City of New York Office of the Comptroller Request

CITY OF NEW YORK OFFICE OF THE COMPTROLLER

REQUEST FOR PROPOSALS

TO PROVIDE

PRINTING AND RELATED SERVICES

FOR

THE COMPREHENSIVE ANNUAL FINANCIAL REPORT

PIN: 01513005CP01

JANUARY 18, 2014

John C. Liu Comptroller

Proposal Due Date: February 19, 2013 Pre-Proposal Conference: January 31, 2013

Prepared by: Office of the Comptroller's Bureau of Accountancy

REQUEST FOR PROPOSALS TO PROVIDE PRINTING AND RELATED SERVICES FOR THE COMPREHENSIVE ANNUAL FINANCIAL REPORT

PIN: 01501513005CP01

TABLE OF CONTENTS

SECTION I. INTRODUCTION ...... 4 SECTION II. TIME TABLE / AUTHORIZED CONTACT ...... 4 SECTION III. MINIMUM QUALIFICATION REQUIREMENTS ...... 5 SECTION IV. GENERAL STATEMENT OF OBJECTIVES ...... 6 SECTION V. BACKGROUND ...... 6 SECTION VI. DELIVERABLES, TASKS AND REQUIREMENTS ...... 7 A. PRINTING REQUIREMENTS FOR ADVANCE AND FINANCIAL CAFRs ...... 7 B. PRINTING REQUIREMENTS FOR HARDBOUND CAFRs ...... 9 C. OTHER REQUIREMENTS FOR SETS ...... 9 SECTION VII. PROPOSAL CONTENT AND FORMAT ...... 12 A. PART 1 - SUMMARY ...... 12 B. PART 2 – TECHNICAL PROPOSAL ...... 13 C. PART 3 – ORGANIZATIONAL SUPPORT AND EXPERIENCE ...... 13 D. PART 4 – PROPOSAL – PACKAGE CONTENTS (CHECKLIST) ...... 15

SECTION VIII. EVALUATION SELECTION AND AWARD PROCEDURES ...... 16 A. EVALUATION COMMITTEE ...... 16 B. EVALUATION CRITERIA ...... 17 SECTION IX. GENERAL INFORMATION ...... 18 A. ADDENDA ...... 18 B. NEWS RELEASES ...... 18 C. COMMENCEMENT OF WORK ...... 18 D. BACKGROUND ...... 18 E. MOST FAVORED CUSTOMER ...... 19 F. ACCOUNTING SYSTEM ...... 19 SECTION X. ADDITIONAL GENERAL INFORMATION ...... 19 A. COMPLAINTS ...... 19 B. APPLICABLE LAWS ...... 19 C. GENERAL CONTRACT PROVISIONS ...... 20 D. CONTRACT AWARD ...... 20 E. PROPOSER APPEAL RIGHTS ...... 20 F. MULTI-YEAR CONTRACTS ...... 20 G. PROMPT PAYMENT POLICY ...... 20 H. PRICES IRREVOCABLE ...... 20 I. CONFIDENTIAL, PROPRIETARY INFORMATION OR TRADE SECRETS ...... 21 J. RFP POSTPONEMENT/CANCELLATION ...... 21 K. PROPOSER COSTS ...... 21 L. VENDEX FEES ...... 21 M. CHARTER SECTION 312(a) CERTIFICATION ...... 21

COST SHEETS, APPENDICES, ATTACHMENTS, AND EXHIBITS

COST SHEET 1A DELIVERABLES USING RECYCLED STOCK 1B DELIVERABLES USING NON RECYCLED STOCK 2 HARDBOUND SETS OF CAFRS 3 ADDITIONAL COPIES OF CAFRS 4 ALTERATIONS 5 SUPPORT AND OTHER SERVICES 6A PREMIUM OVERTIME RATES ON WEEKENDS AND HOLIDAYS 6B ESTIMATE OF THE NUMBER OF OVERTIME HOURS

************************************** APPENDIX A GENERAL PROVISIONS GOVERNING CONTRACTS FOR CONSULTANTS, PROFESSIONAL & TECHNICAL SERVICES; WITH MACBRIDE PRINCIPLES PROVISIONS APPENDIX B ADDITIONAL CRITERIA and MINORITY/WOMEN-OWNED BUSINESS ENTERPRISES CERTIFICATION PROGRAM INFORMATION

************************************** ATTACHMENT A PROPOSER’S COVER SHEET ATTACHMENT B SUBMISSION CHECKLIST ATTACHMENT C TAX IDENTIFICATION AND AFFIRMATION FORM ATTACHMENT D ACKNOWLEDGEMENT OF ADDENDA FORM ATTACHMENT E DOING BUSINESS DATA FORM

************************************** EXHIBIT 1 THE CITY OF NEW YORK COMPREHENSIVE ANNUAL FINANCIAL REPORT (CAFR) OF THE COMPTROLLER FOR THE FISCAL YEAR ENDED JUNE 30, 2012 EXHIBIT 2 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY’S COMPREHENSIVE PROCUREMENT GUIDELINES FOR RECYCLED PRINTING AND WRITING PAPER

REQUEST FOR PROPOSALS TO PROVIDE PRINTING AND RELATED SERVICES FOR THE COMPREHENSIVE ANNUAL FINANCIAL REPORT

I. INTRODUCTION The New York City Office of the Comptroller (Comptroller’s Office) is soliciting proposals from firms to produce New York City’s Comprehensive Annual Financial Report (CAFR) and provide related printing services for the City’s Fiscal Years 2013 and 2014. The contract for these services will incorporate renewal options for up to two additional Fiscal Years (2015 and 2016).

