RFP Response Requirements
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RFP Response Requirements RFP Response Requirements Document Transcript

  • NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE David A. Hansell David A. Paterson Commissioner Governor 40 NORTH PEARL STREET ALBANY, NEW YORK 12243-0001 Dear Prospective Bidder: Thank you for your interest in receiving the New York State Department of Family Assistance (DFA) Information Technology Temporary Personal Services (ITTPS) RFP. A few highlights of the RFP are listed below: 1. As a result of this procurement, the DFA will develop a pool of pre-qualified Backdrop contractors to solicit over the 60-month contract term as specific needs are identified for personal services. Section VI of the RFP defines the Task order award process undertaken by the State to locate qualified IT professionals to fill its temporary personnel needs on a staff augmentation basis. Backdrop contractors that have pre-qualified for the specific job title will be invited to submit resumes, forms and specific pricing for the engagement. The successful respondent is awarded a Task Order. 2. All personal services Backdrop contractors must agree to a common set of contractual terms and conditions as set forth in RFP Exhibit E. Only those 1
  • bidders that have executed the new contract will be allowed to receive Task order award solicitations. 3. The contract will be a multi-agency agreement to be signed by each of the participating client agencies (hereinafter referred to as the "State"): The Office of Temporary and Disability Assistance (OTDA); the Office of Children and Family Services (OCFS); the Office for Technology (OFT); and the Department of Labor (DOL). The 16 original signature pages required in response to the RFP will enable each agency to individually process contracts for approvals. 4. A continuous recruitment provision will allow the State to update job titles and to enroll additional contractors. This provision will also allow Contractors to add job titles and to revise ceiling rates. RFP Response Requirements In order to qualify as an ITTPS Backdrop contractor, your response must be sent to Kathy Schwarz at the following address: Kathy Schwarz NYS OTDA Bureau of Contract Management 40 No. Pearl Street 13A Albany, NY 12243 Because original signature pages are needed, no fax or E-mail transmissions will be permitted. RFP Section IV and RFP Exhibits A, B and C describe the specific response requirements. 2
  • We remind you again that only responsive bidders having submitted complete proposals--including executed signature pages signifying acceptance of the Exhibit E terms and conditions--will be awarded Backdrop contracts. Any contract language exceptions proposed by an Offeror will be subject to acceptance by the State or to Offeror withdrawal prior to contract award. The State reserves the right, in its sole discretion, to determine the materiality of the Offeror’s proposed exceptions and any exceptions will ordinarily not be accepted. Keep in mind that, as a Backdrop contractor, your company will be under no obligation to bid on any engagement if company management ultimately determines that any aspect of a particular Task order award solicitation is objectionable. The State welcomes your participation. Sincerely, James Herrick Bureau of Contract Management Enclosures RFP 3
  • NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE PERSONAL SERVICES RE-SOLICITATION RFP TABLE OF CONTENTS SECTION I INTRODUCTION SECTION II PROCUREMENT INFORMATION AND REQUIREMENTS SECTION III PERSONAL SERVICE CATEGORIES SECTION IV PROPOSAL REQUIREMENTS SECTION V PROPOSAL EVALUATION CRITERIA SECTION VI THE TASK ORDER AWARD PROCESS AND STATE OPERATING PROCEDURES EXHIBIT A STANDARD RESPONSE FORMS EXHIBIT B BIDDER’S RESPONSE FORMS EXHIBIT C CONTRACT SIGNATURE PAGE EXHIBIT D PERSONAL SERVICE REQUIREMENTS EXHIBIT E VENDOR CONTRACT EXHIBIT F PROCEDURE FOR HANDLING OF PROTESTS/APPEALS OF BID SPECIFICATION AND PROPOSED AWARDS 4
  • SECTION I INTRODUCTION A. Organizational Description 1. The New York State Department of Family Assistance (DFA) and its component offices (the Office of Children and Family Services (OCFS) and the Office of Temporary and Disability Assistance (OTDA)), are responsible for supervising the administration of assistance and care under various Federally titled programs contained in the Food Stamp Act, the Social Security Act and an array of State sponsored programs. DFA systems include the Welfare Management System (WMS), Benefit Issuance and Control System (BICS), Child Support Management System (CSMS) and Child Care Review Service (CCRS). 2. The Office for Technology, which provides centralized technology services, shapes technology policy and coordinates statewide technology-related initiatives that improve efficiency for New York State government. 3. The New York State Department of Labor (DOL) is the state’s primary advocate for job creation and economic growth through workforce development. The Department administers New York’s unemployment insurance system, labor exchange system, and employment and training programs. The Department oversees state worker protection programs and enforces safety and health regulations in the public sector, state labor laws and federal statutes related to working conditions, wages and hours , and laws related to Public Work. DOL is the State’s principal source for labor market information and offers a variety of services that help businesses find workers and help people find jobs. B. System Architecture DFA is moving to an N-tiered, client server and browser based approach that will allow a more structured approach to programming, will allow greater ease of maintenance, and will provide the ability to make system changes much more quickly, and a more open, less proprietary approach that allows more flexibility in the use of off-the-shelf software and to port software between systems. It will allow DFA to leverage its expenditures to significantly modernize its programming/database infrastructure. C. Objective of this RFP This document is a Request for Proposal (RFP) to acquire a pool of Backdrop contractors to be utilized in a Task Order Award solicitation, as described in Section VI, Task Order Award Process. The Task Order Award solicitation will allow for the procurement of consultant/programming support services. During the Task Order Award solicitation, contractors will be solicited to offer their “best 5
  • and final” price at or below the ceiling rates in their Backdrop contract. Backdrop Contracts for these services will be for a period of five years with two optional one year extensions. The State encourages firms, regardless of size, to submit a bid in response to this Request for Proposal. Since the State will contract with multiple vendors, it is not necessary for any one Offeror to provide all the services required. An Offeror may elect to bid on only one personal service title or multiple service titles. All responsible Offerors who submit responsive proposals to this RFP and meet the mandatory criteria set forth herein will be qualified for a Backdrop contract. D. Continuous Recruitment Continuous Recruitment is a contracting process designed: 1) to assist vendors doing business with the participating DFA client agencies by awarding Backdrop contracts to new vendors on an ongoing basis; 2) to enable the State to respond to changes in the technology marketplace; and 3) to allow newly emerging technologies or vendor specialties to be quickly recognized and included by amending existing Backdrop contracts. Unique aspects of continuous recruitment are: 1. Continuous Receipt of Bid Proposals. Continuous Recruitment is unique in that there is no public bid opening or fixed date for submission of bids. Proposals may be received at any time up to twelve months prior to the expiration of the contract term. This allows new Vendors to be added to the contract at any time without having to wait for a new contract cycle to begin. 2. Contract Term. The starting date for each new contract will vary according to the date of the Offerors’ bid submission and approval by the New York State Comptroller’s Office. Individual services awarded under a Backdrop contract will survive said expiration date to project completion, and will be governed by the terms of the stand-by contract notwithstanding its expiration. 3. Additional Service Categories. The State will allow Backdrop contractors to amend their contracts in order to qualify for additional categories or services as Contractors develop new specialties or expertise or as the State identifies the need to expand the range of categories and services covered by the Backdrop contracts. At such time, existing Backdrop contractors may respond to such solicitations with revised ceiling rates and/or additional personal services titles. 4. Additional Personal Services Titles. The State reserves the right to add Personal Service titles or modify the mandatory requirements for the existing titles that are contained in Exhibit D. At such time the State will solicit new ceiling pricing for new titles and will permit ceiling price revisions when the mandatory requirements have been modified. 6
  • SECTION II PROCUREMENT INFORMATION AND REQUIREMENTS A. Title of RFP This RFP shall be identified as the Information Technology Temporary Personal Services (ITTPS) RFP. B. Issuing Agency This RFP is being issued by the New York State Office of Disability and Temporary Assistance (OTDA) for the State of New York. The contracts resulting from this RFP will be a multiple agency contract executed by the Office of Temporary and Disability Assistance, the Office of Children and Family Services (OCFS), the Office for Technology (OFT), and the New York State Department of Labor (DOL). C. Questions Regarding this Procurement All questions regarding this procurement to be given consideration by the State must be submitted via e-mail to OTDAbid@dfa.state.ny.us or by US Postal Service to Kathy Schwarz at the following address: NYS OTDA 40 North Pearl Street 13th floor, Section A Albany, NY 12243 (518) 402-3004 Questions must be received in accordance with the timetable in Section II.D. of this RFP. Each question should, to the degree possible, cite the specific RFP section and paragraph number to which it refers. The State will distribute its official answers to the questions by the date indicated in Section II.D. to all prospective contractors. D. Timetable Release of RFP – 9/5/05 Final Date for Receipt of Questions – 9/26/05 Official Responses to Questions – 10/24/05 Proposal Due Date – N/A Notification of Initial Awards – N/A 7
  • E. Submission of Proposals 1. Proposals must be signed by an official authorized to bind the Offeror to its provisions. To be eligible for establishment of a Backdrop contract resulting from this RFP, five copies of an offeror’s proposal are required to be submitted including a total of 16 original signature pages (Exhibit C). 2. Offerors mailing their responses must allow sufficient mail delivery time to ensure receipt of their proposals within the time frames indicated in Section II.D. 3. Proposals should be transmitted with the following information clearly displayed on the exterior of the packaging: • Offeror’s name and address • Information Technology Temporary Personal Services 4. Five (5) Hardcopy proposals and one (1) electronic copy on CD ROM in Microsoft Word/Excel/Project format must be mailed or delivered to Kathy Schwarz at the following address: NYS OTDA Bureau of Contract Management 13A 40 North Pearl Street Albany, New York 12243 5. All proposals and accompanying documentation become the property of the State and ordinarily will not be returned. F. Intentionally left Blank G. State Rights 1. The State reserves the right to use any and all ideas presented in any response to the RFP. Selection or rejection of any proposal does not affect this right. The State shall also have unlimited rights to disclose or duplicate, for any purpose whatsoever, all information or other work product developed, derived, documented or furnished by the Offeror under any Agreement resulting from this RFP. 2. In the event of contract award, all computer programs and other documentation produced as part of the contract will become the exclusive property of the State. The State reserves a royalty free, non-exclusive and irrevocable license to reproduce, publish or otherwise use and to authorize others to do so, such software, modifications and documentation. 8
  • 3. The State reserves the right to: a) Reject any or all proposals received in response to this RFP. b) Reissue a modified version of this RFP. NOTE: With regard to all modifications, clarifications, etc. regarding this RFP which the State reserves the right to issue, any such modification issued on or before the due date for proposals shall go to all entities which have requested a copy of this RFP; after that date (or an amended date, as the case may be), notification will be only to Offerors who have submitted proposals. Please note that the State’s right to issue modifications, etc. permits any addition or deletion of requirements as the State may deem appropriate, subject only to the bounds set forth in the Contract Reporter issuance. c) Amend any part of this RFP, at any time, upon written notification to Offerors. d) Utilize any and all ideas submitted in the proposals received, unless those ideas are covered by legal patent or proprietary rights. e) Disqualify any Offeror whose conduct or proposal fails to conform to the requirements of this RFP. f) Direct any Offeror or number of Offerors to submit proposal modifications addressing subsequent RFP amendments. g) Accept all or part of a selected Offeror’s proposal. h) Eliminate any requirement(s) unmet by all Offerors upon notice to all parties submitting proposals. i) Make typographical or computational corrections to proposals, with the concurrence of the Offeror. j) Waive procedural technicalities in proposals received, upon notification to the Offeror involved. k) Change any of the scheduled dates, including start dates, stated herein upon notice to the Offerors. l) Request Offerors to clarify their proposal and/or submit additional information pertaining to their proposal. m) Select and award contracts to more than one Offeror. n) Solicit proposal clarifications from an Offeror. 9
  • H. Incurred Costs The State of New York shall not be liable for any costs incurred by an Offeror in the preparation and production of a proposal. Any work performed prior to the issuance of a fully executed contract or delivery of an order by the State to the Contractor will be done only to the degree the Contractor voluntarily assumes the risk of nonpayment. I. Content of Proposals To be considered responsive, an Offeror should submit complete proposals which satisfy all the requirements stated in this RFP. Proposals not conforming to the outline content and sequence as specified in Section IV may be rejected as nonconforming. J. Public Information Requirements All the proposals upon submission will become the property of the State. The State will have the right to disclose all or any part of a proposal to public inspection based on its determination that disclosure of all or any part of the proposal will serve the public interest. Prospective Offerors are further advised that, except for trade secrets, other proprietary information and certain personnel information (which the State has reserved the right to disclose), all parts of proposals must ultimately be disclosed to those members of the general public making inquiry under the New York State Freedom of Information Law (Public Officers Law, Article 6) although proposal contents cannot ordinarily be disclosed by the State prior to bid award. Should an Offeror wish to request exception from public access to information contained in its proposal, the Offeror must specifically identify the information and explain in detail why public access to the information would be harmful to the Offeror. Use of generic trade secret legends encompassing substantial portions of the proposal or simple assertions of trade secret interest without substantive explanation of the basis therefore will be regarded as non-responsive requests for exception from public access and will not be considered by the State in the event a Freedom of Information request for proposal information is received K. Intentionally left Blank L. Affirmative Action 1. The State is in full accord with the aims and effort of the State of New York to promote equal opportunity for all persons and to promote equality of economic opportunity for minority group members and women who own business enterprises, and to ensure there are no barriers, through active programs, that unreasonably impair access by Minority and Women-Owned Business Enterprises (M/WBE) to State contracting opportunities. 10
  • 2. Prospective Offerors to this RFP are subject to the provisions of Article 15-A of the Executive Law and regulations issued thereunder. 3. Contractors and subcontractors shall undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age disability, marital status, military status, sexual orientation and genetic predisposition or carrier status. For these purposes, affirmative action shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation. 4. For purposes of this RFP, the State has goals for subcontracting with and purchasing from Minority and Women-Owned Business Enterprises (M/WBE’s) and for the employment of protected class individuals. Definitions of terms related to these goals can be found in Exhibit E of this RFP. The State’s goal for subcontracting and purchasing is 5-10% of the total dollars expended from any contract for subcontracts or for the purchase of supplies, equipment or printing. The State’s goal for employment of protected class individuals is 5-10% of the total dollars expended from any contract for personnel or consultants. 5. Each Offeror is required to submit an Equal Employment Opportunity (EEO) Policy Statement, and a completed Bidder’s Identification Form (Exhibit A.3) 6. Any contract in the amount of $50,000 or more which is awarded as a result of this RFP will be subject to all applicable State and Federal regulations, laws, executive orders and policies regarding affirmative action and equal employment opportunities. Offerors should refer to Exhibit E of this RFP for the Affirmative Action language which will be included in the contract resulting from this RFP. M. Anti-Kickback Act The Contractor understands that it must comply with federal Executive Order 11246, the Copeland “Anti-Kickback Act” (18 USC 874), Section 508 of the federal Clean Air Act, Section 306 of the federal Clean Water Act, and that it must certify that neither it nor its principals are debarred or suspended from federal financial assistance programs and activities and to complete and return in pursuit of such certification any appropriate form required by the State (see federal Executive Order 12549 and 7 CFR Part 3017). The contractor is advised that it will be required to comply with the requirements of the Drug-Free Workplace Rules as set forth at 7 CFR 3017 and 3021. Under these regulations, no entity which has been disbarred or suspended for violation of Drug-Free Workplace Requirements can be allowed to contract for the services being funded by FNS. A listing of suspended/disbarred entities will be reviewed by the OTDA to assure that no contract awardee is named in that listing. 11
  • N. Prime Contractor’s Responsibility In the event the selected Offeror’s proposal includes services provided by another firm, it shall be mandatory for the selected Offeror to assume full responsibility for the delivery for such items offered in the proposal. Should the selected Offeror seek external financing, the State reserves the right to approve the assignment of the contract for financing purposes. In any event, the State will contract only with an Offeror, not the Offeror’s financing institution or subcontractors. The State shall consider the selected Offeror to be the sole responsible contact with regard to all provisions of the contract resulting from this RFP. O. Contract The State, through its three client agencies, will enter into contracts with each of the contractors selected as a result of this RFP. There is no guarantee, implied or otherwise, that a contractor will be used as a result of any contract award resulting from this RFP. P. Multi-Agency Use While the State supports systems for three agencies, any contract entered into pursuant to an award resulting from this RFP shall contain a provision which grants the option to extend the terms and conditions of such contract to any other State agency in New York State, as well as Local Districts in New York State providing human services such as income maintenance, job training, employment, social services or health related services in New York State. . Q. Contacts with Employees 1. From the release date of this RFP until the resultant contracts are approved by the Office of the State Comptroller, all Offeror contacts related to this procurement with State staff must be authorized by the DFA point of contact, Kathy Schwarz (518) 402-3004. 2. Prospective Offerors may not approach State personnel with offers of employment during the procurement period. Any Offeror who is aware of a State employee who is considering employment with the Offeror must advise the State forthwith. R. Intentionally Left Blank 12
  • S. Procurement Lobbying Act Pursuant to State Finance Law §§139-j and 139-k, this procurement imposes certain restrictions on communications between The State and a vendor during the procurement process. Vendors are restricted from making oral, written or electronic contacts with New York State employees until Office of the State Comptroller (OSC) task order approval other than to the point of contact as identified above. Statutory exceptions to vendor contact with other than the designated point of contact are listed below: • Submission of a written proposal in response to this procurement; • Submission of written questions prior to the proposal due date; (note: the PLA does not allow the hiring manager to schedule interviews) • Complaints filed by an vendor stating that the designated point of contact has failed to respond in a timely manner; • Negotiations following task order award; • Debriefings to vendors that were not award recipients; • Filing of an appeal or protest. New York State employees other than the designated point of contact who are contacted by a vendor are required to obtain and record certain information when contacted that could result in a finding of non-responsibility against the vendor. Such a finding can result in a rejection of a task order award and in the event of two findings within a 4 year period, the vendor would become debarred from obtaining New York State contracts. Further information about these requirements can be found at http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html. The Procurement Lobbying Act also requires that every procurement over $50,000 include a certification by the vendor that all information provided to the agency is complete, true, and accurate with regard to prior non-responsibility determinations within the past four years based on (i) impermissible contacts or other violations of State Finance Law Section 139-j, or (ii) the intentional provision of false or incomplete information to a governmental entity. See the attachments for the certification form. The State reserves the right to terminate the award resulting from this procurement in the event it is found that the certification filed by the Offeror in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, The State may exercise its termination right by providing written notification to the award recipient. 13
  • T. Public Officers Law All Offerors and their employees must be aware of and comply with the requirements of the New York State Public Officers Law, and all other appropriate provisions of New York State Law and all resultant codes, rules and regulations from State laws establishing the standards for business and professional activities of State employees and governing the conduct of employees of firms, associations and corporations in business with the State. In signing the proposal, each Offeror guarantees knowledge and full compliance with those provisions for any dealings, transactions, sales, contracts, services, offers, relationships, etc. involving the State and/or State employees. Failure to comply with those provisions may result in disqualification from the bidding process and in other civil or criminal proceedings as required by law. U. Omnibus Procurement Act It is the policy of New York State to maximize opportunities for the participation of New York State business enterprises, including minority and women-owned business enterprises as bidders, subcontractors, and suppliers on its procurement contracts. Information on the availability of New York State subcontractors and suppliers is available from: NYS Department of Economic Development Division for Small Business One Commerce Plaza Albany, NY 12245 Phone: (518) 474-7756 Fax: (518) 486-7577 Note: Companies requesting lists of potential subcontractors and suppliers are encouraged to identify the SIC code, size and location of vendors. A directory of minority and women owned business enterprises is available from: NYS Department of Economic Development Minority and Women’s Business Development Division One Commerce Plaza Albany, NY 12245 Phone: (518) 473-1979 Fax: (518) 473-0665 The Omnibus Procurement Act of 1992 (OPA 92) requires that by signing a bid proposal, contractors certify that whenever the total bid amount is greater than $1,000,000: 1. The contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors on this 14
  • project, and has retained the documentation of these efforts to be provided upon request to the State; 2. The contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended; 3. The contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The contractor agrees to document these efforts and to provide said documentation to the State upon request; 4. The contractor acknowledges notice that New York State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts. V. Office for Technology Review Prior to award selection, this RFP and all responses thereto may be subject to review by the New York State Office for Technology. W. Vendor Responsibility Section 163 of the State Finance Law requires that contracts be awarded on the basis of lowest price or best value to a responsive and responsible Offeror. The State and courts have determined that responsibility includes integrity, previous performance, legal authority to do business in New York State, and financial and organizational ability to perform the contract. As part of the procurement process, Offerors, affiliates and any business entity of which the Offeror is a subsidiary and subcontractors (where the subcontractor is known at the time of the contract award, its qualifications are a material factor in the award, and its subcontract will equal or exceed $100,000 over the life of the contract) are required to complete the Contractor/Subcontractor Background Questionnaire and submit it with its proposal. The State shall conduct reviews of each vendor for responsibility and responsiveness. The State may, at the State’s sole discretion, request additional information, including meeting with the Offeror. If the Offeror is determined by the State to be not responsible, the State shall inform the Offeror of such ruling. The Offeror shall have 30 days to request a meeting with the State to explain the ruling and to demonstrate the finding to be incorrect or to correct/resolve any issues impacting the Offeror’s responsibility. If the State’s finding remains unchanged after meeting with the Offeror, the Offeror shall be removed from consideration for this contract. The Offeror that is awarded this contract shall update the Contractor/Subcontractor Background Questionnaire whenever such information changes and prior to any contract extensions and/or amendments. In the case of 15
  • an assignment, a Contractor/Subcontractor Background Questionnaire should be submitted for the Contractor and Subcontractors. If the Offeror is determined, on the basis of new or previously undisclosed information, to be not responsible, the contract may be terminated, at the State’s sole discretion. 16
  • X. New York State Sales and Compensating Use Taxes Tax Law Section 5-a, which was added to the Tax Law under Part N of Chapter 60 of the Laws of 2004, imposes upon certain contractors the obligation to certify whether or not the contractor and its affiliates are required to register to collect state sales and compensating use tax. Where required to register, the contractor must also certify that it is, in fact, registered with the New York State Department of Taxation and Finance (DTF). The law prohibits the New York State Comptroller, or other approving agency, from approving a contract awarded to a Offeror meeting the registration requirements but who is not so registered in accordance with the law. Pursuant to Tax Law Section 5-a, contractors must complete, sign, and file a properly completed Form ST-220-CA (with the OTDA) and Form ST-220-TD (with the Tax Department). Contractors must also submit a copy of the Certificate of Authority, if available, for itself and any affiliates required to register to collect state sales and compensating use tax. If Certificates of Authority are unavailable, the contractor, affiliate, subcontractor or affiliate of subcontractor must represent that it is registered and that it has confirmed such status with DTF. Y. Procedure for Handling of Protests/Appeals of Bid Specification and Proposed Awards It is the policy of the State contracting program to provide all bidders with an opportunity to resolve complaints or inquiries related to bid solicitations or pending contract awards administratively. The State encourages bidders to seek resolution of complaints concerning the contract award process through consultation with the State. All such matters will be accorded impartial and timely consideration. Detailed procedures are outlined in Exhibit F of this RFP. Z. Information Security Breach and Notification ACT The New York State "Information Security Breach and Notification Act" also known as the "Internet Security and Privacy Act" took effect December 9, 2005. The Legislature and Governor have enacted the Law in response to past and continuing identity theft and security breaches affecting thousands of people. The Law requires any person or business that conducts business in New York State and that owns or licenses computerized data that includes private information (including but not necessarily limited to social security numbers, credit and debit card numbers, drivers license numbers, etc.) must disclose any breach of that private information to all individuals affected or potentially affected in an expeditious manner. You may view a copy of the Law at http://public.leginfo.state.ny.us/menugetf.cgi?COMMONQUERY=LAWS by searching for "INTERNET SECURITY AND PRIVACY." The Law is Article 2 of the State Technology Law. You may also find the Law in Chapter 442, Laws of 2005. All contractors must be compliant with the Law. 17
  • AA. Consulting Services Report Chapter 10 of the Laws of 2006 amends State Finance Law §§ 8 and 163 by requiring: • That the Office of the State Comptroller (OSC) include in the Consulting Services Report it compiles annually on contracts issued by State agencies for consulting services during the previous fiscal year, certain additional information on employees providing services under such contracts; • That contractors annually report certain employment information to the contracting agency, the Department of Civil Service (DCS) and OSC; and • That OSC include such employment information in the Procurement Stewardship Act Report it compiles annually The first State Consultant Services Contractor’s Annual Employment Report will be due May 15, 2007, and will include information for the period ending March 31, 2007. Thereafter, the State Consultant Services Contractor’s Annual Employment Reports will be due no later than May 15th of each succeeding year. For additional information, please refer to OSC bulletin G-226 - Consultant Disclosure Legislation http://nysosc3.osc.state.ny.us/agencies/gbull/g-226.htm 18
  • SECTION III PERSONAL SERVICE TITLES A. The State has identified 110 titles under which it may solicit contractor(s) to provide personal service support. The qualifications and requirements for each title are contained in Exhibit D. Titles have been listed in 14 categories of Personal Service as follows: 1. MANAGEMENT a. Project Manager (Entry Level) b. Project Manager c. Project Manager II d. Project Manager III e. Project Manager IV f. Project Manager (Development) g. Project Manager (Infrastructure) h. Project Manager (Implementation) i. (IBM) Operations Platform Manager j. (Unisys) Operations Platform Manager k. (Open Systems) Operations Platform Manager l. (Production Controls Operations) Platform Manager m. (Print Operations) Platform Manager n. (Media) Library Supervisor II o. (Open Systems) Production Control Supervisor p. (IBM) Production Control Supervisor q. Specialist III r. Facilities Plant Manager 2. UNISYS/COBOL a. Programmer I b. Programmer II c. Application Programming Manager d. Advanced and Group Leaders e. UNISYS COBOL Consultant f. Application Architect 3. UNISYS DMS-1100 DATA BASE ADMINISTRATION a. Data Base Administrator b. Data Base Consultant/Designer c. Data Base Supervisor d. Data Base Programmer e. Data Base Performance Specialist f. Production Control Specialist 19
