TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.01 TITLE
Section 2000.01 Title
This Part may be cited as the
Secretary of State's Procurement Rules.
 | TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.05 POLICY
Section 2000.05 Policy
All procurements for the Office
of the Secretary of State (SOS) shall be accomplished in the most economical,
expeditious and commercially reasonable manner that is in accordance with
statute, this Part and other applicable rules.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.08 ILLINOIS PROCUREMENT CODE
Section 2000.08 Illinois
Procurement Code
Articles 1, 15, 20, 25, 30, 33, 35,
40, 43, 45, 50 and 53 of the Illinois Procurement Code [30 ILCS 500/Arts. 1,
15, 20, 25, 30, 33, 35, 40, 43, 45, 50 and 53] (the Code) will be referenced in
this Part. The Secretary of State shall procure its needs in a manner
substantially in accordance with the requirements of the Code and shall
promulgate rules no less restrictive than the requirements of the Code.
[30 ILCS 500/1-30(a)] For purposes of this Part, any reference in the Code or
this Part to the Chief Procurement Officer (CPO) means the employee designated
by the Secretary of State to serve in that capacity. The Secretary of State
may appoint one or more State Purchasing Officers (SPOs).
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.10 APPLICATION
Section 2000.10 Application
a) The Code and this Part apply to those procurements for which
the vendors were first solicited on or after July 1, 1998.
b) Procurements for which vendors were first solicited on or
before June 30, 1998, shall be conducted pursuant to legal requirements in
effect at the time of the solicitation. The terms and conditions and the
rights and obligations under contracts resulting from such procurements shall
not be impaired.
c) A solicitation occurs on or before June 30, 1998, as follows:
1) When advertising was required in the Official State Newspaper,
the first advertisement must run no later than June 30, 1998.
2) When advertising was not required:
A) if the procurement was advertised, even though advertising was
not required, the first advertisement must have run no later than June 30,
1998;
B) if the procurement was by direct solicitation by mail, the
solicitation must have been postmarked or placed in the control of a private
carrier no later than June 30, 1998;
C) if the procurement was by direct solicitation by fax, the fax
must show a transmission date no later than June 30, 1998;
D) if the procurement was solicited in-person or by telephone, the
solicitation must have occurred no later than June 30, 1998, and the State
officer or employee who made the solicitation must state in writing when the
procurement was discussed and must name the party with whom the discussion took
place.
3) In all circumstances, the solicitations must be for the
procurement of particular needs. A general discussion to determine if there is
any interest on the part of a State agency in the supplies or services of a
vendor or vendors, or on the part of a vendor or vendors in providing the
supplies or services, is not considered a solicitation.
d) The Code and this Part do not apply to:
1) contracts between the State and its political subdivisions
or other governments, or between State governmental bodies except as
specifically provided in this Code. (For purposes of this subsection
(d)(1), "governmental bodies" includes the State universities and
their governing boards, community colleges and their governing boards and
school districts. This provision applies to contracts between governmental
entities; it does not allow State agencies to utilize contracts established by
other governmental entities.);
2) grants;
3) hiring of an individual as employee and not as an
independent contractor, whether pursuant to an employment code or policy or by
contract directly with that individual;
4) collective bargaining contracts;
5) purchase of real estate; or
6) contracts necessary to prepare for anticipated litigation,
enforcement actions, or investigations, provided that the chief legal counsel
to the Secretary of State shall give his or her prior approval [30 ILCS
500/1-10]. Anticipated litigation is that which a State agency may prosecute or
defend before a court or administrative body and actions necessary to prepare
for and conduct the effective legal prosecution or defense of litigation,
including, but not limited to, contracting for court reporting and contracting
for expert witnesses.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.15 DEFINITION OF TERMS USED IN THIS PART
Section 2000.15 Definition
of Terms Used in This Part
As used throughout this Part,
terms defined in the Illinois Procurement Code shall have the same meaning as
in the Code and as further defined in this Section, and each term listed in
this Section shall have the meaning set forth in this Section unless its use
clearly requires a different meaning. Terms may be defined in particular
Sections for use in that Section.
"Amendment" – A written
unilateral or bilateral modification to a contract term, as permitted by the
original contract. These modifications shall alter the performance and
completion of the contract, including but not limited to such matters as extra
work and increases or decreases in quantities of goods not included within the
scope of the original contract.
"Award"
– The selection of a vendor for a contract.
"Bid"
– The response to an Invitation for Bids.
"Bidder"
– Any person other than an individual acting as a sole proprietor who submits a
bid.
"Bidder or Offeror Authorized
to do Business in Illinois" – A person (other than an individual acting as
a sole proprietor) that is a legal entity authorized to do business in Illinois
by the SOS Department of Business Services.
"Brand
Name or Equal Specification" – A specification that uses one or more
manufacturer's names or catalogue numbers to describe the standard of quality,
performance, and other characteristics needed to meet State requirements, and
that allows the submission of equivalent products.
"Brand
Name Specification" – A specification limited to one or more items by
manufacturers' names or catalogue numbers.
"Bulletin" – Any
Procurement Bulletin promulgated and produced by a State agency or institution
as set forth in the Illinois Procurement Code.
"Change Order" – A
change order shall have the same meaning as an "amendment".
"Code"
– The Illinois Procurement Code [30 ILCS 500].
"Concession"
– The right or a lease to engage in a certain activity for profit on the
lessor's premises (e.g., a refreshment or parking concession).
"Consulting
Services" – Services provided by a business or person as an independent
contractor to advise and assist an agency in solving specific management or
programmatic problems involving the organization, planning, direction, control or
operations of a State agency. The services may or may not rise to the level of
professional and artistic as defined in the Code and this Part.
"Contract"
– A contract may be in written or oral form. The term contract as used in the
Code and this Part does not include: supplies or services the terms governing
which are established by tariff of the Illinois Commerce Commission or the
Federal Communications Commission, bonds issued by or on behalf of any State
agency, or contracts, other than for "concessions", that the State
agency signs, but has no financial obligation to the other parties.
"Contractor"
or "Vendor" – The terms contractor and vendor are used
interchangeably for purposes of the Code and this Part.
"Day"
– Calendar day. In computing any period of time, the day of the event from
which the designated period of time begins to run shall not be included, but
the last day of the period shall be included unless it is a Saturday, Sunday,
or a State holiday, in which event the period shall run to the end of the next
business day.
"DCMS"
– The Department of Central Management Services.
"Items"
– Anything that may be procured under this Code.
"Invitation
for Bids" or "IFB" – The process by which a purchasing agency
requests information from bidders, including all documents, whether attached or
incorporated by reference, used for soliciting bids. [30 ILCS 500/1-15.45]
"Multi-Year Contract" –
A multi-year contract is a contract with a performance term of more than 12
months.
"Offeror" – A person who
responds to an Invitation for Bids, Request for Proposals or other form of
solicitation.
"Procurement
Officer" – The Chief Procurement Officer (CPO) or appropriate State
Purchasing Officer (SPO) who conducts the particular procurement, or a designee
of either.
"Proposal"
– The response to a Request for Proposals.
"Protest Review Office"
– The office address of the person designated in the solicitation documents to
which protests must be directed. The person designated in the solicitation
documents will respond to or coordinate the response to the protest.
"Qualified
Products List" – An approved list of supplies described by model or
catalogue numbers that, prior to competitive solicitation, the State has
determined will meet the applicable specification requirements.
"Renewal" – An extension
of an original contract with materially identical terms to the original
contract.
"Request
for Information" or "RFI" – The process by which a purchasing
agency requests information from offerors for all State contracts for leases of
real property or capital improvements.
"Request
for Proposals" or "RFP" – The process by which a purchasing
agency requests information from offerors, including all documents, whether
attached or incorporated by reference, used for soliciting proposals. [30
ILCS 500/1-15.75]
"Responsible
Bidder or Offeror" – A person who has the capability in all respects to
perform fully the contract requirements and the integrity and reliability that
will assure good faith performance. A responsible bidder or offeror shall not
include a business or other entity that does not exist as a legal entity at the
time the bid or proposal is submitted for State contract.
"Reverse Auction" – A
source selection technique that allows for purchase of supplies or services through
a competitive auction process. A reverse auction allows bidders to
electronically submit prices for an Invitation for Bids during a predefined
time period and is designed to obtain the lowest cost for supplies and
services.
"Service"
– The furnishing of labor, time, or effort by a contractor, not involving
the delivery of a specific end product other than reports or supplies that are
incidental to the required performance [30 ILCS 500/1-15.90] and the
financing thereof.
"Solicitation" – An
Invitation for Bids, a Request for Proposals or other request to one or more
vendors to respond to a procurement need expressed by the State.
"SOS"
– The Office of the Secretary of State.
"Specification"
– Any description of the physical, functional, or performance characteristics,
or of the nature, of a supply or service. A specification includes, as
appropriate, requirements for inspecting, testing, or preparing a supply or
service item for delivery. Unless the context requires otherwise, the terms
"specification" and "purchase description" are used
interchangeably throughout this Part.
"Specification
for a Common or General Use Item" – A specification that has been
developed and approved for repeated use in procurements.
"State"
– The Office of the Secretary of State.
"Subcontract" – A
contract between one person and another person who has or is seeking a contract
subject to this Code, pursuant to which the subcontractor provides to the
contractor some or all of the goods, services, property, remuneration or other
form of consideration that are the subject of the primary contract and
includes, among other things, subleases from a lessee of a State agency.
"Subcontractor" – A
person or entity that enters into a contractual agreement, for an amount
greater than the small purchases limits set by Section 20-20 of the Code (or an
amount set by rule pursuant to Section 20-20(c) of the Code) or Section 35-35
of the Code or Section 45 of the Architectural, Engineering and Land Surveying
Qualifications Based Selection Act [30 ILCS 535/45], with a contractor who has
or is seeking a contract subject to the Code, to provide the contractor some or
all of the goods, services, property, remuneration or other form of
consideration that are the contractor's contractual obligations.
"Supplies"
– All personal property, including but not limited to equipment, materials,
printing, and insurance, and the financing of those supplies. [30 ILCS
500/1-15.110]
"Unsolicited
Offer" – Any offer other than one submitted in response to a solicitation.
(Source: Amended at 43 Ill.
Reg. 6185, effective May 9, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.25 PROPERTY RIGHTS
Section 2000.25 Property
Rights
Receipt of an Invitation for
Bids or other procurement document, or submission of any response thereto, or
other offer, confers no right to receive an award or contract, nor does it
obligate the State in any manner.
SUBPART B: PROCUREMENT RULES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.525 RULES
Section 2000.525 Rules
a) To the extent practicable, the SOS may avail itself of master,
scheduled or open-ended contracts established by DCMS; items available from
the Paper and Printing Warehouse; and DCMS contracts for telecommunications
equipment, software and services, paper and envelopes, and vehicles and vehicle
services. The CPO or SPO may submit purchase requests to DCMS in accordance
with rules promulgated by DCMS.
b) The Office of the Secretary of State shall procure its capital
needs in a manner substantially in accordance with the requirements of this
Part and will promulgate rules specifically for capital construction that are
no less restrictive than the requirements of the Code. Until specific
Secretary of State rules can be promulgated for this purpose, the Office will
conform its capital procurement activities to the requirements of the
Procurement Code by following the administrative rules of the Capital
Development Board (44 Ill. Adm. Code 910, 950 and 980) and the Department of
Central Management Services (44 Ill. Adm. Code 1).
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
SUBPART C: PROCUREMENT AUTHORITY
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.1005 CONDUCT AND OVERSIGHT OF PROCUREMENTS
Section 2000.1005 Conduct
and Oversight of Procurements
a) Chief Procurement Officer. The Secretary of State shall designate
a chief procurement officer (CPO) for purposes of the Code and this Part. The
CPO may conduct any or all procurements on behalf of the SOS. The CPO must
have at least 5 years of experience in State budgeting or procurement
activities or be a certified professional public buyer or certified public
purchasing officer by the Universal Public Purchasing Certification Council.
The CPO must be a resident of the State of Illinois and shall owe a fiduciary
duty to the State. The CPO is responsible for signing all written award
determination letters, stating the reasoning for any contract award decision.
The CPO performs other duties as required by law.
b) State Purchasing Officer (SPO). The Secretary may appoint one
or more SPOs to conduct procurement in accordance with the terms of the
appointment and this Part. The employee performing the duties of the SPO will
be classified as a Merit Compensation employee pursuant to Secretary of State
Department of Personnel rules (80 Ill. Adm. Code 410 and 420) and, upon
attaining certified status, will have the employment protections afforded that
status. SPOs must be certified as a professional public buyer or a public
purchasing officer by the Universal Public Purchasing Certification Council
within 18 months after appointment. In the absence of an SPO, the CPO may
designate a temporary acting SPO. The SPO exercises procurement authority at
the direction of the CPO, and the decisions of an SPO are subject to review by
the CPO. The SPO may enter into contracts on behalf of the Office of the
Secretary of State. The SPO performs other duties as required by law.
c) Procurement
Compliance Monitor. The Secretary of State Inspector General appointed
pursuant to Section 14 of the Secretary of State Act [15 ILCS 305], or a
designee, shall serve as the Procurement Compliance Monitor. If a designee is
appointed to serve as the monitor, that designee will be classified as a Merit
Compensation employee pursuant to Secretary of State Department of Personnel
rules (80 Ill. Adm. Code 410 and 420) and, upon attaining certified status, will
have the employment protections afforded that status. It is the duty of the
monitor to oversee and review the procurement processes. The monitor communicates directly with the Secretary and:
1) has
the right to review all contracts, attend any procurement meeting, and access
reports and files;
2) issues
reports to the CPO regarding outstanding procurement problems;
3) ensures
transparency and compliance with procurement laws;
4) reports
findings of waste to SOS departments. If the department does not correct
circumstances causing the waste, the monitor will report to the CPO and the
Inspector General; and
5) performs
other duties as required by law.
d) Procurement
Policy Board. The Secretary shall appoint a Secretary of State Procurement
Policy Board (SOS PPB). The SOS PPB consists of 5 members. In making
appointments to the SOS PPB, the Secretary will consider an individual's
knowledge and experience in State government procurements and operations. The
members shall receive no compensation for serving on the SOS PPB other than
reimbursement for expenses reasonably incurred in the performance of their
duties. Except as provided in subsection (e), the SOS PPB will:
1) be
authorized to review, comment upon, and recommend rules and practices governing
the procurement, management, control and disposal of supplies, services,
professional or artistic services, construction, and capital improvements
procured by the Office of the Secretary of State;
2) be
authorized to review any proposal, bid or contract, and may issue
recommendations regarding procurement matters;
3) be
notified by the CPO if a conflict of interest is identified, discovered, or
reasonably suspected to exist. In the event of such notification, the SOS PPB
is to recommend action and give its recommendation to the CPO and Secretary.
The SOS PPB's recommendation is published in the Bulletin;
4) report
to the Inspector General whenever the PPB has cause to believe there has been a
violation of the Procurement Code; and
5) perform
other duties as required by law.
e) Real
Estate Review Committee. The Secretary shall
appoint a Secretary of State Real Estate Review Committee
(RRC), consisting of 4 members plus the Chief
of Staff. The 4 appointed members will
include professionals with real estate
experience. The RRC is authorized to
review, comment upon, and recommend rules and practices governing the
procurement, leasing, management, control, and disposal of real property by the
Secretary of State. Reviews of real property transactions shall consider
issues related to: legality; fair market value; verifications of property
information, including square footage, property taxes, etc.; accuracy of rent
allocation schedules; accuracy of vendor disclosure documents; and possible
conflicts of interest.
f) Chief
Internal Auditor. The Secretary shall appoint a chief internal auditor. The
auditor must have a bachelor's degree, and
must be either a certified internal auditor, a certified public accountant with
at least 4 years of auditing experience, or an auditor with 5 years of
experience. Any chief internal auditor appointed on or after July 1, 2010,
shall be appointed for a period of 5 years and may only be removed for cause.
The chief internal auditor reports directly to
the Secretary. Subject to the approval of the Secretary, and consistent with
the Fiscal Control and Internal Auditing Act [30 ILCS 10], the chief internal
auditor:
1) directs
the internal audit functions and activities;
2) prepares
audit reports and assesses program goals;
3) is
responsible for the preparation of an annual audit plan for submission to and
subject to the approval of the Secretary; and
4) performs
other duties as required by law.
(Source: Amended at 47 Ill.
Reg. 10622, effective July 3, 2023)
SUBPART D: PUBLICIZING PROCUREMENT ACTIONS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.1510 ILLINOIS PROCUREMENT BULLETIN
Section 2000.1510 Illinois
Procurement Bulletin
Notice of any procurement action
required by the Code to be publicized in a recognized Procurement Bulletin will
be forwarded to the appropriate State agency or institution for inclusion in
the appropriate volume of the Bulletin.
(Source:
Amended at 43 Ill. Reg. 6185, effective May 9, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.1560 SUPPLEMENTAL NOTICE
Section 2000.1560
Supplemental Notice
Publication in the Bulletin may
be supplemented by publication elsewhere at the discretion of the SOS.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.1570 ERROR IN NOTICE
Section 2000.1570 Error in
Notice
When a required publication
contains an error, the error may be corrected by a single notice published in
the Bulletin.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.1580 DIRECT SOLICITATION
Section 2000.1580 Direct
Solicitation
In addition to giving notice in
the Bulletin, the SOS may directly contact prospective vendors by providing
copies of Invitations for Bids, Requests for Proposals, or other procurement
information. Direct solicitation may be oral or in writing, but care should be
taken to ensure that all vendors solicited in this manner receive the same
information as provided to others. No direct solicitation shall be made prior
to the date any required notice first appears in the Bulletin.
SUBPART E: SOURCE SELECTION AND CONTRACT FORMATION
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2005 GENERAL PROVISIONS
Section 2000.2005 General
Provisions
a) Late Bids or Proposals, Late Withdrawals and Late
Modifications
1) Definition. Any bid or proposal received after the time and
date for receipt, and at other than the specified location, is late. A bid that
is delivered to the wrong location but that is subsequently delivered to the
correct location by the date and time specified shall be considered, but the
agency shall not be responsible for ensuring such subsequent delivery. Any
withdrawal or modification of a bid or proposal received after the time and
date set for opening of bids or proposals is late. If received at other than
the specified location, the submission is late.
2) Treatment. No late bid or proposal, late modification, or
late withdrawal will be considered unless the Procurement Officer, and not a
designee, determines it would have been timely but for the action or inaction
of State personnel directly serving the procurement activity (e.g., providing
the wrong address).
3) Records. Records shall be made and, in accordance with the
State Records Act [5 ILCS 160], kept for each late bid or proposal, late
modification, or late withdrawal.
4) Other Submissions. Any other submission that has a time or
date deadline shall be treated in the same manner as a late bid.
b) Extension of Time
1) The Procurement Officer may, prior to the date or time for
submitting or modifying a bid or proposal, extend the date or time for the
convenience of the State.
2) After opening bids or proposals, the Procurement Officer may
request bidders or offerors who submitted timely bids or proposals to extend
the time during which the State may accept the bids or proposals, provided
that, with regard to bids, no other change is permitted. This extension does not
provide an opportunity for others to submit bids or proposals.
c) Electronic and Facsimile Submissions
1) The Invitation for Bids (IFB) or Request for Proposals (RFP)
may state that electronic and facsimile machine submissions will be considered
if they are received at the designated office by the time and date set for
receipt. Any required attachments will be submitted as stated in the IFB or
RFP.
2) Electronic submissions authorized by specific language in the
IFB or RFP will be opened in accordance with electronic security measures in
effect at the SOS at the time of opening. Unless the electronic submission
procedures provide for a secure receipt, vendor assumes risk of premature
disclosure due to submission in unsealed form.
3) Fax submissions authorized by specific language in the IFB or
RFP will be placed in a sealed container upon receipt and opened as other
submissions. Vendor assumes risk of premature disclosure due to submission in
unsealed form.
d) Intent to Submit
The Invitation
for Bids or the Request for Proposals may require that vendors submit, by a
certain time and date, a notice of their intent to submit a bid or proposal in
response to the IFB or RFP. Bids and proposals submitted without complying with
the notice of intent requirement may be rejected.
e) Only One Bid or Proposal Received
If only one
bid or proposal is received, an award may be made to the single bidder or
offeror if the Procurement Officer finds that the price submitted is fair and
reasonable, and that either other prospective bidders had reasonable
opportunity to respond or there is not adequate time for resolicitation. Otherwise:
1) new bids or offers may be solicited, including under sole source
(Section 2000.2025) or emergency (Section 2000.2030) procedures; or
2) the procurement may be canceled.
f) Alternate or Multiple Bids or Proposals
1) Alternate bids or proposals may be accepted if:
A) permitted by the solicitation and in accordance with
instructions in the solicitation; or
B) only one vendor responded, in which case the alternate
submission may be evaluated and treated in accordance with Section 2000.2025
(Sole Economically Feasible Source Procurement); or
C) the low bidder, who has met all requirements of the
solicitation, has provided a lower cost alternative that meets all of the
material requirements of the specifications.
2) Multiple bids or proposals may be accepted if:
A) permitted by the solicitation and submitted in accordance with
instructions in the solicitation; or
B) only one vendor responded, then, one or more of the submissions
may be evaluated, provided that, in the case of bids, only the lowest cost bid
meeting specifications may be considered.
3) If a vendor clearly indicates a primary submission among
alternate or multiple bids or proposals, then that primary submission shall be
considered for award as though it were the only bid or proposal submitted by
the vendor.
g) Multiple Items
An Invitation
for Bids or Request for Proposals may call for pricing of multiple items of
similar or related type with award based on individual line item, group total
of certain items, or grand total of all items.
h) "All or None" Bids or Proposals
All or none
bids or proposals may be accepted if the evaluation shows an all or none award
to be the lowest cost or best value of those submitted.
i) Conditioning Bids or Proposals Upon Other Awards
Any bid or
proposal that is conditioned upon receiving award of the particular contract
being solicited and one or more other State contracts shall:
1) be rejected unless the vendor removes the condition; or
2) be evaluated and award made to that vendor if the vendor is also
independently evaluated as the winner of the other IFBs or RFPs provided the
agency need not delay procurement actions to accommodate the vendor's all or
none condition.
j) Unsolicited Offers
1) Processing of Unsolicited Offers. The Procurement Officer may
consider unsolicited offers and shall have final authority with respect to
evaluation, acceptance and rejection of such unsolicited offer.
2) Conditions for Consideration. An unsolicited offer must be in
writing and must be sufficiently detailed to allow a judgment to be made
concerning the potential utility of the offer to the State.
