AppendixA
OhioThirdFrontier
Entrepreneurial Services ProviderProgram
RFP Process,Awards Process,and MandatoryCompliance
AppendixA– RFP Process,Awards Process,and MandatoryCompliance
RequestforProposals Process:ThisOhioThird FrontierProgram’sRequestfor Proposals (“RFP”)Processwill consistofthefollowingsteps:
I.Release ofRequestfor Proposal(RFP)
ThisRFPwill be released bypublication onthe Ohio ThirdFrontierwebsite at
II.LetterofIntent (if required)
A prospective Lead Applicantmustsubmita LetterofIntentvia e-mail as aconditionto submitting a Proposal.The LetterofIntentshouldbe addressedto ith “ESPLetterofIntent” appearing in thesubjectline.
TheLetterofIntentmustinclude thefollowinginformation:the prospective Lead Applicant’s name,address,phone number,contactperson,includinge-mail address forthe contact, proposed Projecttitle,Collaborators, estimatedState Fundsto be requested, estimated cash Cost Share, estimated Donated Services,andabriefsummaryoftheproposedProject.The Letter of Intent should not exceed two pages. The Ohio Development Services Agency (“DSA”)reserves the righttoprovide commentbacktotheLeadApplicantonanyLetter ofIntent submitted, and to schedule a face to face meeting with the Lead Applicant to discuss the proposed Project.
Please note,no proprietaryortradesecretinformationmaybe included in theLetterof Intentastheserecordswill be posted tothe RFPwebsitein theiroriginalformat.While submitting a LetterofIntentdoesnotobligatetheprospective Lead Applicantto submita Proposal,aProposalwillnotbereviewed unless aLetterofIntent forsuchProposal has been submitted.
DSAwill issueforeachLetterofIntentsubmittedan identificationnumberforthe anticipated Proposal.The identification numbermustappearontheApplication Information Page oftheProposal. SeeAppendixB –Application Forms.
III.Questions andAnswers (Q&A)and Communications
a.Questionand AnswerPeriod
All questionsregarding thisRFPmustbesubmitted toDSAstaffin writingvia email. Allquestionsandinquiriesmustbesentto ith a subjectline of“ESPQ&A”.
b.CommunicationduringProposal Period
Aftera Proposal issubmittedforthisprogramRFP,theCommission reservestherighttorequestadditionalinformationfromanyorall LeadApplicantsto assistin itsevaluation process.However,no Lead Applicant,Collaboratororothers acting ontheirbehalfmayinitiate contactwith anyCommissionmember and/orDSA’sexternalevaluatorsforthisRFP’sProposals during theProposalPeriod regarding thesubmitted Proposal.The Proposal Period is consideredto bethedate ofProposal submissionforthisRFPthroughthe dateofthe Commission’saward/rejection decisionforthat Proposal.Current Lead Applicantsresponding tothisRFPare expectedto limittheircontacttothose DSAstaffwith whomtheyordinarily interactregarding theadministration of OhioThirdFrontierprogramsandgrants.LeadApplicants,Collaboratorsand others acting ontheirbehalfshallavoid directcontactwith Commission membersorotherDSAstaffduring theProposal Period,otherthan thatwhich mightoccuratregularlyscheduled meetings.
c.Ifa LeadApplicant,Collaboratorand/orothersactingontheirbehalfmakesprohibited contact,DSAin itsdiscretionmayeliminatethe Proposalfromthe RFPprocess.
IV.SubmittalofProposal
Itistheresponsibilityofeach Lead ApplicanttoensurethatDSA’sOfficeof Small Business and Entrepreneurshipreceives Proposalsbythe submission deadline.LateProposalswill notbereviewednorconsidered.
A Lead Applicantmustensurethata Proposal submitted inresponsetothisRFPcomplies withall therequirementssetforth inthisRFP.AllLead Applicantsare advised toreadthis RFPcarefullyto ensurea complete understanding oftheProposalrequirements.In particular,theform,format, and contentofall Proposalsmustfollowthe directionsprovided in Sections 2,3and 4and usetheformspresented inthe Appendices.TheLeadApplicantissolelyresponsible to ensure itsProposaliscomplete, accurate,responsive to the requirementsofthis RFP,andreceived byDSA’sOffice ofSmall Business and Entrepreneurshipbythe deadline provided onthe coverofthisRFP.
Note: All costsincurred in preparation ofaProposalshall be bornebytheLead Applicantand itsteam.Proposalpreparation costsand/orProposal consultancycostsare notrecoverable fromOhioThirdFrontier Fundsnorwill theybe considered as Cost Shareto theProject.The stateshall nototherwise contributetoorbe liable forthecostsofProposalpreparation.