  • g. Production Control Supervisor h. File Management Supervisor i. File Management Specialist j. Computer Console Operator III k. Quality Control Specialist l. Forms Support Specialist 4. TELECOMMUNICATIONS a. Manager of Software Support b. Manager of Telecommunications Support c. Manager of Data Communications d. Data Communications Specialist e. Network Performance Specialist 5. CLIENT SERVER a. Client Server Programmer b. Data Base Architect c. Client Server Application Architect d. Oracle Database Administrator e. Oracle Database Administrator/Warehouse Architect f. SQL Server Database Administrator g. Client Server and Development Tool Consultant h. Performance Specialist i. Windows OS Specialist j. Power Builder Programmer/Architect k. Web Application Developer l. Web Interface Designer m. Java Developer n. J2EE Architect 6. UNISYS OPERATIONS a. Disaster Recovery Planner/Specialist b. Computer Systems Programmer c. Manager of Computer Operations d. Computer Operator V e. Computer Operator V (Production Control) f. Computer Operator I g. Disaster Recovery Planning Specialist 7. SECURITY a. Security Designer/Data Administrator b. Security Administrator c. Facilities Planning Specialist 20
  • 8. OFFICE AUTOMATION a. OA Coordinator b. Site Contact c. LAN Administrator d. Microsoft Support Specialist I e. Microsoft Support Specialist II f. OA Installer g. OA Hotline Support Staff h. Information Center User Consultant 9. IMPLEMENTATION/TRAINING a. Requirements Definition Specialist b. Workflow Analyst c. Design Facilitator d. Training Specialist e Coordinator (Implementation/Training) f. Implementation Specialist g. System Tester h. User/Product Test Specialist i. Automated System Tester 10. BUSINESS ANALYSIS AND TECHNICAL WRITING a. Business Analyst b. Technical Writer c. Documentation Specialist/Technical Writer d. Facilitator e. Procedures Writer 11. CLERICAL AND ADMINISTRATIVE a. Word Processing/Keyboard Specialist b. Administrative Assistant c. File Conversion Clerk d. Data Processing Clerk e. Clerk f. Laborer g. (Media) Librarian h. Facilities Security Attendant 12. IBM a. Consultant/Designer b. Computer Systems Programmer c. Application Architect d. Production Control Specialist e. File Management Supervisor 21
  • f. File Management Specialist g. Computer Console Operator III h. Forms Support Specialist i. Quality Control Specialist 13. Open Systems a. Production Control Specialist b. File Management Supervisor c. File Management Specialist d. Computer Console Operator III 14. Telecom a. Computer Console Operator III b. Computer Operator II (Tape/Print/Client Server Backup & Storage) B. Offerors are invited to respond to one or more of the titles noted above. For each personal service title an Offeror wishes to respond to in their proposal, they must so indicate on the Bidder Response Form (Exhibit B) as “YES” to signify they can provide personnel capable of meeting the qualifications for said title. In addition, the Offeror must also indicate their “ceiling rate” for each title they are responding to on the Bidder Response Form. Ceiling rate is the highest hourly rate which the Offeror proposes. At the time a Task Order Award solicitation is conducted, the State will have sole responsibility in determining candidate eligibility. The State reserves the right to impose a maximum hourly ceiling rate for any subsequent Task Order Award solicitation. C. Offerors will be awarded Backdrop contracts based on the evaluation and selection processes described in Section V. Offerors awarded these contracts will be solicited by the State to provide personal services as the need for such services arises, utilizing the Task Order Award process described in Section VI. 22
  • SECTION IV PROPOSAL REQUIREMENTS To be eligible for contract award, Offerors are required to submit a complete response to this Request for Proposal in conformance with the format and content requirements set forth in this section. An Offeror may propose to provide one or more of the personal service titles as listed in Section III. Offerors are required to submit five (5) Hardcopy proposals (including a total of 16 signature pages) and one (1) electronic copy on CD ROM in Microsoft Word/Excel/Project format. A. General Summary 1. An Executive Summary must be submitted which describes the Offeror’s understanding of the requirements presented in the RFP, the State’s approach and how the Offeror can assist the State in accomplishing this effort. Include a statement explaining how the Offeror is qualified to perform IT staff augmentation services. In addition, the Executive Summary must describe the range of services generally provided, name the individual authorized to submit responses to the State’s Task Order Award proposal(s), and include a statement that the individual signing the signature pages is authorized to bind the company. 2. Offerors must provide a statement informing the State if they have or have not been suspended or debarred from entering into Federally funded contracts pursuant to U.S. Executive Order 12549 and/or 41 CFR Part 105-68, or if there is any information known to the Offeror or its agents that there has been any activity or investigation that could result in its suspension or debarment. B. Required Bid Forms The following forms can be found in Exhibit A and must be completed by each Offeror: 1. MacBride Fair Employment Principles 2. Non-Collusive Bidding Practices 3. Bidder’s Identification Form 4. Article 15-A Requirements 5. Contractor/Subcontractor Background Questionnaire 6. Offerer’s Certification and Affirmation of Understanding of and Agreement pursuant to State Finance Law §139-j and k 7. Offerer Disclosure of Prior Non-Responsibility Determinations (PLA) 8. DTF Contractor Certification Forms • ST-220CA 23
  • • ST-220TD 9. Security, Nondisclosure, Confidentiality and Press Releases Agreement 10. W-9 Form – Request for Taxpayer Identification Number and Certification C. Bidder Response Form For each personal service title being proposed, an Offeror must write or type YES in each box in the Bidder Response Form which can be found in Exhibit B for each title it commits to being capable of providing one or more candidates to fill positions through the Task Order Award solicitation(s). In addition, the Offeror must also indicate their ceiling rate for each title they are responding to on the Bidder Response Form. Ceiling rate is the highest hourly rate the Offeror proposes for each title. The State reserves the right to impose a maximum hourly ceiling rate for any subsequent Task Order Award proposal. D Signed Contract Each Offeror is required to sign and notarize 16 original signature pages found in Exhibit C as an indication of the Offeror’s willingness to consent to the terms and conditions set forth in Exhibit E. E Exceptions to Contract Terms Due to the requirement for uniformity of contract language with all Backdrop contractors, exceptions which materially alter the terms and conditions set forth in this RFP will be grounds for rejection of the bid or disqualification of Vendor. Exceptions to this RFP may only be made to the extent they are minor and do not materially alter the Terms and Conditions stated herein, and will be subject to acceptance by the State or to Offeror withdrawal prior to contract award. The State reserves the right, in its sole discretion, to determine the materiality of the Offeror’s stated exceptions. 24
  • SECTION V PROPOSAL EVALUATION CRITERIA All proposals received will be subject to an evaluation by Office of Disability and Temporary Assistance staff The State intends to evaluate all proposals uniformly and consistently to ensure that all Offerors have an equal opportunity for selection. Each Offeror’s proposal will be evaluated on a pass/fail basis using the evaluation instrument contained in this Section. The State shall execute formal contracts using the signed and returned signature pages as part of each successful Offeror’s proposal. A contract will be executed with each responsible Offeror passing each of the following criterion: PASS/FAIL 1. Executive Summary Has the following information been provided within the executive summary: a) a statement describing the Offeror’s understanding of the RFP requirement b) Has the Offeror’s range of services been described c) Has the Offeror included a statement explaining how they are qualified to perform staff augmentation services d) Has a statement been included that the individual signing the signature page is authorized to bind the company e) Has the individual been named who will be authorized to submit responses to the State’s Task Order process 2. Has a statement been provided regarding suspension or debarment from Federally funded contracts 3. Have the following forms been completed from Exhibit A: a) MacBride Fair Employment Principles b) Non-Collusive Bidding Practices c) Bidder’s Identification Form d) Article 15-A Requirements e) Contractor/Subcontractor Background Questionnaire f) Offerer’s Certification and Affirmation of Understanding of and Agreement pursuant to State Finance Law §139-j and k g) Offerer Disclosure of Prior Non-Responsibility Determinations (PLA) h) Department of Taxation and Finance Contractor Certification (ST-220CA & ST-220TD) i) Security, Nondisclosure, Confidentiality and Press Releases Agreement j) W-9 Form - Request for Taxpayer Identification Number and Certification 4. Has the Offeror submitted the Bid Response Form (Exhibit B) indicating “YES” to each of the titles it is capable of providing one or more candidates meeting the qualifications for said 25
  • title(s) as well as the corresponding ceiling rate 5. Have 16 signed and notarized signature pages (4 each for 4 participating agencies) consenting to the contractual terms and conditions been included with the proposal 6. Has the contractor submitted an electronic copy of their proposal 26
  • SECTION VI THE TASK ORDER AWARD PROCESS AND STATE OPERATING PROCEDURES This RFP is intended to provide the State with a pool of pre-qualified Backdrop contractors eligible to respond to a Task Order Award solicitation for each type of personal/support service required. This Section is intended to provide a general informational overview of the State’s business practices as they are anticipated to apply in the recruitment of services to be obtained through contracts awarded under this RFP. As program requirements for services develop, the State reserves the right to make adjustments to procedures and Offeror requirements at its sole discretion, for each assignment. A. Successful Offerors for the personal service title being bid in the Task Order Award process will be notified of the proposed requirement. This notification may be e-mailed or mailed and will include Position Recruitment and Hourly Rate Forms, engagement duration, bid deadlines, and other pertinent information. 1. The Position Recruitment Form will outline: • the mandatory required experience for the category of service, as defined in Exhibit D in this Request For Proposal; • Additional work-related experience or education may be substituted, at the discretion of the State, on a one-for-one basis if explicitly stated in the Task Order Award proposal. The Task Order Award proposal may also specify that one or more mandatory qualifications for a given job title have been waived for the solicitation; • the specific experience desired for assignment completion; and • the proposed timeframe that personnel are expected to be utilized. 2. The Hourly Rate Form is designed to provide State with the Offeror’s proposed hourly rate for each candidate being submitted in the Task Order Award solicitation. The hourly rate bid must be all inclusive (i.e., fringe, overhead, overtime, etc.) and shall not exceed the ceiling rate proposed by the Offeror in its response to this RFP. The hourly rate for each candidate will be considered final for the position being bid - no further negotiation of rates will be considered. The State reserves the right to impose a maximum hourly ceiling rate for any subsequent Task Order Award proposal. To ensure that we are receiving only the best available candidates, we are limiting the number of candidates to two per position, per contractor. In the event that a contractor submits more than two candidates per position, we will take the two lowest hourly rate candidates. If two or more candidates have the same hourly rate, we will alphabetize the candidates and take the first two. 3. Backdrop contractors interested in bidding on the personal service title will be requested to provide the following information to the State for each candidate submitted. NOTE: FAXED PROPOSALS WILL NOT BE ACCEPTED: 27
  • • Position Recruitment Form. All fields on the Position Recruitment Form must be completed and all candidates submitted must meet the mandatory requirements. • Resume for the candidate. Resumes should detail candidate experience as it relates to the specific experience requested on the Position Recruitment Form. • A minimum of two references for the candidate. References should have a direct knowledge of the candidate’s work experience. • Hourly Rate per Candidate The hourly rate bid must be all-inclusive (i.e., fringe, overhead, overtime, etc.) and shall not exceed the ceiling rate proposed by the Offeror in its response to this RFP. The hourly rate for each candidate will be considered final for the position being bid - no further negotiation of rates will be considered. The State reserves the right to impose a maximum hourly ceiling rate for any Task Order Award proposal. • Offerer’s Disclosure of Prior Non-Responsibility Determinations Form (Procurement Lobbying Act) • New York State Finance Law §139-j & k Procurement Lobbying Act Form • Contractor Confidentiality Agreement (if required) • Consultant Confidentiality Agreement (if required) 4. Bids which have been fully completed for candidates meeting the mandatory qualifications will be submitted to the State’s Technical Staff for evaluation of work experience and qualifications. The Technical Scores will be merged with the Financial Scores and candidates will be ranked by their combined Overall Score. The leading candidates will usually be interviewed. 5. Contractors as employers of any Consultant(s) assigned to the State are required by Federal law to verify that all of their employees are legally entitled to work in the United States. By submitting bids, the Contractor is representing and warranting that it has complied with these legal requirements and that anyone assigned to work at the State is legally entitled to work in the U.S. B. INTENTIONALLY LEFT BLANK C. DISQUALIFICATION OF MINI-RFP PROPOSALS In addition to the State rights defined in Section II.G., herein, the State, at its sole discretion, reserves the following rights when conducting the Task Order Award solicitation: 1. Disqualify a bid that is either late or non-compliant. Non-compliance includes incomplete submissions, which do not clearly indicate that the Offeror or the Offeror’s candidate(s) meet the mandatory service 28
  • requirements for the Personal Service title being bid, and incomplete Forms; 2. Award the Task Order Award solicitation to another participating Offeror after a disqualification has been made. This may be done without receiving a rebuttal from the disqualified Offeror; and 3. Reject all bid proposals and not award the Task Order Award solicitation. D. THE EVALUATION PROCESS 1. Technical Evaluation. Completed Bid Proposals will be reviewed by State Technical staff. In addition to this review, the specific experience requirements, identified and listed in the bid will be evaluated/weighted and proposals will be assigned a technical rate. 2. Financial Evaluation. A financial evaluation will be conducted by State Administration staff separately from the Technical Evaluation. A financial rank determined by hourly rates will be assigned to each Offeror’s proposal. 3. Proposal Ranking. Offeror selection will be based on the highest ranked proposal(s), as will be specified in the Task Order Award solicitation, including the value and/ or relative importance of cost in the ranking. E. TASK ORDER AWARD Offerors with the highest evaluation rank will be notified of position award by the State’s issuance of a Task Order. Offerors whose proposal(s) are not selected will be notified by e-mail that the position(s) has been filled. There is no guarantee, implied or otherwise, that the State will order services from the Contractor as a result of this Request for Proposal, and execution of a Task Order does not guarantee continued use of services. 29
  • F. CONSULTANT SERVICE SEPARATION The following table summarizes the various scenarios that could cause a consultant’s position under the Agreement resulting from this RFP to end. ITTPS Consultant Service Separation Reason Notice Comments RFP Reference Requirement Voluntary Contractor- As soon For notification Exhibit E, Article V.B.3 Resignation as possible [no later periods of less than 14 days in advance] than 14 days, partial payment withhold Inadequate DFA- 14 Days Exhibit E, Article performance V.G Contractor Re- Contractor-14 Only upon DFA Exhibit E, Article deployment of days in advance acceptance. See V.B.3 consultant outside Exhibit E, Articles of DFA contract V.B.4 for terms regarding redeployment Lack of work prior DFA- Immediate DFA will make Exhibit E, Article to expiration of best efforts to give V.C applicable Task 30-days advance Order Letters notice Lack of funding DFA- Immediate, DFA will make Exhibit E, Article prior to expiration best efforts to give V.C of applicable 30-days advance Order Letters notice Detrimental DFA- Immediate Exhibit E, Article Conduct V.B.4 30
  • Exhibit A: Standard Response Forms 31
  • Exhibit A.1: MACBRIDE FAIR EMPLOYMENT PRINCIPLES NONDISCRIMINATION IN EMPLOYMENT IN NORTHERN IRELAND: In accordance with section l65 of the State Finance Law, the bidder, by submission of this bid certifies that it or any individual or legal entity in which the bidder holds a 10% or greater ownership interest, or any individual or legal entity that holds a 10% or greater ownership in the bidder, either: (answer yes or no to one or both of the following, as applicable), (1) has business operations in Northern Ireland; Yes ___________or No_____________ if yes: (2) shall take lawful steps in good faith to conduct any business operations that it has in Northern Ireland in accordance with the MacBride Fair Employment Principles relating to nondiscrimination in employment and freedom of workplace opportunity regarding such operations in Northern Ireland, and shall permit independent monitoring of their compliance with such Principles. Yes ___________or No_____________ __________________________________________________________________ Signature 32
  • Exhibit A.2: Non-Collusive Bidding NON-COLLUSIVE BIDDING CERTIFICATION REQUIRED BY SECTION 139-D OF THE STATE FINANCE LAW SECTION 1 39-D. Statement of Non-Collusion in bids to the State: BY SUBMISSION OF THIS BID, BIDDER AND EACH PERSON SIGNING ON BEHALF OF BIDDER CERTIFIES, AND IN THE CASE OF JOINT BID, EACH PARTY THERETO CERTIFIES AS TO ITS OWN ORGANIZATION, UNDER PENALTY OF PERJURY, THAT TO THE BEST OF HIS/HER KNOWLEDGE AND BELIEF: [l] The prices of this bid have been arrived at independently, without collusion, consultation, communication, or agreement, for the purposes of restricting competition, as to any matter relating to such prices with any other Bidder or with any competitor, [2] Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the Bidder and will not knowingly be disclosed by the Bidder prior to opening, directly or indirectly, to any other Bidder or to any competitor, and [3] No attempt has been made or will be made by the Bidder to induce any other person, partnership or corporation to submit or not to submit a bid for the purpose of restricting competition. A BID SHALL NOT BE CONSIDERED FOR AWARD NOR SHALL ANY AWARD BE MADE WHERE [1], [2], AND [3] ABOVE HAVE NOT BEEN COMPLIED WITH; PROVIDED HOWEVER, THAT IF IN ANY CASE THE; BIDDER(S) CANNOT MAKE THE FOREGOING CERTIFICATION. THE BIDDER SHALL SO STATE AND SHALL FURNISH BELOW A SIGNED STATEMENT WHICH SETS FORTH IN DETAIL THE REASONS THEREFORE: Subscribed to under penalty of perjury under the laws of the State of New York, this ____ day of _______________ , 20___ as the act and deed of said corporation or partnership. 33
  • Non-Collusive Bidding Certification, cont’d. Identifying Data Potential Contractor:_____________________________________________________________________ Address:______________________________________________________________________ Street ______________________________________________________________________________ City, Town, etc. Telephone:_____________________________________ Title:__________________________________________ If applicable, Responsible Corporate Officer Name:_________________________________________ Title:__________________________________________ Signature:_____________________________________________ Joint or combined bids by companies or firms must be certified on behalf of each participant. _____________________________________ ____________________________________ Legal name of person, firm or corporation Legal name of person, firm or corporation By___________________________________ ___________________________________ Name Name ______________________________________ ____________________________________ Title Title Address_______________________________ ___________________________________ Street Street _______________________________ ____________________________________ City State City State 34
  • Exhibit A.3: Bidder’s ID Form COMPANY PROFILE INFORMATION COMPANY NAME/ HEADQUARTERS ADDRESS FEDERAL IDENTIFICATION PRIMARY CONTACT NAME RESPONSIBLE FOR SUBMITTING INVOICES AND NUMBER: RESPONSIBLE FOR RECEIVING RECEIVING PAYMENTS: BID REQUESTS __________________________ ________________________________ _____________________________________________________ TELEPHONE: TITLE: ( ) ___________________ ________________________________ _____________________________________________________ FAX NUMBER: ADDRESS:_______________________ _____________________________________________________ ( ) __________________ ________________________________ E-MAIL ADDRESS: ________________________________ _____________________________________________________ __________________________ TYPE OF FIRM (Check one only) ___CORPORATION ___PARTNERSHIP ___PROPRIETORSHIP ____ JOINT VENTURE PREFERRED METHOD OF MINI-BID TRANSMISSION FROM THE STATE: (Check one only) ___FAX ___E-MAIL Note: Vendors are solely responsible for notifying The State of changes to Fax or e-mail addresses. CHECK ONE ANSWER AS IT PERTAINS TO YOUR COMPANY FOR EACH QUESTION: (see following page for definitions) For-Profit: Not-For-Profit Provider __ Meets definition of "Small Business Concern" Yes ____ No ____ MBE or MCBO * ___ Women-Owned Business * ___ Neither ___ IF MBE or MCBO: Please check one of the following: Black:___ Hispanic:___ Asian/Pacific:___ American/Alaskan Indian:___ * If checked, is your organization certified as a For Profit Minority or Women-Owned business by New York State ? (Yes/No) _____ Bidders are hereby notified that if their principal place of business is located in a 35
  • state that penalizes New York vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act of 1994 (Chapter 684, Laws of 1994) requires that they be denied placement on bidders mailing lists. Instructions: A Not for Profit Corporation is defined as an incorporated organization chartered for other than Profit-making activities. Most such organizations are engaged in charitable, educational, or other civic or humanitarian activities although they are not restricted to such activities. A Small Business Concern is defined as a business which is resident in New York State, Independently owned and operated, not dominant in its field, and employs one hundred or less persons. A Not for profit organization may considered a Small Business Concern if it meets the preceding criteria. A Minority Business Enterprise (MBE) is defined as any business which is at least fifty-one percent owned by, or in the case of a publicly owned business, at least fifty-one percent of the stock of which is owned by, United States (U.S.) citizens or permanent residents aliens who are: a) Black persons having origins in any of the black African racial groups; and/or b) Persons of Mexican, Puerto Rican, Dominican, Cuban, other Caribbean island, Central or South American origin and/or national or community identification, whether of indigenous, Hispanic, Portuguese, French, Dutch, or other descent, and regardless of race; and/or c) Asian and Pacific Islander persons having origins in any of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands; and/or d) American Indian or Alaskan Native persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification; and such ownership interest is real, substantial and continuing. The minority ownership must have and exercise the authority to independently control the business decisions of the entity. A Minority Community Based Organization (MCBO) is defined as a Not-for-Profit, local human service organization that has its origins in the geographic area comprised of one or more neighborhoods that it serves. A representative MCBO is therefore keenly aware of community needs as well as local resources to meet those needs. Generally, the governing bodies and personnel of community-based organizations reflect the racial, ethnic and cultural make-up of the community being served. A MCBO is characterized by majority representation of American Indians, Asian Americans, Blacks and/or Hispanics in both policy formulation and decision-making regarding management, service delivery and staffing reflective of the area that it serves. A Women-owned Business Enterprise (WBE) is defined as any business enterprise which is at least fifty-one percent owned by, or in the case of publicly owned business, at least fifty-one percent of the stock of which is owned by citizens or permanent aliens who are women. Such ownership interest must be real, substantial and continuing. The women-owned ownership must have and exercise the authority to independently control the business decisions of the entity. (To meet the definition of an MBE or WBE, a non-profit organization must be controlled by a Board of Directors consisting of at least fifty-one percent minority individuals or women, respectively.) NEW YORK STATE CERTIFIED MINORITY or WOMEN OWNED BUSINESS - Limited to for Profit organizations which have been certified by the New York State Department of Economic Development as meeting the criteria for a Minority or Women Owned Business. Contact the Department of Economic Development, Division of Minority and Women Business Development at 212-383-1718 or 518-474-6346 for certification assistance. 36
  • Exhibit A.4 CONTRACTOR’S REQUIREMENT UNDER ARTICLE l5-A Article 15-A of the Executive Law has been in existence since July 1988. This legislation, in conjunction with Executive Order 21, which was promulgated in August of 1983, provides specific rules, regulations and procedures for minority and women business participation in certain State contracts. NYS agencies are required to implement the provisions of Article 15-A for all of its contracts (1) in excess of $25,000 for labor, services, supplies, equipment, materials, or any combination of the foregoing and (2) for contracts in excess of $l00,000 for real property renovation and construction. For purposes of this contract, the agency hereby establishes a goal of 5% - 10% for minority business enterprises (MBE) participation and 5% - 10% for women owned business enterprises (WBE) participation. In order to be awarded a contract with NYS, every bidder must comply with the requirements, rules and regulations outlined in Article l5-A. POLICY AND PROVISIONS It is the policy of the State of New York to promote equality of economic opportunity for minority and women- owned business enterprises (M/MBE’s) in State contracting. In order to comply with the State’s objectives, the Contractors shall use “good faith efforts” to provide meaningful participation by M/WBE subcontractors or suppliers in the performance of this contract. For the purpose of determining a contractor's good faith effort to comply with the requirements of Article 15-A or to be entitled to a waiver therefrom, the contracting agency shall consider: (a) Whether the contractor has advertised in general circulation media, trade association publications, minority-focus and women-focus media. In such event, (i) whether or not certified minority or women-owned businesses which have been solicited by the contractor exhibited interest in submitting proposals for a particular project by attending a pre-bid conference; and (ii) whether certified businesses which have been solicited by the contractor have responded in a timely fashion to the contractor's solicitations for timely competitive bid quotations prior to the contracting agency's bid date; and (b) Whether there has been written notification to appropriate certified businesses that appear in the directory of certified businesses prepared pursuant to paragraph (f) of subdivision three of section three hundred eleven of this article; and (c) Whether the contractor can reasonably structure the amount of work to be performed under subcontracts in order to increase the likelihood of participation by certified businesses. 37
  • All questions regarding compliance to Article 15-A requirements or copies of the forms should be addressed to the contracting agency. The telephone numbers and addresses for New York State Department of Economic Development are as follows: New York State Department of Economic Development 633 3rd Avenue New York, New York 10017 Telephone: (212) 803-2200 New York State Department of Economic Development Division of Minority & Women's Business Development One Commerce Plaza Albany, New York 12245 Telephone: (518) 474-0375 Bidder Acknowledgement: __________________________________________ Authorized Signature 38
  • EXHIBIT A.5 NEW YORK STATE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE CONTRACTOR/SUBCONTRACTOR BACKGROUND QUESTIONNAIRE General Information Federal Identification Number: ___________________________________________________ Name of Firm: _________________________________________________________________ Mailing Address: _______________________________________________________________ Actual Location: _______________________________________________________________ City: ________________________ State: _______________ Zip code: _______________ Fax Number: ( ) __________________ Telephone Number: ( ) __________________ Background Questionnaire The following section must be fully completed by Bidder or Bidder will be deemed non- responsive . Where appropriate, provide additional details using space provided or by inserting additional sheets following this part. This form must also be completed by any proposed subcontractor if the value of that subcontract will be in exces s of $10,000. 1a. Are you a New York State resident business ? __ _ _ _ _ _ NO __ _ _ _ _ _ YES 1b. Are you registered with the New York State Department of State (DOS) to do __ _ _ _ _ _ NO __ _ _ _ _ _ YES business in New York State ? If no, you will be required to comply with the New York State Department of State __ _ _ _ _ _ NO __ _ _ _ _ _ YES guidelines for doing business in New York State before you will be eligible for a Contract award. Do you agree to these conditions ? 2.How many years has your firm been in business ? __ _ _ _ _ _ _ Years 3a. Are you a certified minority owned business enterprise , certified by the NYS __ _ _ _ _ _ NO __ _ _ _ _ _ YES Department of Economic Development ? (Your company is eligible to be certified if it is at least 51% owned and controlled by minority group members (i.e. Black Hispanic , Asian , Pacific Islander American Indian, Alaskan Native)? 3b. Are you a woman owned business enterprise , certified by the NYS Department of Economic Development ? (Your company is eligible to be certified if it is at least 51% __ _ _ _ _ _ NO __ _ _ _ _ _ YES owned and controlled by women) 4. How many people are employed by your firm? __ _ _ _ _ _ _ Employee s 39