As mandated under Section 93(I) of the New York City Charter, the CAFR is published annually by the Office of the Comptroller. The CAFR is one of the Comptroller’s Office’s most important publications and is distributed widely in the financial community, among government and oversight agencies, the public, and citizen’s organizations.

II. TIME TABLE / AUTHORIZED CONTACT

A. Authorized Contact Maria Nicola Castiglione Office of the Comptroller Division Chief of Vendor Support Bureau of Accountancy 1 Centre Street – Rm. 2500N New York, NY 10007 Phone: (212) 669-8211 FAX: (212) 815-8662 Email: [email protected]

Restriction on Employee Contact From the issuance date of this Request For Proposal (RFP) until a proposal is selected, all contact with the Comptroller’s Office employees concerning this RFP must be cleared through the Authorized Contact.

B. Proposal Timetable Proposals should be submitted to: Maria Nicola Castiglione, Division Chief of Vendor Support, Bureau of Accountancy, City of New York, Office of the Comptroller, 1 Centre Street, Room 2500N, New York, New York 10007, by NO LATER THAN 3 p.m. on February 19, 2013.

Event Date Release of RFP January 18, 2012 Letter of Inquiry January 25, 2012 Pre-Proposal Conference January 31, 2013 Last Date for Inquiries February 1, 2013 Letter of Intent from Proposers Due February 13, 2013 Proposals Due February 19, 2013 Presentations/Site Visits (Optional) March 11 - March 15, 2013 Projected Printer Selection March 18 - March 22, 2013 Projected Contract Start Date July 1, 2013

C. Pre-Proposal Conference

A pre-proposal conference will be held in the Municipal Building, 1 Centre Street, Room 1200 on January 31st, 2013 at 10 a.m. Attendance by proposers is optional but recommended by the Comptroller’s Office. For anyone wishing to attend, please e-mail your intention to attend to the Authorized Contact at least three (3) business days before the above date. Please make sure to state “ATTENDEE” in the subject line of the e-mail and include the names and titles of the attendees.

D. Questions and Answers to the RFP

Answers to all questions asked (both by mail, e-mail and at the Pre-Proposal Conference) will be available on the Comptroller’s Office website at www.comptroller.nyc.gov at a later date. A list of the questions and answers will also be sent to everyone who picked up or downloaded this RFP. It is the responsibility of proposers to regularly check the Comptroller’s Office’s website for any addendum or other information pertaining to this RFP.

E. Letter of Intent / Letter of Declination

For internal administrative purposes only, the Comptroller’s Office requests that potential vendors submit the Letter of Intent by February 13, 2013 indicating whether they intend to submit a proposal or not. Submitting, or not submitting, a Letter of Intent will have no effect on the evaluation of a proposal for this or any future solicitations. Furthermore, a submission indicating a declination to submit a proposal will not preclude the inclusion of the vendor from participation of this or future solicitations.

III. MINIMUM QUALIFICATION REQUIREMENTS Because of the limited timeframe in which many of the services must be provided and the need for the highest degree of accuracy in the final product, prime proposers must meet the minimum qualification requirements specified below. These minimum qualification requirements must be maintained during the term of the contract that is awarded pursuant to this RFP.

To qualify, proposers must meet all of the following minimum requirements:

A. Have at least five (5) years experience as a provider of financial printing and related services for annual reports and other time sensitive, financial documents; and

B. Maintain an office with available printing facilities conveniently located to and within a 5 mile radius of the Comptroller’s Office at 1 Centre Street, NY, NY 10007

Proposals from firms that do not meet the minimum qualifications set forth here will not be considered.

IV. GENERAL STATEMENT OF OBJECTIVES This RFP solicits technical and cost proposals for the annual production of the CAFR and related services for the Comptroller’s Office. It is anticipated that the contractor selected from this solicitation will provide printing and related services to the Comptroller’s Office for the production of approximately 200 advance copies (Advance Set), 600 final copies (Final Set) and 15 hardbound editions (Hardbound Set) of the CAFR in each year of the contract. The services to be provided are expected to include, but not be limited to: A. Typesetting, plate making, printing, binding and artwork; B. Printing the required quantities for each year of the contract during the months of October and November according to the Comptroller’s Office timetable C. Providing a variety of digital files of the final, complete CAFR; and D. Providing facilities, proofing and correction services, messenger and other support services for the Comptroller’s Office staff during the final composition and proofing periods E. Word documents will be available by email for tracking changes

V. BACKGROUND The Comptroller’s Office is required by New York City Charter Section 93(I) to publish the City’s financial statements “within four months after the close of each fiscal year.” Each City Fiscal Year begins on July 1st and ends on June 30th. Since all financial data required for publication is often not available until very close to the statutory deadline and certain presentations in the CAFR may require extensive alterations just before the print deadline, the work required by this RFP is performed under highly pressured, time sensitive conditions.