3) Award. An award may not be made based on an unsolicited offer
in place of the notice and competition requirements of the Code and this Part
except if that unsolicited offer meets the requirements for a small (Section
2000.2020), sole source (Section 2000.2025), or emergency (Section 2000.2030)
procurement.
k) Clarification of Bids and Proposals
The
Procurement Officer may request that a vendor clarify its bid or proposal as a
part of the evaluation process. A vendor shall not be allowed to materially
change its bid or proposal in response to a request for clarification. A
clarification is not an opportunity to make changes or for submission of best
and finals as authorized elsewhere in this Part.
l) Extension of Time on Indefinite Quantity Contracts
The time of
performance of an indefinite quantity contract may be extended upon agreement
of the parties, provided the extension is for 90 days or less and the
Procurement Officer determines in writing that it is not practical to award
another contract at the time of such extension.
m) Increase in Quantity on Definite Quantity Contracts
1) The quantity that may be ordered from a definite quantity
contract without additional notice and competition may be increased by up to
20% provided the Procurement Officer determines that separate bidding for the
additional quantity is not likely to achieve lower pricing. A particular
procurement may specify a different percentage.
2) The quantity may be increased by any percentage provided the
dollar value of the increase does not exceed the applicable small purchase
(Section 2000.2020) threshold.
n) Subsequent Purchase Request
If, within 30
days after making an award to a particular vendor pursuant to a competitive
sealed bid on behalf of the SOS, the SPO receives a purchase request for the
same item and for the same or lesser quantity, the SPO may contract with that
vendor on the same terms and conditions, including price, without additional
notice and competition, if such contract is acceptable to the vendor.
o) Assignment, Novation or Change of Name
1) Assignment. No State contract is transferable, or otherwise
assignable, without the written consent of the Procurement Officer, provided,
however, that a vendor may assign money receivable under a contract after due
notice to the State. Assignment may require the execution of a contract with
the assignee and in such cases the assignee must meet all requirements for
contracting with the State.
2) Recognition of a Successor in Interest; Novation. When in the
best interest of the State, a successor in interest may be recognized in a
novation agreement in which the transferor and the transferee agree that:
A) the transferee assumes all of the transferor's obligations;
B) the transferee meets all requirements for contracting with the
State;
C) the transferor waives all rights under the contract as against
the State; and
D) unless the transferor guarantees performance of the contract by
the transferee, the transferee shall, if required by the State, furnish a
satisfactory performance bond.
3) Change of Name. A vendor may submit to the Procurement Officer
a written request to change the name in which it holds a contract with the
State. The name change shall not alter any of the terms and conditions of the
contract or the obligations of the vendor.
4) Reports. All change of name or novation agreements under this
subsection (o) shall be reported to the CPO of DCMS within 30 days after the
date the agreement becomes effective so that the bid list may be updated.
p) Contracting for Installment Purchase Payments, Including
Interest
Contracts may
provide for installment purchase payments, including interest charges, over a
period of time. The interest rate may not exceed that established by law,
including the Bond Authorization Act [30 ILCS 305].
q) Use of Source Selection Method that is Not Required
If SOS uses a
method of source selection that it is not, by law, required to use (e.g., use
of a competitive sealed bid for a small purchase), the SOS is not bound to
strict compliance with the Code and rules governing the method of source
selection used.
r) Vendor Signature
A bid or
proposal submitted unsigned will be evaluated if the vendor submits a written
signature acceptable to the Procurement Officer within the time specified by
that officer.
s) Stringing
Dividing or
planning procurements to avoid use of competitive procedures (stringing) is
prohibited.
t) Confidential Data
Vendors must
clearly identify any information that is exempt from the disclosure requirement
of the Illinois Freedom of Information Act [5 ILCS 140] and must request
special handling of that material.
u) Documentation of
Procurement Actions
Each SPO shall maintain in the
procurement or associated contract file all substantive documents and records
of communications that pertain to the procurement and any resulting contract.
This shall include, as applicable, but is not limited to:
1) Procurement
Business Case, signed by the CPO or SPO, that establishes the reason for the
contract decision or other form of decision memo showing CPO or SPO approvals
to proceed with the contract award;
2) Bulletin
postings;
3) Solicitation
document (e.g., IFB) and all amendments, clarifications and Best & Final
requests;
4) Vendors'
responses, including clarifications and responses to Best & Final requests;
5) Evaluation
material (e.g., scoring guidelines and forms; completed score sheets for
individual evaluators, including notes; evaluation committee's combined score
sheets; evaluation committee's recommendation; and management's decision);
6) Protest
and resolution;
7) Contract
and any order, change, amendments, renewal or extension;
8) Contractor
Performance Reviews;
9) All
information from subsections (u)(1) through (8), less information exempt from
disclosure under the Freedom of Information Act [5 ILAC 140], shall be prepared
and available for inspection and copying, with information from subsections
(u)(1) through (5) available on the date any award is posted to the Bulletin.
(Source: Amended at 43 Ill.
Reg. 6185, effective May 9, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2010 COMPETITIVE SEALED BIDDING
Section 2000.2010 Competitive
Sealed Bidding
a) Application
Competitive
sealed bidding is the required method of source selection except as allowed by
the Code and this Part. The provisions of this Section apply to every
procurement required to be conducted by competitive sealed bidding.
b) The Invitation for Bids
1) Use. The Invitation for Bids is used to initiate a competitive
sealed bid procurement.
2) Content. The Invitation for Bids shall include, at a minimum,
the following:
A) instructions and information to bidders concerning the bid
submission requirements, including the time and date set for receipt of bids,
the address of the office to which bids are to be delivered, and the maximum
time for bid acceptance by the State;
B) the purchase description, evaluation factors, delivery or
performance schedule, and such inspection and acceptance requirements as are
not included in the purchase description; and
C) the contract terms and conditions, including warranty and
bonding or other security requirements, as applicable.
3) Incorporation by Reference. The Invitation for Bids may
incorporate documents by reference provided that the Invitation for Bids
specifies where such documents can be obtained.
c) Bidding Time
Bidding time
is the period of time between the date of notice or distribution of the Invitation
for Bids and the time and date set for receipt of bids. In each case, bidding
time will be set to provide bidders a reasonable time to prepare their bids. A
minimum of 14 days shall be provided unless a shorter time is authorized by the
Code or this Part.
d) Bidder Submissions
1) Bid Form. The Invitation for Bids may include a form or format
for submitting bids. If a form or format is specified, vendor shall submit bids
as instructed.
2) Bid Samples and Descriptive Literature
A) Bid samples or descriptive literature may be required when it
is necessary to evaluate required characteristics of the items bid.
B) Unsolicited bid samples or descriptive literature is submitted at
the bidder's risk, may not be examined or tested, will not be deemed to vary
any of the provisions of the Invitation for Bids, and may not be utilized by
the vendor to contest a decision or understanding with the State.
e) Public Notice
1) Publication. Every procurement for supplies and services in
excess of the small purchase amount that must be procured using an Invitation
for Bids shall be publicized in the Bulletin (see Section 2000.1510).
2) Public Availability. A copy of the Invitation for Bids shall
be made available for public inspection.
3) Distribution. Invitations for Bids or Notices of the Availability
of Invitations for Bids may be mailed or otherwise furnished to a sufficient
number of bidders for the purpose of securing competition. Notices of
Availability shall, at a minimum, indicate where Invitations for Bids may be
obtained; generally describe what is needed; and indicate the due date for
bids. Where appropriate, the Procurement Officer may require payment of a fee
or a deposit for supplying the Invitation for Bids.
f) Pre-Bid Conference
A pre-bid
conference may be conducted to enhance understanding of the procurement
requirements. The pre-bid conference shall be announced as a part of the
Invitation for Bids notice. The conference may be designated as
"attendance mandatory" or "attendance optional". The
conference should be held long enough after the Invitation for Bids has been
issued to allow bidders to become familiar with it, but sufficiently before bid
opening to allow consideration of the conference results in preparing their
bids. Nothing stated at the pre-bid conference shall change the Invitation for
Bids unless a change is made by written modification to the Invitation for
Bids. Amendments shall be supplied to all those prospective bidders known to
have received an Invitation for Bids. If the conference is mandatory, the
amendment shall be supplied to attendees only.
g) Amendments to Invitations for Bids
1) Form. Amendments to Invitations for Bids shall be clearly
identified and shall reference the portion of the IFB it amends.
2) Distribution. Amendments shall be made available to all
prospective bidders known to have received an Invitation for Bids.
3) Timeliness. Amendments shall be made available within a
reasonable time to allow prospective bidders to consider them in preparing their
bids. If the time and date set for receipt of bids will not permit such
preparation, the amendment shall extend the response time. If necessary, the
response time may be extended by fax or telephone and confirmed in the
amendment.
h) Pre-Opening Modification or Withdrawal of Bids
1) Procedure. Bids may be modified or withdrawn by written notice
received in the office designated in the Invitation for Bids prior to the time
and date set for bid opening.
2) Disposition of Bid Security. If a bid is withdrawn in
accordance with this Section, the bid security, if any, shall be returned to
the bidder.
3) Records. All documents relating to the modification or
withdrawal of bids shall be made a part of the appropriate procurement file.
i) Receipt, Opening and Recording of Bids
1) Receipt. Upon its receipt, each bid and modification shall be
time-stamped but not opened and shall be stored in a secure place until the
time and date set for bid opening. If a bid is opened in error, the file shall
so state.
2) Opening and Recording
A) Bids and modifications shall be opened publicly at the time,
date, and place designated in the Invitation for Bids. Opening shall be
witnessed by a State employee or any other person present, but the person
opening bids shall not serve as witness. The name of each bidder, the bid
price, and such other information as is deemed appropriate by the Procurement
Officer, shall be recorded and the name of each bidder read aloud or otherwise
made available. The name of the witness shall also be recorded at the opening.
B) The winning bid shall be available for public inspection after
award, along with the record of each unsuccessful bid.
3) Confidential Data. The SPO shall examine the bids to determine
the validity of any requests for nondisclosure of trade secrets and other
proprietary data identified in writing. If the parties do not agree as to the
disclosure of data or other information, the bid shall be rejected as
nonresponsive.
j) Bid Evaluation and Award
1) General. The contract is to be awarded to the lowest
responsible and responsive bidder whose bid meets the requirements and criteria
set forth in the Invitation for Bids, except as permitted in the Code and this
Part. The Invitation for Bids shall set forth the requirements and criteria
that will be used to determine the lowest responsive bidder. No bid shall be
evaluated for any requirements or criteria that are not disclosed in the
Invitation for Bids.
2) Responsibility. Responsibility of prospective vendors is
covered by Section 2000.2046 (Responsibility).
3) Responsiveness. A bid must conform in all material respects to
the Invitation for Bids.
A) Product or Service Acceptability. The Invitation for Bids shall
set forth any evaluation criteria to be used in determining product or service
acceptability. It may require the submission of bid samples, descriptive
literature, technical data, references, licenses, or other information or
material. It may also provide for accomplishing any of the following prior to
award:
i) inspection or testing of a product or service prior to award
for such characteristics as quality or workmanship;
ii) examination of such elements as appearance, finish, taste, or
feel;
iii) other examinations to determine whether it conforms with any
other purchase description requirements.
B) The acceptability evaluation is not conducted for the purpose
of determining whether one bidder's product or service capability is superior
to another, but only to determine that a bidder's offering is acceptable as set
forth in the Invitation for Bids. Any bidder's offering that does not meet the
acceptability requirements shall be rejected.
4) Determination of Lowest Bidder. Following determination of
product or service acceptability as set forth in this subsection (j), bids will
be evaluated to determine which bidder offers the lowest cost to the State in
accordance with the evaluation criteria set forth in the Invitation for Bids.
Only objectively measurable criteria that are set forth in the Invitation for Bids
shall be applied in determining the lowest bidder. Examples of such criteria
include, but are not limited to, transportation cost and ownership or
life-cycle cost formulas. Evaluation factors need not be precise predictors of
actual future costs, but to the extent possible such evaluation factors shall
be reasonable estimates based upon information the State has available
concerning future use and shall provide for the equitable treatment of all
bids. Pricing for optional supplies or services, or for renewal terms, may be
considered, particularly when the pricing for such items or terms is unbalanced
when compared to other pricing in the bid.
5) Price Negotiation. Negotiations are permitted with the low
bidder to obtain a lower price for the item bid.
k) Documentation of Award
Following
award, a record showing the successful bidder shall be made a part of the
procurement file.
l) Award to Other Than Low Bidder
1) The Procurement Officer, but not a designee, may award to
other than the lowest responsible and responsive bidder upon a written
determination that award to another bidder is in the State's best interest. The
written explanation must be published in the appropriate volume of the
Bulletin.
2) This action may be appropriate when the difference in quality
or speed of delivery is so great as compared to the difference in price, and
considering the needs of the agency, that a best value award is justified. However,
if the difference in price is significant, the Procurement Officer may not
utilize this provision.
3) The
explanation must include:
A) a
description of the SOS's needs;
B) a
determination that the anticipated cost will be fair and reasonable;
C) a
listing of all reasonable and responsive bidders; and
D) the name
of the bidder selected, pricing, and the reasons for selecting that bidder.
4) The
explanation shall be filed with the Legislative Audit Commission and the SOS
PPB.
m) Publicizing Award
The successful
bidder shall be notified of award and the notification may be in the form of a
letter, purchase order or other clear communication. In procurements over the
small purchase limit set in Section 2000.2020 (Small Purchases), notice of
award shall be published in the Bulletin.
(Source: Amended at 43 Ill.
Reg. 6185, effective May 9, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2012 MULTI-STEP SEALED BIDDING
Section 2000.2012 Multi-Step
Sealed Bidding
a) Definition. Multi-step sealed bidding is a two-phase process
consisting of a technical first phase composed of one or more steps in which
bidders submit unpriced technical offers to be evaluated by the State, and a
second phase in which those bidders whose technical offers are determined to be
acceptable during the first phase have their price bids considered.
b) Conditions for Use. The multi-step sealed bidding method may
be used when it is not practical to prepare initially a definitive purchase
description that will be suitable to permit an award based on price.
Multi-step sealed bidding may be used when it is considered desirable:
1) to invite and evaluate possible diverse technical offers to
determine their acceptability to fulfill the purchase description requirements;
and
2) to conduct discussions for the purposes of facilitating
understanding of the technical offer and purchase description requirements and,
where appropriate, obtain supplemental information, permit amendments of
technical offers, or amend the purchase description.
c) Pre-Bid Conference in Multi-Step Sealed Bidding
Prior to the
submission or evaluation of unpriced technical offers, a pre-bid conference as
contemplated by Section 2000.2010(f) (Pre-Bid Conference) may be conducted by
the Procurement Officer.
d) Procedure for Phase One of Multi-Step Sealed Bidding
1) Form. Multi-step sealed bidding shall be initiated by the
issuance of an Invitation for Bids in the form required by Section 2000.2010
(Competitive Sealed Bidding), except as hereinafter provided. In addition to
the requirements set forth in Section 2000.2010, the multi-step Invitation for
Bids shall state:
A) that unpriced technical offers are requested;
B) whether priced bids are to be submitted at the same time as
unpriced technical offers; if they are, such priced bids shall be submitted in
a separate sealed envelope;
C) that it is a multi-step sealed bid procurement, and priced bids
will be considered only in the second phase and only from those bidders whose
unpriced technical offers are found acceptable in the first phase;
D) the criteria to be used in the evaluation of the unpriced
technical offers;
E) that the Procurement Officer may conduct oral or written
discussions of the unpriced technical offers;
F) that the item being procured shall be furnished generally in
accordance with the bidder's technical offer as found to be finally acceptable
and shall meet the requirements of the Invitation for Bids.
2) Amendments to the Invitation for Bids. After receipt of
unpriced technical offers, amendments to the Invitation for Bids shall be
distributed only to bidders who submitted unpriced technical offers, and they
shall be permitted to submit new unpriced technical offers or to amend those
submitted. If, in the opinion of the Procurement Officer, a contemplated
amendment will significantly change the nature of the procurement, the
Invitation for Bids may be canceled in accordance with Section 2000.2040
(Cancellation of Solicitation; Rejection of Bids or Proposals) of this Part and
a new Invitation for Bids issued.
3) Receipt and Handling of Unpriced Technical Offers. Unpriced
technical offers submitted by bidders shall be opened in the presence of at
least one witness. Such offers shall not be disclosed to unauthorized persons.
4) Evaluation of Unpriced Technical Offers. The unpriced
technical offers submitted by bidders shall be evaluated solely in accordance
with the criteria set forth in the Invitation for Bids. The unpriced technical
offers shall be categorized as:
A) acceptable;
B) potentially acceptable, that is, reasonably susceptible of
being made acceptable; or
C) unacceptable, in which case the Procurement Officer shall
record in writing the basis for finding an offer unacceptable, notify the
vendor and make it part of the procurement file.
5) The Procurement Officer may initiate phase two of the
procedure if, in the Procurement Officer's opinion, there are sufficient
acceptable unpriced technical offers to assure effective price competition in
the second phase without technical discussions. If the Procurement Officer
finds discussion of the technical offers is necessary, the Procurement Officer
shall commence discussions of the unpriced technical proposals.
6) Discussion of Unpriced Technical Offers. The Procurement
Officer may conduct discussions with any vendor who submits an acceptable or
potentially acceptable technical offer. During the course of such discussions,
the Procurement Officer shall not disclose any information derived from one
unpriced technical offer to any other bidder. Any such bidder may submit
supplemental information amending its technical offer at any time until the
closing date established by the Procurement Officer. Such submission may be
made at the request of the Procurement Officer or upon the bidder's own
initiative.
7) Unacceptable Unpriced Technical Offer. When the Procurement
Officer determines a bidder's unpriced technical offer to be unacceptable, such
offeror shall not be afforded an additional opportunity to supplement its
technical offer.
e) Procedure for Phase Two
1) Initiation. Upon the completion of phase one, the
Procurement Officer shall either:
A) open priced bids submitted in phase one (if priced bids were
required to be submitted) from bidders whose unpriced technical offers were
found to be acceptable; or
B) if priced bids have not been submitted, invite each acceptable
bidder to submit a priced bid.
2) Conduct. Phase two shall be conducted as any other
competitive sealed bid procurement except:
A) no public notice need be given of this invitation to submit
priced bids because such notice was previously given;
B) after award, the unpriced technical offer of the successful
bidder shall be disclosed as follows: The Procurement Officer shall examine
written requests of confidentiality for trade secrets and proprietary data in
the technical offer of such bidder to determine the validity of any such
requests. If the parties do not agree as to the disclosure of data, the
Procurement Officer shall reject the offer. Such technical offer shall be open
to public inspection subject to any continuing prohibition on the disclosure of
confidential data; and
C) unpriced technical offers of bidders who are not awarded the
contract shall not be open to public inspection.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2015 COMPETITIVE SEALED PROPOSALS
Section 2000.2015 Competitive
Sealed Proposals
a) Competitive Sealed Proposals may be used whenever permitted by
the Code and as described in this Part.
b) The Competitive Sealed Proposal method of source selection may
be used to procure the following categories (note that the following services,
if they are professional or artistic, must be procured pursuant to Section
2000.2035 of this Part):
1) electronic data processing equipment, software, and services;
2) telecommunications equipment, software, and services;
3) consulting services; and
4) employee benefits and management of those benefits.
c) Competitive Sealed Proposals may be used on a case-by-case
basis when it is determined by the Procurement Officer that competitive sealed
bidding is either not practicable or advantageous.
1) "Practicable" Distinguished from
"Advantageous." As used in Section 20-15 (Competitive Sealed
Proposals) of the Illinois Procurement Code and in this Section,
"practicable" denotes what may be accomplished or put into practical
application, and "advantageous" connotes a judgmental assessment of
what is in the State's best interest. Competitive sealed bidding may be
practicable, that is, reasonably possible, but not necessarily advantageous,
that is, in the State's best interest. Before a procurement may be conducted by
competitive sealed proposals, the Procurement Officer shall determine in
writing that competitive sealed bidding is either not practicable or not
advantageous to the State.
2) General Discussion
A) If competitive sealed bidding is not practicable or is not
advantageous, competitive sealed proposals should be used.
B) The key element in determining whether use of a proposal is
advantageous is the need for flexibility. The competitive sealed proposal
method differs from competitive sealed bidding in two important ways:
i) it permits discussions with competing offerors and changes in
their proposals, including price; and
ii) it allows comparative judgmental evaluations to be made when
selecting among acceptable proposals for award of the contract.
C) Where evaluation factors involve the relative abilities of
offerors to perform, including degrees of experience or expertise, where the
types of supplies or services may require the use of comparative, judgmental
evaluations to evaluate them adequately, or where the type of need to be
satisfied involves weighing aesthetic values to the extent that price is a
secondary consideration, use of competitive sealed proposals is the appropriate
procurement method.
3) When Competitive Sealed Bidding Is Not Practicable. Competitive
sealed bidding is not practicable unless the nature of the procurement permits
award to a low bidder who agrees by its bid to perform without condition or
reservation in accordance with the purchase description, delivery or
performance schedule, and all other terms and conditions of the Invitation for
Bids. Factors to be considered in determining whether competitive sealed
bidding is not practicable include:
A) whether the contract needs to be other than a fixed-price type;
B) whether oral or written discussions may need to be conducted
with offerors concerning technical and price aspects of their proposals;
C) whether offerors may need to be afforded the opportunity to
revise their proposals, including price;
D) whether award may need to be based upon a comparative
evaluation, as stated in the Request for Proposals, of differing price,
quality, and contractual factors in order to determine the most advantageous
offering to the State. Quality factors include technical and performance
capability and the content of the technical proposal; and
E) whether the primary consideration in determining award may not
be price.
4) When Competitive Sealed Bidding Is Not Advantageous. A determination
may be made to use competitive sealed proposals if it is determined that it is
not advantageous to the State, even though practicable, to use competitive
sealed bidding. Factors to be considered in determining whether competitive
sealed bidding is not advantageous include:
A) if prior procurements indicate that competitive sealed
proposals may result in more beneficial contracts for the State; and
B) whether the factors listed in subsection (c)(3) of this Section
are desirable, in conducting a procurement, rather than necessary; if they are,
then such factors may be used to support a determination that competitive
sealed bidding is not advantageous.
d) Content of the Request for Proposals
The Request
for Proposals shall be prepared in accordance with Section 2000.2010 (Competitive
Sealed Bidding), provided that it shall also include:
1) a statement that discussions may be conducted with offerors
who submit proposals determined to be reasonably susceptible of being selected
for award, but that proposals may be accepted without such discussions; and
2) a statement of when and how price should be submitted.
e) Receipt and Registration of Proposals
1) Proposals and modifications shall be opened publicly at the
time, date and place designated in the Request for Proposals. Opening shall be
witnessed by a State employee or by any other person present, but the person
opening proposals shall not serve as witness. A record shall be prepared that
shall include the name of each offeror, the number of modifications received,
if any, and a description sufficient to identify the supply or service item
offered. The record of proposals shall be open to public inspection after award
of the contract.
