University of Connecticut

Request For Proposal User Guide

Overview of the Procurement Process	Do I really need an RFP?	Sole Source	Purchase Requisition	Scope of Work	Award Selection Criteria
Pre-Proposal Conference	Proposal Opening	Proposal Evaluations	Formation of Agreement	Contract Administration	Frequently Asked Questions

Introduction

This section is intended to be an informal publication to assist University employees in understanding the procurement processes required when using public funds to purchase complex goods and services. It is unique in that it provides supplemental details and explanations for the official procedures outlined in the User's Manual. We suggest that when you seek information concerning the acquisition and administration of contracts for complex goods and services, you begin with this section and refer to the User's Manual as appropriate. Please consult the appropriate team in Purchasing for any services-related questions, or when you have questions concerning the purchase of complex goods. Do not hesitate to call when you need assistance. We solicit your cooperation in helping us assist you in obtaining the goods and services you need, when you need them. Copies of any of our handbooks or specific subject information guides are available by calling the receptionist at 486-2619 or making an appointment to visit the Purchasing Department located in the Central Warehouse at 3 North Hillside Road.

What is a Request for Proposal, Request for Information, Request for quotation?

Request for Proposal - A document issued to prospective bidders based on a generalized scope of work and awarded to the most responsible bidder submitting the most advantageous and responsive proposal.
Request for Information - A document issued to a list of vendors to obtain, gather, solicit information on what products a vendor has to offer, or how a perspective bidder would propose to perform certain work, its terms, qualifications, and terms and conditions. RFI's are not used to obtain price information.
Request for Quotation - A document issued to prospective bidders to obtain quotations for definitive products or services and awarded to the lowest compliant bidder.

In this publication, the Request for Proposal will be discussed in detail. For a Request for Information and the Request for Quotation apply the same criteria listed in this publication.

Overview of the Procurement Process

The procurement process begins with purchase requisition, a scope of work statement (description of services), or specifications (description of goods), proposal evaluation criteria, and a recommended sources list. These are submitted to the Purchasing Department where a complete Request for Proposal (RFP) including standard contract language (boilerplate), special language (terms and conditions unique to the project) instructions to prospective bidders, and any requisite technical exhibits or attachments are developed.

The RFP states a date/time deadline for proposal receipt and often has a mandatory pre-proposal conference for bidders. This conference gives bidders the opportunity to ask questions and gives the university a chance to determine whether any changes need to be issued to the RFP. This is also an excellent time to conduct any requisite site visit to familiarize bidders with the work site.

After proposals are received, the using department evaluates each proposal against the source selection criteria and provides a written recommendation for award to the Purchasing Department. Purchasing may assist in the evaluation process. Then it is reviewed and approved by the University Purchasing Department. Once approved, a purchase order is issued.

After the award, the using department is responsible for monitoring the bidder's performance, approving invoices, and notifying the Purchasing Department if problems are encountered. If the contract contains an option to renew, the using department must notify the Purchasing Department at least 30 days prior to the renewal notification date cited in the contract. In the case of ongoing services, during the terminal (last) year of contract performance, the using department should provide the Purchasing Department with an updated RFP three to four months prior to the end of the contract to allow time for issuing a new RFP and going through the evaluation and award cycle once again.

Do I Really Need an RFP?

A formal Request for Proposal (RFP) is not required for justified single source purchases, installation services incidental to the purchase of equipment, or for services provided directly by another governmental agency.

Examples of situations requiring RFPs are purchases of specialized equipment systems, custom computer equipment and/or software, data processing services, custodial services, marketing services, food services, security services, mail services, and consultant services. In general, an RFP is needed when the product/service required and the expected contract performance, terms, and conditions cannot be completely described by a detailed specification attached to a purchase order. Because the RFP is typically used for the procurement of services, the remainder of this publication addresses service contracting through the RFP process.

Sole Source

On occasion it may be necessary to purchase equipment, supplies or services from a single source vendor. This means that there is only one source of supply available. Examples of a sole source procurements include:

Items which must be compatible with existing equipment or systems and are available only from the original manufacturer.
Items that have specific features essential for the completion of the task or project at hand that are available from only one source.
When changing brands or manufacturers would compromise the continuity of the research project or proprietary items e.g. copyrighted software, publications, etc. Justification will include features which are unique & essential for the intended use that other manufacturers of like products do not offer. (Exterior size will be only used if space is critical.)