A copy of the most recent CAFR will be available as Exhibit 1 at the Pre-Proposal Conference and is also available electronically on the Comptroller’s Office website at www.comptroller.nyc.gov. The Fiscal Year 2012 CAFR has 388 pages of 8½” x11” white stock printed in black ink including: 9 colored divider pages and 1 intentionally blank page. Additionally, there are several colored photographs, charts and graphs, one Government Finance Officers Association (GFOA) Certificate, one letterhead page containing the auditor’s opinion and one letterhead page containing the Comptroller’s Office address and City seal. See Exhibit 2, United States Environmental Protection Agency’s Comprehensive Procurement Guidelines for Recycled Printing and Writing Paper for additional details about the Fiscal Year 2012 CAFR.

The City’s financial statements are prepared by the Comptroller’s Office in full conformance with Generally Accepted Accounting Principles (GAAP), as promulgated by the Governmental Accounting Standards Board. In each of the last 32 years, the GFOA has awarded a Certificate

of Achievement for Excellence in Financial Reporting to New York City for the quality of the City’s CAFR. The City’s receipt of this award not only reflects the overall stature of the City’s financial reporting, but also affects the positive acceptance of the City’s financial statements by the investment community. The CAFR’s overall presentation, including the quality of printing and binding, is an important factor in the Certificate’s award.

VI. DELIVERABLES, TASKS AND REQUIREMENTS The Contractor (Contractor) will be required to produce three (3) sets of the CAFR, the Advance Set, the Final Set, and the Hardbound Set (individually, a “Set”, collectively, the “Sets”). Other than production dates, the differentiating characteristics of each Set will be in the stock and ink color used for the cover of the report, type of binding, weight of the colored divider pages and ink colors for the charts and photograph(s).

The Contractor will enter into a contract with the Comptroller to meet the specifications listed below for producing the Sets. The organization, format, number of pages and charts in the CAFR are expected to remain substantially the same from year-to-year; but may be altered in any manner due to a variety of causes, including, but not limited to, changes in GAAP or GFOA requirements, or the Comptroller’s Office desire to improve the presentation of the City’s financial statements.

A. Printing Requirements for the Advance and Financial Sets

1. Composition

Composition requirements are as follows: (a) Cover has twelve lines front and one line on the spine and a seal. (b) Foreword Page must be set new as per Exhibit 1, Fiscal Year 2012 CAFR. A signature and a camera-ready photograph of the New York City Comptroller will be provided. The photograph produced in the Advance version will be in black & white. (c) Table of Contents must be set new using the same style, type and spacing as per Exhibit 1. (d) Text must be set new, using same style, type and spacing per Exhibit 1. Signatures and auditors’ logo specimens, hierarchical organization chart and camera ready GFOA Certificate will be supplied to the Contractor. (e) Opinion Letter from the City’s independent certified public accountant must be typeset on the letterhead from the accounting firm(s). The firm(s) will provide signatures to be placed on this page. See Exhibit 1, Financial Section Part II for composition format. (f) Printed matter may include, but not be limited to, the following camera-ready material: photographs, drawings, maps and charts, tabular matter and straight printing or such other similar camera-ready material as determined by the Comptroller.

Please Note: Composition specifications may vary from year-to-year.

2. Stock The Comptroller’s Office requires that all stock used for the text in Advance and Final Sets must be at a minimum of 85 percent brightness and 90 percent opacity. (a) Advance Set (i) Cover Stock: Must be #1 cover stock, 65 lbs., white color and smooth finish. (ii) Compliment Slip: Must be 8½” x 11” in size and use the same stock as specified for the text stock below. (iii)Text Stock: Must be dual purpose, 20 lbs. (copy paper), and opaque white and smooth finish. (iv) Divider Stock: Must be dual purpose, 20 lbs. (copy paper) stock, colored, smooth or satin finish. The Comptroller’s Contract Manager will select the stock color. (b) Final Set (i) Cover Stock: Must be #12 cover stock, 80 lbs., and Navy Binacote C1S and smooth finish or selected by contract manger. (ii) Compliment Slip: Must be approximately 6¾” x 3”, #1 cover stock, antique white, 65 lbs with an 85 percent brightness minimum. (iii)Divider Stock: Must be #1 opaque offset stock, 70 lbs., vellum finish. The Comptroller’s Contract Manager will select the stock color. (iv) Text Stock: Must be #1 opaque offset stock of smooth or satin finish, 60 lbs. and white color.

Please Note: The Comptroller’s Office will determine for each year whether the Contractor will use recycled paper for all stock requirements for that year. Minimum recycled content must contain 30 percent post-consumer waste material or 50 percent recovered materials waste. (See Exhibit 2,). Also, if recycled paper is used, the recycle emblem must appear on the last page.

3. Ink Colors (a) Cover: For the Advance Set, the cover will be printed in black ink. For the Final Set, the cover will be printed in imitation gold foil ink. There are approximately 13 lines. Twelve lines are printed on the front and one line is printed on the spine. The City seal is also included on the front. (b) Text: Must be printed in black ink. (c) Charts: Must be printed in black and white ink in the Advance Set, and in multicolored ink in the Final Set. (d) Pictures should be in black and white in the Advance Set and color in the Final Set. Images should be sized proportionately to fit the entire page (8 1/2 x 11).

4. Binding The Advance Set must be bound with temporary binding (tape). The Final Set must be perfect bound using wrap around binding (sewn and glued).

B. Printing Requirements for the Hardbound Set Except for the cover, specifications for the paper stock, ink colors and binding for the Hardbound Set are identical to those for the Final Set. Hardbound Set covers must be of a hard cloth cover, smythe-sewn board with a trim page of 8½”x11”. Printing of the Hardbound Set covers must be done in imitation gold foil ink.