  • 1. Total number of people employed by your firm : ∗ Within New York State ? __ _ _ _ _ _ _ _ _ _ ∗ Outside of New York State ? __ _ _ _ _ _ _ _ _ _ ∗ Outside of United States ? __ _ _ _ _ _ _ _ _ _ 6. Is your company independently owned and operated ? __ _ _ _ _ _ NO __ _ _ _ _ _ YES (If no, provide details) 7. List and describe any liquidated damages asse s s e d , and/ or liens or claims over $25,000 filed against the firm and remaining undischarged or unsatisfied for more than 90 days , on any contracts within the past five years . 8. Within the past five years has the firm, any affiliate, any predece s s or company or Check any that apply. If “yes” , describe entity, owner of 5.0% or more of the firm’ s shares , director, officer, partner or using additional pages if nece s sary) proprietor been the subject of: a) a judgment of conviction for any busines s - related conduct constituting a crime __ _ _ _ _ NO __ _ _ _ _ _ YES under state or federal law ? __ _ _ _ _ NO __ _ _ _ _ _ YES b) a currently pending indictment for any business - related conduct constituting a crime under state or federal law ? __ _ _ _ NO __ _ _ _ _ _ YES c) a grant of immunity for any business - related conduct constituting a crime under a state or federal law ? d) a federal suspension or debarment, New York rejection of any bid or disapproval __ _ _ _ _ NO __ _ _ _ _ _ YES of any proposed subcontract for lack of responsibility, denial or revocation of pre-qualification in any state, or a voluntary exclusion agreement ? e) a civil or criminal investigation of the New York State Ethics Commission __ _ _ _ _ NO __ _ _ _ _ _ YES involving a violation( s) of Section 73 and Section 74 of the Public Office Law ? f) Any bankruptcy proceeding ? __ _ _ _ _ _ NO __ _ _ _ _ _ YES g) Any suspension or revocation of any business or professional license ? __ _ _ _ _ _ NO __ _ _ _ _ _ _ YES h) Any citations , Notices , violation orders, pending administrative hearings or proceeding s or determinations for violations of: ∗ federal, state or local health laws, rules or regulations ∗ unemployment insurance or workers compensation coverage or claim requirements ∗ ERISA (Employee Retirement Income Security ACT) ∗ federal, state or local human rights laws ∗ federal, state security laws ? __ _ _ _ _ NO __ _ _ _ _ _ _ YES i) a grant of immunity for any business - related conduct constituting a crime under a state or federal law ? __ _ _ _ _ NO __ _ _ _ _ _ YES j) a federal suspension or debarment, New York rejection of any bid or disapproval of any proposed subcontract for lack of responsibility, denial or revocation of pre-qualification in any state, or a voluntary exclusion agreement ? __ _ _ _ _ NO __ _ _ _ _ _ YES 40
  • k) any federal determination of a violation of any labor law or regulation , or any __ _ _ _ _ NO __ _ _ _ _ _ YES OSHA “serious violation” ? Was violation willful ? __ _ _ _ NO __ _ _ _ _ _ YES l) any state determination of a violation of any labor law or regulation ? __ _ _ _ NO __ _ _ _ _ _ YES m) any state determination of a Public work violation ? __ _ _ _ _ NO __ _ _ _ _ _ YES Was violation deemed willful ? __ _ _ _ _ NO __ _ _ _ _ _ YES n) Has there been a revocation of MBE or WBE certification ? __ _ _ _ _ NO __ _ _ _ _ _ YES o) Was there a rejection of a low bid on a state contract for failure to meet statutory affirmative action or MWBE requirements ? __ _ _ _ _ NO __ _ _ _ _ _ YES p) Has there been a consent order with the NYS Department of Environmental Conservation, or a federal or state enforcement determination involving a construction- related violation of federal or state environmental laws ? __ _ _ _ _ NO __ _ _ _ _ _ YES 9. List by agency or department all current contracts your firm holds with the State of __ _ _ _ _ NO __ _ _ _ _ _ YES New York, its departments or political subdivisions , valued in exces s of $100,000. (Please list on a separate page .) 10. Your firm is responsible for providing worker’ s compensation insurance pursuant __ _ _ _ _ _ NO __ _ _ _ _ _ YES to state law. The State has the option to require proof of current worker’ s compensation insurance or proof of exemption if applicable . Do you understand this requirement ? 11. Your firm is responsible for providing disability insurance pursuant to state law. The State has the option to require proof of current worker’ s compensation insurance __ _ _ _ _ _ NO __ _ _ _ _ _ YES or proof of exemption if applicable . Do you understand this requirement ? 12. Has any New York State agency , authority, board or other State entity made a finding of non- responsibility regarding the Contractor in the last five years ? __ _ _ _ _ _ NO __ _ _ _ _ _ YES 13. If yes , was the basis for the finding of the Contractor’ s non- responsibility due to the intentional provision of false or incomplete information required by New York __ _ _ _ _ NO __ _ _ _ _ _ YES State Finance Law §139- j (Procurement Lobbying Act)? (If yes , provide details including NYS agency or authority name, year of finding and the basis of the non- responsibility finding.) CERTIFICATION The undersigned 1) recognizes that this questionnaire is submitted for the express purpose of inducing the New York State Office of Temporary of Disability Assistance to award a contract or approve a subcontract; 2) acknowledges that the Office may in its discretion, by means which it may choose, determine the truth and accuracy of all statements made herein; 3) acknowledges that intentional submission of false or misleading information may constitute a felony under Penal Law 210.40 or a misdemeanor under Penal Law 210.35 or 210.45, and may also be punishable by a fine of up to $10,000 or imprisonment of up to five years under 18 U.S.C. 1001; 4) states that the information submitted in this questionnaire and any attached pages is true, accurate and complete and 5) acknowledges that submission of false or misleading information will constitute grounds for the Office to terminate its contract (or revoke its approval of a subcontract) with the undersigned or the organization of which s/he is an officer. 6) has not altered the content of the questions in the questionnaire in any manner. 7) has read and 41
  • understands all of the items contained in the questionnaire and any pages attached by the submitting vendor. 8) has supplied full and complete responses to each item therein to the best of his/her knowledge, information and belief. 9) is knowledgeable about the submitting vendor’s business and operations. 10) understands that New York State will rely on the information supplied in this questionnaire when entering into a contract with the vendor; and 11) is under duty to notify the OTDA of any material changes to the vendor’s responses herein prior to the State Comptroller’s approval of the contract. Authorized Signature: Name: Title: Date: Revised January 2008 42
  • EXHIBIT A.6 Procurement Lobbying Act Offerer’s Certification and Affirmation of Understanding of and Agreement pursuant to State Finance Law §139-j and k Offerer affirms that it understands and agrees to comply with the New York State procedures relative to permissible contacts as required by State Finance Law §139-j. By:       Date:      Name:       Title:       Contractor Name:       Contractor Address:       ______________________________________________________________________ Offerer Certification: I certify that all information provided to the Governmental Entity with respect to State Finance Law §139-k is complete, true and accurate ____________________________________________________________________ Authorized Signature 43
  • Offerer Disclosure of Prior Non-Responsibility Determinations (Procurement Lobbying Act) Exhibit A.7 Name of Individual or Entity Seeking to Enter into the Procurement Contract:       Address:             Name and Title of Person Submitting this Form:             Contract Procurement Number:       Date:       1. Has any Governmental Entity made a finding of non-responsibility regarding the individual or entity seeking to enter into the Procurement Contract in the previous four years? (Please circle): No Yes If yes, please answer the next questions: 2. Was the basis for the finding of non-responsibility due to a violation of State Finance Law §139-j (Please circle): No Yes 3. Was the basis for the finding of non-responsibility due to the intentional provision of false or incomplete information to a Governmental Entity? (Please circle): No Yes 4. If you answered yes to any of the above questions, please provide details regarding the finding of non-responsibility below. Governmental Entity:       Date of Finding of Non-responsibility:       Basis of Finding of Non-Responsibility:       _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ (Add additional pages as necessary) 5. Has any Governmental Entity or other governmental agency terminated or withheld a Procurement Contract with the above-named individual or entity due to the intentional provision of false or incomplete information? (Please circle): No Yes 6. If yes, please provide details below. 44
  • Governmental Entity:       Date of Termination or Withholding of Contract:       Basis of Termination or Withholding:       ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ (Add additional pages as necessary) Offerer certifies that all information provided to the Governmental Entity with respect to State Finance Law §139-k is complete, true and accurate. By: Date: Signature Name:       Title:      45
  • New York State Department of Taxation and Finance (Exhibit A.8) Contractor Cer tification to Covered ST-220- CA Agency (Pursuant to Section 5-a of the Tax Law, as amended, effective April 26, 2006) (6/06) For information, consult Publication 223, Questions and Answers Concerning Tax Law Section 5- a (see Need Help? on back). Contractor name Contractor’s principal place of business City State ZIP code For covered agency use only Contract number or description Contractor’s mailing address (if different than above) Estimated contract value over Contractor’s federal employer identification number (EIN) Contractor’s sales tax ID number (if different from contractor’s EIN) the full term of contract (but not including renewals) Contractor’s telephone number Covered agency name $ Covered agency address Covered agency telephone number I, , hereby affirm, under penalty of perjury, that I am (name) (title) of the above-named contractor, that I am authorized to make this certification on behalf of such contractor, and I further certify that: (Mark an X in only one box) ) The contractor has filed Form ST-220-TD with the Department of Taxation and Finance in connection with this contract and, to the best of contractor’s knowledge, the information provided on the Form ST-220-TD, is correct and complete. . The contractor has previously filed Form ST-220-TD with the Tax Department in connection with (insert contract number or description) and, to the best of the contractor’s knowledge, the information provided on that previously filed Form ST-220-TD, is correct and complete as of the current date, and thus the contractor is not required to file a new Form ST-220-TD at this time. Sworn to this day of , 20 (sign before a notary public) (title) Instructions General Note: Form ST-220-CA must be signed by a person authorized to make the certification on behalf of the contractor, and the information acknowledgement Tax Law section 5-a was amended, effective April 26, 2006. On or If you have questions, please call our information center at after that date, in all cases where a contract is subject to Tax Law 1 800 698-2931. section 5-a, a contractor must file (1) Form ST-220-CA, Contractor Certification to Covered Agency, with a covered agency, and (2) Form ST-220-TD with the Tax Department before a contract may take effect. The circumstances when a contract is subject to section 5-a are listed in Publication 223, Q&A 3. This publication is available on our Web site, by fax, or by mail. (See Need help? for more information on how to obtain this publication.) In addition, a contractor must file a new Form ST-220-CA with a covered agency before an existing contract with such agency may be renewed. 46
  • on page 2 of this form must be completed before a notary public. When to complete this form As set forth in Publication 223, a contract is subject to section 5-a, and you must make the required certification(s), if: i. The procuring entity is a covered agency within the meaning of the statute (see Publication 223, Q&A 5); ii. The contractor is a contractor within the meaning of the statute (see Publication 223, Q&A 6); and iii. The contract is a contract within the meaning of the statute. This is the case when it (a) has a value in excess of $100,000 and (b) is a contract for commodities or services, as such terms are defined for purposes of the statute (see Publication 223, Q&A 8 and 9). Furthermore, the procuring entity must have begun the solicitation to purchase on or after January 1, 2005, and the resulting contract must have been awarded, amended, extended, renewed, or assigned on or after April 26, 2006 (the effective date of the section 5-a amendments). 47
  • Page 2 of 2 ST-220- CA (6/06) STATE OF } Individual, Corporation, Partne rship, or LLC Acknowledgment : SS.: COUNTY OF } On the day of in the year 20 , before me personally appeared , known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that he resides at , Town of , County of , State of ; and further that: [Mark an X in the appropriate box and complete the accompanying statement.] y (If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf. . (If a corporation): _he is the of , the corporation described in said instrument; that, by authority of the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation. a (If a partnership): _he is a of , the partnership described in said instrument; that, by the terms of said partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said partnership as the act and deed of said partnership. . (If a limited liability company): _he is a duly authorized member of , LLC, the limited liability company described in said instrument; that _he is authorized to execute the foregoing instrument on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liability company. Notary Public Registration No. Privacy notification Need help? The Commissioner of Taxation and Finance may collect and maintain personal Internet access: www.nystax.gov information pursuant to the New York State Tax Law, including but not limited (for information, forms, and publications) to, sections 5-a, 171, 171-a, 287, 308, 429, 475, 505, 697, 1096, 1142, and 1415 of that Law; and may require disclosure of social security numbers Fax- on- demand forms: 1 800 pursuant to 748-3676 42 USC 405(c)(2)(C)(i). This information will be used to determine and administer tax liabilities and, when Telephone assistance is available from authorized by law, for certain tax offset and exchange of tax information programs as 8:00 A.M. to 5:00 P.M. (eastern time), well as for any other lawful purpose. Monday through Friday. 1 800 698-2931 Information concerning quarterly wages paid to employees is provided to certain To order forms and publications: 1 800 462-8100 state agencies for purposes of fraud prevention, support enforcement, evaluation of the effectiveness of certain employment and training programs and other purposes From areas outside the U.S. and outside Canada: (518) 485-6800 authorized by law. Hearing and spee ch impaired (telecommunications Failure to provide the required information may subject you to civil or criminal penalties, device for the deaf (TDD) callers only): 1 800 634-2110 or both, under the Tax Law. Persons with disabilities: In compliance with the This information is maintained by the Director of Records Management and Data Entry, NYS Tax Department, W A Harriman Campus, Albany NY 12227; telephone Americans with Disabilities Act, we will ensure that our lobbies, 1 800 225-5829. From areas outside the United States and outside Canada, call offices, meeting rooms, and other facilities are accessible to (518) 485-6800 persons with disabilities. If you have questions about special accommodations for persons with disabilities, please call 1 800 972-1233.
  • New York State Department of Taxation and Finance (Exhibit A.8) Contractor Cer tification ST-220- (Pursuant to Section 5-a of the Tax Law, as amended, effective April 26, 2006) TD (6/06) For information, consult Publication 223, Questions and Answers Concerning Tax Law Section 5- a (see Need help? below). Contractor name Contractor’s principal place of business City State ZIP code Contractor’s mailing address (if different than above) Contractor’s federal employer identification number (EIN) Contractor’s sales tax ID number (if different from contractor’s EIN) Contractor’s telephone number ( ) Covered agency name Contract number or description Estimated contract value over the full term of contract (but not including renewals) $ Covered agency address Covered agency telephone number General information Privacy notification Section 5-a of the Tax Law, as amended, effective April 26, The Commissioner of Taxation and Finance may collect 2006, requires certain contractors awarded certain state and maintain personal information pursuant to the New York contracts valued at more than $100,000 to certify to the State Tax Law, including but not limited to, sections 5-a, 171, Tax Department that they are registered to collect New York State 171-a, 287, 308, 429, 475, 505, 697, 1096, 1142, and 1415 of and local sales and compensating use taxes, if they made sales that Law; and may require disclosure of social security numbers delivered by any means to locations within New York State of pursuant to 42 USC 405(c)(2)(C)(i). tangible personal property or taxable services having a cumulative This information will be used to determine and administer tax value in excess of $300,000, measured over a specified period. In liabilities and, when authorized by law, for certain tax offset and addition, contractors must certify to the Tax Department that each exchange of tax information programs as well as for any other affiliate and subcontractor exceeding such sales threshold during a lawful purpose. specified period is registered to collect New York State and local sales Information concerning quarterly wages paid to employees is and compensating use taxes. Contractors must also file a Form provided to certain state agencies for purposes of ST-220-CA, certifying to the procuring state entity that they filed fraud prevention, support enforcement, evaluation of the Form ST-220-TD with the Tax Department and that the information effectiveness of certain employment and training programs and contained on Form ST-220-TD is correct and complete as of the other purposes authorized by law. date they file Form ST-220-CA. Failure to provide the required information may subject you to For more detailed information regarding this form and section 5-a civil or criminal penalties, or both, under the Tax Law. This of the Tax Law, see Publication 223, Questions information is maintained by the Director of Records and Answers Concerning Tax Law Section 5-a, (as amended, Management and Data Entry, NYS Tax Department, effective April 26, 2006), available at www.nystax.gov. Information is W A Harriman Campus, Albany NY 12227; telephone also available by calling the Tax Department’s Contractor Information 1 800 225-5829. From areas outside the United States and Center at 1 800 698-2931. outside Canada, call (518) 485-6800. Note : Form ST-220-TD must be signed by a person authorized to Need help? make the certification on behalf of the contractor, and the acknowledgement on page 4 of this form must be completed before Internet access: www.nystax.gov (for information, forms, and publications) a notary public. Fax- on- demand forms: 1 800 Mail completed form to: 748-3676 NYS TAX DE PARTMENT DATA ENT RY SECTION W A HARRIMAN CAMPUS ALBANY NY 12227
  • Telephone assistance is available from 8:00 A.M. to 5:00 P.M. (eastern time), Monday through Friday. To order forms and publications: 1 800 462-8100 Sales Tax Information Center: 1 800 698-2909 From areas outside the U.S. and outside Canada: (518) 485-6800 Hearing and spee ch impaired (telecommunications device for the deaf (TDD) callers only): 1 800 634-2110 Persons with disabilities: In compliance with the Americans with Disabilities Act, we will ensure that our lobbies, offices, meeting rooms, and other facilities are accessible to persons with disabilities. If you have questions about special accommodations for persons with disabilities, please call 1 800 972-1233.
  • Page 2 of 4 ST-220- TD (6/06) I, , hereby affirm, under penalty of perjury, that I am (name) (title) of the above-named contractor, and that I am authorized to make this certification on behalf of such contractor. Make only one entry in each section below. Section 1 — Contractor registration status The contractor has made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made. The contractor is registered to collect New York State and local sales and compensating use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law, and is listed on Schedule A of this certification. The contractor has not made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made. Section 2 — Affiliate registration status The contractor does not have any affiliates. To the best of the contractor’s knowledge, the contractor has one or more affiliates having made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made, and each affiliate exceeding the $300,000 cumulative sales threshold during such quarters is registered to collect New York State and local sales and compensating use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The contractor has listed each affiliate exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this certification. To the best of the contractor’s knowledge, the contractor has one or more affiliates, and each affiliate has not made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made. Section 3 — Subcontractor registration status The contractor does not have any subcontractors. To the best of the contractor’s knowledge, the contractor has one or more subcontractors having made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made, and each subcontractor exceeding the $300,000 cumulative sales threshold during such quarters is registered to collect New York State and local sales and compensating use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The contractor has listed each subcontractor exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this certification. To the best of the contractor’s knowledge, the contractor has one or more subcontractors, and each subcontractor has not made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four sales tax quarters which immediately precede the sales tax quarter in which this certification is made. Sworn to this day of , 20
  • (sign before a notary public) (title)
  • ST-220- TD (6/06) Page 3 of 4 Schedule A — Listing of ea ch person (contracto r, affiliate , or subcontractor) exceeding $300,000 cumulative sales threshold List the contractor, or affiliate, or subcontractor in Schedule A only if such person exceeded the $300,000 cumulative sales threshold during the specified sales tax quarters. See directions below. For more information, see Publication 223. A B C D E Relationship to Name Address Federal ID Number Sales Tax ID Number F Contractor Registration in progress Column A – Enter C in column A if the contractor; A if an affiliate of the contractor; or S if a subcontractor. Column B – Name - If person is a corporation or limited liability company, enter the exact legal name as registered with the NY Department of State, if applicable. If person is a partnership or sole proprietor, enter the name of the partnership and each partner’s given name, or the given name(s) of the owner(s), as applicable. If person has a different DBA (doing business as) name, enter that name as well. Column C – Address - Enter the street address of person’s principal place of business. Do not enter a PO box. Column D – ID number - Enter the federal employer identification number (EIN) assigned to the person or person’s business, as applicable. If the person is an individual, enter the social security number of that person. Column E – Sales tax ID number - Enter only if different from federal EIN in column D. Column F – If applicable, enter an X if the person has submitted Form DTF-17 to the Tax Department but has not received its certificate of authority as of the date of this certification.
  • Page 4of 4 ST-220- TD (6/06) Individual, Corporation, Partne rship, or LLC Acknowledgment STATE OF } SS.: COUNTY OF On the day of in the year 20 , before me personally appeared known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that he resides at , Town of , County of , State of ; and further that: [Mark an X in the appropriate box and complete the accompanying statement.] (If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf. (If a corporation): _he is the of , the corporation described in said instrument; that, by authority of the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation. (If a partnership): _he is a of , the partnership described in said instrument; that, by the terms of said partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said partnership as the act and deed of said partnership. (If a limited liability company): _he is a duly authorized member of LLC, the limited liability company described in said instrument; that _he is authorized to execute the instrument on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said limited liability compa the act and deed of said limited liability company. Notary Public Registration No.
  • Exhibit A.9 SECURITY, NONDISCLOSURE, CONFIDENTIALITY AND PRESS RELEASES AGREEMENT SECURITY, NONDISCLOSURE, CONFIDENTIALITY AND PRESS RELEASES The Contractor shall maintain the security, nondisclosure and confidentiality of all information in accordance with the following clauses in performance of its activities under this Agreement. A. SECURITY PROCEDURES: Contractor agrees to comply fully with all security procedures of the State in relation to providing services and agrees that its officers, agents, employees and subcontractors shall be required to undergo the same security clearances as are required of the employees of the State. Specifically, each prospective and current employee of Contractor designated to work under this Agreement with the State may be required to submit identifying information and be fingerprinted. The State shall arrange for the scheduling of such fingerprinting activities on State premises. Contractor shall pay the fee prescribed by the Division of Criminal Justice Services for processing such fingerprint card, subject to waiver at the discretion of the State. B. NONDISCLOSURE and CONFIDENTIALITY: Except as may be required by applicable law or a court of competent jurisdiction, the Contractor, its officers, agents, employees, and subcontractors shall maintain strict confidence with respect to any Confidential Information to which the Contractor, its officers, agents, employees, and subcontractors have access. This representation shall survive termination of this Agreement. For purposes of this Agreement, all State information of which Contractor, its officers, agents, employees, and subcontractors becomes aware during the course of performing services for the State shall be deemed to be Confidential Information (oral, visual or written). Notwithstanding the foregoing, information which falls into any of the following categories shall not be considered Confidential Information: (a) information that is previously rightfully known to the receiving party without restriction on disclosure; (b) information that becomes, from no act or failure to act on the part of the receiving party, generally known in the relevant industry or is in the public domain; and (c) information that is independently developed by Contractor without use of Confidential Information of the State. Contractor shall hold the State harmless from any loss or damage to the State resulting from the disclosure by the Contractor, its officers, agents, employees, and subcontractors of such confidential information.
  • PRESS RELEASES: Contractor agrees that no brochure, news/media/press release, public announcement, memorandum or other information of any kind regarding this Agreement shall be disseminated in any way to the public, nor shall any presentation be given regarding this Agreement without the prior written approval by the undersigned or the undersigned’s designee from the State, which written approval shall not be unreasonably withheld or delayed provided, however, that Contractor shall be authorized to provide copies of this Agreement and answer any questions relating thereto to any State or Federal regulators or, in connection with its financial activities, to financial institutions for any private or public offering. PUBLIC INFORMATION: Disclosure of items related to this Agreement shall be permitted consistent with the laws of the State of New York and specifically the Freedom of Information Law (FOIL) contained in Section 87 of the Public Officers Law. The State shall take reasonable steps to protect from public disclosure any of the records relating to this procurement that are otherwise exempt from disclosure under that statute. Information constituting trade secrets, for purposes of FOIL, must be clearly marked and identified as such upon submission. If the Contractor intends to seek an exemption from disclosure of these materials under FOIL, the Contractor shall, at the time of submission, request the exemption in writing and provide an explanation of why the disclosure of the identified information would cause substantial injury to the competitive position of the Contractor. Acceptance of the identified information by the State does not constitute a determination that the information is exempt from disclosure under FOIL. Determinations as to the availability of the identified information will be made in accordance with FOIL at the time a request for such information is received by the State. _________________________________ Signature: Date:_____________________________
  • Request for Taxpayer Form W-9 Identification Number and Certification Give form to the Rev. October 2007 Department of Treasury requester. Do not send Internal Revenue Service to the IRS. Name ( as shown on your income tax return) Business name, if different from above. Check the appropriate box: □ Individual/Sole proprietor □ Corporation □ Partnership □ Exempt payee □ Limited liability company. Enter the tax classification (D=disregard entity, C=corporation, P=partnership) ►----------- Please print or type □ Other (see instructions)►----------------------------------------------- Address: number, street, and apt. or suite no. Requester’s name and address (optional) City, state and ZIP code List account number(s) here (optional) Part I Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on Line 1 to avoid backup withholding. For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded Social security number entity, see the Part I instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3. _______ - ________- _______ OR Note. If the account is in more than one name, see the chart on page 4 for guidelines on whose number to enter. Employer identification number . _______- ________________ Part II Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Services (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. I am an U.S. person or other U.S. Person (defined below). Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the Certification, but you must provide your correct TIN. See the instructions on page 4. Signature of U.S. Person► Date ►
  • General Instructions Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: Section references are to the Internal Revenue Code unless otherwise noted. ● An individual who is a U.S. citizen or U.S. resident alien, ● A partnership, corporation, company, or association created or organized in the Purpose of Form United States or under the laws of the United States, A person who is required to file an information return with the ● An estate (other than a foreign estate), or IRS must obtain your correct taxpayer identification number (TIN) to report, for example, income paid to you, real estate ● A domestic trust (as defined in Regulations section transactions, mortgage interest you paid, acquisition or 301.7701-7). abandonment of secured property, cancellation of debt, or Special rules for partnerships. Partnerships that conduct a trade or business contributions you made to an IRA. in the United States are generally required to pay a withholding tax on any Use Form W-9 only if you are a U.S. person (including a foreign partners’ share of income from such business. Further, in certain cases resident alien), to provide your correct TIN to the person where a Form W-9 has not been received, a partnership is required to presume requesting it (the requester) and, when applicable, to: that a partner is a foreign person, and pay the withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business 1. Certify that the TIN you are giving is correct (or you are in the United States, provide Form W-9 to the partnership to establish your U.S. waiting for a number to be issued), status and avoid withholding on your share of partnership income. 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a The person who gives Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net U.S. person, your allocable share of any partnership income income from the partnership conducting a trade or business in the United States is from a U.S. trade or business is not subject to the withholding in the following cases: tax on foreign partners’ share of effectively connected income. Note. If a requester gives you a form other than Form W-9 to ● The U.S. owner of a disregarded entity and not the entity, request your TIN, you must use the requester’s form if it is substantially similar to this Form W-9.