Preference for one vendor, product or service following any market studies, quotations, acquisition or demonstration/testing by a department does not constitute a sole source. These preferences must be determined through a competitive RFQ/RFP process issued by the Purchasing Department. Submission of sole source request does not preclude the requirement to obtain a written and signed quotation. Additionally, budgetary considerations are not sufficient grounds to approve a sole purchase. Remember that if your requirement is available from more than one source, it is not considered a sole source. Requests for non-competitive purchases must be submitted to the Purchasing Department in writing and may require the approval of the VP for Finance and Administration.

Purchase Requisition

The purchase requisition (PUR4C-electronic) is the document used to communicate to the Purchasing Department a desire to purchase materials, parts, supplies, equipment or services and details the information necessary to develop an RFP. FRS coding is not required to solicit proposals, but is required to issue a purchase order. All quotations and/or proposals and correspondence from the vendor, and supporting documentation (e.g., written bids, letters of justification, specifications, samples and literature), must be attached to the requisition. Departments should allow adequate lead-time for bid solicitation, order processing, and product delivery.

Scope of Work

Where Do I Start?
The scope of work is the heart of the RFP. A well written scope of work can do more for the success of a contract than any other part of the contracting process. A good scope of work is clear, complete, and logical enough to be understood by the bidder and the university personnel who will administer it. Because it describes the details of performance, it is the yardstick against which the bidder's performance is measured. That is why the using department's requisitioner/contract administrator should be the focal point for developing the scope of work. The requisitioner/administrator, the person who will be responsible for monitoring the bidder's performance, should start the process by contacting the Purchasing Department prior to six months in advance of the need for the product/services to request copies of samples from previous contracts. Armed with this information, she/he should consult with appropriate university experts (Public Safety for security issues, Health and Safety for environmental or job safety concerns, Computer Center for computer software or hardware advice, Physical Plant for issues impacting university facilities, Finance for special insurance needs, etc.) and enlist the assistance of other departmental personnel in drafting the scope of work. The Purchasing Department can help identify resources for this purpose.

Terminology and Word Choice
When drafting your scope of work, bear in mind that it must clearly communicate what you expect from the bidder. If you think a term could be misunderstood, include a definition so that both parties have the same frame of reference. Avoid using phrases or clauses whose meaning is arguable or ambiguous. The words should or may have no place in the scope of work unless there is a clear need to advise the bidder that the action requested is purely optional. When action is mandatory, use the words shall or must.

Suggested Content
The purpose of the scope of work is to explain what the bidder is expected to do, how the bidder is directed to perform, and where and when contract performance must take place. The following are suggested sections of the scope of work should be addressed:

Introduction and general information: Purpose or objective, history and background, contact persons, bidding method (i.e., competitive sealed bidding) preÐproposal conference, bidder qualifications, and calendar of events.
Task description: The work to be done by the bidder.
Constraints on the bidder: Work site conditions, laws & policies, or local security control systems.
Bidder personnel requirements: Qualifications of key personnel, employee identification, uniforms, and additional responsibilities.
University responsibilities: What the university will do or provide to the bidder.
Evaluation of bidder performance: Identify performance standards which must be met for the bidder to be considered in compliance.
Reporting requirements and procedures: Written reports if any will be required during the contract term, how many copies, and where they are to be delivered.
Special conditions: Contract extension and renewal; special payment procedures, bonds, or insurance required.

Time frames for the RFQ or RFP or RFI process
Once the scope of work, award selection criteria, and terms and conditions have been finalized by the requisitioner and Purchasing, the following time frames apply:

RFQ - average response time of 14 calendar days from the date the bid is sent out to the date a response is received from a bidder.
RFP - average of 3 to 6 weeks depending on the length and complexity from the date the bid is sent out to the date a response is received from a bidder.
RFI - average of 14 calendar days from the date the bid is sent out to the date a response is received from a bidder. Times are averages and will vary according to the complexity of the Request and the time lines desired by the requisitioner.