C. Other Requirements for the Sets 1. Project Planning and Management It is expected that within two weeks after registration of the contract resulting from this RFP, the Contractor will meet with the Comptroller’s Office designated contract manager for the CAFR (Contract Manager) to review the Contractor’s project plan, including the activities, timetable and methodology of the project. The detailed work plan should include all milestones, with a listing of activities and steps necessary to achieve each milestone proposed by the Contractor to provide the contract’s deliverables and requirements.

The Contractor will thereafter meet with the Comptroller’s Office, on a schedule set by the Contract Manager, to report on progress and review schedules for future activities and milestones, including the schedule of proofing periods described in the following section.

2. Proofs On or about August 15th of each year of the contract, the Contract Manager will begin forwarding digital text, tabular and chart information and a small number of hard copy pages to the Contractor. Narrative information will be available in Microsoft Word 2007 and tabular information and charts will be available in Microsoft Excel 2007 and SAP Business Objects Enterprise XI.

A written schedule of proofing periods will be developed in each contract year by the Contract Manager and provided to the Contractor. There will be six (6) proofing periods. The first five (5) proofing periods lead to the production of the Advance Set and require 72-hour, 24-hour, 12-hour, 6-hour and 1-hour turnaround times, respectively. Turnaround times for the first four (4) proofing periods will begin at the time of notice to the Contractor by the Contract Manager and will conclude upon delivery of proofs by the Contractor to the Contract Manager. It is expected that messenger services described below, in paragraph VI.C.4, may be required to deliver the proofs within the turnaround times.

The fifth proofing period will occur during late October each year. During this period, the Contract Manager will work at the Contractor’s premises to review and discuss the proofs of the Sets. Alterations must be completed within a 1-hour turnaround time. The Contractor must be prepared to accommodate approximately 10 to 15 of the Comptroller’s Office staff for these review sessions and submit approximately eight copies of proofs each time a proof is required.

The Contractor would also provide a comfortable and quiet room at its premises suitable for use by the Comptroller’s Office staff for the review process that will continue until

approval of the final proofs. Since financial information is obtained very close to the deadline and may require extensive alterations, the work required by this RFP is performed under highly pressured, time sensitive conditions. The exigency of these conditions is compounded by the Comptroller’s Office’s requirement for an excellent quality product, which should meet or exceed the quality of the Comptroller’s Office’s previous submissions to the GFOA.

Should a natural disaster or any other situation (“Emergency”) occur during the fifth proofing period that results in the Contractors’ premises becoming inaccessible, the Contractor shall notify the Contract Manager of the Emergency and shall provide alternate locations for Comptroller’s Office staff to continue proofing until final proofs are completed. Furthermore:

(i) If at any time during the Term of the contract an Emergency causes unforeseen difficulties with communication and/or equipment necessary to meet the stated deadline for deliverables, then the Contractor must offer alternate methods of ensuring that contract deliverables are met without delay. (ii) If at any time during the first five proofing periods an Emergency prevents Comptroller’s Office staff from accessing Comptroller’s Office facilities, the Contractor shall allow the Contract Manager and any Comptroller’s Office staff assigned to the Contract to enter the Contractor’s premises (or any other premises in use by the Contractor pursuant to the contract) to use for contract related purposes only.

Additionally, the Contractor shall regularly backup all data files given to it by the Comptroller’s Office, along with all data files created pursuant to this contract, to an offsite storage facility. All data files associated with this contract must be retrievable as soon as possible upon a request from the Comptroller’s Office.

After the Advance Set is received, additional proofing will be conducted during the sixth proofing period. This period, usually lasting two weeks and requiring a 24-hour turnaround, is reserved for any changes that are made for the production of the Final Set. Prior to the Final Set, at the Contract Manager’s option, a “black line” copy will need to be produced for approval by the Comptroller’s Office in advance of the final print of the book.

3. Alterations All alterations to proofs must be approved by the Contract Manager or his/her designee in writing. Any mistakes or errors made on the part of the Contractor or printer errors (marked “PE”) will not be considered as alterations for billing purposes. Upon request from the Contract Manager, black lining may be required for the alterations.

4. Messenger Services Messenger services must be provided by the Contractor to pick up copy from, and to deliver proofs to, the Comptroller’s Office’s Bureau of Accountancy at 1 Centre Street,

Room 200 South, New York NY 10007 (or another location identified by the Contract Manager).

5. Electronic Files Each year, all proofs will be available in MS Word “track changes” and by email upon completion and submission of the Final Set, the Contractor must create a PDF and Microsoft Word 2007 version of that document. The Contract Manager or designee also will require another PDF file of approximately 80 pages from Parts II, II-A and II-B of the CAFR, which will be used in the production of New York City’s Official Statements. In addition the proposer should be prepared to supply to the Comptroller’s Office, in an electronic media easily accessible and usable to the Comptroller’s Office (such as a CD or DVD-ROM or a USB Drive), electronic copies of Advance and/or Final Sets at the Comptroller’s Office’s option upon advance written notice from the Contract Manager in lieu of quantities stated below.

6. Support Services Support services may be required during the final composition and proofing stages of the CAFR. For the purpose of this RFP, support services shall be defined as services provided by the Contractor to the Comptroller’s Office including transportation, meals and any other services that are necessarily related to the efficient completion of the CAFR.

