/3
financial system.
The successful Contractor shall recommend the number of software licenses needed
to implement the modules listed above. For purposes of this RFP, Contractors should
base responses on the support of fifteen (15) users with write access including four
(4) concurrent users with write access and an additional six (6) users with read only
access. Contractor is to propose the appropriate licensing and detail the annual
software support costs for all additional one year option periods in the separately
sealed cost proposal.
Contractor shall indicate the version and service pack of software to be provided.
The Lottery will provide all infrastructure software and equipment necessary for the
operation of the above. All Contractors shall provide the system specifications
required to support the software.
4.3.3
Transition from Open Systems to Microsoft Dynamics GP
Contractor shall describe the method to be used to transition from the current Open
Systems software program to the new Microsoft Dynamics GP software program.
Describe any experience in transitioning from one software system to another.
Include references from prior clients relating to transitioning services if different than
those provided in Section 3.2.6. References provided should include company name,
contact person and telephone number and email address.
4.3.4
Initial Installation
Contractor shall describe the method to be used for initial installation of the Software.
Include in the description the number of Contractor staff members involved and their
physical location during the initial installation.
4.3.5
Ongoing Support
Contractor shall describe the method to be used for ongoing support including
assistance with user questions and technical questions. Include in the description the
intended use of any software with remote viewing capability. Specify the hours
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available for support services, process required to request support services and the
average response time during the implementation period and after final Lottery
acceptance.
4.3.6
Work Plan
Contractor proposals shall include a detailed Work Plan explaining how the
Contractor intends to complete all tasks (as defined by Contractor), for review of
current practices and business needs, implementation, delivery, training and on-going
support, and obtain the Lottery’s acceptance of all items and deliverables. The Work
Plan shall include, but is not limited to:
a. A detailed description of how the Contractor proposes to complete each of the
tasks.
b. A detailed schedule/timeline for completing each of the tasks based on the
number of hours, days and weeks required for completing each task,
specifying start and end dates for each task, and having final drafts of all
deliverables submitted to the Lottery for approval by specific dates. Schedule
shall include testing and training. The schedule shall also include weekly
coordination meetings with Lottery user representatives and IT staff.
c. The Contractor’s Project Manager should be specifically identified, along with
the percentage of his or her time to be devoted to the contract. Contractor
shall describe any planned staffing changes required for the contract effort.
The Contractor shall include similar information for any subcontractors to be
engaged for any projects under this contract.
d. A description of what methodology, tools, standards and procedures shall be
used to obtain Lottery acceptance of the work performed by the Contractor
under the contract.
e. A description of how the project shall be managed and controlled.
4.3.7
Project Management and Status Meetings
Coordination meetings shall be held with the user as needed, but no less than weekly.
Meetings may be in person or by phone, upon agreement of both Lottery and the
contractor. Status meeting notes including action items shall be provided to the
Lottery project manager. The Contractor shall be required to provide weekly status
reports listing:
• Accomplishments during the previous period,
• Tasks completed or deliverables produced during the previous period,
• Any problems or concerns encountered since the last meeting, and
• An explanation of any deviations from the financial and hourly expenditures
contained in the Proposal Response,
• Activities planned for the upcoming period,
• An updated schedule of upcoming deliverables.
4.3.8
Testing
Contractor shall be expected to test the implementation and configuration prior to
21
turning it over for acceptance testing by the Lottery.
4.3.9
Deployment into Production
Installation and configuration of the software will be the responsibility of the
Contractor in cooperation with Lottery IT staff.
4.3.10 Create New Documentation and Training Materials
Contractor shall update any existing documentation and plans as necessary to
accurately reflect the actual project approach and resulting changes. Documentation
shall include, at a minimum, technical documentation of the specifics of the Lottery
implementation and a user manual.
4.3.10.1
Technical Documentation
The technical documentation shall include details on the application and
database design and system administration functions.
The technical
documentation shall include the following in an easy to follow format:
General Overview
Utilities and Functions
Used in Development
Installation Instructions
Application Overview
Database
Configuration
Management
How To
Purpose of Document and Application;
Acronyms and Definitions
List any utilities or functions used to set up the
chart of accounts, reports or other functions.