Award Selection Criteria

State law requires that we determine the lowest and best proposal most advantageous to the University. In doing so, we consider only proposals from responsible and responsive bidders which meet the proposal requirements. Responsive proposals are then evaluated using only the evaluation criteria set forth in the RFP.

Responsible and Responsive Bidders
A prerequisite for award is that the offeror must be responsible and must submit a responsive offer. To be responsible means the offeror has the requisite business integrity, as well as financial and organizational capabilities, to ensure good-faith performance. To be responsive an offer must conform to the criteria described in the RFP. Beyond these two basic criteria, the only method we have of selecting the offer most advantageous to the University is by applying the proposal evaluation criteria we publicize in the RFP.

Proposal Evaluation Criteria
Because of the nature of most goods and services, and the sealed competitive bid procedure that we are required by law to use, we make comparative analyses of proposals when making an award determination. Proposal evaluation criteria are largely percentages or a matrix of the criteria. We screen out (non-responsive) bids and only look at those who meet the minimum criteria. Thus, the drafting of reasonable and definitive evaluation criteria is extremely important to the RFP source selection process.

Some evaluation criteria to consider for inclusion in your RFP include:

Performance record of the bidder;
Safety record;
Specific (must list) relevant qualifications needed to ensure adequate contract performance;
Recent relevant experience in providing comparable services on other projects of similar size and scope;
Satisfaction of references (a minimum of three) of similar size and scope to the University who have received goods and services comparable to those being requested in this RFP;
Overall quality of the proposal; and
Pricing.
Qualifications of vendor personnel to be assigned.

Pre-proposal Conference

While a pre-proposal conference is not always required, it is often recommended. If one is conducted, bidders may be required to attend so that we can be sure that all bidders receive the same information. Additionally we often receive constructive feedback about the RFP. Although someone from the Purchasing Department usually leads the conference and answers any contractual questions, the using department should be represented to answer any technical questions and performance expectations. During the conference-normally held seven to ten days after RFP release - university employees must not discuss the merits of a bidder's question, and it must be understood that nothing discussed that materially affects the RFP can be relied upon unless it is documented in an addendum to the RFP issued after the conference. If a site visit is needed to familiarize bidders with the work site, it is normally conducted immediately following the pre-proposal conference.

Proposal Opening

Proposal openings are open to the public and normally scheduled five to seven days after the pre-proposal conference. Prices for each bidder are read aloud and recorded. Late proposals are marked with the time and date received, however, and are returned to the sender unopened or read.

Proposal Evaluations

After the Purchasing Department has reviewed each bidder's proposal to determine that they are complete, copies are forwarded to the department for evaluation. During the evaluation period and prior to award, possession of proposals and accompanying information must be limited to personnel responsible for participating in the evaluation. Any communications with bidders approved by the purchasing agent issuing the RFP. Your recommendation for award must be in written form and must address how each offeror has met or failed to meet the evaluation criteria as stated in the RFP in relation to the evaluation matrix. All areas of nonÐconformity with the terms, conditions, or listed specifications must be clearly stated in your evaluation.

Formation of Agreement/Negotiation

The University will usually take one of the following actions in order to form an agreement between the University and the selected bidder: 1. Accept a proposal as written or, 2. Enter into negotiations with one or more bidders in an effort to reach a mutually satisfactory agreement based on the RFP, the proposal submitted by the selected bidder and the negotiations concerning these. The negotiations will not include any changes to the price submitted on the "Proposal Bid Form", unless the negotiations change the project requirements.

Contract Administration

*Contract Administrator - the person identified in the contract as the department contact to handle the details and monitor the day to day activities of the bidder's performance of the contract.

Monitoring Performance
After award, the contract administrator monitors the bidder's performance, approves invoices, and notifies the Purchasing Department if problems are encountered. Depending upon the type of service, the manner in which performance is monitored may involve any number of procedures including regular and unscheduled inspections, complaints brought to management's attention, and reports or surveys of consumers of the service.