7. Overtime for Weekends/Holidays The Contractor may not work, nor will be paid for, any overtime without prior written approval from the Contract Manager. In seeking pre-approval for overtime work, the Contractor must submit to the Contract Manager an estimate of the overtime charges.

8. Deadlines and Quantities For each year, the Contractor must provide the Comptroller’s Office with the Advance Set on or before October 31st at 10 a.m. The Final set of 600 copies must be delivered on November 30th. The Hardbound Set must be delivered on or about November 30th. (See Chart Below).

CAFR SET OCTOBER 31 November 30 Advance (white book) 200 Copies Final 600 copies Hardbound 15 copies

Please Note: Deadlines and quantities of Advance and/or Final Sets may be changed at the Comptroller’s Office’s option upon advance written notice from the Contract Manager. In the event that the Comptroller’s Office wishes to produce additional copies of the Advance or Final Sets, the Comptroller’s Office will provide the Contractor with advance written notice.

9. Special Projects During the term of the contract, the Contract Manager may assign the Contractor separate CAFR printing-related special projects (Special Projects). Upon assignment of a Special Project, but prior to commencing work on the same, the Contractor will provide the Contract Manager an estimated fee to do the Special Project (Special Project Fee). The Contractor shall not commence any Special Project work until the Contract Manager has approved the Special Project Fee.

VII. PROPOSAL CONTENT AND FORMAT Each proposer should adhere to this section's requirements for proposal content and format so that the evaluation and selection process can be conducted in an orderly and timely manner. Proposers must insure that their proposals closely follow the sequence and organizational outline in this section.

Please Note: References to cost or cost formulae must not be included in Volume I. Pages in the proposal, including all appendices, exhibits and attachments, should be numbered consecutively to facilitate reference and review by the selection committee.

Proposals must be comprised of two volumes, each sealed and clearly marked as to contents, as follows:

1. Volume I Volume I will contain all required Appendices and Attachments (except for Attachment F) and the following three easily identifiable parts: . Part 1: Summary . Part 2: Technical Proposal . Part 3: Organizational Support and Experience

All of Volume I should not exceed a total of fifteen (15) pages and should not use a font smaller than 12 point characters. Appendices and other attachments required by this RFP will not count towards the fifteen (15) page maximum. The specific requirements for the three parts of Volume I are as follows:

A. Part 1 - Summary This section should present an overview of the proposed work and services to be provided. This section also must contain a transmittal letter, signed by a partner/officer of a firm responsible for carrying out this contract that includes: i. The name, address and telephone number of a day-to-day contact for administrative purposes; ii. A clear statement as to which criteria the proposer wishes the City to consider for additional evaluation points. Refer to Appendix B, Additional Criteria and Minority/Women-Owned Business Enterprise Program Information for more information.

iii. A letter of commitment to hold the prices offered for a period of not less than 180 calendar days; and iv. Demonstrated evidence and proof that the proposer satisfies the Minimum Qualification Requirements described in Section III above.

B. Part 2 - Technical Proposal This section of the proposal is the proposer’s plan for satisfying the specifications and requirements outlined in Section VI, Deliverables, Tasks and Requirements, of this RFP. The proposer’s description of the work and services to be rendered must be clear and in sufficient detail to permit the evaluation committee to fully evaluate the proposal.

The technical proposal must contain at least the following information: i. A clear and affirmative statement that the proposer will meet all the requirements of and provide all deliverables as specified by this RFP. ii. A clear and affirmative statement that the proposer will provide all Sets of proofs in the time frames specified in Section VI (C)(2), Proofs. iii. A brief introduction outlining the overall approach to the printing of the CAFR and related services. Proposers must confirm whether computerized type setting and offset lithography will be used to produce the CAFR. If other production methods are proposed, those methods must be described in detail. iv. A detailed description of the proposer’s plan and approach for providing the deliverables required in Section VI, Deliverables, Tasks and Requirements, of this RFP. v. A detailed discussion of the proposer’s ability to accomplish time-sensitive financial printing projects. vi. An affirmative statement that the proposer will provide either recycled or non-recycled stock based on the Comptroller’s Office decision for stock requirements and that the firm can meet the recycled stock specifications outlined in Exhibit 2.

C. Part 3 - Organizational Support and Experience This section of the proposal should contain all relevant information that substantiates the proposer’s qualifications and capabilities to perform the required services on a timely basis.

This section must contain at least the following information: i. Provide evidence of at least five (5) years experience as a provider of financial printing and related services for annual reports and other time-sensitive, financial documents and include three samples of similar work (i.e. financial statements, annual reports or other time sensitive, financial documents of similar size and complexity); ii. Discuss the proposer’s facilities and professional staff experience in artwork, typesetting, plate making, binding, printing and any other related services; including, but not limited to, the size of professional staff experienced in printing large, time sensitive, financial documents for other governmental entities;

iii. Demonstrate the proposer’s financial and organizational stability; iv. Discuss the commitment of the proposer’s top-level management to provide the services required in the specified timeframes; v. Provide a description of the proposer’s professional relationships with the City of New York, or any of its agencies and affiliated entities within the past five (5) years; vi. Include an explicit acknowledgment that the proposer understands and agrees to the standard contract provision included in City contracts the form for which substantially appears in Appendix A, General Provisions Governing Contracts for Consultants, Professional and Technical Services; with MacBride Principles Provisions. These will become part of the final contract; and vii. Names, titles and telephone numbers of at least five (5) verifiable references. These references should indicate similarities between the financial printing jobs in terms of time sensitivity, size and technical requirements and deliverables of this RFP.