Checklist and/or installation guide, List special
drivers required and/or DLL’s and OCXs
System Requirements
Installation and Configuration Instructions
Checklist, configuration guide
Overview of application functions and Help ,
How to Add a User and set permissions
4.3.10.2
User Manual
The software shall include a user manual or a link to the on-line manual.
4.3.10.3
Training
Training shall be conducted for finance, purchasing and IT staff. All training
sessions will be conducted at the Lottery office location.
4.3.11 Post-Production Support:
Contractor shall state the warranty period for the software and any warranty
associated with the implementation services offered by the Contractor. Contractor
shall provide an hourly rate in the cost proposal for post-production assistance.
4.3.12 Subcontractors
If the prospective Contractor intends to use subcontractors to fulfill the primary
purposes of the RFP, the prospective Contractor shall respond to each of the above
questions for each such subcontractor it proposes to use. If the prospective
Contractor intends to use subcontractors to perform services ancillary to the primary
purposes of the RFP, the prospective Contractor shall disclose for each such
22
proposed subcontractor the information requested in this chapter. Only the primary
contractor may negotiate with the Lottery. The Contractor, which submits the
proposal, must certify that they are the prime contractor and that they as prime
contractor accepts full responsibility and liability for its proposal and for any
subsequent contract with the Lottery. Lottery reserves the right to reject the use of
any subcontractor for any reason.
23
SECTION 5
EVALUATION AND SELECTION
5.1
Introduction
This section describes the evaluation process that will be used to determine which
Proposal provides the greatest benefit to the Lottery. The Lottery will not necessarily
award the Contract to the Contractor offering the lowest cost to the Lottery. Instead,
the Lottery will award the Contract whose Responsive Proposal the Lottery believes
will provide the best value to the Lottery and State.
5.2
Evaluation Committee
The Lottery intends to conduct a comprehensive, fair, and impartial evaluation of
Proposals received in response to this RFP. The Lottery will use an evaluation
committee to review and evaluate the Proposals.
5.3
Overview of Evaluation
Technical Proposals will be opened, and a determination will be made that the
prospective Contractor’s Technical Proposal complies with the proposal format
instructions for submitting a proposal. Non-compliant Technical Proposals and
correspondingly sealed Cost Proposals will be rejected and no further evaluation of
the proposal will be made. Non-compliant Technical Proposals and their respective
sealed Cost Proposals shall be handled by the Lottery pursuant to Section 2 herein.
During the evaluation process, all information concerning proposals submitted will
remain confidential and not be disclosed to anyone whose official duties do not
require such knowledge.
All Cost Proposals will remain unopened and separated from the Technical Proposals
until the committee has completed its evaluation of the Technical Proposals.
After the committee has completed its evaluation of all Technical Proposals, the
Department shall open the Cost Proposals for all technically compliant prospective
Contractors achieving the minimum score. A determination will be made by the
Lottery that the prospective Contractor’s Cost Proposal complies with the proposal
format instructions for submitting a proposal. Non-compliant Cost Proposals and their
respective Technical Proposals may be rejected and no further evaluation of the
proposal will be made. A non-compliant proposal shall be handled by the Lottery
pursuant to Section 2.
Technical and Cost Proposals will be awarded points (2000 points maximum) as
follows: The compliant prospective Contractor’s Technical Proposal will be evaluated
by the committee and points will be awarded for each category, as applicable,
identified in section 5.4 below based upon the information, responses, and
documentation provided by the prospective Contractor. Seventy percent (70%) of the
maximum number of points available is derived from the Technical Proposal. The
criteria used to evaluate the Technical Proposals will be weighted to reflect the
importance of the criteria in the evaluation. Thirty percent (30%) of the maximum
number of points available is derived from the Cost Proposal.
No prospective contractor is promised a minimum or maximum number of points.
24
The final ranking and recommendation(s) of the Evaluation Committee shall be
presented to the Lottery CEO for consideration. This recommendation may include,
but is not limited to, the name of one contractor recommended for selection or a
recommendation that no contractor be selected.