2) Proposals and modifications shall be opened in a manner to
avoid disclosing contents to competitors. Only State personnel and contractual
agents may review the proposals prior to award.
f) Evaluation of Proposals
1) Evaluation Factors in the Request for Proposals. The Request
for Proposals shall state all of the evaluation factors, including price, and
their relative importance.
2) Evaluation. The evaluation shall be based on the evaluation
factors set forth in the Request for Proposals. Factors not specified in the
Request for Proposals shall not be considered. Numerical rating systems may be
used but are not required.
3) Classifying Proposals. For the purpose of conducting
discussions, proposals may be initially classified as:
A) acceptable;
B) potentially acceptable, that is, reasonably susceptible of
being made acceptable; or
C) unacceptable. Offerors whose proposals are unacceptable shall
be so notified promptly.
g) Proposal Discussions with Individual Offerors
1) "Offerors" Defined. For the purposes of Section
20-15(f) (Competitive Sealed Proposals, Discussion with Responsible Offerors
and Revisions to Proposals) of the Illinois Procurement Code and of this
Section, the term "offerors" includes only those businesses submitting
proposals that are acceptable or potentially acceptable. The term shall not
include businesses that submitted unacceptable proposals.
2) Purposes of Discussions. Discussions are held to:
A) promote understanding of the State's requirements and the
offerors' proposals; and
B) facilitate arriving at a contract that will be most
advantageous to the State, taking into consideration price and the other
evaluation factors set forth in the Request for Proposals.
3) Conduct of Discussions. Offerors shall be accorded fair and
equal treatment with respect to any opportunity for discussions and revisions
of proposals. If during discussions there is a need for any substantial
clarification of, or change to, the Request for Proposals, the Request shall be
amended to incorporate such clarification or change. Auction techniques
(revealing one offeror's price to another) and disclosure of any information
from competing proposals are prohibited. Any substantial oral clarification of
a proposal shall be reduced to writing by the offeror.
4) Best and Final Offers. The Procurement Officer may request
best and final offers from those offerors deemed acceptable after completion of
any discussions. Best and final offers shall be submitted by a specified date
and time. The Procurement Officer may conduct additional discussions or change
the State's requirements and require another submission of best and final
offers (e.g., to clarify the terms of an offer). The scope of the best and
final and the number of vendors allowed to participate shall be defined by the
Procurement Officer (e.g., depending on the number of potential vendors and the
availability of the item being procured). If an offeror does not submit either
a notice of withdrawal or another best and final offer, that offeror's
immediately previous offer will be construed as its best and final offer.
h) Award
An award shall
be made by the Procurement Officer pursuant to a written determination showing
the basis on which the award was found to be most advantageous to the State,
based on the factors set forth in the Request for Proposals.
i) Publicizing Awards
The successful
offeror shall be notified of award and such notification may be in the form of
a letter, purchase order or other clear communication. When the award exceeds
the small purchase limit set in Section 2000.2020 of this Part, notice of award
shall be published in the Bulletin.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2020 SMALL PURCHASES
Section 2000.2020 Small
Purchases
a) Application
1) Procurements of $100,000 or less for supplies or services,
other than professional and artistic, and $100,000 or less for construction may
be made using the method of source selection determined by the Procurement
Officer to be most appropriate to the circumstances.
2) Procurements of less than $20,000 for professional and
artistic services and that have a non-renewable term of one year or less may be
made using the method of source selection determined by the Procurement Officer
to be most appropriate to the circumstances.
b) In determining whether a contract is under the limit, the
stated value of the supplies or services, plus any optional supplies and
services, shall be utilized. Where the term is calculated month-to-month or in
a similar fashion, the amount shall be calculated for a twelve month period.
c) If only a unit price or hourly rate is known, the contract
shall be considered small and shall have a not to exceed limit applicable to
the type of procurement (see subsection (a)).
d) If, after signing the contract, the actual cost of completing
the contract is determined to exceed the small purchase amount, and the
Procurement Officer determines that a supplemental procurement is not
economically feasible or practicable because of the immediacy of the agency's
needs or other circumstances, the Procurement Officer must follow the
procedures for sole source or emergency procurement, whichever is applicable,
to complete the contract.
e) Procurement requirements shall not be artificially divided to
avoid using the other source selection methods set forth in Section 20-5 of the
Illinois Procurement Code.
f) If there is a repetitive need for small procurements of the
same type, the Procurement Officer shall consider issuing a competitive sealed
bid or proposal for procurement of those needs.
(Source: Amended at 45 Ill. Reg. 14500, effective November 4, 2021)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2025 SOLE ECONOMICALLY FEASIBLE SOURCE PROCUREMENT
Section 2000.2025 Sole
Economically Feasible Source Procurement
a) Application
The provisions
of this Part apply to procurement from a sole economically feasible source
(referred to as sole source) unless the estimated amount of the procurement is
within the limit set in Section 2000.2020 (Small Purchases) or unless emergency
conditions exist as defined in Section 2000.2030 (Emergency Procurements) of
this Part.
b) Conditions for Use of Sole Source Procurement
Sole source
procurement is permissible when a requirement is available from only a single
supplier or when only one supplier is deemed economically feasible. A
requirement for a particular proprietary item does not justify a sole source
procurement if there is more than one potential bidder or offeror authorized to
provide that item. The following are examples of circumstances that could
necessitate sole source procurement:
1) the compatibility of equipment, accessories, replacement
parts, or service is a paramount consideration;
2) a sole supplier's items are needed for trial use or testing;
3) a sole supplier's item is to be procured for commercial
resale;
4) public utility regulated services are to be procured;
5) the item is copyrighted or patented and the item or service is
not available except from the holder of the copyright or patent;
6) the procurement of the media for advertising;
7) the procurement of art or entertainment services; and
8) changes to existing contracts (see subsection (c)).
c) Changes
1) Changes to an existing contract that are germane and
reasonable in scope and cost in relation to the original contract or program,
that are necessary or desirable to complete the contract or program, and that
can be best accomplished by the contract holder may be procured under this
Section when the Procurement Officer determines that the cost of delay or
disruption to the contract or program, and the cost of a new solicitation,
clearly indicate that the existing vendor is the sole economically feasible source.
2) A change (whether in cost or rate) that does not exceed the
applicable small purchase limit as defined in Section 2000.2020 of this Part,
or that is an emergency as defined in Section 2000.2030 of this Part, may be
made in accordance with procedures governing those Sections and need not comply
with these sole source procedures. A change in the length of the contract that
does not exceed 30 days and other minor, immaterial changes to the scope or
administrative provisions of a contract shall not be considered changes subject
to these sole source procedures.
d) Procurement Officer to Determine
1) The determination as to whether a procurement shall be made as
a sole source shall be made by the Procurement Officer. Such determination and
the basis therefore shall be in writing. Such officer may specify the
application of such determination and the duration of its effectiveness.
2) Any purchase request submitted to the CPO suggesting that a
procurement be restricted to one potential vendor shall be accompanied by an
explanation as to why no other vendor will be suitable or acceptable to meet
the need.
e) Publication of Sole Source Notice
The
Procurement Officer shall publish in the Bulletin notice of intent to contract
with that vendor at least 14 days prior to execution of the contract.
1) If no challenge to this determination is made by a vendor
within the 14 day period, the Procurement Officer may execute a contract with
that vendor.
2) If a challenge is received, the Procurement Officer shall
consider the information and shall commence a competitive procurement if the
Procurement Officer determines that more than one economically feasible source
may be available and the sole source designation is, therefore, not
appropriate, unless an emergency situation exists.
f) Negotiation in Sole Source Procurement
The
Procurement Officer shall conduct negotiations, as appropriate, to reach
contract terms, including price, and shall maintain a record of each sole
source procurement showing:
1) the vendor's name;
2) the amount and type of the contract;
3) what was procured; and
4) the identification number of the contract file.
g) Prohibition
Against Amending a Contract for Professional or Artistic Services Based on Sole
Source
The provisions of subsection (c) shall
not permit an amendment to a contract for professional or artistic services if:
1) there
is an increase in the amount paid under the contract of more than 5% of the
initial award; or
2) the
term of the contract would extend by a period not to exceed the time reasonably
needed for a competitive procurement or 2 months, whichever is less.
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2030 EMERGENCY PROCUREMENTS
Section 2000.2030 Emergency
Procurements
a) Applications
The provisions
of this Part apply to every procurement over the small purchase limit set in
Section 2000.2020 (Small Purchases) of this Part and that is not a sole source
procurement under Section 2000.2025 of this Part made under emergency,
including quick purchase, conditions.
b) Definition of Emergency Conditions
Procurements
may be made under this Section 2000.2030 in the following circumstances:
1) Traditional circumstances include but are not limited to:
A) public health or safety, including the health or safety of any
particular person, is threatened;
B) immediate repairs are needed to State property to protect
against further loss or damage to State property, or to prevent loss or damage
to State property;
C) immediate action is needed to prevent or minimize serious
disruption in State services;
D) action is needed to ensure the integrity of State records;
E) equipment or services are necessary in the furtherance of
covert activities lawfully conducted by a State agency. Any required disclosures
shall be made so as not to jeopardize those covert activities;
F) immediate action is necessary to avoid lapsing or loss of
federal or donated funds;
G) the need for items to protect or further State interests is
immediate and use of other competitive source selection procedures under the
Code and this Part cannot be accomplished without significant risk of causing
serious disadvantage to the State; or
H) immediate
action is necessary to protect the collection of substantial State revenue.
2) After Unsuccessful Competitive Sealed Bidding or Proposals or
Request for Proposals. When bids or proposals received pursuant to a
competitive sealed bid or competitive sealed proposal method are unreasonable
or noncompetitive, or the price exceeds available funds, and time or other
circumstances will not permit the delay required to resolicit competitive
sealed bids or proposals, and if emergency conditions exist after an
unsuccessful attempt to use competitive sealed bidding, an emergency procurement
may be made.
3) Extension to Allow Competition. Extending an existing
contract for such period of time as is needed to conduct a competitive method
of source selection where terminating or allowing the contract to terminate
would not be advantageous to the State.
4) Quick Purchase
A) A supplier announces bankruptcy, cessation of business, or loss
of franchise, or gives other similar reason so that making a purchase
immediately is more advantageous to the State than instituting a competitive procurement
under the provisions of the Code for the supplies or services;
B) Items are available on the spot market or at discounted prices
for a limited time so that good business judgment mandates a purchase
immediately to take advantage of the availability and price;
C) Availability of rare items, such as books of historical value;
D) The procurement is for entertainment.
c) Scope of Emergency Conditions
1) Emergency procurements shall be limited to the items, quantity
and term necessary to meet the emergency need.
2) Emergency
procurements shall be limited to the time reasonably needed for a competitive
procurement, but in no event shall it exceed 90 days unless the CPO determines
additional time is needed.
3) In
the event an emergency procurement exceeds 90 days, the contract scope and
duration may be extended. The extension shall be limited in items, quantity
and days.
d) Authority to Make Emergency Procurements
Authority to
make emergency procurements is established in Subpart C. Whenever practical,
existing State contracts shall be utilized and, whenever practical, approval by
the SPO shall be obtained prior to the procurement. The CPO or SPO shall be
responsible for making the filings required in Section 20-30 of the Code.
e) Source Selection Methods
Any method of
source selection, whether or not identified in this Part, may be used to
conduct the procurement in emergency situations. The procedure used shall be
selected to assure that the required items are procured in time to meet the
emergency. Such competition as is practicable shall be obtained.
f) Determination and Record of Emergency Procurement
1) Determination. The Procurement Officer shall make a written
determination stating the basis for an emergency procurement and for the
selection of the particular vendor. The determinations shall be kept in the
contract file of the Procurement Officer.
2) Record. An affidavit of each emergency procurement shall be
filed by the CPO with the SOS PPB and the Auditor General within 10 days after
the procurement and shall include the following information:
A) the vendor's name;
B) the amount and type of the contract, provided that, if only an
estimate of the amount is available immediately, the record shall be
supplemented with the final amount once known;
C) a description of what the vendor will do or provide;
D) the reasons for using the emergency method of source selection.
3) Notice of the emergency procurement shall be published in the
Bulletin in accordance with Subpart D of this Part.
g) Extensions of Emergency
In the event an emergency
procurement exceeds 90 days, the emergency procurement may be extended. Prior
to the execution of the extension:
1) the CPO
must determine additional time is necessary;
2) the
contract scope and duration must be limited to the emergency;
3) a
public hearing must be held;
4) the CPO
must provide written justification for the emergency contract;
5) notice
of the intent to extend shall be provided to the SOS PPB and published in the
Bulletin in accordance with Subpart D of this Part.
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2035 COMPETITIVE SELECTION PROCEDURES FOR PROFESSIONAL AND ARTISTIC SERVICES
Section 2000.2035 Competitive
Selection Procedures for Professional and Artistic Services
a) Application
1) The provisions of this Section apply to every procurement of
professional and artistic services except those subject to the Architectural,
Engineering and Land Surveying Qualifications Based Selection Act [30 ILCS 535]
and except as provided in Section 2000.2035(e).
2) "Professional and artistic services" means those
services provided under contract to a State agency by a person or business,
acting as an independent contractor, qualified by education, experience, and
technical ability [30 ILCS 500/1-15.60].
b) Professional and artistic services are further defined as
follows:
1) "Qualified by education" means the individual who
would perform the services must have obtained the level of education specified
in the Request for Proposals.
2) "Qualified by experience" means the individual who
would perform the services must have the level of general experience specified
in the Request for Proposals.
3) "Qualified by technical ability" means the
individual who would perform the services must demonstrate a high degree of
skill or ability in performing services that are the same, similar or closely
related in nature to those specified in the Request for Proposals.
4) An essential element distinguishing professional and artistic
services from other services is confidence, trust, and belief in not only the
ability, but the talent, of the individual performing the service. These
services are primarily for intellectual or creative skills. Contracts for
services primarily involving manual skills or labor are not professional and
artistic services contracts. (See Illinois Attorney General Opinion S-256,
January 20, 1971.)
5) If the professional or artistic contract is with a firm or
other business entity, the individuals whose education, experience and
technical ability provided the basis on which the firm or other business entity
was selected must meet the qualifications.
6) When SOS requires services that meet the requirements of this
subsection (b), the competitive selection procedures described in this Section
must be followed. Services that do not meet the requirements of this Section
must be procured in accordance with other methods of source selection
authorized by the Code and this Part.
c) The categories of services enumerated below shall be considered
and procured as professional and artistic services. With regard to other
services, the SPO may determine whether the factors identified in subsection
(b), when applied to particular services to be procured, require such services
to be procured as professional and artistic under these competitive selection
procedures, or as services that are subject to one of the other methods of
source selection authorized by the Code and this Part. The following categories
are examples of disciplines that would always be professional and artistic
services:
1) law;
2) accounting;
3) medicine;
4) dentistry; and
5) clinical psychology.
d) Architect, engineering and land surveying services shall be
procured pursuant to the procedures of the Architectural, Engineering, and Land
Surveying Qualifications Based Selection Act [30 ILCS 535]. Such procurements
are not subject to the procedures for other professional services established
in the Code or this Part.
e) Conditions for Use of Competitive Selection Procedures
Except as
authorized under Section 20-25 (Sole Source Procurement) or Section 20-30
(Emergency Procurements) of the Code, these competitive selection procedures
shall be used for all procurements of professional and artistic services of
$20,000 or more. Services of less than $20,000 and for a nonrenewable term of
one year or less may be procured in accordance with Section 2000.2020 (Small
Purchases) of this Part.
f) Prequalification. The CPO shall maintain a list of
prequalified professional and artistic vendors in accordance with Section
2000.2045 of this Part. Persons may amend statements of qualifications at any
time by filing a new statement. Failure of a professional and artistic vendor
to prequalify shall not be cause for rejection of a proposal provided that the
responsive offeror supplies with its proposal all information defined by the
prequalification process.
g) Public Notice of Competitive Selection Procedures
1) Notice of the need for professional and artistic services
shall be made by the Procurement Officer in the form of a Request for
Proposals.
2) Notice shall be given as provided in Section 2000.2010
(Competitive Sealed Bidding) of this Part.
3) Notice shall also be distributed to prequalified persons
interested in performing the services required by the proposed contract.
h) Request for Proposals
1) Contents. The Request for Proposals shall be in the form
specified by the CPO and shall contain at least the following information:
A) the type of services required;
B) a description of the work involved;
C) an estimate of when and for how long the services will be
required;
D) the type of contract to be used;
E) a date by which proposals for the performance of the services
shall be submitted;
F) a statement of the minimum information that the proposal shall
contain, which may, by way of example, include:
i) the name of the offeror, the location of the offeror's
principal place of business and, if different, the place of performance of the
proposed contract;
ii) if deemed relevant by the Procurement Officer, the age of the
offeror's business and average number of employees over a previous period of
time, as specified in the Request for Proposals;
iii) the abilities, qualifications, and experience of all persons who
would be assigned to provide the required services;
iv) a listing of other contracts under which services similar in
scope, size, or discipline to the required services were performed or
undertaken within a previous period of time, as specified in the Request for
Proposals;
v) a plan, giving as much detail as is practical, explaining how
the services will be performed;
G) price (to be submitted in a separate envelope in the proposal
package and not mentioned elsewhere in the proposal package); and
H) the factors to be used in the evaluation and selection process
and their relative importance.
2) Evaluation. Proposals shall be evaluated only on the basis of
evaluation factors stated in the Request for Proposals. Price will not be
evaluated until ranking of all proposals and identification of the most
qualified vendor. The relative importance of the evaluation factors will vary
according to the type of services being procured. The minimum factors are:
A) the plan for performing the required services;
B) ability to perform the services as reflected by technical
training and education, general experience, specific experience in providing
the required services, and the qualifications and abilities of personnel
proposed to be assigned to perform the services;
C) the personnel, equipment, and facilities to perform the
services currently available or demonstrated to be made available at the time
of contracting; and
D) a record of past performance of similar work.
i) Pre-Proposal Conference
A pre-proposal
conference, if appropriate, shall be conducted in accordance with Section
2000.2010(f) (Pre-Bid Conference). Such a conference may be held anytime prior
to the date established for submission of proposals.
j) Delivery, Receipt and Handling of Proposals
1) Proposals shall be submitted to and opened by the SPO in
accordance with instructions given by the SPO.
2) Public Opening
A) Proposals and modifications shall be opened publicly at the
time, date and place designated in the Request for Proposals.
B) Opening shall be witnessed by a State employee or by any other
person present, but the person opening proposals shall not serve as witness. A
record shall be prepared that shall include the name of each offeror, the
number of modifications received, if any, and a description sufficient to
identify the supply or service item offered. The record of proposals shall be
open to public inspection after award of the contract.
C) Proposals and modifications shall be opened in a manner
designed to avoid disclosing contents to competitors. Only State personnel and
contractual agents may review the proposals prior to award.
D) Proposals of offerors who are not awarded the contract shall not
be open to public inspection.
k) Discussions
1) Discussions Permissible. The Procurement Officer may conduct
discussions with any offeror to:
A) determine in greater detail such offeror's qualifications; and
B) explore with the offeror the scope and nature of the required
services, the offeror's proposed method of performance, and the relative
utility of alternative methods of approach. The Procurement Officer may allow
changes to the proposal based on those discussions.
2) No Disclosure of Information. Discussions shall not disclose
any information derived from proposals submitted by other offerors, and the
agency conducting the procurement shall not disclose any information contained
in any proposals until after award of the proposed contract has been made. The
proposal of the offeror awarded the contract shall be open to public inspection
except as otherwise provided in the contract.
l) Selection of the Best Qualified Offerors
After
conclusion of validation of qualifications, evaluation, and discussion, the
Procurement Officer shall rank the acceptable offerors in the order of their
respective qualifications.
m) Evaluation of Pricing Data
Pricing
submitted for all proposals timely submitted shall be opened and ranked.
1) If the low price is submitted by the most qualified vendor,
the Procurement Officer may award to that vendor.
2) If the price of the most qualified vendor is not low and if it
does not exceed $25,000, the Procurement Officer, but not a designee, may award
to that vendor.
3) If the price of the best qualified vendor exceeds $25,000, the
Procurement Officer, but not a designee, must state why a vendor other than the
low priced vendor was selected and that determination shall be published in the
Bulletin.
n) Negotiation and Award of Contract
1) General. The Procurement Officer shall attempt to negotiate a
contract with the best qualified offeror for the required services at fair and
reasonable compensation. The Procurement Officer may, in the interest of
efficiency, negotiate with other vendors, while negotiating with the best
qualified vendor.
2) Elements of Negotiation. At a minimum, contract negotiations
shall be directed toward:
A) making certain that the offeror has a clear understanding of
the scope of the work, specifically, the essential requirements involved in
providing the required services;
B) determining that the offeror will make available the necessary
personnel and facilities to perform the services within the required time; and
C) agreeing upon compensation that is fair and reasonable, taking into
account the estimated value of the required services and the scope, complexity,
and nature of such services.
3) Successful Negotiation of Contract with Best Qualified Offeror
A) If compensation, contract requirements, and contract documents can
be agreed upon with the best qualified offeror, the contract shall be awarded to
that offeror, unless the procurement is canceled.
B) Compensation must be determined in writing to be fair and
reasonable. Fair and reasonable compensation shall be determined by the Procurement
Officer based on the circumstances of the particular procurement, including but
not limited to the nature of the services needed, qualifications of the offerors,
consideration of range of prices received in the course of the procurement, and
the agency's identified budget.
4) Failure to Negotiate Contract with Best Qualified Offeror
A) If compensation, contract requirements, or contract documents
cannot be agreed upon with the best qualified offeror, a written record stating
the reasons therefore shall be placed in the file. The Procurement Officer shall
advise such offeror of the termination of negotiations.
B) Upon failure to negotiate a contract with the best qualified
offeror, the Procurement Officer may enter into negotiations with the next most
qualified offeror.
C) Nothing in this Section shall prohibit the Procurement Officer
from making a selection that represents the best value, qualifications, price and
other relevant factors established in the request for proposals being considered.