To give certified M/WBEs with offices in New York City an opportunity to participate in the contract, the Comptroller’s Office encourages proposals that include such entities. Appendix B provides information on M/WBE certification.

Failure to submit the required attachments (Attachments A - E) may result in a finding that the proposal is not responsive to the RFP and may preclude your firm from being considered for award.

2. Volume II

Volume II will contain the Cost Sheets i. Volume II must contain all the Cost Sheets and hourly rates for providing the printing and related services requested in this RFP. ii. Prices are irrevocable until contract award, unless the proposal is withdrawn. Offers may be withdrawn only in writing and only upon the expiration of 180 calendar days after the due date. Withdrawals must be received by the Authorized Contact prior to award. iii. Prices must not include any state or local sales or use taxes. The City is tax exempt. iv. This section must contain at least the following information: (a) For the purpose of cost evaluation, the Comptroller’s Office will consider the annual proposed costs that will be used for each contract year (2013 and 2014) including any renewal years (2015 and 2016). The proposer who is selected to enter into a contract will be entitled to an annual price escalation for renewal years in accordance with the applicable U.S. Department of Labor, Bureau of Labor Statistics Urban Consumer Price Index – All Urban Consumers, U.S. All Items, (CPI-U) published immediately prior to each annual anniversary. All proposed rates, fees and costs for typesetting, plate making, printing, binding, artwork and other related services for completion of Advance and Final CAFR sets must be entered on the enclosed Cost Sheet 1A, Deliverables Using Recycled Stock, Cost Sheet 1B, Deliverables Using Non-recycled Stock, Cost Sheet 2 Hardbound Sets of CAFR, Cost Sheet 3 Additional Copies of

CAFRS, Cost Sheet 4 Alterations, Cost Sheet 5 Support and Others Services, Cost Sheet 6a Premium Overtime Rates on Weekends and Holidays and Cost Sheet 6b Estimate of the Number of Overtime Hours. The Cost Proposal must also use Cost Sheets 1A and 1B to indicate the details on the component costs of these deliverables. (b) As indicated in Section VI (B), 15 Hardbound copies of the CAFR may be required for each fiscal year. Cost Sheet 2, Hardbound Sets of CAFRs should be used for this purpose. The proposer should also indicate on Cost Sheet 3, Additional Copies of CAFRs, and the proposed price and time frame for printing additional 100-copy groups of Advance or Final CAFRs using recycled and non-recycled stock. (c) The Cost Proposal must use Cost Sheet 4, Alterations, to convey proposed alteration fees under six proofing period turnaround deadlines on a per line or page basis. Proposers must use Cost Sheet 5, Support and Other Services, to identify costs for delivering CAFRs and providing messenger services. (d) Hourly rates for overtime work to be performed on weekends and holidays should be indicated on Cost Sheet 6A, Premium Overtime Rates on Weekends and Holidays. The proposer also must use Cost Sheet 6A to indicate the specific dates that are recognized as holidays by the proposer. For each year, the proposer must indicate the days on which overtime is reasonably expected to be required and estimate the number of overtime hours to be required for each of those days on Cost Sheet 6B, Estimate of the Number of Overtime Hours.

D. Part 4 - Proposal Package Contents (Checklist)

The Proposal Package should contain the following materials. Proposers should utilize this section as a checklist to assure completeness prior to submitting their proposal to the Comptroller’s Office.

1. Package 1 (Sealed): Package 1 should contain one (1) original and seven (7) hard copy duplicate sets of materials outlined for Volume I and should be clearly labeled “VOLUME I – RFP FOR CAFR PRINTING SERVICES – PIN 01513005CP01”

Part 1: Summary Part 2: Technical Proposal Part 3: Organizational Support and Experience Attachment A: Proposer’s Cover Sheet Attachment B: Submission Checklist Attachment C: Tax Identification and Affirmation Form Attachment D: Acknowledgement of Addenda Form Attachment E: Doing Business Data Form Appendix B: (If Applicable) ADDITIONAL CRITERIA and MINORITY/WOMEN-OWNED BUSINESS ENTERPRISES CERTIFICATION PROGRAM INFORMATION

Package I should also contain a CD with a digital copy of Volume I must be

clearly labeled “DIGITAL COPY – VOLUME I – RFP FOR CAFR PRINTING SERVICES – PIN 01513ACCTYCP02” and contain materials outlined above.

2. Package 2 (Sealed): Package 2 should contain one (1) original and seven (7) hard copy duplicate sets of materials outlined for Volume II and should be clearly labeled “VOLUME II – COST PROPOSAL FOR RFP FOR CAFR PRINTING SERVICES – PIN 01513005CP01”: Cost Sheet 1A: Deliverables Using Recycled Stock Cost Sheet 1B: Deliverables Using Non-Recycled Stock Cost Sheet 2: Hardbound Sets of CAFRs Cost Sheet 3: Additional Copies of CAFRs Cost Sheet 4: Alterations Cost Sheet 5: Support and Other Services Cost Sheet 6A: Premium Overtime Rates on Weekends and Holidays Cost Sheet 6B: Estimate of the Number of Overtime Hours

Package II should also contain a CD with a digital copy of Volume II and must be clearly labeled “DIGITAL COPY – VOLUME II – COST PROPOSAL FOR RFP FOR CAFR PRINTING SERVICES – PIN 01513005CP01” and contain materials outlined above.