  • Form W-9 (Rev. 10-2007) Page 2 ● The U.S. grantor or other owner of a grantor trust and not the trust, and 4. The IRS tells you that you are subject to backup withholding ● The U.S. trust (other than a grantor trust) and not the because you did not report all your interest and dividends on your beneficiaries of the trust. tax return (for reportable interest and dividends only), or Foreign person. If you are a foreign person, do not use Form 5. You do not certify to the requester that you are not subject to W-9. Instead, use the appropriate Form W-8 (see Publication backup withholding under 4 above (for reportable interest and dividend 515, Withholding of Tax on Nonresident Aliens and Foreign accounts opened after 1983 only). Entities). Certain payees and payments are exempt from backup withholding. See the instructions below and the separate Nonresident alien who becomes a resident alien. Generally, only a Instructions for the Requester of Form W-9. nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties Also see Special rules for partnerships on page 1. contain a provision known as a Penalties “saving clause.” Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after Failure to furnish TIN. If you fail to furnish your correct TIN to a the payee has otherwise become a U.S. resident alien for tax purposes. requester, you are subject to a penalty of $50 for each such failure unless If you are a U.S. resident alien who is relying on an exception your failure is due to reasonable cause and not to willful neglect. contained in the saving clause of a tax treaty to claim an exemption from Civil penalty for false information with respect to withholding. If U.S. tax on certain types of income, you must attach a statement to Form you make a false statement with no reasonable basis that results in no W-9 that specifies the following five items: backup withholding, you are subject to a 1. The treaty country. Generally, this must be the same treaty under $500 penalty. which you claimed exemption from tax as a nonresident alien. Criminal penalty for falsifying information. Willfully falsifying 2. The treaty article addressing the income. certifications or affirmations may subject you to criminal penalties 3. The article number (or location) in the tax treaty that including fines and/or imprisonment. contains the saving clause and its exceptions. Misuse of TINs. If the requester discloses or uses TINs in violation of 4. The type and amount of income that qualifies for the federal law, the requester may be subject to civil and criminal penalties. exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of Specific Instructions the treaty article. Name Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student If you are an individual, you must generally enter the name shown on temporarily present in the United States. Under U.S. law, this student will your income tax return. However, if you have changed your last name, become a resident alien for tax purposes if his or her stay in the United for instance, due to marriage without informing the Social Security States exceeds 5 calendar years. However, paragraph 2 of the first Protocol Administration of the name change, enter your first name, the last name to the U.S.-China treaty (dated April 30, 1984) allows the provisions of shown on your social security card, and your new last name. Article 20 to continue to apply even after the Chinese student becomes a If the account is in joint names, list first, and then circle, the name of resident alien of the United States. A Chinese the person or entity whose number you entered in Part I of the form. student who qualifies for this exception (under paragraph 2 of the first protocol) and is relying on this exception to claim an exemption from tax Sole proprietor. Enter your individual name as shown on your on his or her scholarship or fellowship income would attach to Form W-9 income tax return on the “Name” line. You may enter your business, a statement that includes the information described above to support that trade, or “doing business as (DBA)” name on the exemption. “Business name” line. If you are a nonresident alien or a foreign entity not subject to backup Limited liability company (LLC). Check the “Limited liability withholding, give the requester the appropriate completed Form W-8. company” box only and enter the appropriate code for the tax classification (“D” for disregarded entity, “C” for corporation, “P” for What is backup withholding? Persons making certain payments to you partnership) in the space provided. must under certain conditions withhold and pay to the For a single-member LLC (including a foreign LLC with a domestic IRS 28% of such payments. This is called “backup withholding.” owner) that is disregarded as an entity separate from its owner under Payments that may be subject to backup withholding include interest, tax- Regulations section 301.7701-3, enter the owner’s name on the “Name” exempt interest, dividends, broker and barter exchange transactions, rents, line. Enter the LLC’s name on the royalties, nonemployee pay, and certain payments from fishing boat “Business name” line. operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you For an LLC classified as a partnership or a corporation, enter the receive if you give the requester your correct TIN, make the proper LLC’s name on the “Name” line and any business, trade, or DBA name certifications, and report all your taxable interest and dividends on your on the “Business name” line. tax return. Other entities. Enter your business name as shown on required federal tax documents on the “Name” line. This name should match the name Payments you receive will be subject to backup shown on the charter or other legal document creating the entity. You withholding if: may enter any business, trade, or DBA name on the “Business name” 1. You do not furnish your TIN to the requester, line. 2. You do not certify your TIN when required (see the Part II Note. You are requested to check the appropriate box for your status instructions on page 3 for details), (individual/sole proprietor, corporation, etc.). 3. The IRS tells the requester that you furnished an incorrect Exempt Payee TIN, If you are exempt from backup withholding, enter your name as described above and check the appropriate box for your status, then check the “Exempt payee” box in the line following the business name, sign and date the form.
  • Form W-9 (Rev. 10-2007) Page 3 Generally, individuals (including sole proprietors) are not exempt Part I. Taxpayer Identification from backup withholding. Corporations are exempt from backup withholding for certain payments, such as interest and dividends. Number (TIN) Note. If you are exempt from backup withholding, you should Enter your TIN in the appropriate box. If you are a resident alien still complete this form to avoid possible erroneous backup and you do not have and are not eligible to get an SSN, your TIN is withholding. your IRS individual taxpayer identification number The following payees are exempt from backup withholding: (ITIN). Enter it in the social security number box. If you do not have 1. An organization exempt from tax under section 501(a), any IRA, an ITIN, see How to get a TIN below. or a custodial account under section 403(b)(7) if the account satisfies If you are a sole proprietor and you have an EIN, you may enter the requirements of section 401(f)(2), either your SSN or EIN. However, the IRS prefers that you use your SSN. 2. The United States or any of its agencies or instrumentalities, If you are a single-member LLC that is disregarded as an entity separate from its owner (see Limited liability company 3. A state, the District of Columbia, a possession of the United (LLC) on page 2), enter the owner’s SSN (or EIN, if the owner has one). States, or any of their political subdivisions or instrumentalities, Do not enter the disregarded entity’s EIN. If the LLC is classified as a 4. A foreign government or any of its political subdivisions, corporation or partnership, enter the entity’s EIN. Note. See the chart on agencies, or instrumentalities, or page 4 for further clarification of name and TIN combinations. 5. An international organization or any of its agencies or How to get a TIN. If you do not have a TIN, apply for one immediately. instrumentalities. To apply for an SSN, get Form SS-5, Application for a Social Security Other payees that may be exempt from backup withholding Card, from your local Social Security Administration office or get this include: form online at www.ssa.gov. You may also get this form by calling 1-800-772-1213. Use Form 6. A corporation, W-7, Application for IRS Individual Taxpayer Identification Number, to 7. A foreign central bank of issue, apply for an ITIN, or Form SS-4, Application for Employer Identification 8. A dealer in securities or commodities required to register in the Number, to apply for an EIN. You can apply for an EIN online by United States, the District of Columbia, or a possession of the accessing the IRS website at www.irs.gov/businesses and clicking on United States, Employer Identification Number (EIN) under Starting a Business. You can get Forms W-7 and SS-4 from the IRS by visiting www.irs.gov or by 9. A futures commission merchant registered with the calling Commodity Futures Trading Commission, 1-800-TAX-FORM (1-800-829-3676). 10. A real estate investment trust, If you are asked to complete Form W-9 but do not have a TIN, write 11. An entity registered at all times during the tax year under the “Applied For” in the space for the TIN, sign and date the form, and give Investment Company Act of 1940, it to the requester. For interest and dividend payments, and certain 12. A common trust fund operated by a bank under section payments made with respect to readily tradable instruments, generally 584(a), you will have 60 days to get a TIN and give it to the requester before you are subject to backup 13. A financial institution, withholding on payments. The 60-day rule does not apply to other types 14. A middleman known in the investment community as a of payments. You will be subject to backup withholding on all such nominee or custodian, or payments until you provide your TIN to the requester. 15. A trust exempt from tax under section 664 or described in Note. Entering “Applied For” means that you have already applied for a section 4947. TIN or that you intend to apply for one soon. Caution: A disregarded The chart below shows types of payments that may be exempt from domestic entity that has a foreign owner must use the appropriate Form backup withholding. The chart applies to the exempt payees listed W-8. above, 1 through 15. If the payment is for... THEN the payment is exempt Part II. Certification for… To establish to the withholding agent that you are a U.S. person, or Interest and dividend payments All exempt payees except for 9 resident alien, sign Form W-9. You may be requested to sign by the withholding agent even if items 1, 4, and 5 below indicate otherwise. Broker Transactions Exempt payees 1 through 13. For a joint account, only the person whose TIN is shown in Part I should Also, a person registered under sign (when required). Exempt payees, see Exempt Payee on page 2 the Investment Advisers Act of Signature requirements. Complete the certification as indicated in 1 1940 who regularly acts as a through 5 below. broker 1. Interest, dividend, and barter exchange accounts opened before Barter exchange transactions and Exempt payees 1 through 5 1984 and broker accounts considered active during 1983. You must patronage dividends give your correct TIN, but you do not have to sign the certification. Payments over $600 required to be Generally, exempt payees 1 2. Interest, dividend, broker, and barter exchange accounts opened reported and direct sales over through 7 2 after 1983 and broker accounts considered inactive during 1983. You $5,000 1 must sign the certification or backup withholding will apply. If you are 1 See From 1099-Misc, Miscellaneous Income, and its instructions. subject to backup withholding and you are merely providing your correct 2 However, the following payments made to a corporation (including gross TIN to the requester, you must cross out item 2 in the certification before proceeds paid to an attorney under section 6045(f), even if the attorney is a signing the form. corporation) and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys’ fees, and payments for services paid by a federal executive agency.
  • Form W-9 (Rev. 10-2007) Page 4 3. Real estate transactions. You must sign the certification. You may cross out item 2 of the certification. Secure Your Tax Records from Identity 4. Other payments. You must give your correct TIN, but you do not have to Theft Identity theft occurs when someone uses your sign the certification unless you have been notified that you have previously given personal information such as your name, social security an incorrect TIN. “Other payments” include payments made in the course of the number (SSN), or other identifying information, without requester’s trade or business for rents, royalties, goods (other than bills for your permission, to commit fraud or other crimes. An merchandise), medical and health care services (including payments to identity thief may use your SSN to get a job or may file a corporations), payments to a nonemployee for services, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys (including tax return using your SSN to receive a refund. payments to corporations). To reduce your risk: 5. Mortgage interest paid by you, acquisition or abandonment of secured property, ● Protect your SSN, cancellation of debt, qualified tuition program payments (under section 529), IRA, ● Ensure your employer is protecting your SSN, and Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension ● Be careful when choosing a tax preparer. distributions. You must give your correct TIN, but you do not have to sign the Call the IRS at 1-800-829-1040 if you think your certification identity has been used inappropriately for tax purposes. Victims of identity theft who are experiencing economic What name and Number to Give the Requester harm or a system problem, or are seeking help in resolving For this type of Account Give name and SSN of: tax problems that have not been resolved through normal 1. Individual The Individual channels, may be eligible for Taxpayer Advocate Service (TAS) assistance. You can reach TAS by calling the TAS 2. Two or more individuals (joint Account) The actual owner of the account or, if combined toll-free case intake line at 1-877-777-4778 or TTY/TDD funds, the first individual on the account 1 1-800-829-4059. 3. Custodian account of a minor (Uniform Gift The minor 2 Protect yourself from emails or phishing schemes. to Minors Act) The grantor-trustee 1 Phishing is the creation and use of email and websites 4. a. The usual revocable savings trust (grantor designed to mimic legitimate business emails and is also trustee) The actual Owner 1 websites. The most common act is sending an email to a b. So-called trust account that is not a legal user falsely claiming to be an established legitimate or valid trust under state law enterprise in an attempt to scam the user into surrendering The owner 3 private information that will be used for identity theft. 5. Sole proprietorship or disregarded entity owned by an individual The IRS does not initiate contacts with taxpayers via emails. Also, the IRS does not request personal detailed For this type of Account: Give name and EIN of: information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access information for 6. Disregarded entity not owned by an The owner their credit card, bank, or other financial accounts. individual 7. A valid trust, estate, or pension trust If you receive an unsolicited email claiming to be from Legal entity 4 the IRS, forward this message to phishing@irs.gov. You may 8. Corporate or LLC electing corporate status The corporation also report misuse of the IRS name, logo, or other IRS on Form 8832 personal property to the Treasury Inspector General for Tax 9. Association, club, religious, charitable, The organization Administration at educational, or other tax-exempt 1-800-366-4484. You can forward suspicious emails to the organization Federal Trade Commission at: spam@uce.gov or contact 10. Partnership or multi-member LLC them at www.consumer.gov/idtheft or 1-877- The partnership IDTHEFT(438-4338). 11. A broker or registered nominee The broker or nominee 12. Account with the Department of Agriculture Visit the IRS website at www.irs.gov to learn more about The public entity identity theft and how to reduce your risk. in the name of a public entity (such as a state or local government, school district, or prison) that received agricultural program payments 1 List first and circle the name of the person whose number you furnish. If only one person on a joint account has an SSN, that person’s number must be furnished. 2 Circle the minor’s name and furnish the minor’s SSN. 3 You must show your individual name and you may also enter your business or “DBA” name on the second name line. You may use either your SSN or EIN (if you have one), but the IRS encourages you to use your SSN. 4 List first and circle the name of the trust, estate, or pension trust. (Do not furnish the TIN of the personal representative or trustee unless the legal entity itself is not designated in the account title.) Also see Special rules for partnerships on page 1. Note. If no name is circled when more than one name is listed, the number will be considered to be that of the first name listed. Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons who must file information returns with the IRS to report interest, dividends, and certain other income paid to you, mortgage interest you paid, the acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA, or Archer MSA or HSA. The IRS uses the numbers for identification purposes and to help verify the accuracy of your tax return. The IRS may also provide this information to the Department of Justice for civil and criminal litigation, and to cities, states, the District of Columbia, and U.S. possessions to carry out their tax laws. We may also disclose this information to other countries under a tax treaty, to federal and state agencies to enforce federal nontax criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to file a tax return. Payers must generally withhold 28% of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to a payer. Certain penalties may also apply.
  • EXHIBIT B BIDDER’S RESPONSE FORM
  • Information Technology Temporary Personal Services RFP BIDDER’S RESPONSE FORM OFFEROR NAME _________________________________________________ CEILING CATEGORY/TITLE RESPONSE* RATE* MANAGEMENT Project Manager (Entry Level) ___________ ________________(1) Project Manager ___________ ________________(2) Project Manager II ___________ ________________(3) Project Manager III ___________ ________________(4) Project Manager IV ___________ ________________(5) Project Manager (Development) ___________ ________________(6) Project Manager (Infrastructure) ___________ ________________(7) Project Manager (Implementation) ___________ ________________(8) (IBM) Operations Platform Manager ___________ ________________(9) (UNISYS) Operations Platform Manager ___________ _______________(10) (Open Systems) Operations Platform Manager ___________ _______________(11) (Production Controls Operations) Platform Manager ___________ _______________(12) (Print Operations) Platform Manager ___________ _______________(13) (Media) Library Supervisor II ___________ _______________(14) (Open Systems) Production Control Supervisor ___________ _______________(15) (IBM) Production Control Supervisor ___________ _______________(16) Specialist III ___________ _______________(17) Facilities Plant Manager ___________ _______________(18) UNISYS/COBOL Programmer I ___________ ________________(19) Programmer II ___________ ________________(20) Application Programming Manager ___________ ________________(21) Advanced and Group Leaders ___________ ________________(22) UNISYS COBOL Consultant ___________ ________________(23) Application Architect ___________ ________________(24)
  • Information Technology Temporary Personal Services RFP BIDDER’S RESPONSE FORM PAGE 2 OFFEROR NAME __________________________________________________ CEILING CATEGORY/TITLE RESPONSE* RATE* UNISYS DMS-1100 DATA BASE ADMINISTRATION Data Base Administrator ___________ _______________(25) Data Base Consultant/Designer ___________ _______________(26) Data Base Supervisor ___________ _______________(27) Data Base Programmer ___________ _______________(28) Data Base Performance Specialist ___________ _______________(29) Production Control Specialist ___________ _______________(30) Production Control Supervisor ___________ _______________(31) File Management Supervisor ___________ _______________(32) File Management Specialist ___________ _______________(33) Computer Console Operator III ___________ _______________(34) Quality Control Specialist ___________ _______________(35) Forms Support Specialist ___________ _______________(36) TELECOMMUNICATIONS Manager of Software Support ___________ ______________(37) Manager of Telecommunications ___________ ______________(38) Support Manager of Data Communications ___________ ______________(39) Data Communications Specialist ___________ ______________(40) Network Performance Specialist ___________ ______________(41)
  • Information Technology Temporary Personal Services RFP BIDDER’S RESPONSE FORM PAGE 3 OFFEROR NAME __________________________________________________ CLIENT SERVER Client Server Programmer ___________ ______________(42) Data Base Architect ___________ ______________(43) Client Server Application Architect ___________ ______________(44) Oracle Database Administrator ___________ ______________(45) Oracle Database Administrator/ ___________ ______________(46) Warehouse Architect SQL Server Database Administrator ___________ ______________(47) Client Server and Development ___________ ______________(48) Tool Consultant Performance Specialist ___________ ______________(49) Windows OS Specialist ___________ ______________(50) Power Builder Programmer/Architect ___________ ______________(51) Web Application Developer ___________ ______________(52) Web Interface Designer ___________ ______________(53) Java Developer ___________ ______________(54) J2EE Architect ___________ ______________(55) UNISYS OPERATIONS Disaster Recovery Planner/Specialist __________ ______________(56) Computer Systems Programmer __________ ______________(57) Manager of Computer Operations __________ ______________(58) Computer Operator V __________ ______________(59) Computer Operator V __________ ______________(60) (Production Control) Computer Operator I __________ ______________(61) Disaster Recovery Planning Specialist __________ ______________(62) SECURITY Security Designer/Data Administrator _________ ______________(63) Security Administrator __________ ______________(64) Facilities Planning Specialist __________ ______________(65)
  • Information Technology Temporary Personal Services RFP BIDDER’S RESPONSE FORM PAGE 4 OFFEROR NAME __________________________________________________ CEILING CATEGORY/TITLE RESPONSE* RATE* OFFICE AUTOMATION OA Coordinator __________ ______________(66) Site Contact __________ ______________(67) LAN Administrator __________ ______________(68) Microsoft Support Specialist I __________ ______________(69) Microsoft Support Specialist II __________ ______________(70) OA Installer __________ ______________(71) OA Hotline Support Staff __________ ______________(72) Information Center User Consultant __________ ______________(73) IMPLEMENTATION/TRAINING Requirements Definition Specialist __________ ______________(74) Workflow Analyst __________ ______________(75) Design Facilitator __________ ______________(76) Training Specialist __________ ______________(77) Coordinator (Implementation/Training) __________ ______________(78) Implementation Specialist __________ ______________(79) System Tester __________ ______________(80) User/Product Test Specialist __________ ______________(81) Automated System Tester __________ ______________(82) BUSINESS ANALYSIS AND TECHNICAL WRITING Business Analyst _______________ _______________(83) Technical Writer _______________ _______________(84) Documentation Specialist/ _______________ _______________(85) Technical Writer Facilitator _______________ _______________(86) Procedures Writer _______________ _______________(87)
  • Information Technology Temporary Personal Services RFP BIDDER’S RESPONSE FORM PAGE 5 OFFEROR NAME __________________________________________________ CEILING CATEGORY/TITLE RESPONSE* RATE* CLERICAL Word Processing/Keyboard Specialist _______________ _______________(88) Administrative Assistant _______________ _______________(89) File Conversion Clerk _______________ _______________(90) Data Processing Clerk _______________ _______________(91) Clerk _______________ _______________(92) Laborer _______________ _______________(93) (Media) Librarian _______________ _______________(94) Facilities Security Attendant _______________ _______________(95) IBM Consultant/Designer _______________ _______________(96) Computer Systems Programmer _______________ _______________(97) Application Architect _______________ _______________(98) Production Control Specialist _______________ _______________(99) File Management Supervisor _______________ ______________(100) File Management Specialist _______________ ______________(101) Computer Console Operator III _______________ ______________(102) Forms Support Specialist _______________ ______________(103) Quality Control Specialist _______________ ______________(104) Open Systems Production Control Specialist _______________ ______________(105) File Management Supervisor _______________ ______________(106) File Management Specialist _______________ ______________(107) Computer Console Operator III _______________ ______________(108) Telecom Computer Console Operator III _______________ ______________(109) Computer Operator II (Tape/Print/ Client Server Backup & Storage _______________ _______________(110)
  • Information Technology Temporary Personal Services RFP BIDDER’S RESPONSE FORM PAGE 6 *NOTE: Write or type YES on the line for each title your firm commits to being capable of providing one or more candidates to fill positions through the Task Order Award solicitation. The “ceiling rate” proposed for each title shall be the all inclusive [i.e., travel (unless otherwise explicitly stated), meals, fringe, administrative overhead, overtime, etc.] hourly rate for a standard eight hour day, forty hour week, exclusive of lunch breaks, vacation and sick leave. Such rates shall be the maximum allowable by a stand-by contractor in response to a Task Order Award solicitation. All work is expected to be performed on-site at State locations specified in the task order and ceiling rates proposed should be based on such work locations.
  • Exhibit C Contract Signature Page 16 original signatures required
  • Contract Signature Page Agency Code: _________________Contract Number: CM_____AA Agency Certification In addition to acceptance of this contract, I also certify that original copies of this signature page will be attached to all other exact copies of this contract ______________________________________ ______________________________               Agency Signature          Dated ______________________________________ ______________________________               Contractor Signature Dated Contractor Signatory Name Printed__________________________________ Contractor Signatory Title:______________________________________   CORPORATE, PARTNERSHIP OR INDIVIDUAL ACKNOWLEDGMENT STATE OF } : SS.: COUNTY OF } On the ____ day of ___________________in the year 20 __ , before me personally appeared: ____________________________________________________________, known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that _he resides at _________________________________________________________, Town of _____________________________________, County of _____________________ , State of ____________________ ; and further that: [Check One] ( If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf. ( If a corporation): _he is the _________________________________ of ____________________________________, the corporation described in said instrument; that, by authority of the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation. ( If a partnership): _he is the ________________________________ of ___________________________________, the partnership described in said instrument; that, by the terms of said partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for the purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name and on behalf of said partnership as the act and deed of said partnership. ________________________________________________ Notary Public Approved: Approved: Andrew M. Cuomo Thomas P. DiNapoli Attorney General State Comptroller By: ________________________ By: ________________________ Date: ______________________ Date: ______________________
  • EXHIBIT D PERSONAL SERVICE REQUIREMENTS
  • EXHIBIT D PERSONAL SERVICE REQUIREMENTS Note: Additional work-related experience or education may be substituted, at the discretion of the State, on a one-for-one basis if explicitly stated in the Task Order Award solicitation. The Task Order Award solicitation may also specify that one or more mandatory qualifications for a given job title have been waived for the solicitation. MANAGEMENT • Project Manager (Entry Level) • Project Manager • Project Manager II • Project Manager III • Project Manager IV • Project Manager (Development) • Project Manager (Infrastructure) • Project Manager (Implementation) • (IBM) Operations Platform Manager • (UNISYS) Operations Platform Manager • (Open Systems) Operations Platform Manager • (Production Controls Operations) Platform Manager • (Print Operations) Platform Manager • (Media) Library Supervisor II • (Open Systems) Production Control Supervisor • (IBM) Production Control Supervisor • Specialist III • Facilities Plant Manager UNISYS/COBOL • Programmer I • Programmer II • Application Programming Manager • Advanced and Group Leaders • UNISYS COBOL Consultant • Application Architect
  • UNISYS DMS-1100 DATA BASE ADMINISTRATION • Data Base Administrator • Data Base Consultant/Designer • Data Base Supervisor • Data Base Programmer • Data Base Performance Specialist • Production Control Specialist • Production Control Supervisor • File Management Supervisor • File Management Specialist • Computer Console Operator III • Quality Control Specialist • Forms Support Specialist TELECOMMUNICATIONS • Manager of Software Support • Manager of Telecommunications Support • Manager of Data Communications • Data Communications Specialist • Network Performance Specialist CLIENT SERVER • Client Server Programmer • Data Base Architect • Client Server Application Architect • Oracle Database Administrator • Oracle Database Administrator/Warehouse Architect • SQL Server Database Administrator • Client Server and Development Tool Consultant • Performance Specialist • Windows OS Specialist • Power Builder Programmer/Architect • Web Application Developer • Web Interface Designer • Java Developer • J2EE Architect
  • UNISYS OPERATIONS • Disaster Recovery Planner/Specialist • Computer Systems Programmer • Manager of Computer Operations • Computer Operator V • Computer Operator V (Production Control) • Computer Operator I • Disaster Recovery Planning Specialist SECURITY • Security Designer/Data Administrator • Security Administrator • Facilities Planning Specialist OFFICE AUTOMATION • OA Coordinator • Site Contact • LAN Administrator • Microsoft Support Specialist I • Microsoft Support Specialist II • OA Installer • OA Hotline Support Staff • Information Center User Consultant IMPLEMENTATION/TRAINING • Requirements Definition Specialist • Workflow Analyst • Design Facilitator • Training Specialist • Coordinator (Implementation/Training) • Implementation Specialist • System Tester • User/Product Test Specialist • Automated System Tester
  • BUSINESS ANALYSIS AND TECHNICAL WRITING • Business Analyst • Technical Writer • Documentation Specialist/Technical Writer • Facilitator • Procedures Writer CLERICAL • Word Processing/Keyboard Specialist • Administrative Assistant • File Conversion Clerk • Data Processing Clerk • Clerk • Laborer • (Media) Librarian • Facilities Security Attendant IBM • Consultant/Designer • Computer Systems Programmer • Application Architect • Production Control Specialist • File Management Supervisor • File Management Specialist • Computer Console Operator III • Forms Support Specialist • Quality Control Specialist Open Systems • Production Control Specialist • File Management Supervisor • File Management Specialist • Computer Console Operator III Telecom
  • • Computer Console Operator III • Computer Operator II (Tape/Print/Client Server Backup & Storage) NOTE: Additional work-related experience or education may be substituted, at the discretion of the State, on a one-for-one basis. Such substitutions shall be allowable if described by the State in its solicitations under the Task Order Award process.
  • MANAGEMENT Project Manager (Entry Level) • At least 18 months experience overseeing basic IT related projects that would have few deliverables and/or a limited number of completion steps. • A BS Degree in a relevant information technology/operations management/computer science discipline may be equated for up to a year of required relevant experience Project Manager • A four year college degree • Eight years experience in Data processing and Computer System Development • Three years experience: • supervising staff • customer interface activities • working with established documentation standards and tools • working with COBOL (optional), Client/Server or Web application development tools in both a mainframe (optional) and PC development environment Project Manager II • At least 24 months experience overseeing basic IT related projects that would have few deliverables and/or a limited number of completion steps. • A BS degree in a relevant information technology/operations management/computer science discipline may be equated for up to a year of required relevant experience Project Manager III • Minimum 4 years experience overseeing IT projects of moderate complexity, which would include sub-projects and distinct deliverables. • A BS degree in a relevant information technology/operations management/computer science discipline may be equated for up to a year of required relevant experience • An MS or MBA in a relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience.
  • Project Manager IV • 8 years experience overseeing medium to large scaled IT projects which would be comprised of sub-projects and distinct deliverables. • A BS degree in a relevant information technology /operations management/computer science discipline may be equated for up to a year of the required relevant experience. • An MS or MBA in a relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required experience Project Manager (Development) • A four year college degree • Eight years experience in Data Processing and Computer System Development • Three years experience: • with mainframe and/or Client/Server systems development • with the use of Client/Server and Web language development tools • object oriented development experience Project Manager (Infrastructure) • A four year college degree • Eight years experience in Data Processing and Computer System Development • Three years experience: • in Client/Server hardware systems platforms • the management of distributed systems • in UNIX and Windows NT/2000/XP (or latest version of Microsoft Operating System) operating systems management with Client/Server and Web language development tools in mainframe and/or PC development environments Project Manager (Implementation) • Bachelor’s degree and eight years experience in a systems development environment • Seven years technical experience in planning, installing, implementing and administering a large-scale data processing system utilizing a mainframe computer and/or client/server environment, with telecommunications, remote equipment and database capabilities • Five years experience in a system testing environment, including test plan execution and development • Five years of technical experience in planning, installing, implementing, training curriculum development and administering a large scale data processing system, with telecommunications, remote equipment and database capabilities • Three years experience in: • a supervisory role • customer interface activities • test plan documentation standards
  • (IBM) Operations Platform Manager • Minimum Seven years experience, supervising a large-scale UNISYS (2200 or A Series) Platform, an IBM mainframe Platform, a large-scale Open Systems Platform or a large-scale Computer Print or Production Control Operation or any combination of experience supervising in the above environments. and o A minimum of three years of the above experience must have been managing a minimum of 25 employees in a data center environment • or o A minimum of three years experience as Manager/Director for Computer Operations, Open Systems Production Control or Print/ Production Control. • and o Three years experience managing the operations of an IBM Operations Platform Data Center. • A Bachelor of Science Degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of the required relevant experience. •
  • (Unisys) Operations Platform Manager • Minimum Seven years experience, supervising a large-scale UNISYS (2200 or A Series) Platform, an IBM mainframe Platform, a large-scale Open Systems Platform or a large-scale Computer Print or Production Control Operation or any combination of experience supervising in the above environments. and o A minimum of three years of the above experience must have been managing a minimum of 25 employees in a data center environment • or o A minimum of three years experience as Manager/Director for Computer Operations, Open Systems Production Control or Print/ Production Control. • and o Three years experience managing the operations of an IBM Operations Platform Data Center. • A Bachelor of Science Degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of the required relevant experience.
