NEW YORK STATE
                           OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE       David A. Hansell
David A. Pa...
bidders that have executed the new contract will be allowed to receive Task

        order award solicitations.

    3. Th...
We remind you again that only responsive bidders having submitted complete

proposals--including executed signature pages ...
NEW YORK STATE
       OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE

              PERSONAL SERVICES RE-SOLICITATION RFP

...
SECTION I
                                 INTRODUCTION

A.   Organizational Description

     1. The New York State Depar...
and final” price at or below the ceiling rates in their Backdrop contract.
     Backdrop Contracts for these services will...
SECTION II
                      PROCUREMENT INFORMATION
                         AND REQUIREMENTS

A.   Title of RFP

   ...
E.   Submission of Proposals

     1. Proposals must be signed by an official authorized to bind the Offeror to its
      ...
3. The State reserves the right to:

   a) Reject any or all proposals received in response to this RFP.

   b) Reissue a ...
H.   Incurred Costs

     The State of New York shall not be liable for any costs incurred by an Offeror in
     the prepa...
2. Prospective Offerors to this RFP are subject to the provisions of Article 15-A
        of the Executive Law and regulat...
N.   Prime Contractor’s Responsibility

     In the event the selected Offeror’s proposal includes services provided by
  ...
S.      Procurement Lobbying Act

     Pursuant to State Finance Law §§139-j and 139-k, this procurement
     imposes cert...
T.   Public Officers Law

     All Offerors and their employees must be aware of and comply with the
     requirements of ...
project, and has retained the documentation of these efforts to be provided
        upon request to the State;

     2. Th...
an assignment, a Contractor/Subcontractor Background Questionnaire should be
submitted for the Contractor and Subcontracto...
X.   New York State Sales and Compensating Use Taxes

     Tax Law Section 5-a, which was added to the Tax Law under Part ...
AA. Consulting Services Report

    Chapter 10 of the Laws of 2006 amends State Finance Law §§ 8 and 163 by
    requiring:...
SECTION III
                          PERSONAL SERVICE TITLES



A. The State has identified 110 titles under which it may...
g.   Production Control Supervisor
     h.   File Management Supervisor
     i.   File Management Specialist
     j.   Com...
8.    OFFICE AUTOMATION

      a.   OA Coordinator
      b.   Site Contact
      c.   LAN Administrator
      d.   Microso...
f.   File Management Specialist
         g.   Computer Console Operator III
         h.   Forms Support Specialist
       ...
SECTION IV
                       PROPOSAL REQUIREMENTS

To be eligible for contract award, Offerors are required to submi...
• ST-220TD
      9. Security, Nondisclosure, Confidentiality and Press Releases Agreement
     10. W-9 Form – Request for ...
SECTION V
                    PROPOSAL EVALUATION CRITERIA
All proposals received will be subject to an evaluation by Offi...
title(s) as well as the corresponding ceiling rate
5. Have 16 signed and notarized signature pages (4 each for 4
   partic...
SECTION VI
             THE TASK ORDER AWARD PROCESS AND
                STATE OPERATING PROCEDURES

This RFP is intended ...
•   Position Recruitment Form.
                  All fields on the Position Recruitment Form must be completed and
       ...
requirements for the Personal Service title being bid, and incomplete
           Forms;
     2.    Award the Task Order Aw...
F.     CONSULTANT SERVICE SEPARATION

       The following table summarizes the various scenarios that could cause a
     ...
Exhibit A: Standard Response Forms




                31
Exhibit A.1: MACBRIDE FAIR EMPLOYMENT PRINCIPLES



          NONDISCRIMINATION IN EMPLOYMENT IN NORTHERN IRELAND:


     ...
Exhibit A.2: Non-Collusive Bidding
            NON-COLLUSIVE BIDDING CERTIFICATION REQUIRED BY
                 SECTION 13...
Non-Collusive Bidding Certification, cont’d.

Identifying Data

Potential
Contractor:_____________________________________...
Exhibit A.3: Bidder’s ID Form
                                   COMPANY PROFILE INFORMATION
COMPANY NAME/ HEADQUARTERS AD...
state that penalizes New York vendors, and if the goods or services they offer will be
substantially produced or performed...
Exhibit A.4 CONTRACTOR’S REQUIREMENT UNDER ARTICLE l5-A

        Article 15-A of the Executive Law has been in existence s...
All questions regarding compliance to Article 15-A requirements or copies of the forms
should be addressed to the contract...
EXHIBIT A.5

         NEW YORK STATE
         OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE

         CONTRACTOR/SUBCONTRA...
1.       Total number of people employed by your firm :
     ∗      Within New York State ?                               ...
k)   any federal determination of a violation of any labor law or regulation , or any        __ _ _ _ _   NO   __ _ _ _ _ ...
understands all of the items contained in the questionnaire and any pages attached by the
submitting vendor. 8) has suppli...
EXHIBIT A.6
                                Procurement Lobbying Act
 Offerer’s Certification and Affirmation of Understan...
Offerer Disclosure of Prior Non-Responsibility Determinations (Procurement
                               Lobbying Act)
  ...
Governmental Entity:      

Date of Termination or Withholding of Contract:      

Basis of Termination or Withholding:   ...
New York State Department of Taxation and Finance (Exhibit A.8)

                   Contractor Cer tification to Covered  ...
on page 2 of this form must be completed before a notary public.

When to complete this form
As set forth in Publication 2...
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RFP Response Requirements

  1. 1. 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
  2. 2. 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
  3. 3. 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
  4. 4. 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
  5. 5. 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
  6. 6. 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
  7. 7. 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
  8. 8. 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
  9. 9. 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
  10. 10. 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
  11. 11. 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
  12. 12. 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
  13. 13. 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
  14. 14. 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
  15. 15. 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
  16. 16. 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
  17. 17. 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
  18. 18. 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
  19. 19. 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
  20. 20. 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
  21. 21. 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
  22. 22. 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
  23. 23. 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
  24. 24. • 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
  25. 25. 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
  26. 26. 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
  27. 27. 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
  28. 28. • 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
  29. 29. 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
  30. 30. 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
  31. 31. Exhibit A: Standard Response Forms 31
  32. 32. 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
  33. 33. 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
  34. 34. 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
  35. 35. 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
  36. 36. 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
  37. 37. 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
  38. 38. 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
  39. 39. 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
  40. 40. 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
  41. 41. 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
  42. 42. 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
  43. 43. 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
  44. 44. 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
  45. 45. 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
  46. 46. 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
  47. 47. 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

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