5.4
Evaluation Criteria
Evaluation of Proposals will be based on the following criteria, which are not listed in
any particular order of importance. Maximum Score Possible - 2,000.
5.4.1
Technical Proposal Evaluation Criteria (1,400 points available)
A. Corporate Background and Experience
Prospective Contractors will be evaluated on the integrity of the business entity which
includes, but is not limited to evaluation of criminal, administrative and civil
proceedings against a prospective Contractor in which the prospective Contractor
fails or has failed to comply with applicable laws and regulations governing the
business entity or displays a pattern or practice of failure to comply with applicable
laws and regulations. Prospective Contractors will be evaluated on demonstrated
experience and performance on past and current contracts similar in
scope. (References will be utilized to verify information provided by prospective
Contractors.) Prospective Contractors will also be evaluated on their financial stability
and overall track record and reputation in the industry. In the sole discretion of the
Lottery, a prospective Contractor may be disqualified from further consideration if the
Contractor provides false or misleading information in its proposal.
B. Project Plan
Prospective Contractors will be evaluated on the plan to perform all of the functions
and requirements of this RFP. Clearly show the effort for each stage/phase of the
project. The use of graphs and charts is encouraged. The Project Plan will be
evaluated on the Contractors demonstrated understanding of the Lottery’s
requirements as described in the specifications of the RFP. Demonstrated
understanding is reflected by such factors as: description and quality of work plan and
attention to detail in the proposal. The work plan should demonstrate the Contractor’s
comprehensive understanding of the required effort and any other factors necessary
for successful completion
C. Implementation Personnel
Personnel proposed for the installation and implementation of the software will be
evaluated based on the individuals’ education, IT experience & skills related to this
project and the staffing levels available for each Prospective Contractor.
D. Proposal Quality
The proposal will be reviewed for thoroughness in addressing requirements, ability to
be clear and concise, and demonstration of understanding of the project. Contractors
are encouraged to include diagrams showing the tasks and milestones related to the
project.
5.4.2
Cost Proposal Evaluation Criteria (600 points available)
A. Price for delivery of requirements as specified in Section 4 shall be stated in Cost
Proposal found as Attachment 4.
25
B. Cost Proposals will be evaluated and points awarded as follows:
The maximum award for a Cost Proposal will be 600 points. The lowest bid shall
receive the maximum number of points available in this section. To determine the
number of points to be awarded to each Contractor, the lowest bid among all
proposals will be used in all cases as the numerator. The bid of each respective
Contractor will be used as the denominator. The resulting ratio for each Contractor
will be multiplied by the maximum number of points (600) and the resulting number
will be the Cost points awarded to each Contractor. The points awarded for the Cost
will be added to the Contractors Technical Points to obtain the total points awarded
for a proposal.
Example for evaluating Cost:
Contractor A quotes $15; Contractor B quotes $20; Contractor C quotes $25.
Contractor A:
$15 = receives 100% of available points or 600 points.
$15
Contractor B:
$15 = receives 75% of available points or 450 points.
$20
Contractor C
$15 = receives 60% of available points or 360 points.
$25
Points will be rounded to the nearest higher whole value. If more than one
Contractor proposes the same cost, each will be awarded same number of
points.
5.5
5.5.1
5.5.2
Preferences
Preference to Iowa Products and Services
In accordance with the provisions of Iowa Code § 73.1 a preference will be given to
products and provisions grown and locally produced within the State of Iowa, when
they are found in marketable quantities in the State and are of a quality reasonably
suited to the purpose intended, and can be secured without additional cost over
foreign products or products of other states. Preferences required by applicable
statute or rule shall also be applied, where appropriate.
Tied Bid
An award shall be determined by a drawing when responses are received that are
equal in all respects by drawing lots unless only one of the tied bidders is an Iowa
business. If only one of the bidders tied for an award is an Iowa business, the Iowa
business shall be given preference over all tied out-of-state businesses.