The Procurement Officer may, in considering best value, determine the proposal
from a fully qualified vendor that submitted the lowest price to be the best
value without further evaluation.
o) Notice of Award
Written notice
of award shall be public information and made a part of the contract file. The
SPO shall publish the names of the responsible decision makers of the
purchasing agency, the name of the agency, the successful vendor, a contract
reference number or other identifier, and the value of the contract. Publication
shall be in the next available issue of the Bulletin.
p) A CPO may allow an SPO to publish notices of small, sole
source and emergency procurements of professional and artistic services under
the jurisdiction of an SPO.
q) Post Performance Review
The SPO shall
require the using department to provide a synopsis of the contract and shall
rate the vendor's performance using the form developed by the SPO. A copy of
the completed form shall be provided to the SPO.
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2036 OTHER METHODS OF SOURCE SELECTION
Section 2000.2036 Other
Methods of Source Selection
a) Split Award
1) An award of a definite quantity requirement may be split between
bidders or offerors. Each portion shall be for a definite quantity and the sum
of the portions shall be the total definite quantity required. A split award
may be used only when award to more than one bidder or offeror for different
amounts of the same item are necessary to obtain the total quantity or the
required delivery.
2) The Procurement Officer shall make a written determination
setting forth the reasons for the split award, which determination shall be
made a part of the procurement file.
b) Multiple Award
1) A multiple award is an award of an indefinite quantity
contract to more than one bidder or offeror when the State is obligated to
order all of its actual requirements from those vendors.
2) A multiple award may be made when award to two or more bidders
or offerors for similar products is necessary for adequate delivery, service,
or product compatibility. Any multiple award shall be made in accordance with
the provisions of Section 2000.2010 (Competitive Sealed Bidding), Section 2000.2015
(Competitive Sealed Proposals), Section 2000.2020 (Small Purchases), and
Section 2000.2030 (Emergency Procurements), as applicable. Awards shall not be made
for the purpose of simply dividing the business or to select products or suppliers
to allow for user preference unrelated to utility or economy. Any such awards shall
be limited to the least number of suppliers necessary to meet the valid
requirements of the State.
3) The State shall reserve the right to take bids separately if a
particular quantity requirement arises that exceeds its normal requirement or
an amount specified in the contract.
4) If a multiple award is anticipated, the solicitation shall state
this fact as well as the criteria for award.
5) In a multiple award situation, one vendor may be designated as
the primary recipient of orders. The other awardees may receive orders in the event
the primary vendor is unable to deliver or for other reasons as determined by
the Procurement Officer.
c) Term and Condition Contracts
1) A term and condition contract contains agreed contractual terms
and conditions established for the convenience of the parties to be used in
conjunction with a subsequent procurement and processed in accordance with the
requirements of the Code and this Part. A term and condition contract is not a
procurement. It creates no obligation on the part of the State to procure from
the vendor, except as provided in subsection (c)(2).
2) Orders may be placed against term and condition contracts
without use of any prescribed method of source selection for convenience of
processing sole source, emergency or small procurements.
d) Auction
Purchases may
be made at auction in accordance with the procedural requirements applicable to
the particular auction. Notice and competition is not required and the amount
payable shall be the amount bid and accepted plus any required buyer's premium.
e) Non-governmental Joint Purchase
1) The SPO may enter into an agreement with a person not eligible
for the Governmental Joint Purchasing Act for the joint procurement of anything
covered by the Code. Any method of source selection may be used and may be
modified or adapted to meet the needs of the non-State entity.
2) The primary use of this provision shall be to accommodate mutual
relationships between the State and not-for-profit groups whose purpose is to
conduct programs adjunct to those of the State agency that is party to the
contract.
f) Federal Requirements
The Procurement
Officer may conduct procurements in accordance with federal requirements that
are necessary to receive or maintain those federal aid funds, grants or loans
or to remain in compliance with federal requirements.
g) Donations
When a
procurement will have the majority of funding from a donation, the terms of
which donation require use of particular procurement or contracting procedures,
the Procurement Officer may follow those procedures, but shall follow the Code
and this Part whenever practicable.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2037 TIE BIDS AND PROPOSALS
Section 2000.2037 Tie Bids
and Proposals
a) Tie bids or proposals are those from responsive and
responsible vendors that are identical in price or evaluation and represent the
low price.
b) Tie bids or proposals will be treated as follows:
1) If the tied vendors include an Illinois resident vendor, the
Illinois resident vendor shall be given the award. In all other situations, including
if two or more Illinois resident bidders are tied, the decision shall be made in
accordance with this subsection (b). "Illinois resident vendor" has
the meaning given in Section 2000.4510 (Resident Bidder Preference) of this
Part.
2) If there is a significant difference in responsibility
(including ability to provide the service or deliver in the quantity and at the
time required), the award will be made to the vendor who is deemed to be the most
responsible. A vendor who has had experience in contracting with the State shall
be given additional consideration in determining responsibility if the
Procurement Officer determines that dealing with a vendor that has knowledge of
State requirements, contracts, job sites, payment practices and such other
factors and with which there has been favorable past experience increases the likelihood
of successful performance.
3) If there is no significant difference in responsibility, but
there is a difference in the quality of the supplies or services offered, the
vendor offering the best quality will be accepted.
4) If there is no significant difference in responsibility and no
difference in quality of the supplies or services offered, the vendor offering
the earliest delivery time will be accepted in any case in which the
solicitation specified that the needs of the State require delivery as early as
possible.
5) If the bids or proposals are equal in every respect, the award
shall be made by lot unless the Procurement Officer determines that splitting
the award among two or more of the tied bidders is in the best interest of the
State. Awards may be split if all affected bidders agree, if splitting is
feasible given the type of supplies or services requested, if overall pricing
would not increase, if delivery would be better ensured, or if necessary or
desirable to promote future competition.
c) Record
Records shall
be maintained of all procurements on which tie bids or proposals were received.
The record shall provide at least the following information:
1) the identification number of the solicitation;
2) a description of what was procured; and
3) a listing of all the bidders and the prices submitted.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2038 MISTAKES
Section 2000.2038 Mistakes
a) General
Corrections to
bids, proposals or other procurement processes are allowed, but only to the
extent not contrary to the best interest of the State or the fair treatment of
other bidders.
b) Mistakes Discovered Before Opening
A vendor may
correct mistakes discovered before the time and date set for opening by
withdrawing or correcting as provided in this Section.
c) Confirmation of Mistake
When the
Procurement Officer knows or has reason to conclude that a mistake has been
made, such officer shall request the vendor to confirm the information. Situations
in which confirmation should be requested include obvious or apparent errors on
the face of the document or a price unreasonably lower than the others
submitted. If the vendor alleges a mistake, the bid or proposal may be corrected
or withdrawn if the conditions set forth in this Section, as applicable, are
met.
d) Mistakes in Bids Discovered After Opening but Before Award
This
subsection (d) sets forth procedures to be applied in situations in which
mistakes in bids are discovered after the time and date set for bid opening but
before award.
1) Minor informalities. A minor informality or irregularity is
one that is a matter of form or pertains to some immaterial or inconsequential
defect or variation of a bid from the exact requirement of the Invitation for
Bids, the correction or waiver of which would not be prejudicial to the State
(i.e., the effect on price, quality, quantity, delivery, or contractual
conditions is negligible). The Procurement Officer shall waive such
informalities or allow the bidder to correct them depending on which is in the
best interest of the State. Examples of minor informalities as to form include
the failure of a bidder to:
A) return the number of signed bids required by the Invitation for
Bids;
B) sign the bid, but only if the unsigned bid is accompanied by
other material indicating the bidder's intent to be bound, including but not
limited to signature on an auxiliary form, submission of a bid guarantee or
submission of a signed transmittal letter; or
C) acknowledge receipt of an amendment to the Invitation for Bids,
but only if:
i) it is clear from the bid that the bidder received the
amendment and intended to be bound by its terms; or
ii) the amendment involved had a negligible effect on price,
quantity, quality, or delivery.
2) Mistakes Where Intended Correct Bid Is Evident. If the mistake
and the intended correct bid are clearly evident on the face of the bid
document, the bid shall be corrected to the intended correct bid and may not be
withdrawn. Examples of mistakes that may be clearly evident on the face of the bid
document are typographical errors, errors in extending unit prices,
transposition errors, and arithmetical errors.
3) Mistakes Where Intended Correct Bid Is Not Evident. A bidder
may be permitted to withdraw a low bid if:
A) a mistake is clearly evident on the face of the bid document
but the intended correct bid is not similarly evident; or
B) the bidder submits proof of evidentiary value that clearly and
convincingly demonstrates that a mistake was made.
e) Mistakes in Proposals Discovered After Receipt, but Before
Award
This
subsection (e) sets forth procedures to be applied in four situations in which
mistakes in proposals are discovered after receipt of proposals but before
award.
1) During Discussions; Prior to Best and Final Offers. Once
discussions are commenced with any offeror or after best and final offers are
requested, any offeror may freely correct any mistake prior to the date set for
conclusion of discussions or for receipt of best and final offers.
2) Minor Informalities. Minor informalities, unless otherwise corrected
by an offeror as provided in this Section, shall be treated as they are under
subsection (d).
3) Correction of Mistakes. If discussions are not held or if the
best and final offers upon which award will be made have been received,
mistakes may be corrected and the intended correct offer considered only if:
A) the mistake and the intended correct offer are clearly evident
on the face of the proposal, in which event the proposal may not be withdrawn;
or
B) the mistake is not clearly evident on the face of the proposal,
but the offeror submits adequate proof that clearly and convincingly
demonstrates both the existence of a mistake and the intended correct offer, and
such correction would not be contrary to the fair and equal treatment of other
offerors.
4) Withdrawal of Proposals. If discussions are not held, or if
the best and final offers upon which award will be made have been received, the
offeror may be permitted to withdraw the proposal if:
A) the mistake is clearly evident on the face of the proposal and
the intended correct offer is not;
B) the offeror submits proof of evidentiary value that clearly and
convincingly demonstrates that a mistake was made but does not demonstrate the
intended correct offer; or
C) the offeror submits adequate proof that clearly and
convincingly demonstrates the intended correct offer, but to allow corrections
would be contrary to the fair and equal treatment of other offerors.
f) Mistakes Discovered After Award
Mistakes shall
not be corrected after award of the contract except where the Procurement
Officer finds it would be unconscionable (e.g., if the mistake resulted in a
windfall to the State) not to allow the mistake to be corrected.
g) Determinations Required
When a
proposal is corrected or withdrawn, or correction or withdrawal is denied, a
written determination shall be prepared showing that relief was granted or
denied in accordance with this Part. The Procurement Officer shall prepare the
determination.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2040 CANCELLATION OF SOLICITATIONS; REJECTION OF BIDS OR PROPOSALS
Section 2000.2040 Cancellation
of Solicitations; Rejection of Bids or Proposals
a) Scope of this Section
The provisions
of this Section shall govern the cancellation of any solicitations whether
issued by the State under competitive sealed bidding, competitive sealed
proposals, small purchases, or any other source selection method, and rejection
of bids or proposals in whole or in part.
b) Policy
Any
solicitation may be canceled when the Procurement Officer believes cancellation
to be in the State's best interest. Nothing shall compel the award of a
contract.
c) Cancellation of Solicitation; Rejection of All Bids or
Proposals Prior to Opening
1) As used in this Section, "opening" means the date
set for opening of bids, receipt of unpriced technical offers in multi-step
sealed bidding, or receipt of proposals in competitive sealed proposals.
2) Prior to opening, a solicitation may be canceled in whole or
in part when the Procurement Officer determines in writing that such action is
in the State's best interest for reasons including, but not limited to:
A) the State no longer requires the supplies or services;
B) the State no longer can reasonably expect to fund the
procurement;
C) proposed amendments to the solicitation would be of such
magnitude that a new solicitation is desirable;
D) ambiguous or otherwise
inadequate specifications;
E) the
solicitation did not provide for consideration of all factors of significance
to the State;
F) prices
exceed available funds and it would not be appropriate to adjust quantities to
come within available funds;
G) all
otherwise acceptable bids or proposals received are at clearly unreasonable
prices; or
H) there
is reason to question whether the bids or proposals may not have been
independently arrived at in open competition, may have been the result of
collusion or may have been submitted in bad faith.
3) When a solicitation is canceled prior to opening, notice of
cancellation shall be sent to all businesses that responded to the
solicitation.
4) The notice of cancellation shall:
A) identify the solicitation;
B) briefly explain the reason for cancellation; and
C) where appropriate, explain that an opportunity will be given to
compete on any resolicitation or any future procurements of similar supplies or
services.
d) Cancellation of Solicitation; Rejection of All Bids or
Proposals After Opening
1) After opening but prior to award, all bids or proposals may be
rejected in whole or in part when the Procurement Officer determines in writing
that the action is in the State's best interest. Reasons for the Procurement
Officer's determination may include, but are not limited to:
A) the supplies or services being procured are no longer required;
B) ambiguous or otherwise inadequate specifications were part of
the solicitation;
C) the solicitation did not provide for consideration of all
factors of significance to the State;
D) prices exceed available funds and it would not be appropriate
to adjust quantities to come within available funds;
E) all otherwise acceptable bids or proposals received are at
clearly unreasonable prices; or
F) there is reason to question whether the bids or proposals may not
have been independently arrived at in open competition, may have been collusive,
or may have been submitted in bad faith.
2) When the solicitation is canceled or when all bids or
proposals are rejected, all vendors who submitted bids or proposals shall be sent
a notice upon request informing them of the reasons for the cancellation or
rejection.
e) Documentation
The reasons
for cancellation or rejection shall be made a part of the procurement file and
shall be available for public inspection.
f) Rejection of Individual Bids or Proposals
1) General. This subsection (f) applies to rejections of
individual bids or proposals in whole or in part.
2) Notice in Solicitation. Each solicitation shall provide that
any bid or proposal may be rejected in whole or in part when in the best
interest of the State as provided in this Section.
3) Reasons for Rejection
Reasons for
rejecting a bid or proposal may include, but are not limited to:
A) the business that submitted the bid or proposal is nonresponsible
as determined under Section 2000.2046 (Responsibility) of this Part;
B) the bid or proposal is not responsive, that is, it does not
conform in all material respects to the solicitation;
C) the proposal ultimately (that is, after any opportunity has
passed for altering or clarifying the proposal) fails to meet the announced
requirements of the State in some material respect;
D) the supply or service item offered in the bid is unacceptable
by reason of its failure to meet the requirements of the specifications or
permissible alternates or other acceptability criteria set forth in the
Invitation for Bids; or
E) the proposed price is clearly unreasonable.
4) Notice of Rejection. Upon request, unsuccessful bidders or
offerors shall be advised of the reasons for rejection.
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
SUBPART F: SUPPLIERS, PREQUALIFICATION AND RESPONSIBILITY
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2043 SUPPLIERS
Section 2000.2043 Suppliers
a) The Procurement Officer may contract with any qualified source
of supply, but must procure from the Directed Sources except as permitted by
those sources, and must consider the following Special Sources.
b) Directed Sources − State-Produced Supplies or Services
1) Correctional Industries. The CPO, after consulting with the
Department of Corrections, shall determine the type and extent of the
preference given to supplies produced or services performed by Correctional
Industries. Factors to be considered in determining the preference include, but
are not limited to, the ability of Correctional Industries to meet the State's
requirements, the price charged and the reason for the Correctional Industries
program.
2) Central Services. Supplies and services available from the
program operations of the Department of Central Management Services shall be
utilized whenever possible.
c) Special Sources
1) Prior to any equipment procurement, the SOS may consider
property available from the State and Federal Surplus Warehouses, which are
under the jurisdiction of the Department of Central Management Services. The
State Property Control Act [30 ILCS 605/7a] requires that surplus furniture be
considered before any purchase of new furniture valued at $500 or more per
piece.
2) Various supplies and services are available from qualified
workshops for the disabled and procurement from these workshops is encouraged. Notice
and competition is not required pursuant to Section 45-35 of the Code. Information
regarding the workshops is available from DCMS.
3) Various supplies and services are available from State
agencies and other governmental units. These may be procured without notice and
competition.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2044 VENDOR LIST/REQUIRED USE
Section 2000.2044 Vendor
List/Required Use
a) The CPO may maintain a list of vendors interested in doing
business with the State. The names and addresses of vendors on the list shall
be available for public inspection.
b) Inclusion on, or exclusion from, the list shall not be a
factor in determining whether a vendor is a responsible vendor.
c) When vendors are directly solicited by the State, Invitations
for Bids and other solicitations will be sent to vendors on the vendor list for
supplies or services in question, except in the following cases:
1) The vendor does not sell the particular commodity or
equipment.
2) The number of vendors for a procurement classification is of
such magnitude that optimum prices may reasonably be expected without
soliciting the entire vendor list. The Procurement Officer may, if he/she
determines that the best interest of the State would be served, rotate the selection
from the list on any equitable basis.
3) The Procurement Officer determines that the best interests of
the State will be served by limiting vendors to those in defined geographic
areas (example: purchases of ready-mix concrete, perishables, and equipment
requiring immediate service).
d) The CPO may alternately refer to vendor lists maintained by
DCMS.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2045 PREQUALIFICATION
Section 2000.2045
Prequalification
a) General
1) The CPO shall identify by publication in the Bulletin the
categories of supplies and services (including professional and artistic
services) for which the CPO may prequalify vendors of those supplies and
services. The CPO is not required to prequalify vendors but may do so when
determination of a vendor's qualifications prior to procurement would be
advantageous to the State.
2) The SPO may require that vendors be prequalified as a
condition of being placed on the bid list. An opportunity to prequalify shall
be allowed at least one time each fiscal year. The opportunity to prequalify
and whether prequalification will be a condition of bidding or being awarded a
contract shall be announced in the Bulletin. The notice shall alert vendors
that failure to participate in the prequalification process may result in the
vendor being ineligible to receive contracts.
3) When prequalifying a vendor, the CPO may limit
prequalifications to determining whether a vendor has been and is likely to be
"responsible" using the criteria set forth in Section 2000.2046 of
this Part. The fact that a prospective vendor has been prequalified does not
necessarily represent a finding of responsibility for a particular procurement.
4) When prequalifying a vendor, the CPO may consider factors
tailored to a specific procurement or type of procurement that shall be
announced in the Bulletin.
5) Except in the case of professional and artistic services,
distribution of and responses to the solicitation may be limited to
prequalified vendors and award of a contract may be denied because a vendor was
not prequalified. If eligibility for the procurement will be limited to
prequalified vendors, the Invitation for Bids, Request for Proposals or other
procurement request shall state that fact.
b) Professional and Artistic Services
1) Any prequalification of vendors of professional and artistic
services shall include, at a minimum, a specified level of:
A) education;
B) experience; and
C) technical ability;
and may require certification or licensure, or membership in
professional associations.
2) Categories for prequalification will include, but are not
limited to, those listed in Section 2000.2035 of this Part.
c) Qualified Products Lists
Qualified products
lists are treated in Section 2000.2050 (Specifications and Samples) of this
Part.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2046 RESPONSIBILITY
Section 2000.2046
Responsibility
a) Application
Contracts are
to be made only with responsible vendors unless no responsible vendor is
available to meet the State's needs. If there is doubt about responsibility,
and if a bond or other security would adequately protect the State's interests,
then that vendor may be awarded a contract upon receipt of the bond or other
security.
b) Standards of Responsibility
1) Standards. Factors to be considered in determining whether
the standard of responsibility has been met may include, but are not limited
to, whether:
A) has available the appropriate financial, material, equipment,
facility, and personnel resources and expertise (or the ability to obtain them)
necessary to indicate its capability to meet all contractual requirements (the
Procurement Officer may designate a level of financial resource below which the
vendor will be deemed "not responsible");
B) is able to comply with required or proposed delivery or
performance schedules, taking into consideration all existing commercial and
governmental commitments;
C) has a satisfactory record of performance. Vendors who are or
have been deficient in current or recent contract performance in dealing with
the State or other customers may be deemed "not responsible" unless
the deficiency is shown to have been beyond the reasonable control of the
vendor;
D) has a satisfactory record of integrity and business ethics.
Vendors who are under investigation or indictment for criminal or civil actions
that bear on the particular procurement or that create a reasonable inference
or appearance of a lack of integrity on the part of the vendor may be declared
not responsible for the particular procurement;
E) is qualified legally to contract with the State;
F) has supplied all necessary information in connection with the
inquiry concerning responsibility;
G) has a current Public Contracts number from the Illinois
Department of Human Rights, pursuant to 44 Ill. Adm. Code 750.210, if
required. Proof of application prior to opening of bids or proposals will be
sufficient for an initial determination;
H) pays prevailing wages, if required by law; and
I) is current in payment of all State of Illinois taxes,
including the unemployment insurance tax.
2) Information Pertaining to Responsibility. The prospective
vendor shall supply information requested by the Procurement Officer concerning
the responsibility of such vendor. The State may supplement this information
from other sources and may require additional documentation at any time. If
such vendor fails to supply the requested information, the Procurement Officer
shall base the determination of responsibility upon any available information,
or may find the prospective vendor nonresponsible.
c) Ability to Meet Standards
The
prospective vendor may demonstrate the availability of necessary financing,
equipment, facilities, expertise, and personnel by submitting upon request:
1) evidence that such vendor possesses such necessary items;
2) acceptable plans to subcontract for such necessary items; or
3) a documented commitment from, or explicit arrangement with, a
satisfactory source to provide the necessary items.
d) Duty Concerning Responsibility
Before
awarding a contract, the Procurement Officer must be satisfied that the
prospective vendor is responsible. Responsibility can be proven until time of
contract execution unless the solicitation or other law requires that the
vendor submit information necessary to determine responsibility by a stated date
or time.
e) Written Determination of Nonresponsibility Required
If a vendor
who otherwise would have been awarded a contract is found nonresponsible, a
written determination of nonresponsibility setting forth the basis of the
finding shall be prepared by the Procurement Officer. The final determination
shall be made part of the procurement file.
f) Bond for Responsibility
Vendors not
having a history of performance may be considered responsible if no other
disqualifying factors exist. A bond or other security may be required of such
vendors.
g) Affiliated Companies
Vendors who
are newly formed business concerns having substantially the same owners,
officers, directors, or beneficiaries as a previously existing vendor that has
been determined not responsible will also be determined not to be responsible
unless the new organization can prove it was not set up for the purpose of
avoiding an earlier determination of nonresponsibility.