  • (Open Systems) Operations Platform Manager • Minimum Seven years experience, supervising a large-scale UNISYS (2200 or A Series) Platform, an IBM mainframe Platform, a large-scale Open Systems Platform or a large-scale Computer Print or Production Control Operation or any combination of experience supervising in the above environments. and o A minimum of three years of the above experience must have been managing a minimum of 25 employees in a data center environment • or o A minimum of three years experience as Manager/Director for Computer Operations, Open Systems Production Control or Print/ Production Control. • and o Three years experience managing the operations of an IBM Operations Platform Data Center. • A Bachelor of Science Degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of the required relevant experience. (Production Controls Operations) Platform Manager • Minimum Seven years experience, supervising a large-scale UNISYS (2200 or A Series) Platform, an IBM mainframe Platform, a large-scale Open Systems Platform or a large-scale Computer Print or Production Control Operation or any combination of experience supervising in the above environments. and o A minimum of three years of the above experience must have been managing a minimum of 25 employees in a data center environment • or o A minimum of three years experience as Manager/Director for Computer Operations, Open Systems Production Control or Print/ Production Control. • and o Three years experience managing the operations of an IBM Operations Platform Data Center. • A Bachelor of Science Degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of the required relevant experience.
  • (Print Operations) Platform Manager • Minimum Seven years experience, supervising a large-scale UNISYS (2200 or A Series) Platform, an IBM mainframe Platform, a large-scale Open Systems Platform or a large-scale Computer Print or Production Control Operation or any combination of experience supervising in the above environments. and o A minimum of three years of the above experience must have been managing a minimum of 25 employees in a data center environment • or o A minimum of three years experience as Manager/Director for Computer Operations, Open Systems Production Control or Print/ Production Control. • and o Three years experience managing Print Operations in a Data Center. • A Bachelor of Science Degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of the required relevant experience. (Media) Library Supervisor II • Three years general experience as a data processing clerk in a data center environment. • Two years of the above experience must have been as a supervisor in a computer center tape library. (Open Systems) Production Control Supervisor • Five years of combined experience working in a large-scale operations function in either a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o Three years of the above experience must have been in a supervisory role in Production Control. o Two (2) years of the above experience must have been in open systems console monitoring using products such as Tivoli, HP Openview, and Viewpoint. • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience
  • (IBM) Production Control Supervisor • Five years of combined experience working in a large-scale operations function in either a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o Three years of the above experience must have been in a supervisory role in Production Control. o Two (2) years of the above experience must have been in scheduling and problem resolution of production jobs at a large IBM Mainframe installation. • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience Specialist III • Eight years of progressively responsible experience managing a data processing and computer operations environment. o Four years of the above experience needs to have been performing staff supervision and/ or administrative responsibilities in a large data processing environment. • A Bachelor of Science Degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of the required relevant experience Facilities Plant Manager • Five years of experience managing a data center facility to include one (1) year experience managing all aspects of HVAC, environmental controls and security controls
  • UNISYS/COBOL Programmer I • Bachelor’s or Associate’s degree • One year minimum hands-on COBOL programming experience Programmer II • Bachelor’s or Associate’s degree • 30 months minimum total hands-on COBOL programming experience Application Programming Manager • Bachelor’s degree • Minimum of ten (10) years of progressive data processing experience, including: • at least five (5) years of programming experience • at least three (3) years as a supervisor/group leader • at least three (3) years managing application systems development • Knowledge, skills and three years experience with: • DBMS • Development of on-line systems in the proposed transaction processing environment • Project management tools, e.g., Microsoft Project, Project Manager’s Workbench, et al. • Top down project development and structured techniques • Adherence to project, facility and operation standards, programming standards and documentation standards. • In-depth knowledge of: • Structured program development techniques • Top down project development techniques • Specific knowledge of, and three years experience with, UNISYS based software, including database management software (DMS-11000), and on-line transaction interface software (TIP).
  • Advanced and Group Leaders • Bachelor’s degree • Minimum of seven (7) years of progressive data processing experience, including: • at least four (4) years of programming experience • at least five years (5) hands-on COBOL programming experience • at least two (2) years as a supervisor/group leader • at least (2) years of hands-on experience with DMS-1100 and TIP • Three years minimum hands-on experience in those skills required for Programmer I and II plus a minimum of two years hands-on experience in: • Real-time transaction programming • Advanced programming techniques, including indexed sequential and random access file structures, table handling with subscripts and indices, binary and serial search, implementing subroutines using COBOL linkage and common storage structures, and others. • Working knowledge and three years experience with: • System analysis and design • Structured programming techniques • Code walk-throughs • Structured testing techniques • Advanced programming techniques UNISYS COBOL Consultant • An Associate’s degree and one year of work-related experience. • Two years experience in the following: • COBOL 74 and/or 85 (ACOB/UCOB) on UNISYS mainframes • UNISYS ECL • monitoring production work • UNISYS TIP, MCB, and DMS/RDMS Application Architect • A four year college degree • Eight years experience in Data processing and Computer System Development • Three years experience managing systems development • Two years experience: • supervising staff • working with customers and technical staff • with UNISYS DMS1100 and TIP environments • in the use of system design techniques and tools • with Client Server systems development in an open computing environment utilizing 4th generation language development tools • object oriented experience • managing the development and adjustment of original physical and logical architecture plan, including definition of standards
  • UNISYS DMS-1100 DATA BASE ADMINISTRATION Data Base Administrator • Twelve years of progressively responsible experience in the design, development and implementation of major computer systems and for data processing projects; • five years of which must have been in the technical data base aspects of implementing or maintaining a large scale multi-faceted system • at least three years on a large system of hardware and software • three years of this experience must have been in the administrative management and/or supervision of technical data base systems. • Thorough knowledge of computer concepts involving designing and implementing data bases, information systems and data communication network. Data Base Consultant/Designer • Three years experience: • data modeling and logical design • creating and maintaining DMS-1100/RDMS1100 schemas • developing and implementing backup and recovery procedures Data Base Supervisor • Bachelor’s degree • Seven years of progressively responsible data processing experience to include a minimum of three years experience in the technical design, development and programming of a data base within a large scale system operating with DMS1100/RDMS1100 Data Base Programmer • Minimum of one year experience in the technical design, development and programming of a data base within a large scale system operating with UNISYS DMS1100/RDMS1100 • Five years of progressive data processing experience, at least three of which must have been in support of Data Base Administration. Data Base Performance Specialist • Three years experience in the design of large systems with at least one year experience in performance tuning of DMS1100/RDMS1100 data bases
  • Production Control Specialist • Three years of experience as Supervisor in Production Control in a large-scale operation. Experience must have been in either a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o Two (2) years of the above experience must have been performing production job scheduling and production job problem resolution at a large UNISYS Mainframe (A Series or 2200) installation • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to one year of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience. Production Control Supervisor • Five years of combined experience working in a large-scale operations function in either a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o Three years of the above experience must have been as a supervisor in Production Control. o Two (2) years of the above experience must have been in scheduling and problem resolution of production jobs at a large UNISYS Mainframe installation • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience File Management Supervisor • Five years of experience as a File Management Supervisor in a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o At least three years of the above experience must have been with overall responsibility in File Management. o Two (2) years of the above experience must have been performing at a large UNISYS Mainframe (A Series or 2200) installation A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience
  • File Management Specialist • Three years of experience working as a File Management Specialist in a large-scale operation in a UNISYS (2200 or A Series) mainframe environment. o Two (2) years of the above experience must have been in a supervisory role responsible for File Management. • A BS degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. An MS or MBA degree in a relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience Computer Console Operator III • Five (5) years of progressively responsible data processing experience as a UNISYS 2200 & A Computer Console Operator o At least three years of the above experience must have been as a Computer Console Operator in a data center Quality Control Specialist • Three years of experience performing operational functions in an IBM or UNISYS (2200 or A Series) mainframe environment. • Two (2) years of the above experience must have been in a supervisory role with primary responsibilities in the print operations area. • In addition two years of the above experience must also have been in quality control to include development of quality control standards, practices and procedures for a substantial print operation that provided service to multiple customers. • In addition one (1) year of the above experience must have been using UNISYS ECL. • A BS degree in a relevant information technology/operations management/computer science discipline may be equated for up to one year of required relevant experience as outlined above. Forms Support Specialist Two (2) years experience in forms design and production for an IBM Mainframe or UNISYS (2200 or A Series) Mainframe Data Center environment
  • TELECOMMUNICATIONS Manager of Software Support • Nine years of progressive data processing experience including: • three years of programming in operating system language • three years of system support • at least three years of managerial responsibility • Three years experience with executive support utilities, language processors and data management systems software. • Three years experience with mainframes, front-end processors, and other hardware, utilizing mainframe operating system. Manager of Telecommunications Support • Nine years of progressive data processing experience, including: • three years of assembler language programming • three years of telecommunications software support of a large installation • at least three years of management responsibility. • Three years experience with communication hardware and software, including asynchronous and synchronous protocols, front-end support, cluster controllers and networking. Manager of Data Communications • Seven years of progressive data processing experience, three years of which must have been in support of telecommunications systems. • Three years of Network Control experience including trouble call diagnosis and follow up in a user environment with at least 100 varied end points (dial modem, direct connect) Data Communications Specialist • Five years of progressive data processing experience, two of which must have been in support of telecommunications systems • Three years experience: • in TCP/IP, SNA • with hubs, routers, switches • and knowledge of ATM, frame relay
  • Network Performance Specialist • Six years of progressive data processing experience, three of which have been in support of telecommunications systems • One year of experience: • in the analysis of frame relay network performance • frame relay performance and error statistics • router functionality • Ethernet LAN performance statistics • and Network Protocols, especially TCP/IP
  • CLIENT SERVER Client Server Programmer • Associate’s degree • Must have a minimum of two years application development experience using one or more of the following concepts and technologies: • Object Oriented Analysis, Design and Development • UML • XML • N-tiered client/server development • Web services • JAVA based tools such as: • Websphere • Enterprise Java Beans • IBM HTTP Server • Ant – Java build tool • Must have a minimum of two years experience performing development work in one or more of the following specialty areas: • Unisys COBOL • Micro Focus COBOL • MAPPER • RDMS • C++ • Visual Basic 6.0 • Visual Studio .Net (or latest version) • IIS • COM+ • Oracle 9i, Oracle 10g, or higher • Windows NT/2000/XP (or latest version of Microsoft Operating System) • Telecommunications • GUI
  • Data Base Architect • Five years experience in designing and implementing high volume multiple database environments (specifically Oracle 9i, Oracle 10g, or higher) • Three years experience in: • design strategies for migration from hierarchical structures to relational databases and integrating those on multiple platforms. • design and implementation of data warehousing and data mart activities in a heterogeneous database environment • the development and implementation of operational standards and protocols • knowledge transfer, transition of systems and mentoring Client Server Application Architect • Five to eight years experience designing and implementing large scale C/S open systems environments. • Minimum five years experience in one or more of the following design/development tools: • Microsoft tools: • Visual Studio .Net or Visual Basic 6.0 (or latest version) • COM+ • IIS • Java based tools: • WAS – Websphere Application Server • WSED or WSAD – Websphere Studio (Enterprise/Application) Developer • EJB – Enterprise Java Beans • IHS – IBM HTTP Server • Ant – Java build tool • Modeling Tools • Rational Rose • Visual Modeler • Oracle 9i or 10g, or higher • Stored procedures, functions, packages • PL/SQL
  • Oracle Data Base Administrator • Five years experience working with Oracle, with a thorough understanding of the architecture and processes of the Oracle server, including Oracle 9i and/or Oracle10g, or higher • Three years experience as an Oracle database administrator in a production database environment • Database Administrator experience with the development of large scale, complex applications involving on-line and batch environments • Three years experience in monitoring and tuning the general performance of the Oracle database • Three years experience writing SQL-PL/SQL, stored procedures and triggers • Three years experience in identifying business rules and database design • Experience in the transition of systems, including the transfer of knowledge and mentoring Oracle Database Administrator/Warehouse Architect • Five years experience working with Oracle, with a thorough understanding of the architecture and processes of the Oracle server, including Oracle9i and/or Oracle10g, or higher • Three years experience as an Oracle database administrator in a production database environment • Three years experience in monitoring and tuning the general performance of the Oracle database • Three years experience writing SQL-PL/SQL, stored procedures and triggers • Three years experience in identifying business rules and database design • One year experience in the transition of systems, including the transfer of knowledge and mentoring • Three years experience in the design and implementation of data warehousing and data mart activities in multiple, large scale database environments • Three years experience in designing strategies for migrating data from hierarchical to relational database structures, and integrating these strategies on multiple platforms • SQL Server Database Administrator • Three years experience working with SQL Server, with a thorough understanding of the architecture and processes of SQL Server 7.0 and/or SQL Server 2000 • Three years experience with the design, development, and implementation of large scale, complex applications involving on-line and batch environments • Three years experience installing, maintaining, tuning and general performance of the SQL Server database product • Three years experience writing SQL language, stored procedures and triggers • Three years experience with knowledge transfer, transition of systems and mentoring
  • Client Server and Development Tool Consultant • Must have two years of experience with 4th generation language development tools • Two years of experience in : • developing large mission critical applications using Client/Server implementation • 3-Tier design, development and deployment including RAD/JAD methodology • knowledge transfer, transition of systems and mentoring • Intra/Inter Net deployment Performance Specialist • A Bachelor’s degree • Five years of progressive data processing experience, two of which must have been as a performance specialist. • Three years experience working in a Client/Server environment with: • Workstation and server hardware/software configurations • UNIX • Microsoft Windows NT NT/2000/XP (or latest version of Microsoft Operating System) desktop operating system • Microsoft Windows NT/2000/2003 (or latest version of Microsoft Operating System) server operating system • Microsoft Exchange Server • Communications involving large LAN, WAN and Dial-in environments Windows OS Specialist • Five years of progressive data processing experience • Two years experience providing technical support in a large scale Client/Server open systems environment for: • Microsoft Windows NT/2000/2003 (or latest version of Microsoft Operating System) Server operating system • Microsoft Windows NT/2000/XP (or latest version of Microsoft Operating System) desktop operating system • Microsoft Exchange Server Power Builder Programmer/Architect • Must have two years experience designing and implementing client server systems using Power Builder for the applications and Oracle 9i, Oracle 10g, or higher for the database (familiarity with other databases may be required). This experience must include data windows, object oriented applications, application partitioning and building with Power Builder Foundation Class (PFC’s) and data modeling with S-Designer Web Application Developer • An Associate’s degree
  • • Must have a minimum of 2 years experience developing web sites using one or more of the following tools and techniques: • Developing user interaction models and user flow diagrams • Site navigation maps • User Accessibility and 508 compliance • State vs stateless applications • HTML, DHTML, CSS, XSL • XML • UML • Microsoft tools • Visual Studio .Net (or latest version ) • Visual Basic 6.0 • ASP.Net or ASP • IIS Version 6.0 • FrontPage • Java tools • JSP • Servlets • Java Script • HIS • Must have an understanding of database concepts and SQL commands • Must be familiar with MS Windows NT 4.0/2000/XP (or latest version of Microsoft Operating System) Web Interface Designer • An associate’s or bachelor’s degree in Graphics Design or similar discipline • A minimum of 2 years experience developing graphical user interfaces • At least 1 year experience developing graphical interfaces for the Web • Experience designing and developing Web pages using graphics design principles • Experience using common Web Authoring tools such as Microsoft Front Page • Familiarity with Paint Shop Pro 5.0 Java Developer • Associate's Degree • Minimum of 4 years of JAVA programming experience. • Minimum of 3 years experience with each of the following: • Enterprise Java Bean (EJB) development and transaction management • JSPs/Servlet development J2EE Architect • Associate's Degree • Minimum of 5 years of JAVA programming experience. • Minimum of 3 years experience with each of the following:
  • • JSPs/Servlet development • Enterprise Java Bean (EJB) development and transaction management • Designing J2EE applications and applying J2EE design patterns in a large-scale, mission- critical environment • Integration of J2EE applications with other systems
  • UNISYS OPERATIONS Disaster Recovery Planner/Specialist • Twelve years of progressively responsible experience in data processing and computer operations management • Four years experience with supervision or administration in a large scale data processing environment • Three years experience at a large installation employing the following hardware and software skills and experience: • experience in a high-volume online production environment • experience with Production Control, Network Control and Operations interfaces • experience with and ability to develop and implement operating policy and procedures • experience in development of Disaster Recovery plans for large data processing sites with both mainframe and Client/Server applications • experience in development of and supervision of Disaster Recovery test plans Computer Systems Programmer • Seven years of progressive data processing experience, three of which must have been in systems software support. • Two years of systems support experience at a large Unisys installation Manager of Computer Operations • Seven years of experience operating the proposed hardware operational and production environment, at least five of which must have been in a Director of Computer Operations supervisory or managerial capacity - 25 employees or more Computer Operator V • Five years of experience in operating Unisys hardware at least three of which must have included supervisory responsibility. Computer Operator V (Production Control) • Five years of experience in operating Unisys hardware at least three of which must have included supervisory responsibility • Two years experience in scheduling jobs and resolving problems at an installation utilizing Unisys hardware and software Computer Operator I • One year of satisfactory experience in the operation of a large size mainframe.
  • Disaster Recovery Planning Specialist • Twelve years of progressively responsible experience in data processing and computer operations management to include: • Three years of the above experience must have been in development, implementation and testing of Disaster Recovery Plans of a large size mainframe. SECURITY Security Designer/Data Administrator • Bachelor’s degree • Must have two to three years experience working with Client/Server and Web security systems (Netegrity Siteminder, etc.) and having a general responsibility for awareness throughout an organization of available information resources. This includes receiving and reviewing all requests for access to data files, maintaining a data dictionary of information assets and responding to access requests Security Administrator • One year experience with RACF or other mainframe security package, and implementing and maintaining a security database and implementing access that has been authorized • One year experience with client/server, web or network security systems, including implementing and maintaining a security database and implementing access permissions. Facilities Planning Specialist • Five years experience in site preparation, planning and installation of the components of a Computer Data Center
  • OFFICE AUTOMATION OA Coordinator • Three years experience in: • the use of OA technology to support a user’s mandate and objectives • site preparation, hardware and software needs, training coordination and problem resolution • training staff to fulfill necessary OA roles • Site contact for site planning and preparation • Network administrator • Staff who will use OA equipment • Identifying the desired locations for OA equipment • OA security including, identification of each user and what access they should be allowed • Security of the unit’s data on the desk station, on the LAN and on the End User mainframe • Physical security of the hardware and software Site Contact • Two years experience in: • site preparation • Problem solving • Identifying office layouts. • Insuring attendance of building rep/electrician at survey. • Receiving equipment. • Ordering renovations and overseeing same • Knowledge of CAT5, wiring specs LAN Administrator • Two years experience working with microcomputers and LANs: • supporting and maintaining the operating system and the file directory structures of microcomputer hard disk drives • supporting and maintaining the Local Area Network operating system application software • performing system security and data back-up responsibilities • with the OA hardware/software at the local site to be able to assist in problem identification and resolution
  • Microsoft Support Specialist I • Two years experience resolving user problems by conducting technical research and providing problem resolution and documentation in a Help Desk setting. Experience should be equivalent to Help Desk Level 3, that is, experienced technician or vendor level support knowledge and activities. • Two years experience supporting Microsoft Windows XP Professional / 2000 or currently deployed versions. A thorough knowledge of Windows operating system administrative practices and tools/utilities is required including methods for migrating user accounts and profiles • Two years experience building and deploying pc images in a corporate environment and Windows operating system network. • Two years experience with Microsoft Outlook 2003 (or more current version) E-Mail Client and Calendaring – Specific knowledge and experience in supporting users in a corporate environment that relies heavily on file and document sharing is required. A thorough understanding of delegate access, folder permissions, the application of rules and the scheduling of meetings. • Two years experience with Microsoft Office Suite 2003 (or more current version). Microsoft Support Specialist II • Five years experience resolving user problems by conducting technical research and providing problem resolution and documentation in a Help Desk setting. Experience should be equivalent to Help Desk Level 3, that is, experienced technician or vendor level support knowledge and activities. • Five years experience working with executive level staff and the ability to transfer office automation knowledge to executive staff in a clear and concise manner. • Five years experience supporting Microsoft Windows XP Professional / 2000 (or current Microsoft operating system versions). A thorough knowledge of the current Windows operating system administrative practices and tools/utilities is required including methods for migrating user accounts and profiles • Five years of experience building and deploying pc images in a corporate environment and Windows operating system network. • Five years experience with Microsoft Outlook E-Mail Client and Calendaring – with specific and working knowledge and experience in the most currently deployed version. Specific working knowledge in supporting users in a corporate environment that relies heavily on file and document sharing is required. A thorough understanding of delegate access, folder permissions, the application of rules and the scheduling of meetings. • Five years experience with Microsoft Office Suite and specific working knowledge of the most currently deployed versions. • Specific knowledge and experience with software packages used by the State including but not limited to Norton Anti-Virus Corporate Edition administration, Internet Explorer 5.5 / 6.0, Terminal Server/Citrix, GHOST. • Five years of support for laptop PCs and handheld devices that should include remote access installations and troubleshooting.
  • OA Installer • At least two years experience and knowledge in: • network administration • site preparations • electrical requirements • space utilization • scheduling and planning • Pre-site surveys • Scheduling technical site survey • Performing technical site survey • Drawing installation plan • Site planning • Pre-installation planning • Preparation site/equipment accountability • Site prep checks/installation schedule • Performing installations • Data cabling standards • Desktop troubleshooting
  • OA Hotline Support Staff • Five years experience and knowledge in the following areas: • Microsoft NT/200/XP (or current version OS) structures and maintenance • problem solving, needs analysis and systems analysis. • Interviewing users and/or reviewing documents to gather information and further analyze problems. • Conducting technical research on Automation problems or methods to enhance utilization of approved products. • LAN administration activity • Referring problems as necessary, following up on referrals, and logging solutions and completion dates • Ensuring that questions or problems are addressed promptly • Answering questions and solving problems immediately, if possible • Maintaining Hotline documentation. • Compiling and analyzing statistics on the type and frequency of questions and problems encountered as a tool for planning for future products and services. • Determining where further education or training is needed for users as well as State staff, and relaying that information to State trainers and/or management. • Educating and assisting users in hardware/software usage, security backup and recovery process. • Addressing data security and integrity considerations. • Providing interface with vendor support organizations. • Providing application development assistance for graphics and presentations, including the use of printer, plotters, color copiers and computer projection devices. • Providing assistance to users in conversion of data between differing OA systems. • Providing weekly reports to management, including statistics of technical assistance, problems encountered needing management decisions and types of problems resolved. • Installing software and configuring peripheral devices, as needed
  • Information Center User Consultant • Three years experience in the following: • Use of 4th Generation languages and/or application generators for development of user applications. • Use of query language capabilities for access of data from information retrieval data bases. • Use of statistical software (mainframe and PC versions) for analyzing data sets. • Use of data display and graphics packages. • Design and development of data bases for decision support and information retrieval. • Training end users to employ computerized tools to create their own applications. • Listening to user problems and assisting users in formulating approaches to solving their own problems, including selection of usable software methods. • Encouraging, educating and motivating end users. • Generation and modification of data models and working prototypes. • Communication with traditional DP staff. • Preparation of procedures and computer related documentation
  • IMPLEMENTATION/TRAINING Requirements Definition Specialist • Bachelor’s degree and three years experience in developing information systems user requirements documents and specifications. One year must be in the Human Services environment Workflow Analyst • Bachelor’s degree and three years experience in performing tasks that analyze and document business processes and workflows. One year must be in the Human Services arena Design Facilitator • Bachelor’s degree and three years experience in facilitating systems conceptual design work groups in the customer arena. One year must be in the Human Services arena. Training Specialist • Bachelor’s degree • Minimum of two years experience in classroom or in training clerical or technical personnel in a work environment and in the development of system training guides, user training manuals and other training materials and system documentation Coordinator (Implementation/Training) • Bachelor’s degree • A minimum of seven (7) years technical experience in planning, installing, implementing and administering a large-scale data processing system utilizing a mainframe computer with telecommunications, remote equipment and database capabilities. • Five years of second level supervisory experience of which two years must have been at the management level developing work specifications, establishing control procedures, training schedules and plans.
  • Implementation Specialist • Associate’s degree • Minimum of two years experience in data processing, industrial engineering or a related field. • Two years of IT hardware, software and systems installation experience System Tester • A two-year college degree and one year of work-related experience. • Two years experience in an IT system testing environment, including test plan development and how to navigate through the test environment, validate test results and report in detail and summary manner to the developer User/Product Test Specialist • Bachelor’s degree • Two years experience, one of which must be in a supervisory capacity, in an IT systems user testing environment, including test plan development and how to navigate through the test environment, validate test results and report in detail and summary manner to the developer. Automated System Tester • Two-year college degree • One year experience using industry standard automated software testing tools • Two years experience in a system testing environment using industry standard load/performance testing software and defect tracking software, including test case and scenario development, validation and reporting through the use of the testing software tools.
  • BUSINESS ANALYSIS AND TECHNICAL WRITING Business Analyst • Bachelor’s degree • Minimum of three (3) years experience: • examining the methods and processes of the business flow within a diverse public or private service delivery organization • assessing and documenting existing business processes and identifying unnecessary steps • incorporating value-added steps into a new process through the translation of business practices into terminology and desk products that seamlessly merge computer and microcomputer technology with work processes • assessing and documenting existing business processes and identifying where improvements can be made or where new processes can be installed. • researching "best practices" of comparable organizations and analyzing the feasibility of installing them where needed. • developing new methods and procedures, implementation plans and schedules, and written reports. • Eliciting and documenting business, user, and system requirements • Preparing Business Requirements Documents (BRD) Technical Writer • Bachelor’s degree • Two years experience analyzing, understanding, and developing verbal and written documentation and procedures Documentation Specialist/Technical Writer • Bachelor’s degree • Two years of work-related experience is required writing documentation for IT systems/applications, in the following areas: • systems design • operations • maintenance and support • Experience in: • organizing • analyzing and understanding verbal and written documentation and procedures
  • Facilitator • Bachelor’s degree • Minimum two years of work-related experience in facilitating each of the following: • IT application design sessions • System requirements development • Process methodology development • Negotiating solutions to problems • Minimum two years experience leading groups using tools, techniques and skills in the following areas: • Teambuilding • Problem solving • Decision making • Action Planning • Conflict management and resolution • Negotiation • Consensus building • Neutral facilitation • Planning and conducting meetings • Documenting and reporting outcomes from facilitated sessions Procedures Writer • Bachelor’s degree • Two years of work-related experience is required • Experience in: • organizing • analyzing and understanding business processes and workflows • developing procedures manuals, user manuals, etc.