If it is necessary to draw lots, the drawing shall be held in the presence of the
Contractors who submitted the tied bids or proposals whenever practical. If the tied
Contractors are not present, the drawing shall be held in front of at least two persons,
and the Lottery shall document the drawing.
26
SECTION 6
6.1
CONTRACTURAL TERMS AND CONDITIONS
Preface
Any contract resulting from this RFP between the Lottery and the successful Contractor shall
be a combination of the specifications, terms and conditions of this RFP; the offer of the
Contractor contained in the Contractor’s proposal; written clarifications or changes made in
accordance with the provisions herein; and any other terms deemed necessary or acceptable
by the Lottery.
Any resulting contract shall be available to the public as part of the public record in
accordance with applicable law.
6.2
Acceptance of Terms and Conditions
By submitting a proposal, each Contractor acknowledges its acceptance of the specifications,
terms and conditions of a contract contained in this RFP, without change except as otherwise
expressly stated in its proposal, and of the specifications, terms and conditions of the
contract forms found in Attachment 8, “Sample Contract”. If a Contractor takes exception to
a provision, it must state the reason for the exception and set forth in its proposal the specific
contract language it proposes to include in place of the provision. Exceptions that materially
change these terms or the requirements of the RFP may be deemed non-responsive by the
Lottery, as determined in its sole discretion, resulting in possible disqualification of the
Contractor’s proposal. With regard to the “Contract Conditions,” Lottery and the successful
Contractor may agree to modifications to the terms of the “Conditions” as necessary to
negotiate the terms of a contract.
A Contractor’s failure to state an exception to any provision and propose alternative language
may be deemed by the Lottery to constitute Contractor’s acceptance thereof. The Lottery
reserves the right to refuse to enter into a contract with the successful Contractor for any
reason, even after delivery of notice of selection or intent to award a contract.
The terms and conditions as stated herein relate only to this RFP, and do not extend to other
or future contracts a prospective Contractor may currently have or may have in the future
with the Lottery, nor do the terms and conditions as stated herein relate to any other Lottery
procurement which may be in process.
No objection or amendment by a Contractor to the provisions or terms and conditions of the
RFP shall be incorporated into the Contract unless Lottery has explicitly accepted the
Contractor’s objection or amendment in writing.
6.3
Agreement Terms and Renewal
The Lottery shall have the sole option to renew the Contract upon the same or more
favorable terms and conditions for up to the number of annual extensions identified on the
RFP cover sheet by executing a signed contract prior to the expiration of this Contract. The
effective date of the contract shall not precede the date upon which both parties have signed
the contract and the date upon which the contract is approved by the Lottery Board, if such
approval is required.
27
6.4
Contract Length
The term of the Contract will begin on the dates indicated on the RFP cover sheet. The
Lottery shall have the sole option to renew the Contract upon the same or more favorable
terms and conditions for up to the number of annual extensions identified on the RFP cover
sheet.
6.5
Performance Security
The contract will require the Contractor to provide for performance of the Contract through
retained funds. The Lottery shall retain twenty percent (20%) of each payment due
Contractor under the Contract. Lottery shall pay the retained amount only after all
performance of the services has been completed by Contractor and accepted by the Lottery.
Payment schedule to be negotiated as part of contract negotiations.
6.6
CPI Cost Adjustments
The costs in this Agreement shall allow for an adjustment (increase or decrease) of the
Contractor’s price for any contract extensions that may be exercised by the Lottery. This
Agreement will allow for an adjustment of the Contractor’s price based on the percentage of
the change in the National All Urban Consumer Price Index for the “all items” classification
from October to October. The applicable increase for each renewal option period is equal to
_____% of the CPI change. Contractors are required to complete the CPI markup/markdown
percent even if the future increase or decrease in price is to be zero (0) percent.
28
RFP IL 14-01
Attachment #1
PROPOSAL COMPLIANCE AND CERTIFICATION STATEMENT
I certify that the contents of the Bid Proposal are true and accurate. I also certify that no false
statements have knowingly been made in this Bid Proposal.