SUBPART G: BID, PROPOSAL AND PERFORMANCE SECURITY
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2047 SECURITY REQUIREMENTS
Section 2000.2047 Security
Requirements
a) A Procurement Officer may require that a vendor furnish bid,
proposal, or performance security on State contracts. Whenever security is
required, except as provided herein, the procurement document will clearly
indicate the type and amount of security.
b) Security, unless otherwise specified, may be in the form of
cashier's check, certified check, money order, irrevocable letter of credit or
bond. Any bond must be issued by a surety company authorized to do business in
the State of Illinois.
c) Unless the amount is set by law, the Procurement Officer will
determine the amount, in dollars or percentage of contract price, that will
adequately protect the State's interests. That amount will vary depending on
the type of procurement and the risks and potential losses associated with
delay or failure to complete the project, and for other such reasons.
d) A vendor may be required to furnish up to 100% performance
security at any time during contract performance and at its cost, if it appears
that delivery or production schedules cannot be met, quality is poor,
responsibility is questioned and for similar reasons.
e) Permissive/Mandatory Security
1) Bid or proposal security is permissive on any contract but is
not appropriate on emergency or sole source procurements.
2) Performance security is permissive on any contract and is
recommended on contracts calling for advance payment.
3) Performance security is required on all public works
contracts.
f) A vendor may submit a single or continuous security each year
that will be applicable on all SOS contracts. When such security has been
obligated in an amount equal to the sum of accumulated security requirements,
additional security must be submitted.
g) Bid or proposal security will be returned to unsuccessful
vendors as soon after award as possible. The bid or proposal security of the
successful vendor will be returned after contracts have been signed and
performance security, if any, submitted. Performance security will be returned
upon full performance.
SUBPART H: SPECIFICATIONS AND SAMPLES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2050 SPECIFICATIONS AND SAMPLES
Section 2000.2050 Specifications
and Samples
a) Responsibilities Regarding Specifications
1) The Procurement Officer shall write the necessary
specifications except as noted in this subsection (a).
2) If a specification for general or common use or a qualified
products list exists for an item to be procured under Section 20-20 of the Code
(Small Purchases), it shall be used except as otherwise authorized by the SPO.
If no such specification exists, the Procurement Officer shall have the
authority to prepare specifications for use in such purchases. In an emergency
under Section 20-30 of the Code, any necessary specification may be utilized
without regard to the provisions of this Subpart.
b) Procedures for the Development of Specifications
1) If the SPO develops a specification for a common or general
use item or has developed a qualified products list in accordance with this
Section for a particular supply or service, it shall be used unless the SPO
authorizes use of another specification.
2) All procurements shall be based on specifications that
accurately reflect the State's needs. Specifications shall clearly and
precisely describe the salient technical or performance requirements.
3) Specifications shall not include restrictions that do not
significantly affect the technical requirements or performance requirements, or
other legitimate State needs. All specifications shall be written in such a
manner as to describe the requirements to be met, without having the effect of
exclusively requiring a proprietary supply or service, or procurement from a
sole source, unless no other manner of description will suffice.
4) Any specifications or standards adopted by business, industry,
not-for-profit organization or governmental unit may be adopted by reference.
5) A specification may provide alternate descriptions where two
or more design, functional, or performance criteria will satisfactorily meet
the State's requirements.
c) Brand Name or Equal Specification
1) Brand name or equal specifications may be used when the
Procurement Officer determines in writing that:
A) no specification for a common or general use specification or
qualified products list is available;
B) time does not permit the preparation of another form of
specification, not including a brand name specification;
C) the nature of the product or the nature of the State's
requirement makes use of a brand name or equal specification suitable for the
procurement; or
D) use of a brand name or equal specification is in the State's
best interest.
2) Brand name or equal specifications shall seek to designate
more than one brand as "or equal", and shall further state that
substantially equivalent products to those designated will be considered for
award.
3) Unless the Procurement Officer determines that the essential
characteristics of the brand names included in the specifications are commonly
known in the industry or trade, brand name or equal specifications shall
include a description of the particular design, functional, or performance
characteristics that are required.
4) Where a brand name or equal specification is used in a
solicitation, the solicitation shall contain explanatory language that the use
of a brand name is for the purpose of describing the standard of quality,
performance, and characteristics desired and is not intended to limit or
restrict competition. "Or equal" submissions will not be rejected
because of minor differences in design, construction or features that do not
affect the suitability of the product for its intended use. Burden of proof
that the product is equal is on the bidder.
d) Brand Name Only Specification
1) Determination. A brand name only specification may be used
only when the Procurement Officer makes a written determination that only the
identified brand name item or items will satisfy the State's needs.
2) Use. Brand name alone may be specified in order to ensure
compatibility in existing systems, to preserve warranty, to ensure maintenance,
or as authorized in writing by the SPO. The Procurement Officer may, pursuant
to an authorized competitive procedure, select a particular vendor to provide
supplies or services for a specified period of time, and for that period the
supplier of additional, related and updated supplies and services may be
limited to the selected vendor or the brand initially selected.
3) Competition. The Procurement Officer shall seek to identify
sources from which the designated brand name item or items can be obtained and
shall solicit such sources to achieve whatever degree of competition is
practicable. If only one source can supply the requirement, the procurement
shall be made under Section 2000.2025 (Sole Economically Feasible Source
Procurement).
4) Small and Emergency Procurements. Brand name only specifications
may be used when procuring items under the small (Section 2000.2020) and
emergency (Section 2000.2025) provisions.
e) Qualified Products List
1) Use. A qualified products list may be developed by the
Procurement Officer when testing or examination of the supplies prior to
issuance of the solicitation is desirable or necessary in order to best satisfy
State requirements.
2) Solicitation. When developing a qualified products list, a
representative group of potential suppliers shall be solicited in writing to
submit products for testing and examination to determine acceptability for
inclusion in a qualified products list. Any potential supplier, even though not
solicited, may offer its products for consideration during the time allowed for
testing and examination.
3) Testing and Confidential Data. Inclusion on a qualified
products list shall be based on results of tests or examinations conducted in
accordance with established requirements. Except as otherwise provided by law,
trade secrets, test data, and similar information provided by the supplier will
be kept confidential when requested in writing by the supplier.
f) Proven Products
The supply or
service may be rejected if it has not been offered to other governmental or
commercial accounts for at least one year. Specifications may require that the
supply or services must have been used in business or industry for a specified
period of time to be considered.
g) State Required Samples
1) Any required samples must be submitted as instructed in the
solicitation with transportation prepaid by the vendor. Each sample must be
labeled with the vendor's name, address and a means of matching the sample with
the applicable bid or proposal.
2) Any sample submitted must be representative of the item that
would be delivered if a contract were awarded for that item. Samples submitted
by a successful vendor will be retained to check continuing quality. Submission
of samples will not limit the State's right to require adherence to
specifications.
3) No payment will be made for State Required Samples. Samples not
destroyed or consumed by examination or testing will be returned upon request
and at vendor's expense. Such request must be made at time of submission with
return collect or prepayment provisions and instructions for return
accompanying the samples.
h) Product Demonstration
Any vendor may
request time and space to demonstrate a product or service. Agreement to allow
such demonstration will be solely at the State's discretion and will not
entitle the bidder to a contract nor shall payment for the demonstration be
allowed unless a written contract had been executed prior to the demonstration.
i) Specifications Prepared by Other Than State Personnel
1) Specifications may be prepared by other than State personnel,
including, but not limited to, consultants, architects, engineers, designers,
and other drafters of specifications for public contracts when the Procurement
Officer determines that there will be no substantial conflict of interest
involved and it is otherwise in the best interest of the State, and provided
the Procurement Officer retains the authority to finally approve the
specifications. Contracts for the preparation of specifications by other than
State personnel shall require the specification writer to adhere to State
requirements.
2) The person who prepared the specifications shall not submit a
bid or proposal to meet the procurement need unless the Secretary of State, and
not a designee, determines in writing that it would be in the best interest to
accept such a bid or proposal from that person. A notice to that effect shall
be published in the Bulletin.
j) Pre-solicitation
Assistance/Specifications Prepared by Other Than State Personnel
1) Prior
to issuing a solicitation, an SPO may issue an RFI to obtain services of any
person or business to conduct research, analyze requirements or provide general
design or other assistance to help the SOS develop its procurement strategy,
specifications and documents and to identify and address other related needs.
No services can be obtained to assist the SOS in reviewing, drafting or
preparing an RFP or RFI or to provide similar assistance.
2) Notice.
A Request for Information shall be published in the Bulletin for at least 7
calendar days. All information received in response to an RFI shall be
published in the Bulletin for at least 7 calendar days.
3) The RFI
shall contain at least the following:
A) the
name of the requesting agency;
B) a brief
description of the agency's need; and
C) a
statement that the RFI is not a solicitation.
(Source: Amended at 43 Ill.
Reg. 6185, effective May 9, 2019)
SUBPART I: CONTRACT TYPE
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2055 TYPES OF CONTRACTS
Section 2000.2055 Types of
Contracts
a) Scope
This Section
contains descriptions of types of contracts and limitations as to when they
should be utilized by the State in its procurements. Types of contracts not
mentioned in this Section may also be utilized.
b) Prohibition of Cost-Plus-a-Percentage-of-Cost Contracting
The
cost-plus-a-percentage-of-cost contract is prohibited by Section 20-55 of the
Illinois Procurement Code. This type of contracting may not be used alone or in
conjunction with an authorized type of contract. A cost-plus-percentage-of-cost
contract is one in which the vendor selects the supply or service on which the
vendor's percentage is applied.
1) A percentage mark-up from an agreed price list is not a
cost-plus-a-percentage-of-cost contract.
2) A percentage mark-up from the price of a supply or service
selected by the State or another vendor under contract to the State is not a
cost-plus-a-percentage-of-cost contract.
c) Types of Fixed-Price Contracts
1) Firm Fixed-Price Contract. A firm fixed-priced contract
provides a price that is not subject to adjustment because of variations in the
vendor's cost of performing the work specified in the contract.
2) Fixed-Price Contract with Price Adjustment
A) A fixed-price contract with price adjustment provides for
variation in the contract price under special conditions defined in the
contract, other than customary provisions authorizing price adjustments due to
modifications to the work. The formula or other basis by which the adjustment
in the vendor's price can be made shall be specified in the solicitation and
the resulting contract. Adjustment allowed may be upward or downward only, or
both upward and downward. Examples of conditions under which adjustments may be
provided in fixed-price contracts are:
i) changes in the vendor's labor agreement rates as applied to
an industry or area (such as are frequently found in contracts for the purchase
of coal);
ii) changes due to rapid and substantial price fluctuations that
can be related to an accepted index (such as contracts for gasoline, heating
oils, and dental gold alloy); and
iii) in requirement contracts, where a vendor is selected to
provide all of the State's needs for the items specified in the contract, when
a general price change applicable to all customers occurs, or when a general
price change alters the base price (such as a change in a manufacturer's
published price list or posted price to which a fixed discount is applied
pursuant to the contract to determine the contract price).
B) If the contract permits unilateral action by the vendor to
bring about the condition under which a price increase may occur, the State
shall have the right to reject the price increase and terminate without cost
the future performance of the contract.
d) Cost-Reimbursement Contracts
1) Determination Prior to Use
A) A cost-reimbursement type contract may be used only when the
Procurement Officer determines in writing that such a contract is likely to be
less costly to the State than any other type or that it is impracticable to
obtain the items.
B) Reimbursement of travel expenses in accordance with applicable
travel control board regulations is authorized without further determinations.
2) Cost Contract. A cost contract provides that the vendor will
be reimbursed for allowable costs incurred in performing the contract, but will
not receive a fee.
3) Cost-Plus-Fixed-Fee Contract. This is a cost-reimbursement
type contract that provides for payment to the vendor of an agreed fixed fee in
addition to reimbursement of allowable incurred costs. The fee is established
at the time of contract award and does not vary if the actual cost of contract
performance is greater or less than the initial estimated cost established for
such work. Thus, the fee is fixed but not the contract amount because the final
contract amount will depend on the allowable costs reimbursed. The fee is
subject to adjustment only if the contract is modified to provide for an
increase or decrease in the scope of work specified in the contract.
4) Cost Incentive Contracts
A) General. A cost-incentive type of contract provides for the
reimbursement to the vendor of allowable costs incurred up to the ceiling
amount and establishes a formula whereby the vendor is rewarded for performing
at less than target cost (that is, the parties' agreed best estimate of the
cost of performing the contract will vary inversely with the actual, allowable
costs of performance and consequently is dependent on how effectively the
vendor controls cost in the performance of the contract).
B) Fixed-Price Cost-Incentive Contract. In a fixed-price
cost-incentive contract, the parties establish at the outset a target cost, a
target profit (that is, the profit that will be paid if the actual cost of
performance equals the target cost), a formula that provides a percentage
increase or decrease of the target profit depending on whether the actual cost
of performance is less than or exceeds the target cost, and a ceiling price. After
performance of the contract, the actual cost of performance is arrived at based
on the total incurred allowable costs as provided in the contract. The final
contract price is then established in accordance with the formula using the
actual cost of performance. The final contract price may not exceed the ceiling
price. The vendor is obligated to complete performance of the contract, and, if
actual costs exceed the ceiling price, the vendor suffers a loss.
C) Cost-Reimbursement Contract with Cost-Incentive Fee. In a
cost-reimbursement contract with cost-incentive fee, the parties establish at
the outset a target cost; a target fee; a formula for increase or decrease of
fee depending on whether actual cost of performance is less than or exceeds the
target cost, with maximum and minimum fee limitations; and a cost ceiling that
represents the maximum amount that the State is obligated to reimburse the
vendor. The vendor continues performance until the work is complete or costs
reach the ceiling specified in the contract, including any modification thereof,
whichever first occurs. After performance is complete or costs reach the
ceiling, the total incurred, allowable costs reimbursed as provided in the
contract are applied to the formula to establish the incentive fee payable to
the vendor.
e) Performance Incentive Contracts
In a
performance incentive contract, the parties establish at the outset a pricing
basis for the contract, performance goals, and a formula that varies the profit
or the fee if the specified performance goals are exceeded or not met. For
example, early completion may entitle the vendor to a bonus, while late
completion may entitle the State to a price decrease.
f) Time and Materials Contracts; Labor Hour Contracts
Time and
materials contracts provide an agreed basis for payment for materials supplied
and labor performed. Labor hour contracts provide only for the payment of labor
performed. Such contracts shall, to the extent possible, contain a stated
ceiling or an estimate that shall not be exceeded without prior State approval.
g) Definite Quantity and Indefinite Quantity Contracts
1) Definite Quantity. A definite quantity contract is a
fixed-price contract that provides for delivery of a specified quantity of
supplies or services either at specified times or when ordered.
2) Indefinite Quantity. An indefinite quantity contract is a
contract for an indefinite amount of supplies or services to be furnished at
specified times, or as ordered, that establishes unit prices of a fixed-price
type. Generally an approximate quantity or the best information available as to
quantity is stated in the solicitation. The contract may provide a minimum
quantity the State is obligated to order and may also provide for a maximum
quantity provision that limits the State's obligation to order.
3) Requirements Contracts. A requirements contract is an
indefinite quantity contract for supplies or services that specifically
obligates the State to order all the actual requirements of designated State
agencies during a specified period of time.
h) Leases
A lease is a
contract for the use of supplies or real property under which title will not
pass to the State at any time, except pursuant to an option to purchase.
i) Recovery Contracts
Contracts may
provide for payment to the vendor of a percentage of the amount the vendor
recovers or collects on behalf of the State. The percentage may be fixed or may
vary depending on amount of recovery or other factors, and the percentage may
be paired with a fixed price or cost reimbursement method.
j) Option Provisions
1) Contract Provision. When a contract is to contain an option
for renewal, extension, or purchase, notice of such provision shall be included
in the solicitation. These options may be exercised without taking other
procurement action when the option is established for exercise at the State's
option.
2) Lease with Purchase Option. A purchase option in a lease may
be exercised only if the lease containing the purchase option was awarded under
competitive sealed bidding or competitive sealed proposals, the leased supply
or facility is the only supply or facility that can meet the State's
requirements, the purchase option price is less than the small purchase limit
or emergency conditions exist.
k) State Produced Supplies and Services
Notwithstanding
any provision in any contract, supplies or services available from the State's
own programs, such as Correctional Industries, may be ordered without violating
any contract.
l) Extraordinary Quantities
Notwithstanding
any provision in any contract, the State reserves the right to take bids
separately if a particular quantity requirement arises that exceeds the State's
normal needs or ordering requirements.
m) Energy Conservation
The CPO may
authorize an IFB, RFP or sole source negotiation for energy conservation
measures whereby the State would make payment based on utility cost savings. Such
contract shall require a clearly defined baseline of energy usage and method of
measuring cost savings taking into account at least differing weather
conditions, changes in facility usage and cost of energy.
n) Sale of Advertising in State Publications
1) Pursuant to Section 20-110 of the Code, a Procurement Officer
may sell ads or advertising space in publications issued by the Secretary of
State.
2) These arrangements shall be made pursuant to specifications
included in an IFB or, if appropriate, an RFP.
3) The advertising in, or authorized use of, State publications
shall be appropriate to the type of publication and the program operations of
the agency.
4) This procedure is authorized in conjunction with, for example,
publications that promote literacy, organ donation, senior services and the
State Library. The Secretary of State and not a designee must concur in writing
to accept advertising from a person the agency regulates.
5) Proceeds from the sale of the advertisements shall be paid as
stated in the IFB or RFP, including, but not limited to, the following:
A) to the General Revenue Fund;
B) to a special fund authorized to receive the proceeds;
C) as free or additional copies; or
D) directly to the printer by the advertiser.
SUBPART J: DURATION OF CONTRACTS
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AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2060 DURATION OF CONTRACTS - GENERAL
Section 2000.2060 Duration
of Contracts − General
a) General
1) A multi-term contract for a term of up to 10 years is
authorized when determined by the CPO to be in the best interest of the State, inclusive
of proposed contract renewals.
2) A software license may have a term longer than 10 years,
including for a perpetual term, provided the payment term is limited to no more
than 10 years.
3) The
length of the payment terms of the bonds issued by or on behalf of the SOS
shall be limited as provided in the statute authorizing the issuance of bonds.
b) The contractual obligation of both parties in each fiscal
period succeeding the first is subject to appropriation and availability of
funds. The contract shall provide that, in the event that funds are not
available for any succeeding fiscal period, the remainder of such contract
shall be canceled without penalty to, or further payment being required by, the
State. This provision applies to only those contracts that are funded in whole
or in part by funds appropriated by the Illinois General Assembly or other
governmental entity.
c) Conditions for Use of Multi-Year Contracts
A multi-year
contract may be used when:
1) special production of definite quantities or the furnishing
of long-term services is required to meet State needs; or
2) a multi-year contract will serve the best interests of the
State by encouraging effective competition or otherwise promoting economies in
State procurement. The following factors are among those relevant to such a
determination:
A) firms that are not willing or able to compete because of high
start-up costs or capital investment in facility expansion will be encouraged
to participate in the competition when they are assured of recouping those
costs during the period of contract performance;
B) lower production costs because of larger quantity of service
requirements, and substantial continuity of production or performance over a
longer period of time, can be expected to result in lower unit prices;
C) stabilization of the vendor's work force over a longer period
of time may promote economy and consistent quality; or
D) the cost and burden of contract solicitation, award, and
administration of the procurement may be reduced.
d) Multi-Year Contract Procedure
The
solicitation shall state:
1) the proposed term;
2) the amount of supplies or services required for the proposed
contract period;
3) the type of pricing requested (e.g., firm for term);
4) how award will be determined.
e) Renewals
1) When the original procurement specifically called for an
initial term plus renewals, the renewals may be exercised without further
procurement activity, provided the initial term and the exercised renewals may
not exceed 10 years, the terms and conditions do not change except as provided
in the contract (such as price escalations tied to an index) and the option is
reserved solely to the State or is by mutual agreement. A renewal option that
requires modification to a material term or condition of the contract shall be
treated as a new contract and shall be subject to competitive procurement
procedures established by the Code and this Part.
2) When the original procurement was silent as to renewals, the
renewal must be procured using one of the methods of source selection
authorized by the Code and this Part. This renewal shall start a new term not
to exceed 10 years.
3) When a renewal will result in the total term, counting the
initial term and any previous renewals, to exceed 10 years, the renewal must be
procured using one of the methods of source selection authorized by the Code
and this Part. This renewal will start a new term that shall not exceed 10
years.
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
SUBPART K: CONTRACT MATTERS
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AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2560 PREVAILING WAGE
Section 2000.2560 Prevailing
Wage
a) For the following classifications and if competition exists,
no bidder will be awarded a contract unless its employees are paid wages and
benefits and are working under conditions prevalent in the location where the
work is to be performed.
1) Public works
2) Printing
3) Janitorial services, window washing and security guard
services having a monthly contract price of at least $200 or a yearly price of
at least $2,000.
b) Prevailing wage and conditions prevalent means the hourly wage
rate, overtime, holiday pay, pension, welfare, premium differential, vacation
pay and other benefits received by employees and the environmental conditions
under which they work.
c) Prevailing Wage Rates
1) Prevailing wage rates, benefits and conditions will be those
in effect on the first date of the contract, provided that, if the rate changes
during the contract term and the amount of change is known before execution of
the contract, then the contract rate will vary in like amount.
2) If the change in the collective bargaining agreement cannot be
determined in advance, the contract will be changed by the amount of the change
in wage rate and all components of price that are dependent on the usage rate,
such as payroll taxes, worker's compensation insurance, vacation, sick days,
and pension, provided that profit shall not increase due to prevailing wage
increases. The SPO shall have the option to cancel the contract if the new
price is unacceptable.
3) If the initial prevailing wage, etc., cannot be determined prior
to execution, contracts may be entered into and will remain valid for the
stated term.
d) If a collective bargaining agreement is in effect governing
the type of printing, janitorial, window washing or security guard service
sought, that agreement will define minimum wages, benefits and conditions that
must be paid in order for a bidder to be considered responsible.
e) For public works, location means the county where the physical
work upon public works is performed, except that if there is not available in
the county a sufficient number of competent skilled laborers, workers and
mechanics to construct the public works efficiently and properly,
"locality" includes any other county nearest the one in which the
work or construction is to be performed and from which such persons may be
obtained in sufficient numbers to perform the work.
f) Printing Contracts
1) For printing contracts, location means one of the following
areas:
A) Cook County;
B) Boone, Bureau, Carroll, Champaign, DeKalb, DeWitt, DuPage,
Ford, Fulton, Grundy, Hancock, Henderson, Henry, Iroquois, Jo Daviess, Kane,
Kankakee, Kendall, Knox, Lake, LaSalle, Lee, Livingston, Logan, Marshall,
Mason, McDonough, McHenry, McLean, Mercer, Ogle, Peoria, Piatt, Putnam, Rock
Island, Schuyler, Stark, Stephenson, Tazewell, Vermilion, Warren, Whiteside,
Will, Winnebago, and Woodford counties;
C) Adams, Alexander, Bond, Brown, Calhoun, Cass, Christian, Clark,
Clay, Clinton, Coles, Crawford, Cumberland, Douglas, Edgar, Edwards, Effingham,
Fayette, Franklin, Gallatin, Greene, Hamilton, Hardin, Jackson, Jasper,
Jefferson, Jersey, Johnson, Lawrence, Macon, Macoupin, Madison, Marion, Massac,
Menard, Monroe, Montgomery, Morgan, Moultrie, Perry, Pike, Pope, Pulaski,
Randolph, Richland, Saline, Sangamon, Scott, Shelby, St. Clair, Union, Wabash,
Washington, Wayne, White, and Williamson counties.