  • CLERICAL Word Processing/Keyboard Specialist • High school diploma, supplemented with course work in word processing systems, or the equivalent work-related experience • Two years experience in: • general office practices and business English, with the ability to • review materials for data input, • correct obvious errors in spelling and grammar, • update materials • operate word processing equipment • type at least sixty words per minute with a high degree of accuracy • Use of Microsoft Office suite, including Word, Excel, Outlook. Administrative Assistant • Associate’s Degree • A minimum of three years work experience in each of the following: • MS Office Suite, including Word, Excel, Access, PowerPoint • Reviewing and analyzing data • Reviewing and managing e-mail • Organizing, summarizing and prioritizing work assignments File Conversion Clerk • A high school diploma • Six months experience in: • proofing input and output documents • maintaining control of documents, transporting documents from point to point • transcribing data as required for data entry input • supporting of file conversion and coordination activities • functioning in a controlled production environment and maintaining a control log of ongoing activity • organization and attention to detail
  • Data Processing Clerk • Six Months of clerical experience in a computer center. Clerk • A high school diploma and six months of clerical experience are required. • Experience in: • analyzing and understanding written procedures and documentation • functioning in a controlled production environment • maintaining a control log of ongoing activity Laborer • A high school diploma. • The ability to stoop and walk for long periods of time and lift standard size cartons of paper (Media) Librarian • One year of clerical experience in a computer center tape library Facilities Security Attendant • A high school diploma and six months experience providing facilities security and procedure enforcement
  • IBM Consultant/Designer • Three years experience of the following: • data modeling and logical design • creating and maintaining IBM/DB2 schemas • developing and implementing backup and recovery procedures Computer Systems Programmer • Seven years of progressive data processing experience, three of which must have been in systems software support. • Two years of systems support experience at a large IBM installation Application Architect • A four year college degree • Eight years experience in D/P/Computer System Development • Three years experience managing systems development • Two years experience: • Supervising staff • working with customers and technical staff • With IBM DB2 and CICS environments • in the use of system design techniques and tools • with Client Server systems development in an open computing environment utilizing 4th generation language development tools • object oriented experience • managing the development and adjustment of original physical and logical architecture plan, including definition of standards
  • Production Control Specialist • Three years of experience as Supervisor in Production Control in a large-scale operation. Experience must have been in either a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o Two (2) years of the above experience must have been performing production job scheduling and production job problem resolution at a large IBM Mainframe installation • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to one year of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience File Management Supervisor • Five years of experience as a File Management Supervisor in a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o At least three years of the above experience must have been with overall responsibility in File Management. o Two (2) years of the above experience must have been at a large IBM Mainframe installation A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience. File Management Specialist • Three years of experience working as a File Management Specialist in a large-scale operation in a IBM mainframe environment. o Two (2) years of the above experience must have been in a supervisory role responsible for File Management. • A BS degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA degree in a relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience.
  • Computer Console Operator III • Five years of progressively responsible experience operating IBM hardware to include IBM JCL in a IBM mainframe environment. o At least three years of the above experience must have been as a Computer Console Operator in a data center Forms Support Specialist • Two (2) years experience in forms design and production for an IBM Mainframe or UNISYS (2200 or A Series) Mainframe Data Center environment. o In addition one (1) year of the above experience must have involved using AFP/PSF and XEROX print design and forms design languages and JCL to create forms, fonts and logos. • An Associates degree in a relevant information technology/computer science discipline can be substituted for up to one year of the required experience • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience. Quality Control Specialist • Three years experience performing operational functions in an IBM or UNISYS (2200 or A Series) mainframe environment. • Two (2) years of the above experience must have been in a supervisory role with primary responsibilities in the print operations area. o In addition two years of the above experience must also have been in quality control for a substantial print operation that provided service to multiple customers. o In addition one (1) year of the above experience must also have been in the development of quality control standards and practices and procedures. • A BS degree in a relevant information technology/operations management/computer science discipline may be equated for up to one year of required relevant experience as outlined above. • •Must have one (1) year experience using IBM JCL
  • Open Systems Production Control Specialist • Three years of experience as Supervisor in Production Control in a large-scale operation. Experience must have been in either a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o Two (2) years of the above experience must have been performing open systems console monitoring using such products as Tivoli, HP Openview or Viewpoint • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to one year of the required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience. File Management Supervisor • Five years of experience as a File Management Supervisor in a UNISYS (2200 or A Series) or IBM mainframe environment or in a large-scale Open Systems environment. o At least three years of the above experience must have been with overall responsibility in File Management. o Two (2) years of the above experience must have been at a large Open System installation • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA in relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience. File Management Specialist • Three years of experience working as a File Management Specialist in a large-scale Open Systems environment. o Two (2) years of the above experience must have been in a supervisory role responsible for File Management. • A BS degree in a relevant information technology/operations management/computer science discipline may be equated for up to two years of required relevant experience. • An MS or MBA degree in a relevant information technology/operations management/computer science discipline may be equated for up to an additional two years of required relevant experience.
  • Computer Console Operator III • Five (5) years of progressively responsible data processing experience as a. (Open System) Computer Console Operator o At least three years of the above experience must have been as a Computer Console Operator in a data center. o Two (2) years of the above experience must have been in open systems console monitoring utilizing products such as Tivoli, HP Openview or Viewpoint Telecom Computer Console Operator III • Five years of progressively responsible data processing experience. o At least three years of the above experience must have been as a Computer Console Operator in a data center o Two (2) years of the above experience must have been in technical support of telecommunications equipment or support of a significant network function. Computer Operator II (Tape/Print/Client Server Backup & Storage) • Two (2) years experience operating computer equipment in a large mainframe data center. • An Associates degree in a relevant information technology/computer science discipline can be substituted for up to one year of the above listed experience. • A BS in a relevant information technology/operations management/computer science discipline may be equated for up to two years of the required relevant experience
  • Exhibit E- Vendor Contract Offeror execution of the Appendix C signature pages (16 notarized originals are required) will signify acceptance of the following terms and conditions. Contract Appendix C will consist of the RFP Exhibit B Response Forms.
  • Personal Services Contract – This agreement, made and entered into by and between the New York State Office of Temporary and Disability Assistance, the Office of Children and Family Services, the New York State Department of Labor and the Office for Technology (hereinafter referred to as the "State"), having offices at 40 North Pearl Street, Albany, New York, 12243 and ___________________________ (hereinafter referred to as the "Contractor"). WITNESSETH: WHEREAS, the State has determined it to be necessary to secure information technology related personal services from contractors; and WHEREAS, the State issued a Request for Proposal (RFP) entitled "Information Technology Temporary Personal Services RFP” to secure such services; and WHEREAS, the Contractor reviewed and analyzed the State’s needs as contained in said RFP, and submitted a compliant Proposal; and WHEREAS, the Contractor is engaged in the business of providing staff to clients with the skills necessary to fulfill the needs of the RFP; and WHEREAS, the State, in reliance upon the expertise of the Contractor in providing the staff required under this Agreement, selected the Contractor as a successful respondent to the RFP; and WHEREAS, the State desires to engage the Contractor to fulfill its needs under the terms and conditions hereinafter set forth. NOW, THEREFORE, in consideration of the mutual covenants and provisions contained herein, the parties agree as follows:
  • TABLE OF CONTENTS ARTICLE I - Agreement Duration/Amendment ARTICLE II - Executory Provision ARTICLE III - Standard Contract Provisions ARTICLE IV - Assurances ARTICLE V - Contractor Requirements ARTICLE VI - Nonassignability ARTICLE VII - Charges ARTICLE VIII - Intentionally Left Blank ARTICLE IX - Public Officers’ Law ARTICLE X - Rights of the State ARTICLE XI - Document Incorporation and Order of Precedence ARTICLE XII - Interpretation and Disputes ARTICLE XIII - Indemnification For Damages ARTICLE XIV - Force Majeure ARTICLE XV - Record Retention ARTICLE XVI -Disclosure and Audit of Agreement Records ARTICLE XVII - Confidentiality of Information ARTICLE XVIII - Affirmative Action ARTICLE XIX - Termination of the Agreement ARTICLE XX - Patent/Copyright Indemnification ARTICLE XXI - Lobbying Certification ARTICLE XXII - Notification ARTICLE XXIII - Conflict of Interest ARTICLE XXIV - Intentionally Left Blank ARTICLE XXV - Other Agency Use ARTICLE XXVI - Limitation of Liability ARTICLE XXVII - Warranty for Deliverables/Workmanship APPENDIX A - Standard Appendix A APPENDIX B - Affirmative Action Definitions APPENDIX C - Personal Services Categories, Project Categories and Ceiling Rates
  • ARTICLE I Agreement Duration and Amendment A. This Agreement shall commence upon the approval of the New York State Comptroller’s Office and shall continue until January 31, 2011 subject to the termination provisions contained herein. The State, at its discretion, may extend this Agreement for up to two years. The terms and conditions of this Agreement shall remain unchanged in the event of any such extension. B. This Agreement shall automatically be extended in the event that a Task Order awarded prior to the expiration date exceeds the contract term. Any such extension period shall expire at the conclusion of the awarded Task Order. C. The State shall have the right to renegotiate the terms and conditions of this Agreement in the event applicable State or Federal policy, rules, regulations and guidelines are altered from those existing at the time of this Agreement in order to be in continuous compliance therewith. It shall be understood that, in the event the State and the Contractor are unable to mutually agree to a set of terms and conditions through renegotiations, the terms and conditions required to continue this Agreement in compliance with revised State or Federal policy, rules, regulations and guidelines shall be decided by the Commissioner of the State agency having executed this Agreement or his/her duly authorized representative(s) or designee(s), in accordance with Article XII, Interpretations and Disputes. D. This Agreement is subject to amendment only upon mutual consent of the parties, reduced to writing and approved by the Comptroller of the State of New York. ARTICLE II Executory Provision A. The State Finance Law of the State of New York, Section 112, requires that any contract made by a State Department which exceeds fifty thousand dollars ($50,000) in amount be first approved by the Comptroller of the State of New York before becoming effective. The parties recognize that this Agreement is wholly executory until and unless approved by the Comptroller of the State of New York. B. The State of New York is not liable for any cost incurred by the Contractor in preparation for or prior to the approval of an executed contract by the Comptroller of the State of New York. Additionally, no cost will be incurred by the State for the Contractor's participation in any pre- contract award activity. C. This Agreement and the Exhibits and Appendices, attached hereto and incorporated by reference herein, constitute the entire agreement between the parties with respect to the subject matter; all other prior agreements, representations, statements, negotiations and undertakings are superseded hereby. Any provision of the Agreement that imposes or contemplates continuing obligations on a party will survive the expiration or termination of the Agreement.. It is understood that unless the context clearly indicates otherwise, all references herein to this Agreement shall be deemed to include the Exhibits and Appendices attached hereto and incorporated by reference herein. D. The State and the Contractor acknowledge and agree that time is of the essence in the Contractor's performance hereunder when and if stipulated in a specific Task Order Award
  • solicitation. ARTICLE III Standard Contract Provisions A. Standard New York State Contract Appendix A (May 2003), attached hereto as Appendix A, is hereby fully incorporated into this Agreement. B. The parties agree that this Agreement shall be construed and interpreted in accordance with the Laws of the State of New York. The Contractor shall be required to bring any legal proceeding against the State arising from this Agreement in New York State courts. C. Should any provision of this Agreement be declared or found to be illegal, unenforceable, ineffective or void, then each party shall be relieved of any obligation arising from such provision; the balance of this Agreement, if capable of performance, shall remain in full force and effect. D. No term or provision of this Agreement shall be deemed waived and no breach consented to, unless such waiver or consent shall be in writing and signed by the party claimed to have waived or consented. Any consent by a party to, or waiver of, a breach under this Agreement shall not constitute or consent to, a waiver of, or excuse for any other, different or subsequent breach. E. Notwithstanding the State’s right to direct and supervise staff, it shall be understood that the Contractor is an independent contractor, and the Contractor, its agents, officers and employees, in the performance of this Agreement, shall act in an independent capacity and not as officers or employees of the State. ARTICLE IV Assurances A. The Contractor warrants that it has carefully reviewed the needs of the State for support, as described in the RFP and its attachments and otherwise communicated in writing by the State to the Contractor, that it has familiarized itself with the State's specifications, and it warrants that it can provide such support as represented in its Proposal and the other documents incorporated into this Agreement. B. The Contractor agrees that it will perform its obligations hereunder in accordance with all applicable laws, rules and regulations now or hereafter in effect. C. The Contractor warrants and affirms that the terms of this Agreement do not violate any contracts or agreements to which it is a party and that its other contractual obligations will not adversely influence its capabilities to perform under this Agreement. D. The contractor understands that it must comply with federal Executive Order 11246, the Copeland "Anti-Kickback Act" (18 USC 874), Section 508 of the federal Clean Air Act, Section 306 of the federal Clean Water Act, and that it must certify that neither it nor its principals are debarred or suspended from federal financial assistance programs and activities and to complete and return in pursuit of such certification any appropriate form required by the State (see federal Executive Order 12549 and 7 CFR Part 3017). The contractor is advised that it will be required to comply with the requirements of the Drug-
  • Free Workplace Rules as set forth at 7 CFR 3017 and 3021. Under these regulations, no entity which has been disbarred or suspended for violation of Drug-Free Workplace Requirements can be allowed to contract for the services being funded by FNS. A listing of suspended/disbarred entities will be reviewed by the OTDA to assure that no contract awardee is named in that listing. ARTICLE V Contractor Requirements A. The Contractor agrees to provide the personal services support as outlined in the Contractor’s proposal, attached to this agreement as Appendix C, and the State agrees to pay for such services/support as specified in Article VII. The requirements and provisions contained in the RFP and in the Contractor’s proposal shall remain in full force effect except where expressly superceded in this Agreement. B. Conditioned upon and subject to State’s timely performance of its obligations hereunder, including but not limited to Sections D and E below, the Contractor accepts sole and complete responsibility for the timely accomplishment of all of Contractor’s activities required under this Agreement. Specifically, upon the issuance of a Task Order resulting from a Task Order Award award, the Contractor shall: 1. Maintain an adequate administrative organizational structure sufficient to discharge its contractual responsibilities. 2. Provide for normal day-to-day communications and maintain the level of liaison and cooperation with the State necessary for proper performance of all contractual responsibilities. 3. The Contractor may substitute fully trained personnel of equal or superior qualifications in the event that circumstances necessitate the replacement of previously assigned personnel. The Contractor shall notify the State at least 14 days in advance and shall submit justification, including proposed substitutions in sufficient detail to permit their evaluation. Any such substitution shall be made only after consultation with State staff, and after written documentation of the circumstances requiring the changes has been provided to the State. The State shall respond to any such substitutions in a reasonable and timely manner. The State's response shall be made in good faith and shall be based upon its review of the resumes and interviews with the proposed personnel, as well as reference checks of such personnel. If the Contractor reassigns an employee to another project without the written consent of the State, all charges for that individual's time will be credited back to the State. 4. In the event that a contract staff person’s performance or conduct is detrimental to the State, the State will ordinarily provide written notice requesting immediate removal of the contractor staff person. However, the State reserves the right to immediately remove him/her from the premises. The State Contact Manager and/or Bureau Director will exercise reasonable and exclusive judgment in these matters. Contractor may replace any such employee per Exhibit E Article V.C. 5. Notify the State in writing of any changes in the persons designated to bind the Contractor.
  • 6. Notify the State in writing of any changes in the persons authorized to submit responses to the State’s Task Order Award proposals, as well as any changes to the Contractor’s address, telephone number, or email address. 7. Ensure that all contacts by Contractor personnel with other external organizations, to fulfill the objectives of this Agreement, are cleared and coordinated by the State. The State will fulfill this role promptly, so as not to impede the Contractor's timely performance hereunder. 8. Assume responsibility for the cost and timely accomplishment of all of its activities and duties required by this Agreement and carry out those activities and duties in a competent and timely manner. 9. Notify the State, in writing, of problems within three business days of identification including a description of each problem that threatens the success of the State’s efforts, as well as a recommendation for resolution whenever possible. 10. Agree that no aspect of Contractor performance under this Agreement will be contingent upon State personnel or the availability of State resources with the exception of 1) All proposed actions of the Contractor specifically identified in this Agreement as requiring State acquisition, approval, policy decisions, policy approvals, 2) The normal cooperation which can be expected in such a contractual relationship. Such actions by the State will not be unreasonably delayed, and except as stated specifically herein, the Contractor shall not be liable for any damages for delays caused by the State or other State agencies. 11. Reasonably cooperate with any other contractors who may be engaged by the State to carry out responsibilities associated with this Agreement and immediately take into account changes mandated by Federal regulatory agencies and the State due to changes in policies, regulations, statutes or judicial interpretations, which the State and/or the Contractor may become aware of. 12. Recognize and agree that any and all work performed outside the scope of this Agreement shall be deemed by the State to be gratuitous and not subject to charge by the Contractor. 13. Contractors as employers of any Consultant(s) assigned to the State are required by Federal law to verify that all of their employees are legally entitled to work in the United States. By submitting a bid, the Contractor is representing and warranting that it has complied with these legal requirements and that anyone assigned to work at the State is legally entitled to work in the U.S. C. The State, under this Agreement, shall not be held liable for any minimum utilization of contractor personnel. Actual staffing requirements will be transmitted by the State to the Contractor in the form of a Task Order issued as a result of the Task Order Award solicitation. The Task Order Award solicitation and the subsequent Task Order will delineate the activities to be undertaken and the number of staff required in each category. Upon written notification to the Contractor, the State may, at any time, make changes to a Task Order within the general scope of this Agreement, including modifications in staffing levels that are necessary, the definition of services and tasks to be performed, and the time (i.e., hours of the day, days of the week, etc.) and place of performance thereof. It shall also be understood that the State reserves the right to immediately suspend or reduce Contractor services during the term of the Agreement or during a Task Order period because of a lack of work or a funding shortage. In the event of such a suspension or reduction of services, the State shall make best efforts to provide written notice 30 calendar days prior to the suspension or reduction. In the event of inadequate performance by
  • Contractor staff the State shall provide 14 calendar days prior written notification for the termination of the consultant. At the time of receipt of said notification, Contractor shall immediately begin recruiting efforts for a suitable replacement candidate. The Contractor shall provide 14-calendar day prior written notice prior to a departure of any Contractor staff before the conclusion of any Task Order Letter. If less than 14 calendar days prior written notice is given in such a situation without the parties having mutually agreed to a suitable replacement pursuant to Article V.B.4. herein, that individual’s time may be credited back to the State for each day less than the required 14 calendar day notification period. Substitutions of personnel with qualifications equal to or better than the departing individual may be permitted at the sole discretion of the State. D. Contractor staff will report directly to the State's designated Supervisor at the start of the Task Order. It shall be understood that the State reserves the sole discretion for the assignment to task and location of the personnel provided by the Contractor. The Contractor's progress will be monitored and the State will provide direct supervision on all assigned tasks on an ongoing basis. In addition, inspection and acceptance of the work required under this Agreement will be performed by the State's Project Director and/or his designee. E. The State will provide reasonable office space, utilities, janitorial services, security, telephone service (excluding long-distance service) and furniture (desks, chairs, work tables) necessary for the Contractor's performance of services under this Agreement. The State will also provide forms, equipment, including necessary computer hardware and software, and supplies necessary to accomplish labor tasks mandated in a Task Order. F. The Contractor agrees that it and its personnel will at all times comply with all security regulations in effect at the State's premises, or any premises assigned, and externally for materials belonging to the State or to the Project. G. During the Contractor’s performance of services under this Agreement, the State may require its Consultants to attend training that will be provided and paid for by State. H. Contractor agrees that it and its personnel will at all times comply with all State policy and procedures. I. For the term of this Agreement, and for six months after its termination, each party agrees not to offer employment to any employee of the other party, except as required by Law, unless mutually agreed to by the State and the Contractor for an employee under consideration. J. The Contractor agrees that it will report annually on Contracts issued by New York State Agencies for consulting services during the previous fiscal year according to State Finance Law §§ 8 and 163 [1]. The requirements are: • That the Office of the State Comptroller (OSC) include in the Consulting Services Report it compiles annually on contracts issued by State agencies for consulting services during the previous fiscal year, certain additional information on employees providing services under such contracts; • That contractors annually report certain employment information to the contracting agency, the Department of Civil Service (DCS) and OSC; and • That OSC include such employment information in the Procurement Stewardship Act Report it compiles annually The first State Consultant Services Contractor’s Annual Employment Report will be due May 15, 2007, and will include information for the period ending March 31, 2007. Thereafter, the State
  • Consultant Services Contractor’s Annual Employment Reports will be due no later than May 15th of each succeeding year. For additional information, please refer to OSC bulletin G-226 - Consultant Disclosure Legislation http://nysosc3.osc.state.ny.us/agencies/gbull/g-226.htm K. Tax Law Section 5-a, which was added to the Tax Law under Part N of Chapter 60 of the Laws of 2004, imposes upon certain contractors the obligation to certify whether or not the contractor and its affiliates are required to register to collect state sales and compensating use tax. Where required to register, the contractor must also certify that it is, in fact, registered with the New York State Department of Taxation and Finance (DTF). The law prohibits the New York State Comptroller, or other approving agency, from approving a contract awarded to a Offeror meeting the registration requirements but who is not so registered in accordance with the law. Pursuant to Tax Law Section 5-a, contractors must complete, sign, and file a properly completed Form ST-220-CA (with the OTDA) and Form ST-220-TD (with the Tax Department). Contractors must also submit a copy of the Certificate of Authority, if available, for itself and any affiliates required to register to collect state sales and compensating use tax. If Certificates of Authority are unavailable, the contractor, affiliate, subcontractor or affiliate of subcontractor must represent that it is registered and that it has confirmed such status with DTF. ARTICLE VI Nonassignability A. Full responsibility for the delivery of services provided by another firm, which is a subcontractor to the Contractor under this Agreement, shall be assumed by the Contractor. Should the Contractor seek external financing, the State reserves the right to approve the assignment of the contract for financing purposes. The State shall consider the prime contractor to be sole contact with regard to all provisions of this Agreement. B. Nothing contained in this Agreement, expressed or implied, is intended to confer upon any person, corporation or other entity, other than the parties hereto and their successors in interest and assigns, any rights or remedies under or by reason of this Agreement. C. Subcontracting or assignment of the Contractor's duties and responsibilities will not be allowed without prior written approval of the State. The Contractor shall furnish to the State the following: (1) A description of the supplies or services to be provided under the proposed subcontract; (2) Identification of the proposed subcontractor, including protected class status; and (3) Any other reasonable information or documentation requested by the State at the time of the mini-RFP solicitation. ARTICLE VII Charges A. The State agrees to process for payment the Contractor's bi-weekly invoicing based on the hourly rates as set forth in the Task Order issued by the State for actual billable hours worked as documented in auditable time sheets, submitted to and approved by the State's Project Director or his/her designee. Maximum hourly rates for services shall be those rates contained in the Contractor’s Task Order Award proposal. B. The standard work day of 8.0 hours (exclusive of any lunch break or leave time) for Contractor
  • staff shall be on a schedule to be determined by the State's Project Director or his/her designee. The standard work-week will begin at 0001 hours Thursday and end at 2400 hours Wednesday of the following week. Contractor personnel must comply with State Task Order personnel procedures, including the use of leave slips and timesheets. Leave must be approved by the State's Project Director prior to Contractor personnel taking leave and timesheets for each individual must be approved/signed by the State's Project Director and/or his designee(s) prior to their being forwarded to Contractor headquarters for invoicing purposes. C. Overtime may be charged as per the rates specified in the Task Order, as applicable, and if such overtime was requested by the State's Project Director and only to the extent such overtime had the prior approval of the State's Project Director and a staff member's time in said work week included a minimum of five work days with a minimum of 8.0 hours in each of those work days. D. Payments to the Contractor shall be based on invoices submitted to the State by the Contractor on a Standard New York State Voucher in a form acceptable to the State and the Comptroller of the State of New York. The State will make best efforts to process all vouchers within thirty (30) days of their receipt. Timeliness of payment and any interest to be paid to the Contractor for late payment shall be governed by Article XI-A of the State Finance Law to the extent required by Law. E. The State shall not be liable for the payment of any taxes under this Agreement however designated, levied or imposed. However, no person, firm or corporation is exempt from paying the State Truck Mileage and Unemployment Insurance taxes and other Federal, State and local taxes to which Contractor is subject. For purposes of tax free transactions under the Internal Revenue Code, the New York State Registration Number is 14740026K. F. It shall be understood that, except when specifically provided for in a Task Order Award solicitation, the State shall not be liable for any travel/per diem expenditures the Contractor may incur, except for travel expressly required and prior approved by the State's Project Director, reimbursable at the prevailing State travel rates for the Professional, Scientific and Technical bargaining unit. The Contractor shall submit detailed backup for its reimbursement of travel expenses. Reimbursement for site travel that the contractor staff has been directed to conduct, will be limited to the least costly mode of transportation that contractor staff should reasonably be expected to use for travel, and will be based on the least of the following travel distances: (1) the State’s project office to the site; (2) an alternate location (i.e., staff's home or alternate office) to the site; or (3) site-to-site for "continuing visits". The mode of transportation to be used is outlined in the New York State Travel Regulations. G. The Contractor grants the option to the State to extend the terms and conditions of this Agreement to any other State agency in New York as well as local/ county human services jurisdictions in New York for the provision of the services set forth herein. H. At the State’s discretion, consultants must attend training provided and paid for by the State. ARTICLE VIII Intentionally left blank. ARTICLE IX Public Officers' Law
  • 1. The Contractor agrees not to engage in any conduct which the Contractor knows or has reason to believe would violate or would assist an employee of the State in violating Sections 73 and 74 of the Public Officers' Law. 2. The Contractor further recognizes that an administrative or judicial finding that a Contractor has violated any of the statutes specified in the Contractor/Subcontractor Background Questionnaire completed prior to the award of this contract may entitle the State to terminate the contract, at its discretion, within thirty days after the Contractor notifies the State of such finding or the State notifies the Contractor that it has become aware of such finding. The Contractor shall notify the State immediately in writing upon becoming aware of any such finding. 3. Any termination of the contract by the State under this Article IX shall be deemed to be a termination of the contract for cause. The remedy set forth in this section shall be in addition to any other remedy available to the State under this contract or under any other provisions of law. ARTICLE X Rights Of The State A. LICENSE/OWNERSHIP/TITLE OF PRODUCTS FURNISHED Contractor warrants that it has full ownership, clear title or perpetual license rights to any and all tangible or intangible products furnished, used or modified by the Contractor or third parties on behalf of the State pursuant to a Task Order Award, and Contractor shall be solely liable for the full cost of acquisition associated therewith. Contractor shall provide State with appropriate documentation indicating the vesting of such rights in Contractor, and/or the right to transfer or transfer of such rights, as requested by State. The cost of obtaining such rights for continued perpetual use of such product(s) by the State upon Project completion shall be deemed to have been included by Contractor in its Task Order Award proposal. Such products include, without limitation, all hardware, commodities, custom programming or third party software, training modules, printed materials, source codes, or any other products or services furnished pursuant to a Task order award. The Contractor fully indemnifies the State for any loss, damages or actions arising from a breach of said warranty in accordance with Article XX herein. B. TITLE TO PROPRIETARY INFORMATION FURNISHED FOR EVALUATION AND TESTING PURPOSES Any and all proprietary written documentation, information, object or source code and software provided to State for use in conjunction with a Task Order Award evaluation, shall remain the property of Contractor. In such event, Contractor hereby grants State and any Authorized Users specified in a Task Order Award Task Order a personal, non-transferable and non-exclusive license for the duration of the evaluation period to use all such documentation, technical information, confidential business information and all software and related documentation, in whatever form recorded (all hereinafter designated “property”), which are furnished to the State, for testing purposes only. C. OWNERSHIP/TITLE TO CUSTOM PRODUCTS/PROGRAMMING DELIVERABLES It is anticipated that Project Deliverables may include “existing” and/or “custom” materials. “Existing Materials” include, without limitation, such things as: programs, program listings, programming tools, documentation, reports, drawings, data, modules, components, utilities,
  • interfaces, templates, subroutines, algorithms, formulas and technical information, existing prior to the Task Order Award and/or independently developed by Contractor or another Third Party other than as a result of a Task Order, including components transferred under perpetual license pursuant to Article X.A., above (hereinafter “existing Material(s). “Custom Materials” include, without limitation, such things as programs or programming tools, source code, object code, user or training manuals, programming, reports, drawings and any other materials, preliminary, final and otherwise, created, prepared, written or developed, whether jointly or individually, for the State under a Task Order (hereinafter “Custom Material(s)”). Title to all Existing Material(s), whether or not embedded in or operating in conjunction with Custom Materials, shall remain with Contractor or such Third Party, who shall have all right, title and interest (including ownership or copyrights). Contractor will deliver Existing Material(s) to the State or State in accordance with the Task Order and hereby grants an irrevocable, non- exclusive, worldwide, paid-up license to use, execute, reproduce, display, perform, and distribute Existing Materials to Authorized Users. The State or State agrees to reproduce the copyright notice and any other legend of ownership on any copies made under the licenses granted under this paragraph. Title to Custom Material(s), excluding Existing Materials, shall be the sole and exclusive property of the State, who shall have all right, title and interest, including ownership and copyrights, and the rights to use, copy, modify and prepare derivative works of the Custom Materials. The State retains the right to sell Custom Materials, or to license them on an exclusive or non-exclusive basis. Additionally, the Federal government is granted a royalty-free, nonexclusive and irrevocable license to reproduce, publish, or otherwise use and authorize others to use for Federal government purposes, such software, modifications, and documentation paid for with Federal funds. Contractor hereby agrees to take all necessary and appropriate steps to ensure that the Custom Materials are protected against unauthorized copying, reproduction and marketing by or through Contractor. Nothing herein shall preclude the Contractor from using the related or underlying general knowledge, skills and experience developed in the course of providing the Project Deliverables and intellectual property in the course of Contractor’s business. D. Nothing in this Agreement shall preclude Contractor from developing for itself, or for others, materials that are competitive with those produced or a result of the services provided hereunder, irrespective of their similarity to items which may be delivered to State pursuant to this Agreement. ARTICLE XI Document Incorporation And Order Of Precedence A. This Agreement consists of: 1) The body of this Agreement (i.e., that portion preceding the signatures of the parties in execution); 2) Any Task Orders; 3) The Exhibits attached to this Agreement body; and 4) The Appendices attached to or incorporated by reference in this Agreement body.