Certification of Independence
By submitting a Bid Proposal in response to this RFP, I certify the following:
1. The Bid Proposal has been developed independently, without consultation, communication or agreement with
any employee or consultant to the Lottery who has worked on the development of this RFP, or with any person
serving as a member of the evaluation committee.
2. The Bid Proposal has been developed independently, without consultation, communication or agreement with
any other Contractor or parties for the purpose of restricting competition.
3. Unless otherwise required by law, the information found in the Bid Proposal has not been knowingly disclosed
and will not be knowingly disclosed prior to the award of the contract, directly or indirectly, to any other Contractor.
4. No attempt has been made or will be made to induce any other Contractor to submit or not to submit a Bid
Proposal for the purpose of restricting competition.
5. No relationship exists or will exist during the contract period between the Contractor and the Lottery that
interferes with fair competition or as a conflict of interest.
Certification Regarding Debarment
6. I certify that, to the best of my knowledge, the Contractor/Company (shown in signature box) and all of its
principals: (a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from covered transactions by a Federal Agency or State Agency; (b) have not within a ten-year period
preceding this Bid Proposal been convicted of, or had a civil judgment rendered against them for commission of
fraud, or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state,
or local) transaction or contract under a public transaction, violation of antitrust statutes or commission of
embezzlement, theft, forgery, falsification or destruction of records, making false statements, or receiving stolen
property; (c) are not presently indicted for or other criminally or civilly charged by a government entity (federal, state,
or local) with the commission of any of the offenses enumerated in (b) of this certification; and (d) have not within a
three year period preceding this Bid Proposal had one or more public transactions (federal, state, or local)
terminated for cause.
This certification is a material representation of fact upon which the Lottery has relied upon when this transaction
was entered into. If it is later determined that the undersigned knowingly rendered an erroneous certification, in
addition to other remedies available, the Lottery may pursue available remedies including suspension, debarment, or
termination of the contract.
Certification Regarding Registration, Collection, and Remission of Sales and Use Tax
7. Pursuant to Iowa Code sections 423.2(10) & 423.5(8) (2005 Code Supp.) a retailer in Iowa or a retailer
maintaining a business in Iowa that enters into a contract with a state agency must register, collect, and remit Iowa
sales tax and Iowa use tax levied under Iowa Code chapter 423 on all sales of tangible personal property and
enumerated services. The Act also requires Contractors to certify their compliance with sales tax registration,
collection, and remission requirements and provides potential consequences if the certification is false or fraudulent.
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By submitting a Bid Proposal the undersigned certifies the following: (check the applicable box)
____________________ is registered with the Iowa Department of Revenue, collects, and remits Iowa
sales and use taxes as required by Iowa Code chapter 432; or
_____________________ is not a “retailer” or a “retailer maintaining a place of business in this state” as
those terms are defined in Iowa Code subsections 423.1(42) & (43).
By submitting a Bid Proposal and signing this statement, Contractor indicates understanding and acknowledges that
the Lottery may declare the bid or resulting contract void if the above certification is false. The Contractor also
understands that fraudulent certification may result in the Lottery or its representative filing for damages for breach of
contract.
I have the authority to bind the Contractor indicated below to the specific terms and conditions and technical
specifications required in this RFP and offered in the Bid Proposal.
Business Name:
Authorized Signature:
Printed Name:
Title:
Date:
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RFP IL 14-01
Attachment #2
Authorization to Release Information Statement
[Name of Contractor] hereby authorizes the Lottery or a member of the Evaluation Committee to obtain information
regarding its performance on other contracts, agreements or other business arrangements, its business reputation,
and any other matter pertinent to evaluation and the selection of a successful Contractor in response to Request for
Proposal (RFP) Number IL 14-01.
The Contractor acknowledges that it may not agree with the information and opinions given by such person or entity
in response to a reference request. The Contractor acknowledges that the information and opinions given by such
person or entity may hurt its chances to receive contract awards from the State or may otherwise hurt its reputation
or operations. The Contractor is willing to take that risk.
