University of Kentucky Alumni Association Investment Advisor Attachment A

Agency:	UNIVERSITY OF KENTUCKY
State:	Kentucky
Type of Government:	State & Local
Category:	R - Professional, Administrative and Management Support Services
Posted:	Mar 12, 2024
Due:	Apr 5, 2024
Solicitation No:	UK-2422-24
Publication URL:	To access bid details, please log in.

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Request for Proposal

UK-2422-24

Proposal Due Date – 04/05/2024

University of Kentucky Alumni Association

Investment Advisor

Revised 11-3-23

REQUEST FOR PROPOSAL (RFP)

ATTENTION: This is not an order. Read all instructions, terms and conditions carefully.

PROPOSAL NO.:

Issue Date:

Title:

Purchasing Officer:

Email/Phone:

UK-2422-24

3/1/24

University of Kentucky Alumni Association

Investment Advisor

Rebecca Purcell

rpurcell@uky.edu 859-257-5479

RETURN ORIGINAL COPY OF PROPOSAL TO:

UNIVERSITY OF KENTUCKY

PROCUREMENT SERVICES

411 S LIMESTONE

ROOM 322 PETERSON SERVICE BLDG.

LEXINGTON, KY 40506-0005

IMPORTANT: PROPOSALS MUST BE RECEIVED BY: 04/05/2024 3 P.M. LEXINGTON, KY TIME.

NOTICE OF REQUIREMENTS

1. The University’s General Terms and Conditions and Instructions to Bidders, viewable at https://purchasing.uky.edu/bid-and-proposal-opportunities, apply to

this RFP. When the RFP includes construction services, the University’s General Conditions and Special Conditions for Construction and Instructions to

Bidders, viewable at https://purchasing.uky.edu/bid-and-proposal-opportunities, apply to the RFP.

2. Contracts resulting from this RFP must be governed by and in accordance with the laws of the Commonwealth of Kentucky.

3. Any agreement or collusion among offerors or prospective offerors, which restrains, tends to restrain, or is reasonably calculated to restrain competition by

agreement to bid at a fixed price or to refrain from offering, or otherwise, is prohibited.

4. Any person who violates any provisions of KRS 45A.325 shall be guilty of a felony and shall be punished by a fine of not less than five thousand dollars nor

more than ten thousand dollars, or be imprisoned not less than one year nor more than five years, or both such fine and imprisonment. Any firm, corporation,

or association who violates any of the provisions of KRS 45A.325 shall, upon conviction, be fined not less than ten thousand dollars or more than twenty

thousand dollars.

AUTHENTICATION OF BID AND STATEMENT OF NON-COLLUSION AND NON-CONFLICT OF INTEREST

I hereby swear (or affirm) under the penalty for false swearing as provided by KRS 523.040:

1. That I am the offeror (if the offeror is an individual), a partner, (if the offeror is a partnership), or an officer or employee of the bidding corporation having

authority to sign on its behalf (if the offeror is a corporation);

2. That the attached proposal has been arrived at by the offeror independently and has been submitted without collusion with, and without any agreement,

understanding or planned common course of action with, any other Contractor of materials, supplies, equipment or services described in the RFP, designed

to limit independent bidding or competition;

3. That the contents of the proposal have not been communicated by the offeror or its employees or agents to any person not an employee or agent of the

offeror or its surety on any bond furnished with the proposal and will not be communicated to any such person prior to the official closing of the RFP:

4. That the offeror is legally entitled to enter into contracts with the University of Kentucky and is not in violation of any prohibited conflict of interest, including,

but not limited to, those prohibited by the provisions of KRS 45A.330 to .340, and164.390;

5. That the offeror, and its affiliates, are duly registered with the Kentucky Department of Revenue to collect and remit the sale and use tax imposed by Chapter

139 to the extent required by Kentucky law and will remain registered for the duration of any contract award;

6. That I have fully informed myself regarding the accuracy of the statement made above.

SWORN STATEMENT OF COMPLIANCE WITH CAMPAIGN FINANCE LAWS

In accordance with KRS45A.110 (2), the undersigned hereby swears under penalty of perjury that he/she has not knowingly violated any provision of the

campaign finance laws of the Commonwealth of Kentucky and that the award of a contract to a bidder will not violate any provision of the campaign finance

laws of the Commonwealth of Kentucky.