  • B. In the event of any inconsistency in or conflict among the document elements of this Agreement identified in this Article, such inconsistency or conflict shall be resolved by giving precedence to the document elements in the following order: 1) First, Appendix A; 2) Second, any Task Order; 3) Third, any Task Order Award solicitation; and, 4) Fourth, body of this Agreement, and the Appendices other than Appendix A; 5) Fifth, the RFP; 6) Sixth, the Contractor's Proposal, including any response to a Task Order Award solicitation. C. This Agreement as defined in this Article constitutes the entire agreement between the parties with respect to the subject matter; all prior agreements, representations, statements, negotiations and undertakings are superseded hereby. The terms, provisions, representations and warranties contained in this Agreement shall survive performance hereunder. ARTICLE XII Interpretation And Disputes This Agreement shall be construed and interpreted in accordance with the Laws of the State of New York. Any dispute between the parties either with respect to the interpretation of any provision of this agreement or with respect to performance by Contractor or by State hereunder shall be resolved as specified in this section. Prior to embarking on a formal contract dispute procedure, an informal dispute resolution procedure will be utilized as follows. a) Upon the written request of either party, each of the parties will within 15 working days appoint a designated representative who does not devote substantially all of his or her time to performance under this Agreement, whose task it will be to meet for the purpose of endeavoring to resolve such dispute. b) The designated representatives shall meet as soon as possible and as often as necessary to gather and furnish to the other all information with respect to the matter in issue which is appropriate and germane in connection with its resolution. c) Such representatives shall discuss the problem and negotiate in good faith in an effort to resolve the dispute without the necessity of any formal proceeding relating thereto. d) During the course of such negotiation, all reasonable requests made by one party to the other for non-privileged information reasonably related to this Agreement, will be honored in order that each of the parties may be fully advised of the other’s position. e) The specific format for such discussions will be left to the discretion of the designated
  • representatives but may include the preparation of agreed upon statements of fact or written statements of position furnished to the other party. Except as otherwise provided for in the Agreement, any dispute which is not disposed of by agreement shall be submitted in writing to and decided by the Director of State (Director) or his/her duly authorized representative(s) or designee(s). If the Contractor is unwilling to accept the decision of the Director or a decision is not made in ninety (90) days, it may then pursue its normal legal remedies de novo, but it is specifically agreed that any and all reports made by the Director upon the disagreement at issue shall be admissible as evidence in any court action taken with respect to the matter. Pending conclusion of any dispute or disagreement by whatever procedure, the construction placed upon the Agreement by the State shall govern operation thereunder and the Contractor shall continue to perform under the Contract. The Contractor shall be required to bring all legal proceedings relating to this Agreement against the State or the State of New York in the Courts of the State of New York in the County of Albany. ARTICLE XIII Indemnification For Damages A. In performance of its duties pursuant to a Task Order Award, Contractor shall fully indemnify and save harmless the State from suits, actions, damages and costs of every name and description relating to personal injury, damage to real or personal tangible or intangible property, or any other claim for direct damages arising as a result of negligent acts or omissions or willful misconduct of Contractor, its officers, employees, subcontractors, partners or agents. B. The State may, in addition to other remedies available to them at law, retain such monies from amounts due Contractor as may be necessary to satisfy any claim for damages, penalties, costs and the like asserted by or against them; provided, however, that the Contractor shall not indemnify to the extent that any claim, loss or damage arising hereunder is caused by the negligent act or failure to act of the State. C. The State shall provide Contractor (i) prompt written notice of any claims for which indemnification may be sought hereunder; (ii) the opportunity, subject to the approval of the Department of Law which shall not be unreasonably denied, to take over, settle or defend any action or suit relating to such claim at Contractor’s sole expense; and (iii) assistance in the defense of any such action or suit at the request and expense of the Contractor. ARTICLE XIV Force Majeure Neither party shall be liable or deemed to be in default for any delay or failure in performance beyond its control under this Agreement resulting directly or indirectly from acts of God, civil or military authority not within the control of the State, acts of public enemy, wars, riots, civil disturbances, insurrections, accidents, fire, explosions, earthquakes or flood, or acts of omission of public utilities, or any other causes within the reasonable control of either party except as specifically stated elsewhere in this Agreement. The parties are required to use commercially reasonable efforts to eliminate or minimize the effect of such events during performance of this Agreement.
  • ARTICLE XV Record Retention A. The Contractor agrees to preserve all Agreement-related records in accordance with the provisions of Paragraph 10 of Appendix A of this Agreement for the term of this Agreement. Records involving matters in litigation shall be kept for a period of not less than three (3) years following the termination of the litigation. Microfilm or electronic copies of any Agreement-related documents may be substituted for the originals with the prior written approval of the State, provided that the copying or microfilming procedures are accepted by the State as reliable and are supported by an adequate retrieval system. B. The Contractor shall be responsible for assuring that the provisions of this Article shall apply to any subcontract related to performance under this Agreement. ARTICLE XVI Disclosure And Audit Of Agreement Records A. The State will protect the confidentiality of records to the extent permissible under the law. All records and information obtained by the State pursuant to the provisions of this Agreement, whether by audit or otherwise, shall be usable by the State solely for the purpose of performing this Agreement in any manner, at its sole discretion, as it deems appropriate and the Contractor shall have no right of confidentiality or proprietary interest in such use of such records or information. B. Contractor hereby agrees that all documents furnished by Contractor shall be subject to public disclosure by the State in the normal course of business in accordance with the requirements of the Public Officers Law, Article 6, except for proprietary information the disclosure of which would cause substantial injury to the competitive position of Contractor enterprise. Information relating to Contractor price submissions, including commercial, book or list pricing, applicable discounts or final bid price and like information, shall not be entitled to confidentiality protection whether or not submitted or designated as proprietary to Contractor. Contractor may otherwise preserve proprietary rights as to confidential or business process information in accordance with procedures established under Section 89, Public Officer’s Law, provided that (i) Contractor shall inform State prior to or with submission of its bid, in writing, that such records are being furnished, are proprietary and are not to be disclosed; and (ii) said records shall be sufficiently identified; and (iii) Contractor shall state the reasons with specificity why the information should be exempted from disclosure; and (iv) designation of said records as exempt from disclosure is reasonable and accepted by State . C. The Contractor shall promptly notify the State of any request by anyone for access to any records maintained pursuant to this Agreement. Access by Federal or State bank regulatory agents, or Contractor's regular outside auditors to Contractor's financial records, pursuant to regularly scheduled or routine audits or inspection of Contractor, shall not require notification to the State provided that rights of confidentiality or proprietary interests are preserved. D. The Contractor shall be responsible for assuring that the provisions in this Section shall apply to any subcontract related to performance under this Agreement. ARTICLE XVII
  • Confidentiality Of Information A. The Contractor, its officers, agents and employees and subcontractors, shall treat all information, with particular emphasis on information relating to recipients and provider, which is obtained by it through its performance under this Agreement, as confidential information to the extent required by the Laws of the State of New York and of the United States and any regulations promulgated thereunder. Unauthorized disclosure of Child Protective Services data is a crime under Section 422(12) of the Social Service law. B. Individually identifiable information relating to any eligible recipient or provider shall be held confidential and shall not be disclosed by the Contractor, its officers, agents and employees or subcontractors, without the prior written approval of the Commissioner or a designee. C. All other information about or from the State’s operations, policies, and procedures not covered by sections A or B above, must be kept confidential as if it were so covered. The use of any information obtained by the contractor in the performance of its duties under this Agreement shall be limited to purposes directly connected with such duties, unless otherwise provided in writing by the Commissioner or a designee. D. The Contractor shall promptly advise the State of all requests made to Contractor for information described above. E. The Contractor shall be responsible for assuring that any agreement between the Contractor and any of its officers, agents and employees or subcontractors contains a provision which conforms to the provisions of this article. F. The Contractor will use the same care and discretion to avoid disclosure, publication or dissemination of Confidential Information as it uses with its own similar information that it does not wish to disclose, publish or disseminate. G. Except for personal information relating to recipients and providers which shall be kept confidential pursuant to requirements of New York and federal laws, and information relating to the business and finances of the State or the Contractor, confidential information disclosed by one party to the other continues to be subject to this Agreement for six years following termination of this Agreement. No obligation of confidentiality applies to: 1) Information the Contractor already possesses without an obligation of confidentiality. 2) Information the Contractor develops independently from publicly available data. 3) Information the Contractor receives without obligation of confidentiality from a third party. 4) Information that is, or becomes, publicly available without breach of this Agreement. H. In the event either party receives a subpoena or other validly issued administrative or judicial process requesting Confidential Information of the other party, it shall, to the extent permitted by law, provide prompt notice to the other of such receipt. The party receiving the request shall thereafter be entitled to comply with such subpoena or other process to that extent permitted or required by law.
  • I. The New York State "Information Security Breach and Notification Act" also known as the "Internet Security and Privacy Act" took effect December 9, 2005. The Legislature and Governor have enacted the Law in response to past and continuing identity theft and security breaches affecting thousands of people. The Law requires any person or business that conducts business in New York State and that owns or licenses computerized data that includes private information (including but not necessarily limited to social security numbers, credit and debit card numbers, drivers license numbers, etc.) must disclose any breach of that private information to all individuals affected or potentially affected in an expeditious manner. You may view a copy of the Law at http://public.leginfo.state.ny.us/menugetf.cgi?COMMONQUERY=LAWS by searching for "INTERNET SECURITY AND PRIVACY." The Law is Article 2 of the State Technology Law. You may also find the Law in Chapter 442, Laws of 2005. All contractors must be compliant with the Law. ARTICLE XVIII Affirmative Action The Contractor agrees to comply with all applicable Federal and State nondiscrimination statutes including: The Civil Rights Act of 1964, as amended; Executive Order No. 11246 entitled "Equal Employment Opportunity," as amended by Executive Order 11375, and as supplemented in Labor Regulation 41 CFR Part 60; Executive Law of the State of New York, Sections 290-299 thereof, and any rules or regulations promulgated in accordance therewith; Section 504 of the Rehabilitation Act of 1973 and the Regulations issued pursuant thereto contained in 45 CFR Part 84 entitled "Nondiscrimination on the Basis of Handicap in Programs and Activities Reviewing or Benefiting from Federal Financial Assistance"; and the Americans with Disabilities Act (ADA) of 1990, 42 USC Section 12116, and regulations issued by the Equal Employment Opportunity Commission which implement the employment provisions of the ADA, set forth at 29 CFR Part 1630. The Contractor is required to demonstrate effective affirmative action efforts, and to ensure employment of protected class members. The Contractor must possess and may upon request be required to submit to the State a copy of an Affirmative Action Plan which is in full compliance with applicable requirements of Federal and State statutes. 1. Contractors and subcontractors shall undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, affirmative action shall apply in the areas of recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation. 2. Prior to the award of a State contract, the Contractor shall submit an Equal Employment Opportunity (EEO) Policy Statement to the contracting agency within the time frame established by that agency. 3. The Contractor's EEO Policy Statement shall contain, but not necessarily be limited to, and the Contractor, as a precondition to entering into a valid and binding State contract, shall, during the performance of the State contract, agree to the following: a. The Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, national origin, sex, age, disability or marital status, will undertake or continue existing programs of affirmative action to ensure that minority group
  • members and women are afforded equal employment opportunities without discrimination, and shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on State contracts. b. The Contractor shall state in all solicitations or advertisements for employees that, in the performance of the State contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability, marital status, military status, sexual orientation and genetic predisposition or carrier status. c. At the request of the contacting agency, the Contractor shall request each employment, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to furnish a written statement that such employment agency, labor union, or representative will not discriminate on the basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative will affirmatively cooperate in the implementation of the Contractor's obligations herein. 4. Except for construction contracts, prior to an award of a State contract, the Contractor shall submit to the contracting agency a staffing plan of the anticipated work force to be utilized on the State contract or, where required, information on the Contractor's total work force, including apprentices, broken down by specified ethnic background, gender, and Federal Occupational Categories or other appropriate categories specified by the contracting agency. The form of the staffing plan shall be supplied by the contracting agency. 5. After an award of a State contract, the Contractor shall submit to the contracting agency a work force utilization report, in a form and manner required by the agency, of the work force actually utilized on the State contract, broken down by specified ethnic background, gender, and Federal Occupational Categories or other appropriate categories specified by the contracting agency. In the event that the Contractor is found through an administrative or legal action, whether brought in conjunction with this contract or any other activity engaged in by the Contractor, to have violated any of the laws recited herein in relation to the Contractor's duty to ensure equal employment to protected class members, the State may, in its discretion, determine that the Contractor has breached this agreement. Additionally, the Contractor and any of its subcontractors shall be bound by the applicable provisions of Article 15-A of the Executive Law, including Section 316 thereof, and any rules or regulations adopted pursuant thereto. The Contractor also agrees that any goal percentages contained in this contract are subject to the requirements of Article 15-A of the Executive Law and regulations adopted pursuant thereto. For purposes of this contract the goals established for subcontracting/purchasing with Minority and Women-Owned business enterprises are 5% to 10% respectively; and the employment goal for the hiring of protected class persons is 5% to 10%. The Contractor may be required to submit reports as required by the contracting agency concerning the Contractor's compliance with the above provisions, relating to the procurement of services, equipment and or commodities, subcontracting, staffing plans and for achievement of employment goals. The format of such reports is to be determined. The Contractor agrees to make available, upon request, the information and data used in compiling such reports. ARTICLE XIX
  • Termination Of The Agreement Notwithstanding the provisions contained in Article VI.F of the RFP, the Agreement shall be subject to the following termination provisions: 1. All or any part of this Agreement may be terminated by mutual written agreement of the contracting parties. 2. All or any part of this Agreement may be terminated by the State in the event of failure of the Contractor to perform within the time requirements set forth in this Agreement. 3. All or any part of this Agreement may be terminated by the State for cause upon the failure of the contractor to comply with the material terms and conditions of this Agreement, including the attachments hereto. If the State determines that the failure to comply a) is intentional or b) presents a danger to the health, safety, or welfare of the employees, agents, or citizens of the State, the State may terminate the agreement immediately upon notice to the Contractor. In all other situations, the State shall provide the contractor with a written Notice of Termination specifying what action(s) or lack of action(s) by the Contractor constitute the Contractor’s failure to comply and the proposed date of termination, which shall not be earlier than the thirtieth day following the date of the Notice of Termination. The Notice shall also advise the Contractor that it has until noon of the fourth business day following receipt of the Notice to advise the State whether it intends to cure the failure to comply. If the contractor does not notify the State of its intent to cure the failure to comply as provided above, the State shall be entitled to proceed with its Notice of Termination. If the Contractor shall notify the State of its intent to cure as provided above, it shall have until noon of the tenth business day following the date of the Notice of Termination to submit to the State a Plan of Correction setting forth its proposed plan to eliminate the failure to comply specified in the Notice, including where appropriate, its denial(s) of failure(s) to comply and shall proceed to act in accordance with its Plan. The State shall review the Plan forthwith and, as soon as practicable thereafter, shall issue a decision addressing the adequacy of the Plan and, where necessary, the Contractor’s performance under the Plan. If the Plan or the Contractor’s performance under the Plan shall be found unsatisfactory to the State, the State may issue a Final Notice of Termination to be effective no sooner than thirty days after the issuance of its decision. If the State and the Contractor shall thereafter negotiate a rescission of the Final Notice of Termination, they may agree to subsequent Conditional Notices of Termination without reference to the time limits referenced in this Section. 4. All or any part of this Agreement may be terminated if the State deems that termination would be in the best interest of the State provided that the State shall give written notice to the Contractor not less than 60 calendar days prior to the date upon which termination shall become effective, such notice to be made via registered or certified mail, return receipt requested or hand-delivered with receipt made. The date of such notice shall be deemed to be the date of postmark in the case of mail or the date of Contractor's receipt for notice in the case of hand delivery. In the case of termination under this section, the State agrees to pay the Contractor for contract work performed and reasonable and appropriate expenses incurred in good faith. The Contractor, on its part, agrees to cease performance under the contract as quickly as practicable, incur no new obligations after receipt of notification of termination, and to cancel as many outstanding obligations as possible. 5. This Agreement may be deemed terminated immediately at the option of the State upon the filing of a petition in bankruptcy or insolvency, by or against the Contractor. Such termination shall be immediate and complete, without termination costs or further obligations by the State
  • to the Contractor. 6. Should the State determine that Federal or State funds are unavailable, the State may terminate the Agreement immediately upon notice to the Contractor. Such notification will be in written format. The State will be obligated to pay the Contractor only for the expenditures made and obligations incurred by the Contractor until such time as notice of termination is received in writing by the Contractor from the State. 7. In the event of termination for any reason, the Contractor shall not incur new obligations for the terminated portion and the Contractor shall cancel as many outstanding obligations as possible. Contractor shall take all reasonable measures to mitigate any damages for which the State may be liable. 8. If this Agreement is terminated for any reason, the State shall have the right to award a new contract to a third party. In the event of termination for cause, the State shall have the right to seek recovery of damages incurred by the State and the reasonable costs incurred in reassigning the contract, subject to the limitations set forth in Article XXVI of this agreement. 9. If all or any part of this Agreement is terminated as a result of the Contractor’s failure to perform as provided for in this Agreement, the State shall have the right to possession and use of software or rights pursuant to the terms of this Agreement, provided that payments are made to Contractor, its successors or assigns, in the amounts and manner provided for by the terms of this Agreement or in a reasonably comparable amount or manner if the terms of this Agreement do not specify the amounts and manner in which payments shall be made in the circumstances existing at the time of termination. Contractor or its successors or assigns shall not repossess or authorize the repossession on software or rights without having first obtained a court order to such effect after having given the State notice and an opportunity to appear and respond in an appropriate legal forum. 10. The remedy set forth in this Article shall be in addition to any other remedy available to the State under this contract or under any other provisions of law. 11. Should the State determine that the Contractor/Subcontractor has become non responsible, or, in the event it is found that the Contractor/Subcontractor Background Questionnaire as submitted was intentionally false or incomplete, the State shall advise Contractor or Contractor and Subcontractor of such finding and Contractor/Subcontractor shall have 30 days to provide evidence that the Contractor/Subcontractor is responsible or correct/resolve such issues. If, after the 30 day time period, at the State’s sole discretion, the State determines that the Contractor/Subcontractor is not responsible, the State may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of this Agreement. In the event of assignment where the proposed Contractor/Subcontractor does not meet the State’s responsibility review, the State may, after meeting with the Contractor and proposed Contractor/Subcontractor as described above, exercise its termination rights as specified in the Agreement. 12. The State reserves the right to terminate the award resulting from this procurement in the event it is found that the certification filed by the Offeror in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, The State may exercise its termination right by providing written notification to the award recipient.
  • ARTICLE XX Patent/Copyright Indemnification Contractor will indemnify, defend and hold the State harmless without limitations from and against any and all damages, expenses (including reasonable attorneys’ fees), claims judgments, liabilities and costs which may be finally assessed against the State in any third party action for infringement of a United States Letter Patent or of any copyright, trademark, or trade secret with respect to any deliverable product provided hereunder, provided that the State shall give the Contractor: (i) prompt written notice of any action, claim or threat of infringement suit, or other suit; (ii) the opportunity, subject to the approval of the Department of Law which shall not be unreasonably denied, to take over, settle or defend such action, claim or suit at Contractor’s sole expense; and (iii) assistance in the defense of any such action at the request and expense of the Contractor. If the use of any item(s) or part(s) thereof shall be enjoined for any reason or if Contractor believes that it may be enjoined, Contractor shall have the right, at its own expense and sole discretion to take action in the following order of precedence: (i) to procure for the State the right to continue using such item(s) or part(s) thereof, as applicable; (ii) to modify the component so that it becomes non- infringing equipment of at least equal quality and performance; or (iii) to replace said item(s) or part(s) thereof, as applicable, with non-infringing components of at least equal quality and performance or (iv) if the Contractor determines that none of these alternatives is reasonably available; the State shall return said item(s) or parts thereof to the Contractor and receive a refund for any moneys paid for them. In no event shall the State’s return of said items operate as a bar to or waiver of any of its rights in the event of any subsequent breach or other non-performance on the part of Contractor. The foregoing provisions shall not apply to any infringement occasioned by unauthorized modification or misuses by the State of any tangible or intangible products without Contractor’s written approval or the use of any Equipment with any adjunct device added by the State without the written consent of the Contractor. In the event that an action at law or inequity is commenced against the State arising out of a claim that the State’s use of a product under this Agreement infringes any patent or, copyright and Contractor is of the opinion that the allegations in such action in whole or in part are not covered by the indemnification and defense provisions set forth in this Agreement, Contractor shall immediately notify State and the Office of the Attorney General in writing and shall specify to what extent the Contractor believes it is obligated to defend and indemnify under the terms and conditions of this Agreement. Contractor shall in such event protect the interests of the State and secure a continuance to permit the State to appear and defend its interests in cooperation with Contractor as is appropriate, including any jurisdictional defenses the State may have. ARTICLE XXI Lobbying Certification Section 1352 of Title 31 of the U.S. Code requires that funds appropriated to a Federal agency be subject to a requirement that any Federal Contractor or grantee (such as the State) must be required to certify that no Federal funds will be used to lobby or influence a Federal officer or a Member of Congress. The certification the State has been required to sign for HHS provides that the language of this certification (shall) be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly. The certification also requires the completion of Federal lobbying reports and the imposition of a civil penalty of $10,000 to $100,000 for failing to make a required report. As a sub-recipient, the Contractor understands and agrees to the Federal
  • requirements for certification and disclosure. ARTICLE XXII Notification Any notice or other communication required by or pertaining to this Agreement shall be sent to the destinations indicated by the State's designated Project Director or the Contractor's designated Project Director. If no destination has been so indicated, such notices or communications may be directed to the address(es) or destination(s) at which the parties to this Agreement were located when this Agreement was executed or to the last known address or destination for such party. Contractor shall be responsible for notifying the State of any change of address or destination to which notices and communications should be sent. Except as otherwise specified elsewhere in this Agreement, notices or communications may be given orally or in writing and shall be effective when received. To remain effective, oral notifications must be confirmed in writing, transmitted in a manner to be received no later than ten (10) working days after the oral notification. Notices or communications may be transmitted by personal delivery, ordinary U.S. Mail, registered or certified mail, overnight delivery service, telegram, telephone, facsimile device, electronic means or any other means of transmission that results in the fixation of the information transmitted in a tangible medium of expression. Notices or communications shall be considered received on the day such receipt is acknowledged by a signed receipt or by any other means of verification that is recorded in a tangible medium of expression. Notices or communications from the State to the Contractor shall also be considered received as follows: A. Oral notifications shall be considered received on the date indicated as the date of conversation in any written confirmation or on the day sworn in an affidavit to be the date of such conversation, unless contested. B. Notices or communications by ordinary, registered or certified U.S. Mail shall also be considered received on the first working day after five (5) days following the day the transmittal is postmarked or following the day sworn in an affidavit to be the date the transmittal was deposited in a post office or an official depository. C. Notices or communications dispatched by overnight delivery service shall be considered received one (1) working day after having been dispatched. D. Transmissions by facsimile device or electronic means shall be considered received, upon the receipt by the State of a signal from the equipment of the Contractor indicating that the transmission was received. E. Notices or communications transmitted by personal delivery shall be considered received on the day the transmission is delivered to an agent of the Contractor. F. Any other transmissions shall be considered received no later than five (5) working day after transmission by the State is completed. ARTICLE XXIII Conflict of Interest
  • If during the term of this Agreement and any extension thereof the Contractor becomes aware of an actual or potential relationship which may be considered a conflict of interest or has reason to believe such relationship exists, the Contractor shall notify the State in writing immediately. Should the Contractor engage any current or former New York State employee as its own employee or as an independent contractor because of such employee's knowledge of New York State finances, operations or knowledge of the State's programs, or any current or former State employee who in the course of his State employment had frequent contact with Management level Contractor employees, the Contractor shall notify the State, in writing, immediately; should the State thereafter determine that such employment is inconsistent with State or Federal Law, the State shall so advise the Contractor, in writing, specifying its basis for so determining, and may require that the contractual or employment relationship be terminated. ARTICLE XXIV INTENTIONALLY LEFT BLANK ARTICLE XXV Other Agency Use A. Upon request by any other State Agency in New York, the Contractor shall enter into an agreement with such agency for the purchase of the goods and services that are the subject of this agreement which is the subject of this RFP. Such new agreement shall provide that the cost of such goods and services to the agency entering into such agreement shall be the same as charged to the State under this Agreement except that the Contractor shall be permitted to negotiate an increase in price to the extent it can show an increase in the cost of providing goods and services which can be attributed to the fact that the agency requires the contractor to be obligated to standard contractual provisions are more onerous than those contained in Standard New York State Appendix A. B. Upon request by a local social services district or its designated purchasing agent, the Contractor shall enter into an agreement with such district or agent for the purchase of the goods and services that are the subject of this agreement. Such new agreement shall provide that the cost of such goods and services to the district/agent entering into such agreement shall be the same as charged to State under this Agreement except that the Contractor shall be permitted to negotiate an increase in price to the extent it can show an increase in the cost of providing goods and services which can be attributed to the fact that the municipality constituting the social services district requires the contractor to be obligated to standard contractual provisions are more onerous than those contained in Standard New York State Appendix A. ARTICLE XXVI Limitation of Liability For damages arising as a result of acts or omissions of Contractor, its officers, employees, subcontractors, partners or agents, Contractor shall be jointly and severally responsible for the actions of its agents, employees, partners, or sub-contractors, including losses arising from, but not limited to: (I) providing defective or inadequate specifications; (ii) defective or inadequate performance; (iii) losses incurred in shipping and delivery of products to site; (iv) connection, installation or removal of tangibles or intangibles, including telecommunications; (v) defective or inadequate recommendations inducing detrimental reliance by Issuing Entity; (vi) defective or
  • inadequate maintenance and warranty service; or (vii) removal of existing equipment or acquisition of components resulting from defective specifications. The Contractor remains liable, without monetary limitation, for direct damages for personal injury, death, or damage to real property or tangible personal property attributable to the negligence or other tort of the Contractor, its officers, employees or agents. The warranties set forth herein are in addition to all other warranties, express or implied, including but not limited to, the implied warranties of merchantability and fitness for a particular purpose. For any suit, action, claim, damages, or costs relating to third parties, including those arising under or connected to the title, patent and copyright actions by those third parties, Contractor shall be fully liable for damages without limitation. Contractor’s liability under this Agreement for failure to provide adequate services or deliverables, regardless of whether such liability is asserted under a theory of contract breach, default, negligence, warranty, or otherwise, shall not exceed the greater of the amount of twice the value of all services and deliverables which have been paid for under the Task Order Award which the state claims are related to and establishes are operationally dependent upon the deliverable or service which is claimed to be defective. ARTICLE XXVII Warranty for Deliverables/Workmanship Intentionally Left Blank
  • Appendix C To Be Inserted Contractor Specific Personal Services Categories, Project Categories and Ceiling Rates
  • Reserved for Signature Page
  • APPENDIX A STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS PLEASE RETAIN THIS DOCUMENT FOR FUTURE REFERENCE.