The Contractor hereby releases, acquits and forever discharges the State of Iowa, the Lottery, their officers,
directors, employees and agents from any and all liability whatsoever, including all claims, demands and causes of
action of every nature and kind affecting the undersigned that it may have or ever claim to have relating to
information, data, opinions, and references obtained by the Lottery or the Evaluation Committee in the evaluation
and selection of a successful Contractor in response to the RFP.
The Contractor authorizes representatives of the Lottery or the Evaluation Committee to contact any and all of the
persons, entities, and references which are, directly or indirectly, listed, submitted, or referenced in the Contractor's
Proposal submitted in response to RFP.
The Contractor further authorizes any and all persons and entities to provide information, data, and opinions with
regard to its performance under any contract, agreement, or other business arrangement, its ability to perform,
business reputation, and any other matter pertinent to the evaluation of the Contractor’s Proposal. The Contractor
hereby releases, acquits and forever discharges any such person or entity and their officers, directors, employees
and agents from any and all liability whatsoever, including all claims, demands and causes of action of every nature
and kind affecting the Contractor that it may have or ever claim to have relating to information, data, opinions, and
references supplied to the Agency or the Evaluation Committee in the evaluation and selection of a successful
Contractor in response to RFP.
A photocopy or facsimile of this signed Authorization is as valid as an original.
I have the authority to bind the Contractor indicated below to the specific terms and conditions of this Release
Statement.
Business Name:
Authorized Signature:
Printed Name:
Title:
Date:
31
Attachment # 3 Contractor Requirement Check List
RFP REFERENCE SECTION
3.1.2
3.2.3
1 Original Copy of the Technical
Proposal, plus 5 photocopies & 1
electronic copy
One (1) Public Copy with Confidential
Information Excised-if applicable
Transmittal Letter
Table of Contents-including this
attachment
Executive Summary
3.2.5
Background Information
3.2.6
Experience
3.1.3
3.2.1
3.2.2
RESPONSE
INCLUDED
Yes
No
LOCATION OF RESPONSE
3.2.6.4 Three (3) References
3.2.7
Personnel
3.2.8
Financial Information
3.2.9
Terminations, Litigation, Debarment
3.2.11 Acceptance of Terms and Conditions
3.2.12 Certification Letter
3.2.13 Authorization to Release Information
3.2.14 Firm Proposal Terms
3.3
Cost Proposal
4.2
Mandatory Pass/Fail Technical
Requirements
4.2.1 Implementation Services
4.2.2 Security
4.3
Scored Mandatory Requirements
32
ATTACHMENT # 4
Cost Proposal Format
Bidder’s Name:
Mailing Address:
City, State, & Zip Code:
Telephone Number (Incl. Area Code):
Signature of Officer:
Printed Name:
FAX Number:
Email Address:
Title:
Date:
Unless otherwise specified herein, Cost Proposal shall include an all-inclusive, itemized,
total cost in U.S. Dollars (including all travel, expenses, etc. in prices). All pricing to be FOB
Destination, freight cost and all expenses included; and based on Net 60 Days Payment
Terms.
The following template is required. Please use additional pages to provide any
additional narrative support for the costing information.
The cost proposal shall include each stage in the table below. Payment for each stage will
be made according to the table below, and be contingent upon user acceptance. The cost
proposal shall also specify the hourly rate for post-production support.
Delivery Date
Cost
Software
Review current practices and business
needs; make recommendations
Implementation and setup for Lottery funds,
chart of accounts and reports
Training
Other (describe)
Grand Total
Hourly Rate for Post-Production support
Annual maintenance agreement including
software updates
Annual Microsoft license fees (if any)
CPI Markup/down Percent
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ATTACHMENT # 5
Iowa Lottery
Application Security Policy
Effective 1/1/2011
34
ATTACHMENT # 6
Iowa Lottery
Logging Policy
Effective 1/20/2011
35
ATTACHMENT # 7
STATE OF IOWA
DEPARTMENT OF PUBLIC SAFETY
DIVISION OF CRIMINAL INVESTIGATION
CLASS “O” LOTTERY BACKGROUND
VENDORS
36
ATTACHMENT # 8
Proposed resulting contract
37