2) Where the printing is performed in a plant outside the
jurisdiction of this State, it shall be deemed produced in the Illinois
locality in which delivery of the printing ordered is required to be made.
Where such printing is required to be delivered to more than one Illinois
locality, such printing shall be deemed produced in the Illinois locality to
which the largest dollar volume of printing under the contract is to be
delivered.
g) For janitorial services, window washing and security guard
services, location means the county in which the work is to be performed.
h) Prevailing wages, benefits and conditions will be determined
by the Illinois Department of Labor.
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AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2570 EQUAL EMPLOYMENT OPPORTUNITY; AFFIRMATIVE ACTION
Section 2000.2570 Equal
Employment Opportunity; Affirmative Action
a) Public Contracts. Every party to a public contract and every
eligible bidder shall:
1) Refrain from unlawful discrimination and discrimination based
on citizenship status in employment and undertake affirmative action to assure
equality of employment opportunity and eliminate the effects of past
discrimination;
2) Comply with the procedures and requirements of the Department
of Human Right's (DHR) regulations concerning equal employment opportunities
and affirmative action;
3) Provide such information, with respect to its employees and
applicants for employment, and assistance as DHR may reasonably request;
4) Have written sexual harassment policies that shall include, at
a minimum, the following information:
A) the illegality of sexual harassment;
B) the definition of sexual harassment under State law;
C) a description of sexual harassment, utilizing examples;
D) the vendor's internal complaint process, including penalties;
E) the legal recourse, investigative and complaint process
available through DHR and the Human Rights Commission;
F) directions on how to contact DHR and the Commission; and
G) protection against retaliation as provided by Section 6-101 of
the Illinois Human Rights Act (IHRA) [775 ILCS 5].
A copy of the policies shall be provided to the Department of
Human Rights upon request.
b) Section 7-105A of the IHRA authorizes the Department of Human
Rights to promulgate policies, rules and regulations to implement the
provisions of the IHRA applicable to eligible bidders and public contractors. DHR
has promulgated rules, 44 Ill. Adm. Code 750, that establish public contractor
and eligible bidder duties, obligations, and reporting requirements. Those
rules require that certain employers register with DHR in order to be eligible
for the award of certain public contracts (44 Ill. Adm. Code 750.Appendix A).
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2580 SUBCONTRACTORS
Section
2000.2580 Subcontractors
All competitive
sealed proposals, including proposals for professional and artistic services,
shall include a provision to require each offeror to identify, either in its
proposal or prior to award, the identity of the subcontractors that will be
used in the performance of the contract, as well as the amounts expected to be
paid to each subcontractor.
(Source:
Added at 35 Ill. Reg. 4629, effective March 3, 2011)
SUBPART L: CONTRACT PRICING
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AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.2800 ALL COSTS INCLUDED
Section 2000.2800 All Costs
Included
The IFB or RFP and any resulting
contract should define whether prices cover transportation, transit insurance,
delivery, installation, taxes, and any other costs.
SUBPART M: CONSTRUCTION AND CONSTRUCTION RELATED PROFESSIONAL SERVICES
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AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.3005 CONSTRUCTION AND CONSTRUCTION RELATED PROFESSIONAL SERVICES
Section 2000.3005
Construction and Construction Related Professional Services
Construction and
construction-related services are procured by the CPO in accordance with the
Secretary of State Act [15 ILCS 305/5] under rules promulgated by the SOS (71
Ill. Adm. Code 2000).
SUBPART N: REAL PROPERTY LEASES AND CAPITAL IMPROVEMENT LEASES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4000 APPLICABILITY
Section 2000.4000
Applicability
Except as otherwise authorized
by law, real property leases and capital improvement leases are subject to, and
shall be procured by, the Office of the Secretary of State in accordance with
the Code and this Part.
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AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4005 REQUESTS FOR SPACE/DEPARTMENT RESPONSIBILITIES
Section 2000.4005 Requests
for Space/Department Responsibilities
a) Departments shall indicate their space needs by submitting a
written request to the CPO on the forms required by the CPO.
b) Departments shall give early notice of new or changing space
requirements. Each Department shall provide information as may be required in
advance of projected needs with six months being the preferred notice.
c) Each department head shall certify the need for space
required, the number of personnel to occupy the premises and the availability
of funds on each Space Request.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4010 GENERAL ACQUISITION PROCEDURES
Section 2000.4010 General
Acquisition Procedures
a) SOS will review State-owned space leased by other agencies
that may be suitable to fill the department space request. Such space, because
it involves no outside expenditure or because use would avoid unnecessary lease
costs, will be used in preference to newly acquired leased space. Exceptions
will only be granted upon strong justification submitted by the Director of the
department requesting space.
b) Acquisition of space by lease will be on the basis most
favorable to the State, with due consideration to maintenance and operation
efficiency. In those instances where alterations to a property are needed, CPO
will review and approve the scope of work and method of payment prior to the
commencement of work. Departments are not to perform alterations to leased
properties or enter into contracts for alterations without CPO approval. Factors
that could influence the decision to approve alteration include but are not
limited to: length of term, cost relative to base cost, cost of base plus
alterations compared to other site costs, degree of permanency of alterations,
and demonstrated program need for alterations.
c) The CPO will determine the appropriate term for a given lease
(not to exceed 10 years unless paid solely by federal funds) and negotiate
accordingly. The particular terms and conditions of a given lease will in
general conform to the SOS standard lease form provisions. Changes, additions
or deletions to these terms shall be at CPO's discretion.
d) The CPO will attempt to negotiate a favorable renewal option,
State-option cancellation clause, and purchase option provision when
appropriate.
e) All leases shall be accompanied by a full written disclosure
of the identity of every owner and beneficiary having any interest in the
premises being leased.
1) Such disclosure shall be subscribed and sworn or otherwise
affirmed on oath by an owner, authorized trustee, corporate official, or
managing agent.
2) Such disclosure shall set forth all ownership interests. By
way of example, the disclosure should identify the names of the beneficiaries
of a land trust in addition to the trustee, the names of all partners whether
general or limited in nature, and names of all shareholders in a corporation
who are entitled to receive more than 7 1/2% of the total distributable income
of the corporation. If stock in a corporation is publicly traded and no readily
known individual owns more than a 7 1/2% interest, then the requirements of
this Part may be met by an officer or managing agent of the corporation making
an affirmative statement to this effect under oath.
3) Such disclosure shall set forth the identify of any State
officer, employee or elected official, or the wife, husband, or minor child of
such person having an ownership or beneficial interest under the lease. In the
event such person is so set forth, the disclosure shall include a specific
designation of the percentage of the total distributable income such person,
together with that of the wife, husband, or minor child of such person, is
entitled to receive from any firm, partnership, association, or corporation
that is the lessor.
4) It shall be the responsibility of the lessor to notify the CPO
of any change in ownership of beneficial interest and to submit updated
disclosure statements reflecting such changes within 30 days after such change.
f) All leases shall be in writing and shall include:
1) a provision that the lease is subject to termination and
cancellation in any year for which the General Assembly fails to make an
appropriation to make payments under the terms of the lease.
2) a termination option in favor of the State.
g) Space that is not in compliance with the applicable
accessibility standards or is not capable of being brought in compliance with
the installation of minimum essential features of accessibility by the time of
occupancy shall not be considered for use.
h) A copy of all leases whose annual rent is $10,000 or more
shall be filed with the Comptroller within 15 days after their execution by the
CPO.
i) In selecting sites, preference may be given to sites located
in enterprise zones, TIF districts, or redevelopment districts when requested
by the Chief Executive Officer of a unit of local government located within the
boundaries of the site search area.
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SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4015 ACQUISITION OF LEASES BY RFI
Section 2000.4015
Acquisition of Leases by RFI
All leases, except those falling
under the exceptions listed in Section 2000.4020 or emergency procurements
(Section 2000.4045) will be acquired as follows:
a) All leases will be procured by a Request for Information
(RFI). RFIs will contain at a minimum the following information:
1) A description of the general type of property to be leased.
2) The proposed use of the property.
3) The proposed term of the lease.
4) The preferred location of the property.
5) The general information such as size of space, configuration
desired, and any other appropriate requirements.
6) The address to which requests for proposal may be sent.
7) The date by which responses are due.
8) Response forms and instructions for completing forms.
9) A copy of spatial and performance guidelines required to meet
the needs of the SOS Department that will occupy the real property being
procured.
b) Notice of the RFI shall be published at least 14 days prior to
the deadline for responding in the Bulletin.
c) Responses.
1) The
Request for Information may include a form or format for submitting responses.
If a form or format is specified, vendor shall submit responses as instructed.
2) The RFI response must detail how the respondent will meet all
required criteria set forth in the RFI.
d) Proposal packages must, at a minimum, include:
1) A Proposal Form.
2) A copy of the agency program requirements.
3) The date by which proposals must be submitted.
e) All responses to the RFI will be publicly opened on the
announced opening date. Names of all parties submitting proposals will be made
available to the public.
f) Secretary of State representatives may conduct discussions
with respondents to further clarify the needs of the State or obtain further
information on responses.
g) Based on the responses to the RFI, the Chief Procurement
Officer (CPO) or a designee will make a written determination of which RFIs
submitted are responsive to the State's basic criteria.
h) Secretary of State representatives will enter into
negotiations with all parties submitting responsive RFIs for the purpose of
obtaining the best terms for the State. A written record of all negotiations
will be maintained by the Secretary of State.
i) A Secretary of State representative will review all relevant
information and recommend to the CPO which proposal should be accepted.
j) The CPO will make the final award, which will be announced in
the Bulletin.
k) The lease will be reduced to writing and executed by all
parties.
l) If the lowest-priced proposal is not selected, the CPO will
publish notice, along with the reasons for such selection, in the next
available edition of the Bulletin.
m) The Secretary of State reserves the right to reject any and all
proposals and to request and evaluate "best and final" proposals.
All decisions on compliance, evaluations, terms, and conditions will be made
solely at the Secretary of State's discretion and made to favor the State.
(Source: Amended at 47 Ill. Reg. 10622, effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4020 LEASES ACQUIRED BY OTHER METHODS
Section 2000.4020 Leases
Acquired by Other Methods
a) The following types of leases may be acquired without a formal
RFI process:
1) Leases for less than 10,000 square feet.
2) Leases in which the base rent is estimated to be less than
$100,000 per year.
3) Leases in which the term is less than one year and whose term
is not subject to renewal.
4) Specialized space available only at one location. Specialized
space is defined as space of unique function or configuration, not generally
available on the market on an as-built or turnkey basis. Examples of
specialized space include, but are not limited to: laboratories, vehicle
testing stations, correctional facilities, medical facilities, boat docks, and
evidence storage facilities.
5) Leases with other governmental units.
b) The CPO may authorize a new lease term at an existing location
when the existing location is the most economically feasible location
available.
c) Acquisitions of such leases shall be by negotiation. Written
summaries of all negotiations will be maintained in Secretary of State files.
d) The Secretary of State is not restricted to negotiating only
with those who respond to advertisements. The Secretary will remain responsible
for considering other buildings or spaces known to meet general criteria.
e) Recommendation of sites shall be reduced to writing and the
final determination shall be made by the CPO. Reasons for selection will be
documented and maintained in Secretary of State lease files.
f) Nothing in this Section prohibits the CPO from ordering a
lease procurement to be made under the RFI provisions of Section 2000.4015 if
the CPO deems it in the best interests of the State.
(Source: Amended at 47 Ill. Reg. 10622, effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4025 RENEWAL OR EXTENSION OF LEASE IN EFFECT PRIOR TO JULY 1, 1998 (REPEALED)
Section 2000.4025 Renewal or
Extension of Lease in Effect Prior to July 1, 1998 (Repealed)
(Source: Repealed at 47 Ill. Reg. 10622, effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4030 RENEWAL OF LEASES
Section 2000.4030 Renewal of
Leases
a) Leases may be renewed if:
1) The CPO determines in writing that such renewal is in the best
interest of the State.
2) A Notice of renewal must be published in the Bulletin at least
60 days prior to the exercise of that option to renew a lease when required by
a formal procurement.
b) Documentation justifying renewals will be maintained in
Secretary of State lease files.
(Source: Amended at 47 Ill. Reg. 10622, effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4035 PURCHASE OPTIONS
Section 2000.4035 Purchase
Options
a) All leases of free standing facilities shall contain an option
to purchase exercisable by the State.
b) Purchase options may be omitted if:
1) The lease is with a governmental entity or a not-for-profit
entity.
2) The CPO determines that the purchase option is not in the
State's best interest and publishes his/her written determination in the
Bulletin.
(Source: Amended at 43 Ill. Reg. 6185, effective May 9, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4040 LEASE ADMINISTRATION
Section 2000.4040 Lease
Administration
a) Officials or employees of the departments for which the CPO
will acquire leased space shall at no time, before or after a space request is
submitted to the CPO or after a lease agreement is made, directly or indirectly
contact lessors, offerors, or potential offerors for the purpose of making oral
or written representation or commitments or agreements with respect to the
terms of occupancy of particular space, tenant improvements, alteration and
repairs, unless authorized by the CPO. Consequently, when it is ascertained by
the CPO that an unauthorized contact has been made, lease acquisition action
may be deferred until its nature and impact can be determined. Whenever an
unauthorized contact is judged by the responsible Secretary of State leasing
official to be detrimental to the State's interest, further leasing action may
be suspended for such time as may be required to eliminate or minimize the
detrimental impact.
b) Lessors, offerors, or potential offerors, or their agents,
shall be referred to the appropriate Secretary of State office.
c) Departments shall not negotiate lease terms, negotiate
settlements, withhold rentals, or vacate a leased property without the prior
approval of the CPO. Departments are encouraged to deal with minor
landlord/tenant problems (i.e., minor repairs, building comfort complaints,
etc.) at a local level. Any significant difficulties shall immediately be
reported to CPO for handling. All problems shall be noted on the local level on
the forms provided by the CPO for this purpose and proper records maintained
for use in the event a specific problem goes unresolved and further action is
required.
d) Each department is responsible for budgeting sufficient money
in appropriate line items to cover all obligations. Payments are to be made by
the occupying Department and will not be considered the responsibility of the
CPO.
e) Except when deemed by the CPO to be in the best interest of
the State, no department may incur rental obligations before occupying the
space rented.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4045 EMERGENCY LEASE PROCUREMENT
Section 2000.4045 Emergency
Lease Procurement
Emergency lease procurements may
be made pursuant to 44 Ill. Adm. Code 2000.2030 of this Part.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4050 AREA MEASUREMENT
Section 2000.4050 Area
Measurement
a) To calculate rentable area, area measurement will be based on
the following standards when the State is the exclusive tenant.
1) If the State is the exclusive tenant on a single floor of a
multi-story building, the rentable area will include the entire area within the
exterior walls, measured to the inside finished surface of the dominant portion
of the permanent outer building walls, excluding any major vertical
penetrations of the floor and walls enclosing those penetrations (e.g.,
elevators, shafts, duct chases, pipe chases, and stairways). Public corridors,
restrooms, janitor closets, utility closets, and machine rooms serving the
single floor exclusively will be included as rentable area.
2) If the State is the exclusive tenant in a one-story building,
those areas excluded in subsection (a)(1), will be included in the rentable
area.
3) If the State is the only tenant in a multi-story building,
those areas excluded in subsection (a)(1) will be included in the rentable
area.
4) The standards in subsection (d).
b) To calculate rentable area, area measurements, will be based
on the following standards when the State is not an exclusive tenant.
1) If there are multiple tenants on the same floor in a
multiple-story building, or on the same floor in a one-story building, the
rentable area will be calculated by measuring from the inside finished surface
of the dominant portion of the permanent outer building walls to the office
side of any corridor wall or other permanent wall and to the center of demising
walls separating rentable areas.
2) If there are multiple tenants on the same floor in a
multiple-story building, or on the same floor in a one-story building, the
rentable area will include the percentage of floor common area equal to the
percentage of usable area on that floor occupied by the State tenant. Floor
common area includes public corridors, restrooms, janitor closets, utility
closets, and machine rooms used in common with other tenants. Floor common
area does not include elevator shafts, duct chases, pipe chases, and stairways.
3) If the State is one of multiple tenants in a multi-story
building, the rentable area may not include public areas of the main lobby
floor and areas such as atriums, health clubs, conference centers, tenant
lounges, vending areas, or other common building amenities for the beneficial
use of all building tenants.
4) Those standards listed in subsection 2000.4050(d).
c) To calculate rentable area, area measurements will be based on
the following standards when the State leases space in a ground floor store area.
1) If the State is the exclusive tenant, subsection (a) is
applicable, except for street frontages when measurements will be taken from
the building line instead of the inside finished surface of the dominant
portion of the permanent outer building walls.
2) If the State is not an exclusive tenant, subsection (b) is
applicable, except for street frontages when measurements will be taken from
the building line instead of the inside finished surface of the dominant
portion of the permanent outer building walls.
3) No deductions will be made for vestibules inside the building
line or for columns or projections necessary to the building.
4) No additions will be made for bay windows extending outside
the building line.
d) To calculate rentable area, area measurements will be based on
the following standards when the State is the exclusive tenant and when the
State is not an exclusive tenant.
1) The inside finished surface of the dominant portion of the
permanent outer building wall may be a glass surface, interior wall, or other
surface.
2) No deductions may be made to the rentable area for elements
necessary to maintain the building’s structural integrity (e.g., columns,
bracing, etc.).
3) Central boiler rooms and mechanical, electrical, or
communications equipment rooms serving more than one floor and more than one
tenant shall be excluded from rentable areas. Mechanical penthouses,
mechanical, electrical, or communications equipment rooms located on floors
containing no tenant space are excluded from rentable areas.
4) Exterior areas, such as balconies, terraces, open courtyards,
open-air walkways, exitways, or corridors and enclosed skywalk systems, are excluded
from rentable areas.
5) Parking spaces are excluded from rentable areas.
6) Basement storage areas are excluded from rentable areas unless
the basement also includes occupiable tenant space.
e) To calculate construction area, area measurement will be based
on the following standards.
1) If the State occupies a building not constructed for the
exclusive use of the State, the construction area shall equal the rentable area
for initial tenant build-out work and all tenant improvement work.
2) If the buildings are constructed for the exclusive use of the
State, the construction area shall include the entire area within the exterior
walls measured to the outside finished surface of permanent outer building
walls. The construction area of the building will be the sum of the
construction areas of all enclosed floors including basements, mechanical
equipment floors, and penthouses.
(Source: Added at 47 Ill. Reg. 10622,
effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4055 SPACE PLANNING ASSISTANCE
Section 2000.4055 Space
Planning Assistance
The CPO and Property Management will aid departments in the
preparation of the initial space layout. When a department requires subsequent
space layout assistance, a request for such assistance shall be made to the
CPO. The CPO will determine the scope of assistance required and will provide
or authorize such service. No contractual space planning is authorized without
the CPO’s approval.
(Source: Added at 47 Ill. Reg. 10622,
effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4060 SPACE ALLOWANCE AND STANDARDS
Section 2000.4060 Space
Allowance and Standards
The CPO will provide space
standards that support efficient and cost-effective use of facilities, support
flexibility, and provide employees with productive work environments. These
space standards dictate the allotment of individual, collaborative, and support
space. The planning of office space, size, and layout must be consistent with
the standards listed in Appendix A. The Secretary of State's implementation of
the space standards must be done in cooperation with the CPO and shall support
the needs of the SOS. The CPO space standards are implemented to reduce costs,
optimize the State facilities portfolio, and minimize construction costs, while
providing employees with better workspaces in which they can collaborate,
focus, and serve the citizens of the State of Illinois.
(Source: Added at 47 Ill. Reg. 10622,
effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4065 OFFICE FURNISHINGS
Section 2000.4065 Office
Furnishings
a) Departments are expected to exercise restraint in specifying
furnishings and equipping their offices. All alterations and amenities costs must
be fair and reasonable.
b) As long as an office is in good repair and suitable to the
function of the position to which it is assigned, personal preferential
modifications with a change in occupant are discouraged.
(Source: Added at 47 Ill. Reg. 10622,
effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4070 ACCESSIBILITY FOR PERSONS WITH DISABILITIES
Section 2000.4070 Accessibility
for Persons with Disabilities
a) Each leased facility will, to the extent practicable, be
accessible to persons with disabilities. Each lease of office space negotiated
by SOS must contain specifications for accessibility. Exceptions to the
specifications will be allowed by request of the SOS Department using the space
and for legitimate reasons only. The CPO may only waive certain specifications
at its own discretion in accordance with subsection (b).
b) Exceptions
may be based upon one or more of the following criteria:
1) No other suitable location exists within the geographic
boundaries required by the operation/program at the site.
2) No funds are appropriated to cover expenses for:
A) relocation to an accessible site;
B) remodeling an existing site to achieve accessibility; or
C) construction of a new facility.
3) The operations at the site are part of an on-going program that
cannot be interrupted or terminated pending relocation, remodeling, or new
construction.
4) The operations at the site are part of a new program that must
be implemented without delay to avoid:
A) delay or interruption of vital services; or
B) loss of funds associated with the program.
5) The operations/programs at the site:
A) generate a low frequency of public use; or
B) provide a low number of job opportunities.
c) For sites carrying out programs funded in whole or in part by
Federal funds, exceptions will be granted only upon written certification from
the Director of the Department whose employees are using the space that:
1) Alternative methods have been established to deliver services
to persons with disabilities; and
2) The Secretary of State will provide necessary structural
modification for qualified employees with disabilities unless this modification
would cause the Secretary of State to incur undue hardship. This requirement
is based on Federal law (Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 706)) and any federal regulations implementing that Act, including those
promulgated by the Department of Health and Human Services.