  • TABLE OF CONTENTS 1. Executory Clause 2. Non-Assignment Clause 3. Comptroller’s Approval 4. Workers’ Compensation Benefits 5. Non-Discrimination Requirements 6. Wage and Hours Provisions 7. Non-Collusive Bidding Certification 8. International Boycott Prohibition 9. Set-Off Rights 10. Records 11. Identifying Information and Privacy Notification 12. Equal Employment Opportunities For Minorities and Women 13. Conflicting Terms 14. Governing Law 15. Late Payment 16. No Arbitration 17. Service of Process 18. Prohibition on Purchase of Tropical Hardwoods 19. MacBride Fair Employment Principles 20. Omnibus Procurement Act of 1992 21. Reciprocity and Sanctions Provisions 22. Purchases of Apparel
  • STANDARD CLAUSES FOR NYS CONTRACTS of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and The parties to the attached contract, license, lease, amendment or forfeiture of all moneys due hereunder for a second or subsequent other agreement of any kind (hereinafter, "the contract" or "this violation. contract") agree to be bound by the following clauses which are hereby made a part of the contract (the word "Contractor" herein refers to any 6. WAGE AND HOURS PROVISIONS. If this is a public work party other than the State, whether a contractor, licenser, licensee, lessor, contract covered by Article 8 of the Labor Law or a building service lessee or any other party): contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to 1. EXECUTORY CLAUSE. In accordance with Section 41 of the work more than the number of hours or days stated in said statutes, State Finance Law, the State shall have no liability under this contract to except as otherwise provided in the Labor Law and as set forth in the Contractor or to anyone else beyond funds appropriated and prevailing wage and supplement schedules issued by the State Labor available for this contract. Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing 2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of supplements, including the premium rates for overtime pay, as the State Finance Law, this contract may not be assigned by the determined by the State Labor Department in accordance with the Labor Contractor or its right, title or interest therein assigned, transferred, Law. conveyed, sublet or otherwise disposed of without the previous consent, in writing, of the State and any attempts to assign the contract without 7. NON-COLLUSIVE BIDDING CERTIFICATION. In accordance the State's written consent are null and void. The Contractor may, with Section 139-d of the State Finance Law, if this contract was however, assign its right to receive payment without the State's prior awarded based upon the submission of bids, Contractor affirms, under written consent unless this contract concerns Certificates of Participation penalty of perjury, that its bid was arrived at independently and without pursuant to Article 5-A of the State Finance Law. collusion aimed at restricting competition. Contractor further affirms that, at the time Contractor submitted its bid, an authorized and 3. COMPTROLLER'S APPROVAL. In accordance with Section 112 responsible person executed and delivered to the State a non-collusive of the State Finance Law (or, if this contract is with the State University bidding certification on Contractor's behalf. or City University of New York, Section 355 or Section 6218 of the Education Law), if this contract exceeds $50,000 (or the minimum 8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance thresholds agreed to by the Office of the State Comptroller for certain with Section 220-f of the Labor Law and Section 139-h of the State S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a amount to a contract which, as so amended, exceeds said statutory material condition of the contract, that neither the Contractor nor any amount, or if, by this contract, the State agrees to give something other substantially owned or affiliated person, firm, partnership or corporation than money when the value or reasonably estimated value of such has participated, is participating, or shall participate in an international consideration exceeds $10,000, it shall not be valid, effective or binding boycott in violation of the federal Export Administration Act of 1979 upon the State until it has been approved by the State Comptroller and (50 USC App. Sections 2401 et seq.) or regulations thereunder. If such filed in his office. Comptroller's approval of contracts let by the Office Contractor, or any of the aforesaid affiliates of Contractor, is convicted of General Services is required when such contracts exceed $85,000 or is otherwise found to have violated said laws or regulations upon the (State Finance Law Section 163.6.a). final determination of the United States Commerce Department or any other appropriate agency of the United States subsequent to the 4. WORKERS' COMPENSATION BENEFITS. In accordance with contract's execution, such contract, amendment or modification thereto Section 142 of the State Finance Law, this contract shall be void and of shall be rendered forfeit and void. The Contractor shall so notify the no force and effect unless the Contractor shall provide and maintain State Comptroller within five (5) business days of such conviction, coverage during the life of this contract for the benefit of such determination or disposition of appeal (2NYCRR 105.4). employees as are required to be covered by the provisions of the Workers' Compensation Law. 9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These rights shall include, but 5. NON-DISCRIMINATION REQUIREMENTS. To the extent not be limited to, the State's option to withhold for the purposes of set- required by Article 15 of the Executive Law (also known as the Human off any moneys due to the Contractor under this contract up to any Rights Law) and all other State and Federal statutory and constitutional amounts due and owing to the State with regard to this contract, any non-discrimination provisions, the Contractor will not discriminate other contract with any State department or agency, including any against any employee or applicant for employment because of race, contract for a term commencing prior to the term of this contract, plus creed, color, sex, national origin, sexual orientation, age, disability, any amounts due and owing to the State for any other reason including, genetic predisposition or carrier status, or marital status. Furthermore, without limitation, tax delinquencies, fee delinquencies or monetary in accordance with Section 220-e of the Labor Law, if this is a contract penalties relative thereto. The State shall exercise its set-off rights in for the construction, alteration or repair of any public building or public accordance with normal State practices including, in cases of set-off work or for the manufacture, sale or distribution of materials, equipment pursuant to an audit, the finalization of such audit by the State agency, or supplies, and to the extent that this contract shall be performed within its representatives, or the State Comptroller. the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or 10. RECORDS. The Contractor shall establish and maintain complete national origin: (a) discriminate in hiring against any New York State and accurate books, records, documents, accounts and other evidence citizen who is qualified and available to perform the work; or (b) directly pertinent to performance under this contract (hereinafter, discriminate against or intimidate any employee hired for the collectively, "the Records"). The Records must be kept for the balance performance of work under this contract. If this is a building service of the calendar year in which they were made and for six (6) additional contract as defined in Section 230 of the Labor Law, then, in accordance years thereafter. The State Comptroller, the Attorney General and any with Section 239 thereof, Contractor agrees that neither it nor its other person or entity authorized to conduct an examination, as well as subcontractors shall by reason of race, creed, color, national origin, age, the agency or agencies involved in this contract, shall have access to the sex or disability: (a) discriminate in hiring against any New York State Records during normal business hours at an office of the Contractor citizen who is qualified and available to perform the work; or (b) within the State of New York or, if no such office is available, at a discriminate against or intimidate any employee hired for the mutually agreeable and reasonable venue within the State, for the term performance of work under this contract. Contractor is subject to fines Page 1 June, 2006
  • specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure (b) at the request of the contracting agency, the Contractor shall request any of the Records which are exempt from disclosure under Section 87 each employment agency, labor union, or authorized representative of of the Public Officers Law (the "Statute") provided that: (i) the workers with which it has a collective bargaining or other agreement or Contractor shall timely inform an appropriate State official, in writing, understanding, to furnish a written statement that such employment that said records should not be disclosed; and (ii) said records shall be agency, labor union or representative will not discriminate on the basis sufficiently identified; and (iii) designation of said records as exempt of race, creed, color, national origin, sex, age, disability or marital status under the Statute is reasonable. Nothing contained herein shall and that such union or representative will affirmatively cooperate in the diminish, or in any way adversely affect, the State's right to discovery in implementation of the contractor's obligations herein; and any pending or future litigation. (c) the Contractor shall state, in all solicitations or advertisements for 11. IDENTIFYING INFORMATION AND PRIVACY employees, that, in the performance of the State contract, all qualified NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION applicants will be afforded equal employment opportunities without NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All discrimination because of race, creed, color, national origin, sex, age, invoices or New York State standard vouchers submitted for payment disability or marital status. for the sale of goods or services or the lease of real or personal property to a New York State agency must include the payee's identification Contractor will include the provisions of "a", "b", and "c" above, in number, i.e., the seller's or lessor's identification number. The number is every subcontract over $25,000.00 for the construction, demolition, either the payee's Federal employer identification number or Federal replacement, major repair, renovation, planning or design of real social security number, or both such numbers when the payee has both property and improvements thereon (the "Work") except where the such numbers. Failure to include this number or numbers may delay Work is for the beneficial use of the Contractor. Section 312 does not payment. Where the payee does not have such number or numbers, the apply to: (i) work, goods or services unrelated to this contract; or (ii) payee, on its invoice or New York State standard voucher, must give the employment outside New York State; or (iii) banking services, reason or reasons why the payee does not have such number or numbers. insurance policies or the sale of securities. The State shall consider compliance by a contractor or subcontractor with the requirements of (b) PRIVACY NOTIFICATION. (1) The authority to request the any federal law concerning equal employment opportunity which above personal information from a seller of goods or services or a lessor effectuates the purpose of this section. The contracting agency shall of real or personal property, and the authority to maintain such determine whether the imposition of the requirements of the provisions information, is found in Section 5 of the State Tax Law. Disclosure of hereof duplicate or conflict with any such federal law and if such this information by the seller or lessor to the State is mandatory. The duplication or conflict exists, the contracting agency shall waive the principal purpose for which the information is collected is to enable the applicability of Section 312 to the extent of such duplication or conflict. State to identify individuals, businesses and others who have been Contractor will comply with all duly promulgated and lawful rules and delinquent in filing tax returns or may have understated their tax regulations of the Governor's Office of Minority and Women's Business liabilities and to generally identify persons affected by the taxes Development pertaining hereto. administered by the Commissioner of Taxation and Finance. The information will be used for tax administration purposes and for any 13. CONFLICTING TERMS. In the event of a conflict between the other purpose authorized by law. terms of the contract (including any and all attachments thereto and (2) The personal information is requested by the purchasing unit of the amendments thereof) and the terms of this Appendix A, the terms of this agency contracting to purchase the goods or services or lease the real or Appendix A shall control. personal property covered by this contract or lease. The information is maintained in New York State's Central Accounting System by the 14. GOVERNING LAW. This contract shall be governed by the laws Director of Accounting Operations, Office of the State Comptroller, 110 of the State of New York except where the Federal supremacy clause State Street, Albany, New York 12236. requires otherwise. 12. EQUAL EMPLOYMENT OPPORTUNITIES FOR 15. LATE PAYMENT. Timeliness of payment and any interest to be MINORITIES AND WOMEN. In accordance with Section 312 of the paid to Contractor for late payment shall be governed by Article 11-A of Executive Law, if this contract is: (i) a written agreement or purchase the State Finance Law to the extent required by law. order instrument, providing for a total expenditure in excess of 16. NO ARBITRATION. Disputes involving this contract, including $25,000.00, whereby a contracting agency is committed to expend or the breach or alleged breach thereof, may not be submitted to binding does expend funds in return for labor, services, supplies, equipment, arbitration (except where statutorily authorized), but must, instead, be materials or any combination of the foregoing, to be performed for, or heard in a court of competent jurisdiction of the State of New York. rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a contracting agency is 17. SERVICE OF PROCESS. In addition to the methods of service committed to expend or does expend funds for the acquisition, allowed by the State Civil Practice Law & Rules ("CPLR"), Contractor construction, demolition, replacement, major repair or renovation of real hereby consents to service of process upon it by registered or certified property and improvements thereon; or (iii) a written agreement in mail, return receipt requested. Service hereunder shall be complete excess of $100,000.00 whereby the owner of a State assisted housing upon Contractor's actual receipt of process or upon the State's receipt of project is committed to expend or does expend funds for the acquisition, the return thereof by the United States Postal Service as refused or construction, demolition, replacement, major repair or renovation of real undeliverable. Contractor must promptly notify the State, in writing, of property and improvements thereon for such project, then: each and every change of address to which service of process can be made. Service by the State to the last known address shall be sufficient. (a) The Contractor will not discriminate against employees or Contractor will have thirty (30) calendar days after service hereunder is applicants for employment because of race, creed, color, national origin, complete in which to respond. sex, age, disability or marital status, and will undertake or continue existing programs of affirmative action to ensure that minority group 18. PROHIBITION ON PURCHASE OF TROPICAL members and women are afforded equal employment opportunities HARDWOODS. The Contractor certifies and warrants that all wood without discrimination. Affirmative action shall mean recruitment, products to be used under this contract award will be in accordance with, employment, job assignment, promotion, upgradings, demotion, but not limited to, the specifications and provisions of State Finance transfer, layoff, or termination and rates of pay or other forms of Law §165. (Use of Tropical Hardwoods) which prohibits purchase and compensation; Page 2 June, 2006
  • use of tropical hardwoods, unless specifically exempted, by the State or on this project through listing any such positions with the Job Service any governmental agency or political subdivision or public benefit Division of the New York State Department of Labor, or providing such corporation. Qualification for an exemption under this law will be the notification in such manner as is consistent with existing collective responsibility of the contractor to establish to meet with the approval of bargaining contracts or agreements. The Contractor agrees to document the State. these efforts and to provide said documentation to the State upon request; and In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be performed by any (d) The Contractor acknowledges notice that the State may seek to obtain subcontractor, the prime Contractor will indicate and certify in the offset credits from foreign countries as a result of this contract and submitted bid proposal that the subcontractor has been informed and is agrees to cooperate with the State in these efforts. in compliance with specifications and provisions regarding use of tropical hardwoods as detailed in §165 State Finance Law. Any such use 21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are must meet with the approval of the State; otherwise, the bid may not be hereby notified that if their principal place of business is located in a considered responsive. Under bidder certifications, proof of qualification country, nation, province, state or political subdivision that penalizes for exemption will be the responsibility of the Contractor to meet with New York State vendors, and if the goods or services they offer will be the approval of the State. substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In and Chapter 383, respectively) require that they be denied contracts accordance with the MacBride Fair Employment Principles (Chapter which they would otherwise obtain. NOTE: As of May 15, 2002, the 807 of the Laws of 1992), the Contractor hereby stipulates that the list of discriminatory jurisdictions subject to this provision includes the Contractor either (a) has no business operations in Northern Ireland, or states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana (b) shall take lawful steps in good faith to conduct any business and Hawaii. Contact NYS Department of Economic Development for a operations in Northern Ireland in accordance with the MacBride Fair current list of jurisdictions subject to this provision. Employment Principles (as described in Section 165 of the New York State Finance Law), and shall permit independent monitoring of 22. PURCHASES OF APPAREL. In accordance with State Finance compliance with such principles. Law 162 (4-a), the State shall not purchase any apparel from any vendor unable or unwilling to certify that: (i) such apparel was manufactured in 20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of compliance with all applicable labor and occupational safety laws, New York State to maximize opportunities for the participation of New including, but not limited to, child labor laws, wage and hours laws and York State business enterprises, including minority and women-owned workplace safety laws, and (ii) vendor will supply, with its bid (or, if business enterprises as bidders, subcontractors and suppliers on its not a bid situation, prior to or at the time of signing a contract with the procurement contracts. State), if known, the names and addresses of each subcontractor and a list of all manufacturing plants to be utilized by the bidder. Information on the availability of New York State subcontractors and suppliers is available from: NYS Department of Economic Development Division for Small Business 30 South Pearl St -- 7th Floor Albany, New York 12245 Telephone: 518-292-5220 Fax: 518-292-5884 http://www.empire.state.ny.us A directory of certified minority and women-owned business enterprises is available from: NYS Department of Economic Development Division of Minority and Women's Business Development 30 South Pearl St -- 2nd Floor Albany, New York 12245 Telephone: 518-292-5250 Fax: 518-292-5803 http://www.empire.state.ny.us The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million: (a) The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State; (b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended; (c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities Page 3 June, 2006
  • Appendix B Affirmative Action Definitions Page 4 June, 2006
  • APPENDIX B Affirmative Action - Definitions For the purpose of this AGREEMENT, the following definitions shall apply: 1. Minority Business Enterprise: Any business enterprise which is at least fifty-one percent owned by, or in the case of a publicly owned business, at least fifty-one percent of the stock is owned by citizens or permanent resident aliens who are Black, Hispanic, Asian and Pacific Islander, or American Indian or Alaskan Native, and such ownership interest is real, substantial and continuing. The minority and women-owned ownership must have and exercise the authority to independently control the business decisions of the entity. 2. Women-owned Business Enterprise: Any business enterprise which is at least fifty- one percent owned by, or in the case of publicly owned business, at least fifty-one percent of the stock of which is owned by citizens or permanent aliens who are women, and such ownership interest is real, substantial and continuing. For the purpose of this contract, it is understood that the definition of protected class is: Legally identified groups that are specifically protected by statute against employment discrimination. Protected class encompasses minorities, women, Vietnam Era Veterans, disabled persons and others by virtue of the law or court decisions interpreting the law. Definitions of Specific Categories of Protected Class Ethnic Categories: Black: (Not of Hispanic origin) - a person having origins in any of the black racial groups of the original peoples of Africa. Hispanic: a person of Mexican, Puerto Rican, Dominican, Cuban, Central or South American or either Indian or Hispanic origin, regardless of race. Asian and/or Pacific Islander: a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. This area includes, for example, China, Japan, Korea, the Philippine Islands and Samoa. Native American or Alaskan Native: a person having origins in any of the original peoples of North America, and who maintains cultural identification through affiliation or community recognition. Disabled Person: any person who (a) has a physical or mental impairment that substantially limits one or more major life activities; (b) has a record of such impairments, or (c) is regarded as having such an impairment. Vietnam Era Veterans: any person who was in active military service between January 1, 1963 and May 7, 1975. Page 5 June, 2006
  • EXHIBIT F Procedure for Handling of Protests/Appeals of Bid Specification and Proposed Awards Informal Complaints/Protests Staff have been encouraged to be receptive to and resolve issues, inquiries, questions and complaints on an informal basis, whenever possible. Information provided informally by any interested party will be fully reviewed by the Project Procurement Team. In addition, matters that are perceived to contain, or are potentially confidential or trade secret information will be shared with the Counsel’s Office for possible direction. Both Offeror and staff should document the subject matter and results of informal inquiries. The States response to the inquirer will indicate the existence of a formal protest policy available to the Offeror should the informal process fail to resolve the matter. Final agency determinations or recommendations for award generally may be reconsidered only in the context of a formal written protest. Formal Written Protests Any natural person or other legal entity who believes that there are errors or omissions in the procurement process, particularly actual or potential bidders, who have been aggrieved in the drafting or issuance of a bid solicitation or who believe they have fees in the proposal evaluation, bid award, or contract award phases of the procurement, may present to a formal complaint to the State and request administrative relief concerning such action ("formal protest"). A. Submission of Bid or Award Protests: 1. Deadline for Submission (a) Concerning Errors, Omissions or Prejudice in the Bid Specifications or Documents: Formal protests which concern patent errors in the drafting of bid specifications must be received by the State at least ten (10) calendar days before the date set in the solicitation for receipt of bids. (b) Concerning Proposed Contract Award: Formal protests concerning a pending contract award must be received within five (5) business days after the protesting party Page 6 June, 2006
  • ("protester") knows or should have known of the facts which form the basis of the protest. 2. A formal protest must be submitted in writing to the State, by ground mail, except where alternate arrangements have been made with Mr. Leonard Belanger, Director of the OTDA Bureau of Contract Management, 40 North Pearl Street, 13th Floor, Albany, NY 12243. 3. A formal protest must include: (a) a statement of all legal and/or factual grounds for disagreement with a State specification or purchasing determination; (b) a description of all remedies or relief requested; and (c) copies of all applicable supporting documentation. B. Review and Final Determination 1. Informal protests received by the Project Procurement Team members will be advanced to the Project Team Leader. Copies of all protests should be provided by the Project Team Leader to Office of Counsel. 2. Informal protests shall be resolved through written correspondence, however, either the protester or the State may request a meeting to discuss a formal protest, at which time the participants may present their concerns. Where further formal resolution is required, the Project Team Leader may designate a State employee not involved in the procurement action ("designee") to determine and undertake the initial resolution or settlement of any protest. 3. The Project Procurement Team will conduct a review of the records involved in the protest, and provide a memorandum to the Project Team Leader or his designee summarizing the facts as known to the team, an analysis of the substance of the protest, and a preliminary recommendation. The Project Team Leader, or his designee, shall: (a) evaluate the procurement team's findings and recommendations, (b) the materials presented by the protesting party and/or any materials required of or submitted by other bidders, (c) if necessary, consult with agency Counsel, and (d) prepare a draft response to the protest. Page 7 June, 2006
  • 4. A copy of the final protest decision, stating the reason(s) upon which it is based and informing the protester of the right to appeal an unfavorable decision to the Executive Deputy Commissioner shall be sent to the protester or its agent within thirty (30) business days of receipt of the protest, except that upon notice to the protester such period may be extended. The final protest determination should be recorded and included in the procurement record, or otherwise forwarded to the Office of the State Comptroller (OSC) upon issue. C. Appeals 1. The final protest determination shall be deemed a final and conclusive agency determination unless a written notice of appeal is received no more than fifteen (15) business days after the date the final protest decision is sent to the bidder. Such notice of appeal must be filed with the participating DFA client agency Executive Deputy Commissioner. 2. The Executive Deputy Commissioner shall hear and make a final determination on all appeals. The Executive Deputy Commissioner may designate a person or persons to act on his/her behalf. 3. A formal protest appeal may not introduce new facts unless responding to facts or issues unknown to the bidder prior to the final protest determination. D. Reservation of Rights and Responsibilities of the State 1. The State reserves the right to waive or extend the time requirements for protest submissions, decisions and appeals herein prescribed when, in its sole judgment, circumstances so warrant to serve the best interests of the State. 2. If the State determines that there are compelling circumstances, including the need to proceed immediately with contract award in the best interest of the State, then these protest procedures may be suspended and such determination shall be documented in the procurement record. 3. The State will consider all information relevant to the protest, and may, at its discretion, suspend, modify, or cancel the protested procurement action including solicitation of bids or withdraw the recommendation of contract award prior to issuance of a formal protest decision. Page 8 June, 2006
  • 4. Procurement Activity Prior to Final Protest Activity: Receipt of a formal bid protest shall not stay action on a procurement unless otherwise determined by the State. (a) If a formal protest or appeal is received by the State on a recommended award prior to the underlying contract being forwarded to the Office of the State Comptroller (OSC), notice of receipt of the protest and appeal must be included in the procurement record forwarded to the OSC. If a final protest determination or final decision on appeal has been reached prior to transmittal to the OSC, a copy of the final determination should be included in the procurement record and forwarded with the recommendation for award. (b) If a final protest determination is made after the transmittal of a bid package to the OSC but prior to the OSC approval under SFL § 112, a copy of the final State determination shall be forwarded to the OSC when issued, along with a letter either: a) confirming the original State recommendation for award and supporting the request for final § 112 approval, b) modifying the proposed award recommendation in part and supporting a request for final § 112 approval as modified; or c) withdrawing the original award recommendation. 5. All records related to formal bidder protests and appeals shall be retained for at least one (1) year following resolution of the protest. All other records concerning the procurement shall be retained according to the statutory requirements for records retention. Page 9 June, 2006