CONTRACTOR REPORT OF PRIOR VIOLATIONS OF KRS CHAPTERS 136, 139, 141, 337, 338, 341 & 342

The contractor by signing and submitting a proposal agrees as required by 45A.485 to submit final determinations of any violations of the provisions of KRS

Chapters 136, 139, 141, 337, 338, 341 and 342 that have occurred in the previous five (5) years prior to the award of a contract and agrees to remain in

continuous compliance with the provisions of the statutes during the duration of any contract that may be established. Final determinations of violations of

these statutes must be provided to the University by the successful contractor prior to the award of a contract.

CERTIFICATION OF NON-SEGREGATED FACILITIES

The contractor, by submitting a proposal, certifies that he/she is in compliance with the Code of Federal Regulations, No. 41 CFR 60-1.8(b) that prohibits the

maintaining of segregated facilities.

SIGNATURE REQUIRED: This proposal cannot be considered valid unless signed and dated by an authorized agent of the offeror. Type or print the signatory's

name, title, address, phone number and fax number in the spaces provided. Offers signed by an agent are to be accompanied by evidence of his/her authority

unless such evidence has been previously furnished to the issuing office.

DELIVERY TIME:

NAME OF COMPANY:

DUNS #

PROPOSAL FIRM THROUGH:

PAYMENT TERMS:

ADDRESS:

CITY, STATE & ZIP CODE:

Phone/Fax:

E-MAIL:

SHIPPING TERMS: F. O. B. DESTINATION

PREPAID AND ALLOWED

FEDERAL EMPLOYER ID NO.:

TYPED OR PRINTED NAME:

SIGNATURE:

WEB ADDRESS:

DATE:

Revised 7-28-2023

PROPOSAL NO. UK-2422-24

Table of Contents

1.0 DEFINITIONS ........................................................................................................................... 5

2.0 GENERAL OVERVIEW............................................................................................................. 6

2.1 Intent and Scope .................................................................................................................. 6

2.2 Background Information ....................................................................................................... 6

2.3 University Information ........................................................................................................... 6

2.4 Economic Inclusion and Procurement................................................................................ 9

3.0 PROPOSAL REQUIREMENTS............................................................................................... 10

3.1 Key Event Dates................................................................................................................. 10

3.2 Offeror Communication ...................................................................................................... 10

3.3 Offeror Presentations ......................................................................................................... 10

3.4 Preparation of Offers .......................................................................................................... 11

3.5 Proposed Deviations from the RFP .................................................................................... 11

3.6 Proposal Submission and Deadline .................................................................................... 11

3.7 Modification or Withdrawal of Offer..................................................................................... 12

3.8 Acceptance or Rejection and Award of Proposal ................................................................ 12

3.9 Rejection ............................................................................................................................ 12

3.10 Addenda ............................................................................................................................. 13

3.11 Disclosure of Offeror’s Response ....................................................................................... 13

3.12 Restrictions on Communications with University Staff ........................................................ 13

3.13 Cost of Preparing Proposal................................................................................................. 13

3.14 Disposition of Proposals ..................................................................................................... 13

3.15 Alternate Proposals ............................................................................................................ 14

3.16 Questions ........................................................................................................................... 14

3.17 Section Titles in the RFP .................................................................................................... 14

3.18 No Contingent Fees............................................................................................................ 14

3.19 Proposal Addenda and Rules for Withdrawal...................................................................... 14

4.0 PROPOSAL FORMAT AND CONTENT .................................................................................. 15

4.1 Proposal Information and Criteria ....................................................................................... 15