Awards Process:TheOhioThirdFrontier’sAwardsProcesswill consistofthefollowingsteps:
I.ProposalReviewand Evaluation Procedures
OhioThirdFrontierusesa competitive,objective,and transparentprocesstomake awards to projectsbased onproposalsthatreflectmeritoriousstatementofworkcontent,sound businessand commercializationplans,andpotentialforpositive impactson theeconomic conditionsinOhio.
An annualstrategicplan,recommended byOhioThirdFrontierAdvisory Board and approved bytheCommissionin open,publicmeetings,drives program frameworkand budgetallocations.FollowingtheCommission established programframework, thisRFPestablishesspecificawardcriteria andwill be subjectto acompetitivepeerreviewprocess.ThisRFPprocesscomplies with Ohio Revised Code Section 184.02(B),which states:
In additiontothepowersand duties undersections 184.10to184.20 ofthe Revised Code,the Commission shall do all ofthefollowing:(1) Establish acompetitive process fortheaward ofgrantsand loans thatisdesignedtofundthemostmeritoriousproposals and,when appropriate,provide forpeerreviewofproposals.
Upon receiptofproposals,DSAstaffwill conductanadministrative reviewusingan established written protocoltoscreen proposalsforcompliance with the objective content requirementsdefined in the RFP.Examples ofproposal elementschecked in thescreening process include Lead Applicanteligibilityand proposalcompleteness. Proposalsfoundto notcomplywith thisRFP’srequirementsmaybeeliminatedfromthecompetition andnot reviewed further.
II.Award Decision
Atapublicmeeting,Proposalsrecommendedforfundingwill be presented along with necessaryprogrammaticdetailsincluding information aboutfundsavailableand program goalsandcriteria.LeadApplicantswill be informed ofthemeetingbyDSAstaff. Ifrequested,LeadApplicantsmustattendtheCommissionmeeting atwhichProposalsare consideredforfunding. Boththeexternal evaluatorforthisOhioThirdFrontierProgramand DSAstaffwillbe available to respondtoquestionsfromCommission members.During thepublic meeting,andonlyatthespecificrequestofaCommissionmember, DSAstaffwill provide a fundingrecommendation.
Commissionmemberswill deliberateandexercisetheirindependent judgmentregarding awarddecisionsbasedon all the information exchanged. TheOhio ThirdFrontierCommission reserves therightto requestadditionalinformationfromanyorall Lead Applicantsto assistin itsevaluation process.TheCommission also reservestherightto directadditionalduediligence be performedon anyorall Proposalsby DSAstaffand/orthe externalevaluator.TheCommission may approve awardssubjectto conditionsidentifiedduring itsdeliberation. TheCommissionactsbytheaffirmative voteofamajorityofitsmembers.Thefunding decisionsoftheCommissionarefinalandall Lead Applicantswill be notified ofthe outcomeoftheirProposalsafterthe Commissionmakes itsfunding decisions.
All decisionstaken bythe Commission,including votesand asummary ofanyawardconditions,will berecorded inminutes oftheCommission meeting.Ifandtothe extenttheCommissiondeviatesfroma recommendation ofan externalevaluator, thosedeviations will be reflected in meeting minutes.
III.Award andAgreementPreparationandExecution
AwardsofOhioThird FrontierFundswill be made based onProposalsassubmitted (includinganysuchmodificationsthatmaybe identified during thereviewand evaluation processand asmaybeagreed bytheLead Applicant),the Projectbudget,andany conditionssetforth bythe Commission.The Grantwillremain openfor the duration of the Project,plus a reportingperiodtobe determined byDSAduring which annualreportsarerequiredtobesubmittedtoDSA.
Followingselection bythe Commission,anawardofOhio ThirdFrontier Fundsmust be approved bythe state’sControlling Board,a legislative bodythatreviews appropriation of statefunds.DSAwill requestControlling Boardreviewassoon as possible aftertheCommissionfundingdecision. Ifrequested,Lead Applicantsselectedbythe Commissionforfunding mustattendthe ControllingBoardmeeting at which theirapplicationsforfundingareto beconsidered.The ControllingBoard processnormallytakes aminimumof45to60 daystocomplete.
DSAwill prepare aGrantAgreement,a legalagreementsettingforththetermsand conditionsupon which Ohio ThirdFrontier Fundsareawarded andtherespective rightsand obligations ofthe LeadApplicantandthe StateofOhio with respecttoOhioThird Frontier Fundsandthe Projectforwhich theyaretobe used.The GrantAgreementwill incorporate the Proposaland Projectbudget,aseithermayhave been modified byevaluationfindings, funding decisions,orothertermsorconditionsconsistentwith the approvalbytheCommission.DSAmayrequiretheLead Applicantto provide cash flowprojectionson aquarterlybasis.