Prior to submitting your proposal, please check that: CD files can be opened. CDs are numbered and labeled per the instructions above.

VIII. EVALUATION SELECTION AND AWARD PROCEDURES

A. Evaluation Committee 1. An Evaluation Committee comprised of representatives from the Comptroller’s Office will review the proposals submitted pursuant to this RFP. All proposals accepted by the Comptroller’s Office will be reviewed to determine whether they meet the Minimum Qualification Requirements set forth in Section III above. Proposals that are determined by the Evaluation Committee to be non-responsive will be rejected. The Evaluation Committee will evaluate and rate all remaining proposals based on the Evaluation Criteria prescribed below The Evaluation Committee reserves the right to conduct interviews or hold discussions with proposers, request that proposers make presentations and/or conduct facility visits by the Evaluation Committee. These events and activities may provide proposers with opportunities to clarify or elaborate on their proposals, but will not be an opportunity to make material changes to the proposers’ original submissions. If it is deemed advantageous by the Evaluation Committee, Best and Final Offers (BAFOs) may be requested. The Comptroller’s Office reserves the right to award the contract without any discussion to a proposer that has submitted an acceptable proposal; therefore, the proposer’s initial proposal should contain its best terms. 2. Site Visits

At the option of the Evaluation Committee, certain proposers may be required to arrange site visits in support of their proposals. The Authorized Contact will schedule a date and time if site visits are required.

B. Evaluation Criteria Proposals will be evaluated based on technical merits and proposed costs. Technical proposals are assigned a maximum value of 50 points; cost proposals are assigned a maximum of 45 points, additional criteria are assigned a maximum of 5 points. The evaluation criteria that will be used to rate proposals is as follows:

1. Minimum Qualification Requirements (MQR) (PASS/FAIL) To be considered the proposer must meet the MQRs listed in Section III of this RFP.

2. Technical Factors (MAXIMUM VALUE 50 POINTS) (a) The proposer’s treatment of specifications for deliverables and requirements will be allocated 20 points. Criteria used to evaluate this category include: (i) Extent to which the proposal demonstrates an understanding of this RFP’s requirements; (ii) Suitability and quality of methods proposed for providing the deliverables and meeting the requirements; (iii)Quality of plans for providing each deliverable and meeting each requirement of this RFP; (iv) Quality and applicability of three prior annual financial statements, annual reports, and other time sensitive, financial printing job samples; and (v) Overall quality of the proposal and its compliance with the terms and conditions of the RFP; (b) Experience providing similar services will be allocated 20 points. Criteria used to evaluate this category include: (i) Prior performance of the proposer in providing similar printing and related services, including for large governmental entities, if any; (ii) Proposer’s experience in the past five years or more in providing time-sensitive and related services; and (iii)Quality of proposer’s references. (c) Availability and quality of staff assigned together with the quality and size of the organizational facilities will be allocated 10 points. Criteria used to evaluate this category include: (i) Demonstrated financial and organizational stability; (ii) Ability of the proposer to successfully complete the CAFR printing and perform the related services within the proposed schedule based on such factors as staff size, availability and experience;

(iii)Overall quality, and size of the proposer’s facilities, including the tools, equipment, and machinery available to produce the deliverables called for under this RFP; (iv) Degree to which the proposal discusses top level management’s commitment to providing the services required by this RFP.

3. Cost Proposals (MAXIMUM VALUE 45 POINTS) Upon completion of the technical evaluations to the satisfaction of the Evaluation Committee, the Cost Proposals will be opened and evaluated in accordance with Section VII D herein for a maximum of 45 points. Proposers are required to submit cost proposals for Recycled Stock using Cost Sheet 1A and for Non-Recycled Stock using Cost Sheet 1B.

4. Additional Criteria (MAXIMUM VALUE 5 POINTS) Proposals meeting certain “Additional Criteria” may receive a maximum of five points by meeting the requirements under either Option A, Minority/Women Owned Business Enterprises, or Option B, Prime Contractor Alternative. Proposals will be considered for points under either option, but in no case shall be awarded points under both options; or a combination of the two. The proposal must provide a clear statement as to which “Additional Criteria”, Option A or Option B, the proposer wishes the City to consider. These are specified in Appendix B.

IX. GENERAL INFORMATION

A. Addenda The Comptroller’s Office may, from time to time, issue addenda to this RFP that may change or add information pertaining to this solicitation. It is the responsibility of proposers to regularly check the Comptroller’s Office’s website for any addendum or other information pertaining to this RFP.

B. News Releases The proposer shall not release any news or make any statements to the public, press or other media relating to matters pertinent to this proposal, the contract or reports to the City without the Comptroller’s prior approval.

C. Commencement of Work Work may commence by the Contractor any time after all approvals required by the City of New York’s Procurement Policy Board (PPB) Rules have been met, and after the contract has been executed and registered with the Comptroller.

D. Background The deliverables, tasks and requirements described in this RFP will be covered under a single contract to be entered into by the Comptroller and the Contractor. All or part of this RFP and

its appendices, attachments and exhibits, the Contractor's treatment thereof as contained in its proposal, any formal questions and presentation material distributed during the proposal process and issues covered during the discussions, may be incorporated into and made a part of the contract. By submitting a proposal, the proposer acknowledges that these standard contract provisions, among others, are comprehended and will become part of the final contract.