4.2 Signed Authentication of Proposal and Statements of Non-Collusion and Non-Conflict of

Interest Form .............................................................................................................................. 15

4.3 Transmittal Letter ............................................................................................................... 15

PROPOSAL NO. UK-2422-24

4.4 Executive Summary and Proposal Overview ...................................................................... 16

4.5 Criteria 1 - Investment Advisor Request for Proposal Template-Technical ......................... 16

4.6 Criteria 2 – Investment Advisor Request for Proposal Template-Financial.......................... 16

4.7 Criteria 3 – Other Additional Information............................................................................. 17

5.0 EVALUATION CRITERIA PROCESS...................................................................................... 18

6.0 SPECIAL CONDITIONS.......................................................................................................... 19

6.1 Contract Term .................................................................................................................... 19

6.2 Competitive Negotiation ..................................................................................................... 19

6.3 Appearance Before Committee .......................................................................................... 19

6.4 Contractor Cooperation in Related Efforts .......................................................................... 19

6.5 Governing Law ................................................................................................................... 20

6.6 Kentucky’s Personal Information Security and Breach Investigation Procedures and

Practices Act .............................................................................................................................. 20

6.7 Termination for Convenience.............................................................................................. 20

6.8 Termination for Non-Performance ...................................................................................... 20

6.9 Assignment and Subcontracting ......................................................................................... 21

6.10 Permits, Licenses, Taxes.................................................................................................... 21

6.11 Attorneys’ Fees .................................................................................................................. 22

6.12 Royalties, Patents, Copyrights and Trademarks ................................................................. 22

6.13 Indemnification ................................................................................................................... 22

6.14 Insurance ........................................................................................................................... 22

6.15 Method of Award ................................................................................................................ 23

6.16 Conflict of Interest .............................................................................................................. 23

6.17 University Brand Standards ................................................................................................ 23

7.0 SCOPE OF SERVICES .......................................................................................................... 25

7.1 Detailed Services Defined .................................................................................................. 25

8.0 FINANCIAL OFFER SUMMARY ............................................................................................. 26

8.1 Alternate Pricing ................................................................................................................. 26

PROPOSAL NO. UK-2422-24

1.0 DEFINITIONS

The term "addenda" means written or graphic instructions issued by the University of Kentucky prior

to the receipt of proposals that modify or interpret the RFP documents by additions, deletions,

clarifications and/or corrections.

The term "competitive negotiations" means the method authorized in the Kentucky Revised

Statutes, Chapter 45A.085.

The terms "offer" or “proposal” mean the offeror’s/offerors’ response to this RFP.

The term "offeror" means the entity or contractor group submitting the proposal.

The term "contractor" means the entity receiving a contract award.

The term "purchasing agency" means the University of Kentucky, Procurement Services, Room 322

Peterson Service Building, Lexington, KY 40506-0005.

The term "purchasing official" means the University of Kentucky’s appointed contracting

representative.

The term "responsible offeror" means a person, company or corporation that has the capability in all

respects to perform fully the contract requirements and the integrity and reliability that will assure

good faith performance. In determining whether an offeror is responsible, the University may

evaluate various factors including (but not limited to): financial resources; experience; organization;

technical qualifications; available resources; record of performance; integrity; judgment; ability to

perform successfully under the terms and conditions of the contract; adversarial relationship

between the offeror and the University that is so serious and compelling that it may negatively

impact the work performed under this RFP; or any other cause determined to be so serious and

compelling as to affect the responsibility of the offeror.

The term "solicitation" means RFP.

The term "University" means University of Kentucky.

This is the opportunity summary page. You are currently viewing an overview of this opportunity and a preview of the attached documentation. For more information, please visit the Publication URL Web page.

University of Kentucky Alumni Association Investment Advisor Attachment A

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