(Source: Added at 47 Ill. Reg. 10622,
effective July 3, 2023)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4075 IMPROVEMENTS TO REAL PROPERTY
Section 2000.4075
Improvements to Real Property
a) The Secretary of State will rent private space that requires
minimal improvements to meet State needs. Temporary and permanent improvements
may, however, be necessary to make the property appropriate for SOS use. When
necessary, these improvements are an integral part of the lease.
b) Improvements to leasehold property may result in the enrichment
of the building owner. Unjust enrichment shall be avoided and controlled using
the following:
1) Temporary Improvements
A) Temporary improvements are defined as goods and services provided
to meet the specific physical needs of the department occupying leased space.
Temporary improvements are those that primarily benefit the tenant although
there may be coincidental benefits to the lessor after the term of the lease. The
value of temporary improvements will generally be fully depreciated by the end
of the lease. Examples of temporary improvements include painting, carpeting,
interior non-load bearing office partitions, and provision of wiring, lighting,
heating, and cooling beyond minimal building standards to satisfy needs for
electronic or scientific equipment or other such reasons.
B) Temporary improvements may be contracted for as a provision in
a lease, as a lease amendment, or as a separate contract. The temporary
improvement is integrally related to SOS leasing authority and must be approved
by the CPO.
C) The CPO will approve temporary improvements only upon a showing
that the requested services and incidental goods are necessary for the
operation of the agency and are of a quality designed to last for the duration
of the lease or some lesser period. The CPO may suggest or require
alternatives to the temporary improvements requested by the department.
D) Payment for temporary improvements may be made as an addition
to base rent made in monthly installments over the term of the lease. If more
beneficial, a single additional payment may be made to cover the costs of
temporary improvements.
2) Permanent Improvements
A) Permanent improvements are those that would clearly benefit the
lessor beyond the term of the lease. These are defined as goods or services
provided to meet basic occupancy requirements of habitability, building and
health code compliance, and fitness for the general purpose intended (i.e., for
office as opposed to warehouse space, etc.). Value of permanent improvements
will generally not be fully depreciated under normal depreciation tables.
Examples include structural work, providing basic heating and air conditioning
units, utility service, restrooms, elevators, paving, and insulation.
B) Permanent improvements may only be contracted for in the
initial lease or as an amendment to the lease.
C) The CPO will review all requests for permanent improvements and
determine whether they are necessary, whether temporary improvement could
suffice, or whether another location would prove to be more cost-effective.
D) All permanent improvement items will be assigned a normal life
for depreciation purposes and the cost of such improvements will be noted. The
State will not pay more than its proportionate share of the permanent
improvement cost as shown by the lease term divided by the normal life times
the actual cost.
E) If circumstances require full payment during the term, the
lease will provide for:
i) renewals at the State’s option in initial lease term
increments until improvement is fully amortized; and
ii) an option to remove any permanent improvement that it paid
for, leaving the building in the condition it was in at the start of the lease;
or
iii) a rebate of the unamortized value of the permanent
improvements.
F) A
purchase option at fair market value less value of permanent improvements may
substitute for subsections (d)(4) and (d)(5) in extraordinary circumstances.
(Source: Added at 47 Ill. Reg. 10622,
effective July 3, 2023)
SUBPART O: PREFERENCES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4505 PROCUREMENT PREFERENCES
Section 2000.4505
Procurement Preferences
The procurement preferences
identified in Article 45 of the Code must be considered in developing
procurement documents, conducting evaluations and drafting contracts.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4510 RESIDENT BIDDER PREFERENCE
Section 2000.4510 Resident
Bidder Preference
a) "Illinois resident vendor" as used in this Section
means a person authorized to transact business in this State and having a bona
fide establishment for transacting business within this State at which it was
actually transacting business on the date when any competitive solicitation for
a public contract was first advertised or announced, including a foreign
corporation duly authorized to transact business in this State that has a
bona fide establishment for transacting business within this State at which it
was actually transacting business on the date when any competitive solicitation
for a public contract was first advertised or announced.
b) In breaking a tie, an Illinois resident vendor shall be given
the award.
c) The CPO of DCMS shall maintain a list of states with in-state
preference that shall be consulted in all procurements involving out-of-state
vendors.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4530 CORRECTIONAL INDUSTRIES
Section 2000.4530
Correctional Industries
a) The SPO shall refer to the listing of the supplies or services
available from the Department of Corrections and shall identify those that must
be purchased from Corrections.
b) Those items that must be purchased from Corrections may not be
procured from any other source without the express written authorization of the
SPO.
c) Procurement Officers may procure from Corrections without
seeking competition or giving public notice.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4535 SHELTERED WORKSHOPS FOR THE DISABLED
Section 2000.4535 Sheltered
Workshops for the Disabled
a) Use of Sheltered Workshop
The
Procurement Officer may determine to contract with a sheltered workshop on the
list maintained by the CPO for DCMS, and may do so without notice or
competition.
b) Pricing Approval
While notice
and competition is not required prior to contracting with a sheltered workshop,
prices must be reasonable. Whether a price is reasonable will be determined
based upon current market prices, historical prices, prices received by other
State agencies for similar supplies or services, the policy of the Code to
promote procurements from sheltered workshops, and other such relevant factors.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4540 GAS MILEAGE
Section 2000.4540 Gas
Mileage
a) Passenger automobile specifications shall require compliance
with minimum gas mileage requirements established in Section 45-40 of the
Code. Passenger automobiles must achieve at least the minimum average fuel
economy in miles per gallon imposed upon manufacturers of vehicles under Title
V of the Motor Vehicle Information and Cost Savings Act (15 USC 2001).
b) Passenger automobiles that do not meet the minimum gas mileage
requirements may not be procured unless and until the SPO makes a written
determination that a non-compliant automobile is necessary to carry out the
function of the agency and the SPO's determination is signed by the Secretary
of State.
c) If the Secretary of State confirms need for the non-compliant
passenger automobile, that vehicle may be procured. Except in the case of a
covert vehicle, notice that a non-compliant passenger automobile is being
purchased will be placed in the Bulletin along with the reasons for such a
decision.
d) Passenger automobile does not include station wagons, vans,
four-wheel drive vehicles, emergency vehicles, or police or fire vehicles.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4545 SMALL BUSINESS
Section 2000.4545 Small Business
a) Set-Aside
The CPO for DCMS may determine
categories of supplies or service procurements that will be set aside for small
business located in Illinois. The SPO may contact DCMS to determine whether a particular
procurement has been set aside for small business, and, if so, the SOS may
honor the set aside to the extent practicable.
b) Small Business List
The SOS may refer to the list of
responsible vendors that meet the criteria of small business. A business that
fits the definition of small on the day of bid or proposal opening will be
considered small for the duration of the contract.
c) Required Use
If a Procurement Officer wishes to
make a procurement covered by a set-aside designation, the solicitation must
note responses are limited to those from responsible small businesses. Bids or
proposals received from large businesses will be rejected as nonresponsive.
d) Withdrawal of Set-Aside
If the Procurement Officer
determines that acceptance of the best bid or proposal will result in the
payment of an unreasonable price, the Procurement Officer shall reject all bids
or proposals and withdraw the designation of small business set-aside for the
procurement in question. When a small business set-aside is withdrawn,
notification shall be published in the Bulletin with an explanation. After
withdrawal of the small business set-aside, the procurement shall be conducted
in accordance with the limitations of the Code and this Part.
e) Criteria for Small Business
Unless the CPO provides a
definition for a particular procurement that reflects industrial
characteristics, a small business is one:
1) Independently owned and
operated.
2) Not
dominant in its field of operations. This means the business does not exercise
a controlling or major influence in a kind of business activity in which a
number of business concerns are primarily engaged. In determining dominance,
consideration shall be given to all appropriate factors, including volume of
business, number of employees, financial resources, competitive status or
position, ownership or control of materials, processes, patents, license
agreements, facilities, sales territory, and nature of business activity.
3) With annual sales for
most recently ended fiscal year no greater than:
A) $10,000,000 for
wholesale business;
B) $10,000,000 for
construction business; or
C) $6,000,000 for retail
business.
4) With no
more than 250 employees if a manufacturing business.
A) A
manufacturing business shall calculate how many people it employs by
determining its average full-time equivalent employment, based on the number of
persons employed on a full-time, part-time, temporary or other basis, for its
most recently ended fiscal year.
B) If a
manufacturing business has been in existence for less than a full fiscal year,
its average employment should be calculated for the period through one month
prior to the bid or proposal due date.
5) If
the business is any combination of retailer, wholesaler, or construction
business, then the annual sales for each component may not exceed the amounts
shown in subsection (e)(3). For example, a business that is both a retailer and
a wholesaler may not have total sales exceeding $16,000,000, and the retail
component may not exceed $6,000,000 and the wholesale component may not exceed
$10,000,000. If the business is also a manufacturer, in addition to meeting the
annual sales requirement, the number of manufacturing employees may not exceed
the number shown in subsection (e)(4).
6) When
computing the size status of a vendor, the number of employees and annual sales
and receipts, as applicable, of the vendor and all affiliates shall be
included. Concerns are affiliates when either one directly or indirectly
controls or has the power to control the other, or when a third party or
parties controls or has the power to control both. In determining whether
concerns are independently owned and operated and whether affiliation exists,
consideration shall be given to all appropriate factors, including use of
common facilities, common ownership and management and contractual
arrangements. However, a franchise relationship shall not affect small business
status if the franchise has the right to profit commensurate with ownership and
bears the risk of loss or failure.
(Source: Amended at 43 Ill. Reg. 6185,
effective May 9, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.4570 CONTRACTING WITH BUSINESSES OWNED AND CONTROLLED BY MINORITIES, FEMALES AND PERSONS WITH DISABILITIES
Section 2000.4570 Contracting
with Businesses Owned and Controlled by Minorities, Females and Persons with
Disabilities
a) Introduction
The Business
Enterprise Act for Minorities, Females, and Persons with Disabilities [30 ILCS 575]
(Act) sets a goal (minimum 20%) for contracting with businesses owned or
controlled by minorities, females, or persons with disabilities.
b) Goal
1) The CPO shall establish a goal that at least 20% of the dollar
value of State contracts be awarded to minority-, female-, and persons with
disabilities-owned businesses. Of that 20%, 7% shall be for female-owned
businesses, 2% for businesses owned by persons with disabilities and
not-for-profit agencies for the disabled, and the remaining 11% for other
minority-owned businesses, unless these percentages are modified by the Council
created under the Act.
2) The goals established in subsection (b)(1) may be satisfied,
in whole or in part, by counting expenditures made by the Secretary of State
vendors to subcontractors.
c) Upon direction of the CPO, and pursuant to direction from the
Council, the SOS may establish set-asides, including but not limited to small
businesses and State use, and other preferences for vendors certified under the
Act.
d) Certification
Certification
procedures are set forth in rules governing the Business Enterprise Program:
Contracting with Businesses Owned and Controlled by Minorities, Females and
Persons with Disabilities (44 Ill. Adm. Code 10). In addition to the
certifications done by the Business Enterprise Council, the Secretary of State
may consider other forms of certifications, including internal certifications
of the Secretary of State.
e) List of Certified Businesses
1) The CPO for DCMS shall maintain a list of businesses that have
been certified.
2) The names and addresses of certified vendors shall be made
available to the public.
f) The
CPO may undertake the following actions to reach the goal established in
subsection (b):
1) Focus
solicitation upon vendors from the list of certified businesses ascertained by
the Council, other agencies, or by other means;
2) Advertise in
appropriate media;
3) Divide
job or project requirements, when economically, technically, and
programmatically feasible, into smaller tasks or quantities;
4) Eliminate
extended experience or capitalization requirements when programmatically
feasible;
5) Identify
specific, proposed projects, purchases, or contracts as particularly
appropriate for participation by businesses owned by minorities, women, or
persons with disabilities; and establish set-asides in accordance with
applicable law.
g) The
CPO shall acquire and maintain a list of businesses certified by the Council.
The names and addresses of certified vendors shall be made available to the
public.
h) Those categories of contracts and expenditures exempted by the
Council as set forth in 44 Ill. Adm. Code 10.22 are exempt from the contracting
goal established in this Section. In addition, the CPO may exempt specific
contracts or expenditures from the goal, prior to the advertisement for bids or
solicitation of proposals, when the CPO has determined, based upon the best
information available at the time of the determination, that there is an
insufficient number of businesses owned by minorities, women, and persons with
disabilities to ensure adequate competition and an expectation of reasonable
prices on bids or proposals solicited for the specific contract or expenditure.
(Source:
Amended at 43 Ill. Reg. 8944, effective August 2, 2019)
SUBPART P: ETHICS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5013 CONFLICTS OF INTEREST
Section 2000.5013 Conflicts
of Interest
a) An individual has a direct pecuniary interest in a contract when
the individual is owed a payment or otherwise receives a direct financial
benefit in conjunction with performance of a contract, including finders fees
and commission payments.
b) Distributable income means the income of a company after
payment of all expenses, including employee salary and bonus, and retained
earnings, which is distributed to those entitled to receive a share of such
income. In the case of a for-profit corporation, distributable income means
"dividends". When calculating entitlement to distributable income,
the entitlement shall be determined at the end of the company's most recent
fiscal year.
c) This Section does not apply to contracts with licensed
professionals provided such contracts are competitively bid. For purposes of
this Section, "bid" means procured pursuant to the competitive
procedures identified in Subpart E of this Part.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5015 NEGOTIATIONS FOR FUTURE EMPLOYMENT
Section 2000.5015 Negotiations
for Future Employment
a) It is unlawful for any person employed in or on a continual
contractual relationship with any of the offices or agencies of State
government to participate in contract negotiations on behalf of that office or
agency with any firm, partnership, association, or corporation with whom that
person has a contract for future employment or is negotiating concerning
possible future employment. [30 ILCS 500/50-15(a)]
b) An individual who performs services pursuant to a contract and
who meets the requirements of an "employee" as opposed to an
independent contractor is in a "continued contractual relationship" from
the effective date of the contract until such time as the contract is
terminated.
c) An individual who performs services pursuant to a contract and
who meets the requirements of an "independent contractor" as opposed
to an "employee" is in a "continued contractual
relationship" if the contract term is indefinite, is automatically renewed,
is renewable at the individual's option, is renewable unless the State must act
to terminate, or has a definite term of at least three months.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5020 EXEMPTIONS
Section 2000.5020 Exemptions
If the Procurement Officer finds
a conflict of interest under Section 50-13 of the Code with the vendor selected
for award or contract negotiations, the Procurement Officer shall forward to
the CPO the name of the vendor and a description of the proposed contract and
of the potential conflict, and shall state why an exemption should be granted.
The CPO may exempt named individuals from the prohibitions of Section 50-13 of
the Code when, in its judgment, the public interest in having the individual
in the service of the State outweighs the public policy evidenced in that
Section. [30 ILCS 500/50-20]
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5030 REVOLVING DOOR
Section 2000.5030 Revolving
Door
Effective January 15, 1999, the
CPO and SPOs shall identify in writing their designees whose job, or whose
position description, is at least 51% directly related to State procurement.
The following activities are directly related to State procurement: drafting
specifications, preparing Invitations for Bids and Requests for Proposals,
evaluating responses to Invitations for Bids and Requests for Proposals,
negotiating contracts and supervising any of the foregoing. They shall
maintain their designation for a period of at least two years following the end
or revocation of the designation.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5035 DISCLOSURE OF FINANCIAL INTERESTS AND POTENTIAL CONFLICTS OF INTEREST
Section 2000.5035 Disclosure
of Financial Interests and Potential Conflicts of Interest
a) For purposes of Section 50-35(a) of the Code, an "offer
from responsive bidders or offerors" means only those offers that are
received using an Invitation for Bids or Request for Proposals under Section
20-10, 20-15, or 20-35, or Article 35, of the Code. Disclosures are not
required in small, sole source or emergency procurements.
b) For purposes of:
1) Section 50-35(b) of the Code, "parent entity" means
a person who owns 100% of the bidding entity.
2) Section 50-35(b)(1) of the Code, "contractual employment
of services" means any contract to provide services to the State, whether
as independent contractor or employee, which is by and between the State and
the named individual.
c) Distributable or distributive income means the income of a
company after expenses, including employee salaries and bonuses, and retained
earnings, which is distributed to those entitled to receive a share of such income.
d) Personal services shall be any contract for services subject
to this Code, including, by way of example, professional and artistic services,
repair services, cleaning and guard services, but excludes contracts with
employees who are exempt from the Code under Section 1-10(b)(4).
e) "Competitively bid" means a contract let pursuant to
Sections 20-10, 20-15 and 20-35 of the Code.
f) "Subject to federal 10K reporting" means subject to
the reporting requirements of Section 13 or 15(d) of the Securities Exchange
Act of 1934. "10K disclosure" means a report required under Section
13 or 15(d) of the Securities Exchange Act of 1934.
g) Once a disclosure is made in relation to a particular contract,
the disclosure need not be repeated if the contract is amended.
h) 10K Disclosures
1) Any vendor subject to federal 10K reporting requirements may
submit its 10K to the State in satisfaction of the disclosure requirement of
Section 50-35(b) of the Code provided the vendor also identifies the specific sections
or parts in the 10K disclosure where the State may find information, if any,
pertaining to those who have an ownership interest or an interest in the
distributable income of the vendor or its parent, or other information that the
vendor knows or reasonably should know identifies a potential conflict of
interest with the State. If the financial interest or conflict of interest
information requested by the State is not in the 10K, but is in a document
referenced in the 10K, or in a document that may be submitted to the SEC in
conjunction with or in lieu of the 10K, then that additional documentation
shall be provided as well.
2) 10K disclosures are available for public review. Any potential
conflict of interest identified by the public and brought to the attention of
the CPO or SPO shall be investigated.
3) In circumstances where a vendor may submit a 10K disclosure in
lieu of the specific disclosure requirements of the Code and for purposes of
the Procurement Officer's duty to consider any conflict or potential conflict
of interest that may exist, but that is not subject to specific disclosure
requirements of the Code and this Part, and that is not personally known by the
Procurement Officer, "publicly known or reasonably available to the
public" shall consist of information identified by the vendor in the 10K
disclosure and any information disclosed pursuant to public review of the 10K
disclosure.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5037 VENDOR REGISTRATION, CERTIFICATION AND PROHIBITION ON POLITICAL CONTRIBUTIONS
Section 2000.5037 Vendor
Registration, Certification and Prohibition on Political Contributions
a) Introduction
Illinois law [10 ILCS 5/9-35
and 30 ILCS 500/20-160 and 50-37] (the statutes) restricts political
contributions by vendors and affiliated entities; requires registration with
the State Board of Elections (SBEL); requires a copy of the registration
certificate stamped by SBEL (Registration Certificate) to be submitted with
bids/proposals and contracts; and requires solicitation and contract
certifications relative to the requirements of the law. This Section
supplements requirements found in the statutes and does not excuse compliance
with any of those requirements.
b) General
Registration Requirements
1) These
requirements apply to contracts, bids and proposals that are subject to the
Illinois Procurement Code:
A) Bids/proposals
referenced in this Section are those submitted in response to a competitive
solicitation that is posted to the Bulletin on or after January 1, 2009,
regardless of the value assigned to the procurement.
B) Bids and proposals include
pending bids and proposals.
C) These
requirements generally apply to a vendor whose existing State contracts have an
aggregate value in excess of $50,000, whose aggregate value of bids/proposals
for State contracts exceeds $50,000, or whose aggregate value of State
contracts and bids/proposals exceeds $50,000.
D) This value is calculated on a
calendar-year basis.
2) On a calendar-year
basis, each vendor or potential vendor must keep track of the value of
contracts and bids/proposals. Vendors must register with SBEL when the vendor
determines that the value of the contracts and bids/proposals meets the
threshold for registration.
3) An
"executive employee" means:
A) the
President, Chairman of the Board, or Chief Executive Officer of a business
entity and any other individual that fulfills equivalent duties as the
President, Chairman of the Board, or Chief Executive Officer of a business
entity.
B) any employee of
a business entity whose compensation is determined directly, in whole or in
part, by the award or payment of contracts by a State agency to the entity
employing the employee, irrespective of the employee's title or status in the
business entity. For the purposes of this subsection (b)(3)(B),
compensation determined directly by award or payment of contracts means a
payment over and above regular salary that would not be made if it were not for
the award of the contract.
c) Bids
and Proposals
1) A copy of
the Registration Certificate must be submitted with bids/proposals.
2) If the
Registration Certificate is not timely submitted, the SOS will reject the
bid/proposal.
3) The SOS will
not reject a bid/proposal if absence of the Registration Certificate is the
result of delay or error by the State, but will require the Registration
Certificate before making an award.
d) Contracts
A copy of the Registration Certificate
must be in the procurement file as set forth in this subsection (d), unless the
Vendor certifies it is not required to register.
1) For contract
renewals and extensions, if the value of the renewal or extension by itself, or
in combination with the contract being renewed/extended and other contracts and
bids/proposals exceeds $50,000, the vendor must provide the Registration
Certificate and make the appropriate contract certification, if it has not
already done so.
2) For
indefinite quantity/estimated value contracts, a vendor who is otherwise not
required to register shall register with SBEL when the value of orders placed
pursuant to an indefinite/estimated value contract plus all other contracts and
bids/proposals exceeds $50,000.
3) For contract
amendments, if the value of the amendment, by itself or in combination with the
contract being renewed plus other contracts and bids/proposals, exceeds
$50,000, the vendor must provide the Registration Certificate and make the
appropriate contract certification, if it has not already done so.
4) Any
contracts mistakenly executed in violation of this Section must be amended to
include the contract certifications, and the vendor must supply the
Registration Certificate. If any violation by the vendor is not cured
within 5 business days after receipt of notification of the violation, the
contract is voidable by the State without penalty.
5) Contract
certification required by the statutes shall be included in or added to each
contract that must be filed with the State Comptroller pursuant to Section
20-80 of the Illinois Procurement Code and those written, two-party contracts
that need not be filed with the Comptroller. The SOS may require written
confirmation of the rule-imposed certification at any time.
(Source: Amended at 43 Ill.
Reg. 6185, effective May 9, 2019)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5039 PROCUREMENT COMMUNICATION REPORTING REQUIREMENT
Section 2000.5039 Procurement Communication Reporting
Requirement
a) Unless
otherwise specified in this Section, any written or oral communication received
by a Secretary of State employee who, by the nature of his or her duties,
has the authority to participate personally or substantially in the decision to
award a State contract and that imparts or requests material information or
makes a material argument regarding potential action concerning an active
procurement matter, including, but not limited to, an application, a contract
or a project, shall be reported to the SOS Procurement Policy Board.