E. Most Favored Customer The contract to be entered into between the City and the Contractor will contain the following provision: If, during the term of this Agreement, the Contractor agrees to a fee schedule that is lower than the fees hereunder for the engagement and with services substantially similar to that being performed under this engagement and with a value comparable to that of the engagement, the Contractor shall apply such fee schedule to the engagement and reduce the fees pro rata for the remainder of the term of this Agreement.

F. Accounting System The contractor shall maintain an accounting system for purposes of audit and examination of any books, documents, papers and records maintained in support of any contract resulting from this RFP. The Comptroller or his representative will have access to such records, reports and data during normal business hours. All reports, information and data furnished to, prepared, or used by the Contractor under this contract, are confidential. The Contractor will not make such records and information public or otherwise make them available to any individual or organization without the Comptroller’s prior written consent.

X. ADDITIONAL GENERAL INFORMATION

A. Complaints The New York City Comptroller is charged with the audit of contracts in New York City. Any proposer who believes that there has been unfairness, favoritism or impropriety in the proposal process should inform the Comptroller, Office of Contract Administration, 1 Centre Street, Room 1005, New York, NY 10007; the telephone number is (212) 669-3000. In addition, the New York City Department of Investigation should be informed of such complaints at its Investigations Division, 80 Maiden Lane, New York, NY 10038; the telephone number is (212) 825-5959. B. Applicable Laws This Request for Proposals and the resulting contract award(s), if any, unless otherwise stated, are subject to all applicable provisions of New York State Law, the New York City Administrative Code, New York City Charter and New York City Procurement Policy Board (PPB) Rules. A copy of the PPB Rules may be obtained by contacting the PPB at (212) 788- 7820.

C. General Contract Provisions Contracts shall be subject to New York City’s general contract provisions, in substantially the form that they appear in “Appendix A—General Provisions Governing Contracts for Consultants, Professional and Technical Services” or, if the Comptroller’s Office utilizes other than the formal Appendix A, in substantially the form that they appear in the Comptroller’s Office’s general contract provisions. A copy of the applicable document is available through the Authorized Contact Person.

D. Contract Award Contract award is subject to each of the following applicable conditions and any others that may apply: New York City Fair Share Criteria; New York City MacBride Principles Law; submission by the proposer of the requisite New York City Department of Business Services/Division of Labor Services Employment Report and certification by that office; submission by the proposer of the requisite VENDEX Questionnaires/Affidavits of No Change and review of the information contained therein by the New York City Department of Investigation; all other required oversight approvals; applicable provisions of federal, state and local laws and executive orders requiring affirmative action and equal employment opportunity; and Section 6-108.1 of the New York City Administrative Code relating to the Local Based Enterprises program and its implementation rules

E. Proposer Appeal Rights Pursuant to the PPB Rules, proposers have the right to appeal non-responsiveness determinations and non-responsibility determinations and to protest a determination regarding the solicitation or award of a contract.

F. Multi-Year Contracts Multi-year contracts are subject to modification or cancellation if adequate funds are not appropriated to the Comptroller’s Office to support continuation of performance in any City fiscal year succeeding the first fiscal year and/or if the contractor’s performance is not satisfactory. The Comptroller’s Office will notify the contractor as soon as is practicable that the funds are, or are not, available for the continuation of the multi-year contract for each succeeding City fiscal year. In the event of cancellation, the contractor will be reimbursed for those costs, if any, which are so provided for in the contract.

G. Prompt Payment Policy Pursuant to the PPB Rules, it is the City’s policy to process contract payments efficiently and expeditiously.

H. Prices Irrevocable Prices proposed by the proposer shall be irrevocable until contract award, unless the proposal is withdrawn. Proposals may only be withdrawn by submitting a written request to the Comptroller’s Office prior to contract award but after the expiration of 90 days after the opening of proposals. This shall not limit the discretion of the Comptroller’s Office to request proposers to revise proposed prices through the submission of best and final offers and/or the conduct of negotiations.

I. Confidential, Proprietary Information or Trade Secrets Proposers should give specific attention to the identification of those portions of their proposals that they deem to be confidential, proprietary information or trade secrets and provide any justification of why such materials, upon request, should not be disclosed by the City. Such information must be easily separable from the non-confidential sections of the proposal. All information not so identified may be disclosed by the City.

J. RFP Postponement/Cancellation The Comptroller’s Office reserves the right to postpone or cancel this RFP in whole or in part, and to reject all proposals.

K. Proposer Costs Proposers will not be reimbursed for any costs incurred to prepare proposals.

L. Vendex Fees Pursuant to PPB Rule 2-08(f)(2), the contractor will be charged a fee for the administration of the VENDEX system, including the Vendor Name Check process, if a Vendor Name Check review is required to be conducted by the Department of Investigation. The contractor shall also be required to pay the applicable required fees for any of its subcontractors for which Vendor Name Check reviews are required. The fee(s) will be deducted from payments made to the contractor under the contract. For contracts with an estimated value of less than or equal to $1,000,000, the fee will be $175. For contracts with an estimated value of greater than $1,000,000, the fee will be $350. The estimated value for each contract resulting from this RFP is estimated to be (less than or equal to $1 million) (above $1 million).

M. Charter Section 312(a) Certification The Comptroller’s Office has determined that the contract(s) to be awarded through this Request for Proposals will not directly result in the displacement of any New York City employee.