Changing The Contract
Since the purchase order incorporates the bidder's response to the RFP, these documents reflect the agreement between the parties. Amending or canceling the contract can only be accomplished under the terms and conditions of the agreement. Change orders must be issued by the University's Purchasing Department via a written formal request. Additionally, a copy of any written correspondence from the department's contract administrator to the bidder should also be sent to the Purchasing Agent.

Dealing With Poor Performance
The key to rectifying poor performance is keeping thorough documentation. Each contract contains provisions for dealing with poor performance. Such provisions are usually cited under the Default clause in the contract. Under the standard Default clause, the bidder has a specified number of working hours/days to correct, or provide a corrective action plan for any non-conformance identified by the contract administrator. While the contract administrator may initially deal with minor issues verbally, a written record of all these occasions becomes increasingly important when the bidder's performance deteriorates to the point where it is necessary to cancel the entire contract or parts thereof. If the contractor is clearly at fault, and we have documentation to prove it, we can cancel the contract for default and hold the bidder liable for the increased costs of obtaining substitute goods or services elsewhere. Never hesitate to contact the Purchasing Department for advice when you encounter problems with the contractor.

Contract Termination
Under the standard Termination clause, the university has the option of terminating the contract as detailed in the Contract Termination for Cause clause.

Contract Renewal
Most long-term contracts are written for one year with the option for up to four (4) one-year renewal periods for a total of five years of possible performance by the initial bidder. If the contract contains an option to renew, the using department must notify the Purchasing Department of its intent to renew at least 30 days prior to the renewal notification date stated in the contract. The renewal notification date is usually set at 90 days prior to the anniversary date of the contract. If the using department wishes to contract for services beyond the final contract term, the department should provide the Purchasing Department with an updated RFP three to four months prior to the end of the contract period to allow time for the requisite reviews prior to issuing a new RFP.

Frequently Asked Questions

Can I do my own vendor selection?
Not entirely. While your Suggestions are welcome, the Purchasing Department may add vendors to your suggested list.
How long does the bid process take?
A minimum of 14 calendar days. The complexity and/or time frame may increase the bid time.
What information do you need from "me" the requisitioner?
The purchase requisition, scope of work, and suggested award criteria. Bids can be conducted without funding, but cannot be awarded until funding is available.
Can I be involved in the analysis process?
Absolutely. The requisitioner is automatically part of the analysis process.
Will I be notified prior to the bid award?
Yes, no award will be made without the requisitioner's consent.
Why do we have to bid this again, we did that last year?
A contract with a value over the $10,000 limit must be rebid if the contract term has expired or when the renewal options have been depleted.
Can we exclude the current vendor from the bidders list due to poor performance?
If the documentation on file details the deficiencies, and the efforts to correct the problems have failed, a vendor may be excluded from bidding provided prior notice has been given and time parameters for exclusion explained. (This entails a debarring process requiring the approval of the President and the Attorney General.)
Who notifies a company/vendor of the award or loss of award?
The Purchasing Department.
Can we solicit our own quotes?
Any quotes you supply would only be used as a reference tool. Only quotations resulting from a formal solicitation process initiated by the Purchasing Department ensure compliance with state policies and procedures.
We are purchasing several items whose combined total exceeds $10,000. If we are using different FRS codes, can we submit separate requisitions to one vendor?
Purchasing reviews all requisitions for opportunities to combine like items to achieve economies of scale. Attempts to submit multiple requisitions to the same vendor would be viewed as an effort to by-pass the bidding system and are deemed a violation of state statutes.
If each item on a requisition is less than $2,000, why must they be bid?
We look at total acquisition cost, not unit cost.
Can we limit bidders to Connecticut vendors?
No, all bids are public and open to anyone who wants to submit a bid. There is no state statute permitting preference to Connecticut vendors. In the event of tie bids, a Connecticut vendor would be given preference.
Must we accept the low bid?
No, only the lowest responsible and responsive bidder in accordance with evaluation criteria.
How can we be sure the product/services are of the quality we want/need?
Bidders must supply information, documents, samples, etc. to show their product/service meet the specifications and evaluation criteria. An award is made to the lowest responsive responsible bidder capable of demonstrating to the University's satisfaction that they can meet your requirements.
Who should I contact if I have questions?
Visit our Staff Page for contact information