[30 ILCS 500/50-39(a)]
1) As
soon as practicable, but in no event more than 30 days after receipt of the
communication or the first in a series of related communications described in
subsection (b), the Secretary of State employee shall report the communication
to the SOS Procurement Policy Board.
2) No
trade secrets or other proprietary or confidential information shall be
included in any communication reported to the SOS Procurement Policy
Board. [30 ILCS 500/50-39(b)]
b) A communication
must be reported if it is material, regarding a potential action, relating to
an active procurement matter, and not otherwise excluded from reporting.
1) Materiality
A) "Material
information" is information that a reasonable person would deem
important in determining his or her course of action. It is information
pertaining to significant issues, including, but not limited to, price,
quantity, and terms of payment or performance.
B) A
"material argument" is a communication that a reasonable person would
believe was made for the purpose of influencing a decision relating to a
procurement matter. It does not include general information about products,
services or industry best practices, or a response to a communication initiated
by an SOS employee for the purpose of providing information to evaluate
new products, trends, services, or technologies. [30 ILCS 500/50‑39(g)]
C) In
determining whether a communication is material, the SOS employee must
consider:
i) whether
the information conveyed is new or already known to the SOS (or repeated or
restated privately) and other participants in the communication; and
ii) the
likelihood that the information would influence a pending procurement matter.
2) A
"potential action" is one that a reasonable person would believe
could affect the initiation, development or outcome of a procurement matter.
3) "Active
procurement matter" means a procurement process beginning with the
requisition or determination of need by an agency and continuing through the
publication of an award notice or other completion of a final procurement
action, the resolution of any protests, and the expiration of any protest or SOS
Procurement Policy Board review period, if applicable. The Chief
Procurement Officer may designate a document for an agency to use in
documenting a determination of need. "Active procurement matter"
also includes communications relating to change orders, renewals or
extensions. [30 ILCS 500/50-39(g)] "Procurement processes"
includes the processes of procuring specific goods, supplies, services,
professional or artistic services, construction, leases of real property
(whether the State is the lessor or lessee), or capital improvements, and
includes master contracts, contracts for financing through use of installment
or lease-purchase arrangements, renegotiated contracts, amendments to
contracts, and change orders. Active procurement matters include:
A) drafting,
reviewing or preparing specifications, plans or requirements, including
determining the method of source selection;
B) drafting,
reviewing or preparing any Invitations for Bid, Requests for Information,
Requests for Proposals, sole source procurement justifications, emergency
procurement justifications or selection information;
C) evaluating
bids, responses and offers, and other communications among an evaluation team
and any technical advisors to the team relating to the evaluation of a
procurement not yet awarded;
D) letting
or awarding a contract;
E) resolving
protests;
F) determining
inclusion on prequalification lists or prequalification in general;
G) identifying
potential conflicts of interest or voiding or allowing a contract, bid, offer
or subcontract for a conflict of interest;
H) allowing
a conflict or subcontract pursuant to Section 50-60 of the Code; and
I) determining,
drafting, preparing, executing, denying or approving change orders or the
renewal or extension of an existing contract.
c) This Section does not
apply to the following communications:
1) Statements
by a person publicly made in a public forum. However, communications made
in a public forum, if made again privately, must be reported;
2) Statements
regarding matters of procedure and practice, such as format, the number of
copies required, the manner of filing, and the status of a matter;
3) Communications
regarding the administration and implementation of an existing contract, except
communications regarding change orders or the renewal or extension of an
existing contract;
4) Statements
made by an SOS employee to:
A) the
employee's department head;
B) other
SOS employees;
C) employees
of the Executive Ethics Commission;
D) the
Office of the Executive Inspector General for the Secretary of State; or
E) an
employee of another State agency who, through the communication, is either:
i) exercising
his or her experience or expertise in the subject matter of the particular
procurement in the normal course of business, for official purposes, and at the
initiation of the purchasing agency or the appropriate State Purchasing
Officer; or
ii) exercising
oversight, supervisory or management authority over the procurement in the
normal course of business and as part of official responsibilities;
5) Unsolicited
communications providing general information about products, services or
industry best practices, before those products or services become involved in a
procurement matter;
6) Communications
received in response to procurement solicitations pursuant to the Illinois
Procurement Code, including, but not limited to, vendor responses to a Request
for Information, Request for Proposal, Request for Qualifications, Invitation
for Bid or a small purchase, sole source or emergency solicitation, or
questions and answers posted to the Bulletin to supplement the procurement
action, provided that the communications are made in accordance with the
instructions contained in the procurement solicitation, procedures or
guidelines;
7) Communications
that are privileged, protected or confidential under law;
8) Communications
that are part of a formal procurement process as set out by statute, rule or
the solicitation, guidance or procedures, including, but not limited to, the
posting of procurement opportunities, the processes for approving a procurement
business case or its equivalent, fiscal approval, submission of bids, the
finalizing of contract terms and conditions with an awardee or apparent
awardee, and similar formal procurement processes. [30 ILCS 500/50-39(a)]
d) Notwithstanding
any exemption provided in subsection (c), an SOS employee must report any
communication that imparts or requests material information or makes a material
argument regarding a potential action concerning an active procurement matter
if that communication attempts to influence through duress, coercion or the
direct or indirect offer or promise of anything of value to any person or
entity in consideration for any benefit or preference in the procurement
process.
e) Notwithstanding
any exemption provided in subsection (c), an SOS employee must report any
communication that imparts or requests material information or makes a material
argument regarding a potential action concerning an active procurement matter
if the employee reasonably believes the communication was made for any improper
purpose, including, but not limited to, providing an improper benefit, monetary
or nonmonetary, to any person or entity.
f) This
Section does not apply to communications concerning procurements that are
exempt from the Illinois Procurement Code.
g) For
purposes of this Section, "Secretary of State employee" or "SOS
employee" means:
1) any
person employed full-time, part-time or pursuant to a personal services
contract and whose employment duties are subject to the direction and control of
the SOS with regard to the material details of how the work is to be performed;
2) any
appointed or elected commissioner, trustee, director or board member of a board
of the SOS; or
3) any
other person appointed to a position in or with the SOS, regardless of whether
the position is compensated.
h) For
purposes of this Section, "public forum" includes any meeting that
satisfies the notice requirements contained in Section 2.02 of the Open
Meetings Act [5 ILCS 120], but also includes other public events that are
advertised and generally open to the public. A meeting may be a public forum
even if a reasonable fee is required, such as educational seminars and
conferences.
(Source: Amended at 43 Ill. Reg. 6185,
effective May 9, 2019)
SUBPART Q: CONCESSIONS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5310 CONCESSIONS
Section 2000.5310
Concessions
a) A concession is an authorization allowing use of State
property for the purpose of making profit, including future profit.
b) An authorization to allow use of State property by
not-for-profit entities is not a concession or lease of State property under Article
53 of the Code.
c) Proposed concessions, leases or other uses of State property
must be coordinated with the State Property Control Act [30 ILCS 605] and rules
implementing that Act.
SUBPART R: COMPLAINTS, PROTESTS AND REMEDIES
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5510 COMPLAINTS AGAINST VENDORS OR SUBCONTRACTORS
Section 2000.5510 Complaints
Against Vendors or Subcontractors
a) The purpose of this Section is to document performance of
vendors or subcontractors.
b) Whenever a vendor or subcontractor fails to meet contract
requirements, including but not limited to failure to deliver on time or meet
specifications, the SOS shall take appropriate action to initiate a complaint
to the vendor or subcontractor.
c) For relatively minor infractions, the SOS may initiate contact
by telephone or in person. If not resolved by this action, a written complaint
shall be made.
d) For other infractions, the SOS shall send a written complaint
to the vendor or subcontractor detailing the problem. For complaints regarding
contracts established by the CPO for DCMS, a form available from the CPO for
DCMS shall be used for processing complaints.
e) A copy of all written complaints and the resolution or status
shall be filed with the SPO.
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5520 SUSPENSION
Section 2000.5520 Suspension
a) Application
This Section
applies to all debarments or suspensions of vendors or subcontractors from
consideration for award of contracts under the Code.
b) The CPO may suspend a vendor or subcontractor from doing
business with the SOS, with one or more agencies, or with respect to specific
types of supplies or services. A suspension may be issued upon a showing the
vendor or subcontractor violated the Code or this Part, or failed to conform to
specifications or terms of delivery.
c) When the CPO finds cause exists for suspension, a notice of
suspension, including a copy of such determination, shall be sent to the
suspended vendor or subcontractor. Bids or proposals will not be solicited
from the suspended vendor or subcontractor, and, if received, will not be
considered during the period of suspension.
d) A vendor or subcontractor may be suspended for a period of
time commensurate with the seriousness of the offense, but for no more than
five years. The suspension will be effective seven calendar days after receipt
of notice unless an objection is filed. If an objection is filed, suspension
would not become effective until the evaluation of the objection is completed.
e) The CPO may debar a vendor or subcontractor. Debarment is the
permanent suspension of a vendor or subcontractor from doing business with the
SOS. A debarment may only take place in those instances involving bribery or
attempted bribery of a State of Illinois officer or employee, or as otherwise
allowed or required by law. Bids or proposals received from the debarred vendor
will not be considered.
f) The CPO shall maintain a master list of all suspensions and
debarments. The master list will retain information concerning suspensions and
debarments as public records. Such records will be maintained for a period of
at least three years following the end of the suspension or debarment. Such
public information may be considered in determining responsibility.
(Source: Amended at 35 Ill.
Reg. 4629, effective March 3, 2011)
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5530 RESOLUTION OF CONTRACT CONTROVERSIES
Section 2000.5530 Resolution
of Contract Controversies
a) Authority to Resolve Controversies
The
Procurement Officer shall have authority to resolve controversies, but the
Secretary of State may set limits on such authority.
b) Authority of Using Agency
The
Procurement Officers have the authority to accept delivery of supplies or
services in accordance with contract requirements as satisfactory adjustment of
a complaint.
c) Substitution of Terms/Price Reduction
If the vendor
proposes to make an adjustment by:
1) substituting an alternative specification, or
2) reducing the contract price by a certain amount to compensate
for some failure to provide full performance under the contract.
Such proposal
must be referred to and approved by the Procurement Officer, but not a
designee.
d) Cancellation for Breach of Contract
In any of the
following cases the Procurement Officer shall have the right to terminate or
rescind any contract entered into under this Part:
1) The successful bidder fails to furnish a satisfactory
performance bond within the time specified.
2) The vendor fails to make delivery at the place or within the
time specified in the contract or as ordered by the purchasing agency.
3) Any supplies or services provided under the contract are
rejected (for not meeting specification, not conforming to sample, or not being
in good condition when delivered) and are not promptly replaced by the vendor. If
there are repeated rejections of the vendor's supplies or services, this shall
be grounds for termination or rescission, even though the vendor offers to replace
the supplies or services promptly.
4) The vendor is guilty of misrepresentation (for example,
misbranding of food or drugs) in connection with another contract for the sale
of supplies or services to the State such that the vendor cannot reasonably be
depended upon to fulfill his obligations as a responsible vendor under any of
his contracts with the State.
5) The vendor should be adjudged bankrupt; enter into
receivership or make a general assignment for the benefit of creditors due to
insolvency; disregard laws, rules, or instructions of the Procurement Officer;
or act in violation of any provision of the contract; or if the contract
conflicts with any statutory or constitutional provision of the State of
Illinois or of the United States.
6) Any other breach of contract or other unlawful act by the
vendor.
e) Cancellation for Fraud, Collusion, Illegality, Etc.
The SOS may
cancel any contract it established if there is sufficient evidence to show
that:
1) The contract was obtained by fraud, collusion, conspiracy, or
other unlawful means; or
2) The contract conflicts with any statutory provision of the
State of Illinois or of the United States.
f) Withholding Money to Compensate State for Damages
If a contract
is terminated or rescinded under this Section, the State may deduct from
whatever is owed the vendor on that or any other contract an amount sufficient
to compensate the State of Illinois for any damages suffered by it because of
the vendor's breach of contract or other unlawful act on the vendor's part on
which the cancellation is based.
g) Damages
The damages
for which the State may be compensated as provided in this Section or by a suit
on the vendor's performance bond or by other legal remedy shall include, but
are not limited to, the following:
1) the additional cost of supplies or services bought elsewhere;
2) cost of repeating the procurement procedure;
3) any expenses incurred because of delay in receipt of supplies
or services; and
4) any other damages caused by the vendor's breach of contract or
unlawful act.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5540 VIOLATION OF STATUTE OR RULE
Section 2000.5540 Violation
of Statute or Rule
a) Determination that Solicitation or Award Violates Law
If the CPO or
the SPO finds that the solicitation or proposed award is in violation of
statute or rule, the CPO or the SPO may cancel the solicitation or proposed
award, or make modifications to correct the violation, if such correction may
be legally accomplished.
b) Determination that Contract Violates the Code or this Part
Contracts
based on awards or solicitations that were in violation of law shall be
terminated at no cost to the State unless statute or rule allows the State to
modify, ratify or take other corrective action.
c) Effect of Declaring a Contract Null and Void
In all cases
in which a contract is voided, the State shall endeavor to return those
supplies delivered under the contract that have not been used or distributed.
No further payments shall be made under the contract.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5550 PROTESTS
Section 2000.5550 Protests
a) Protest Resolution by the Procurement Officer
An actual or
prospective bidder, offeror, or vendor that may be aggrieved in connection with
a procurement may file a protest on any phase of solicitation or award,
including but not limited to specifications preparation, bid solicitation, or
award.
b) Complaint to Procurement Officer
Complainants
should seek resolution of their complaints initially with the SOS. Such
complaints may be made verbally or in writing.
c) Filing of Protest
1) Protests shall be made in writing to the Procurement Officer, if
applicable, and shall be filed within 7 calendar days after the protester knows
or should have known of the facts giving rise to the protest. A protest is
considered filed when physically received by the Procurement Officer. Protests
filed after the 7 calendar day period shall not be considered. In regard to a
protest regarding specifications, the protest must be received within 7
calendar days after the date the solicitation was issued, and in any event must
be received by the State at the designated address before the date for opening
of bids or proposals.
2) To expedite handling of protests, the envelope should be
labeled "Protest". The written protest shall include as a minimum the
following:
A) the name and address of the protester;
B) appropriate identification of the procurement and, if a
contract has been awarded, its number;
C) a statement of reasons for the protest; and
D) supporting exhibits, evidence, or documents to substantiate any
claims unless not available within the filing time, in which case the expected
availability date shall be indicated.
d) Requested Information; Time for Filing
Any additional
information requested by the State shall be submitted within the time periods
established by the requesting source in order to expedite consideration of the
protest. Failure of the protesting party to comply expeditiously with a
request for information by the Procurement Officer may result in resolution of
the protest without consideration of that information.
e) Stay of Procurements During Protest
When a protest
has been timely filed and before an award has been made, the Procurement
Officer shall make no award of the contract until the protest has been
resolved. If timely received but after award, the award shall be revoked
without penalty and no award made until the protest has been resolved. In
either case the Procurement Officer may make the award or reinstate the award
upon a determination that the needs of the State require an immediate award and
performance under the contract.
f) Decision by the Procurement Officer
A decision on
a protest shall be made by the Procurement Officer as expeditiously as possible
after receiving all relevant requested information. If a protest is sustained,
the available remedies include, but are not limited to, reversal of award and
cancellation or revision of the solicitation.
g) Effect of Judicial or Administrative Proceedings
If an action
concerning the protest has commenced in court, the Procurement Officer shall
not act on the protest, but shall refer the protest to the SOS Chief Legal
Counsel. This Section shall not apply when a court requests, expects, or
otherwise expresses interest in the decision of the Procurement Officer.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.5555 HEARINGS AND DECISIONS
Section
2000.5555 Hearings and Decisions
a) The Chief
Procurement Officer shall conduct public hearings prior to awarding contracts
for sole source procurements pursuant to Section 20-25 and before extending
emergency procurements pursuant to Section 20-30.
b) Notices of
hearings shall be published in the Bulletin at least 14 days prior to the date
of the public hearing.
1) All notices
shall include the date, time, and location of the public hearing.
2) Notices for
sole source procurements shall include the sole source procurement
justification form, a description of the item to be procured, and the intended
sole source contractor.
3) Notices for
extending emergency procurements shall include the CPO's written justification
for the emergency contract and the name of the contractor.
c) A copy of
the notice and all documents provided at the hearing shall be included in the
subsequent Procurement Bulletin.
d) The
SOS PPB and members of the public may present testimony at the hearings.
e) The hearings
shall be held in the offices of the Secretary of State or at some other
convenient location readily accessible to members of the public.
f) The CPO or
his or her designee shall preside over the hearings and shall issue a written
determination within 14 calendar days after the conclusion of the hearing.
g) Copies of
all statements and exhibits introduced at the hearings, the written
determination of the CPO or designee, and a summary of the proceedings at the
hearings shall be included in the appropriate procurement files.
(Source:
Added at 35 Ill. Reg. 4629, effective March 3, 2011)
SUBPART S: SUPPLY MANAGEMENT AND DISPOSITIONS
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.6010 SUPPLY MANAGEMENT AND DISPOSITIONS
Section 2000.6010 Supply
Management and Dispositions
a) Inventory Responsibility
The SOS shall
maintain accountability for tangible personal property and other supplies under
its control subject to the requirements of the State Property Control Act [30
ILCS 605] and rules implementing that Act.
b) Supply Management
The SOS shall
order supplies on a schedule and in quantities so as to maintain no more than a
12 month supply in inventory. Supplies shall be ordered so as to maintain the
minimum inventory commensurate with ability to meet agency needs. This 12-month
inventory restriction does not apply to lifesaving medications, mechanical
spare parts, or when a greater quantity is needed to meet minimum order
quantities.
c) Inventory
The SOS shall
periodically inventory all warehouses and similar storage areas under their
jurisdiction.
d) Report of Inventory
The CPO shall
be notified periodically of all supplies in excess of the 12 month restriction
on inventory.
SUBPART T: GOVERNMENTAL JOINT PURCHASING
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.6500 GENERAL
Section 2000.6500 General
In an effort to make the
procurement process more efficient, State and other governmental units may
agree to utilize each others' procurement contracts. This authority is governed
by this Subpart and the Governmental Joint Purchasing Act [30 ILCS 525].
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.6510 NO AGENCY RELATIONSHIP
Section 2000.6510 No Agency
Relationship
In any joint procurement
situation, the governmental unit must issue its own purchase order, accept its
own deliveries and make its own payments. The State of Illinois shall have no
obligation to the vendor for payment of orders placed by other governmental
units.
SUBPART U: MISCELLANEOUS PROVISIONS OF GENERAL APPLICABILITY
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.7000 SEVERABILITY
Section 2000.7000
Severability
If any provision of this Part or
any application thereof is held invalid, such invalidity shall not affect other
provisions or applications of this Part that can be given effect without such
invalid provision or application.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.7010 GOVERNMENT FURNISHED PROPERTY
Section 2000.7010 Government
Furnished Property
If the State provides any
property to the vendor in furtherance of the contract, such property shall
remain the property of the State but may be consumed by the vendor if necessary
to complete the contract. Vendor will issue a receipt for the property and
will be responsible for its safekeeping and for return of unused property to
the State.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.7015 INSPECTIONS
Section 2000.7015
Inspections
a) Inspection of Plant or Site
The State may
enter a vendor's or subcontractor's plant or place of business to:
1) inspect supplies or services for acceptance by the State
pursuant to the terms of a contract;
2) audit the books and records of any vendor or subcontractor
pursuant to Section 2000.7020 (Records and Audits) of this Part;
3) investigate an action to debar or suspend a person from
consideration for award of contracts pursuant to the Code;
4) determine whether the standards of responsibility have been
met or are capable of being met;
5) determine if the contract is being performed in accordance
with its terms; and
6) accomplish any other purpose permitted by law.
b) Inspection and Testing of Supplies and Services
1) Solicitation and Contractual Provisions. State contracts may
provide that the State may inspect supplies and services at the vendor's or
subcontractor's facility and perform tests to determine whether the supplies or
services conform to solicitation requirements, or, after award, to contract
requirements, and are therefore acceptable. Such inspections and tests shall
be conducted in accordance with the terms of the solicitation and contract.
2) Procedures for Trial Use and Testing. The Procurement
Officers may establish operational procedures governing the testing and trial
use of equipment, material, and other supplies, and the application of
resulting information and data to specifications or procurements.
c) Conduct of Inspections
1) Inspectors. Inspections or tests shall be performed so as not
to unduly delay the work of the vendor or subcontractor. No inspector other
than the Procurement Officer may change any provision of the specifications or
the contract without written authorization of the Procurement Officer. The
presence or absence of an inspector shall not relieve the vendor or
subcontractor from any requirements of the contract.
2) Location. When an inspection is made in the plant or place of
business of a vendor or subcontractor, such vendor or subcontractor shall
provide without charge all reasonable facilities and assistance for the safety
and convenience of the person performing the inspection or testing.
3) Time. Inspection or testing of supplies and services performed
at the plant or place of business of any vendor or subcontractor shall be
performed at reasonable times.
d) Inspection of Construction Projects
On-site
inspection of construction shall be performed in accordance with the terms of
the contract.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.7020 RECORDS AND AUDITS
Section 2000.7020 Records
and Audits
a) Retention of Books and Records
Books and
records that relate to performance of a State contract, including subcontracts,
and that support amounts charged to the State, shall be maintained:
1) by a vendor, for three years from the date of final payment
under the prime contract;
2) by a subcontractor, for at least three years from the date of
final payment under the subcontract; and
3) by a vendor and subcontractor for such longer period of time
as is necessary to complete ongoing or announced audits.
b) Contract Audit
1) Types of Contracts Audited. The type of contract under which
books and records should be audited is that in which price is based on costs or
is subject to adjustment based on costs, or that in which auditing would be
appropriate to assure satisfactory performance, such as a time and materials
contract.
2) Situations in which an audit may be warranted include but are
not limited to when a question arises in connection with:
A) the financial condition, integrity, and reliability of the
vendor or subcontractor;
B) any prior audit experience;
C) the adequacy of the vendor's or subcontractor's accounting
system;
D) the number or nature of invoices or reimbursement vouchers
submitted by the vendor or subcontractor for payment;
E) the use of federal assistance funds;
F) the fluctuation of market prices affecting the contract; or
G) any other situation in which the Procurement Officer finds that
such an audit is necessary for the protection of the State's best interest.
| TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING, PROCUREMENT
AND PROPERTY MANAGEMENT
SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES
CHAPTER XXV: SECRETARY OF STATE
PART 2000
SECRETARY OF STATE STANDARD PROCUREMENT
SECTION 2000.7025 WRITTEN DETERMINATIONS
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