GrantAgreementsaresentto LeadApplicantsforreviewand signature.DSA executes GrantAgreementsonbehalfoftheCommissionafterthe Grant Agreementisacceptedbythe Lead Applicant.AfterDSAexecutesthe Grant Agreement,the Grantisenteredonthe state’saccounting systemand invoices maybe submitted.OncetheGrantAgreementisfully-executed,theLead Applicantwill be considered andreferredto asa“Grantee”.
A Grantee isrequiredtocompletetheProjectasdescribed intheGrantee’sProposal as submitted andwith onlythose modificationsasagreed bytheGrantee andDSAin finalizingtheGrantAgreement.DSAwillassign aProgramManagerwho willwork with the Granteethroughoutthe ProjectPeriod.DSAstaffandthe Granteewill develop a series ofperformancemetricsthatwillbe usedtomeasure progressontheGrant Agreement.
All Granteeswill be requiredto submittoDSAquarterlyprogressand semi-annual metrics reports,as well as invoices and expendituresreports,to documentachievementofProject milestones,toreportProject-relatedsuccessstories,andtosubmitpost-Projectcompletion annualreportsforaperiod oftimeto bedetermined byDSA.All reportsand invoices will be submitted in theformandformatrequired byDSA,which may changefromtimetotime.
Fromtimetotime during theTermoftheAgreement, Granteemayorganize conferencesor othereventsopento industryrepresentatives orthegeneral publicrelatedtotheProject,the subjectmatteroftheProjectorassociatedworkofGranteeorits Collaborators.In consideration ofthe Grant, uptotwo representatives oftheGrantormayattendsuch conferencesandeventsforthepurposesofsharing informationbetweentheGrantee,its Collaboratorsandotherconstituents,andthe Grantor. The Granteeshallprovidethe Grantorreasonableadvance noticeofanysuch conferencesandevents.The Grantorwill notbechargedregistrationfeestoattendsuch events.
MandatoryCompliance:Thefollowingrestrictions applyto allOhioThirdFrontierProjects:
I.Human and AnimalResearch
ForanyProposalthatincludes use ofhumansubjects, theLeadApplicant’sand each Collaborator’s human subjectpolicies and proceduresmustcomplywith the Code ofFederal Regulations,Title 45,Part46.Forany Proposalthatincludes useofanimalsubjects,the Lead Applicant’sand each Collaborator’sanimalsubjectpolicies and proceduresmust complywith USCode,Title 7, Sections2131-2156.
II.Obligationstothe State;Compliancewith Laws
Granteeswill be requiredtocertify in theGrantAgreementthattheydonotowe:1)any delinquenttaxes tothestateorapoliticalsubdivision ofthe state;2)any moneystothe stateorastate agencyforthe administration orenforcementofanyenvironmentallawsof the state;and3)anyothermoneystothe state,astate agency,ora politicalsubdivision of the statethatarepastdue,whethertheamountsowed arebeing contested in a courtoflaw ornot.
GrantAgreementswill require Granteesto comply with all applicable federal,state,and local lawsin the performance oftheProject.Granteesmustacceptfull responsibilityfor paymentsofall unemploymentcompensation,insurance premiums,workers’ compensation premiums,all incometaxdeductions,socialsecuritydeductions,and anyand all othertaxes orpayroll deductionsrequiredforall employeesengagedbyGranteeson the performance ofthe workauthorized bythe GrantAgreements.
III.CompliancewithGovernor’s ExecutiveOrder2011-03K
In accordancewith ExecutiveOrder2011-03K,Grantee,by itssignature on thisdocument, certifies1)ithasreviewed and understandsExecutive Order2011-03K,2)hasreviewed and understandstheOhio ethicsand conflictofinterestlawsincluding,withoutlimitation, Ohio Revised Code §§ 102.01etseq.,§§2921.01,2921.42,2921.421and 2921.43,and§§ 3517.13(I)and(J),and3)will take no action inconsistentwith those lawsand theorder,as anyofthemmaybe amended orsupplementedfromtimetotime. TheGrantee understands thatfailuretocomplywith theOhioethicsand conflictofinterestlawsis,in itself,groundsfor termination ofthisAgreementandthegrantoffundsmadepursuanttothisAgreementand mayresultin the loss ofothercontractsorgrantswith theState ofOhio.The Executive Ordercanbefoundat
IV.OtherCompliance
OhioThirdFrontierFundsmaynotbeusedforresearch involvingtissue obtainedfrom abortedfetuses.(See Ohio Revised Code Section 2919.14)