division of financial administration addendum no. 3 … · 2018-12-06 · the application process,...

RFP No. 2079 Addendum No. 3 – Extend RFP Due Date

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DIVISION OF FINANCIAL ADMINISTRATION

ADDENDUM No. 3

RFP No. 2079 Date: December 6, 2018 Subject: Extension of Proposal Due Date Title: Service Disabled Veterans Enterprise System (SDVES) Bid Due Date: December 18, 2018 @ 2:00 PM Address Bids to: Eric Schantz

NYS Office of General Services, Financial Administration 32nd Floor, Corning Tower, Empire State Plaza Albany, New York 12242

RFP No. 2079 To Prospective Bidders: This addendum is being issued to revise the Proposal Due Date. The new due date is December 18, 2018 at 2:00 pm. Any proposals already submitted may either be replaced with a new proposal or the vendor has the option of signing this addendum which will be subsequently matched with their proposal. All other terms and conditions remain unchanged. If submitting a proposal, this Addendum No. 3 for RFP No. 2079 must contain an original signature, be dated, attached to, and made a part of your proposal. Company Name Address (include City, State, Zip) Bidders Name (please print) Title Signature Date

RFP No. 2079 Addendum No. 2 RFP Attachment 1 – Cost Proposal Form Revision

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ADDENDUM No. 2

RFP No. 2079

Date: November 30, 2018 Subject: RFP Attachment 1 – Cost Proposal Form Revision Title: Service Disabled Veterans Enterprise System (SDVES) Bid Due Date: December 10, 2018 @ 2:00 PM Address Bids to: Eric Schantz

Division of Financial Administration NYS Office of General Services 32nd Floor, Corning Tower Empire State Plaza Albany, New York 12242

RFP No. 2079 To Prospective Bidders: This addendum is being issued to provide the following:

• The fields in RFP Attachment 1 – Cost Proposal Form Tab 3 – Software, have been unlocked so the form can now be completed correctly. The updated attachment has been posted to the OGS Bid Calendar (https://nyspro.ogs.ny.gov/content/finding-bid-opportunities) to replace the original version.

All other terms and conditions remain unchanged. If submitting a proposal, this Addendum No. 2 for RFP No. 2079 must contain an original signature, be dated, attached to, and made a part of your proposal. Company Name Address (include City, State, Zip)

RFP No. 2079 Addendum No. 2 RFP Attachment 1 – Cost Proposal Form Revision

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Bidders Name (please print) Title Signature Date

RFP No. 2079 Addendum No. 1 Questions and Answers, Clarifications

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ADDENDUM No. 1

RFP No. 2079

Date: November 15, 2018 Subject: Questions and Answers, Clarifications Title: Service Disabled Veterans Enterprise System (SDVES) Bid Due Date: December 10, 2018 @ 2:00 PM Address Bids to: Eric Schantz

Division of Financial Administration NYS Office of General Services 32nd Floor, Corning Tower Empire State Plaza Albany, New York 12242

RFP No. 2079 To Prospective Bidders: This addendum is being issued to provide the following:

• Official answers to questions submitted by vendors and any clarifications. Questions and Answers:

Q1. Will other questions from others be posted?

A1. Yes.

Q2. Is there a full software design document?

A2. No. It is expected the winning vendor will develop the software design document as part of the analysis.

Q3. Will end client this is designed fro be available any time? If not will they be available within 1 working day?

A3. The end client will be available during normal business hours.

Q4. Maximum number of sessions. Users connecting at one time. These are design parameters that affect server sizing, ram and disk sizing and selection.


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A4. The number of internal users is estimated to be a maximum of 250 at any given time.

Q5. In terms of equipment cost. Will this need to include:

1. Server(s) 2. UPS

A5. No cost information for the server/network infrastructure is needed in the bid. The infrastructure specified in the winning bid will be used by ITS to configure the required platforms. Refer to Section 5.3 Price, #4 (Tab 4 – Infrastructure Required).

Q6. Will there be VPN connectivity to enable remote work/support?

A6. There will not be VPN connectivity. The Project Manager should be on site full time. An option would be to develop off site and deploy through Webex, otherwise we expect developers to be onsite.

Q7. The ability to edit change is a dynamic aspect and needs to be better defined. Do you mean:

1. To change the entire web content by the end organization or 2. Change available questions upon previous response from user to a pre-defined

capability 3. Other?

These aspects and others would be part of the design document. This aspect is in response to the statement on being able to edit/change. That is very vague. What will be delivered will not be a word processor. While there are ways to enable changing or editing that requires a full understanding of what is desired to edit/change. When the full understanding is known then either ‘that cannot be accomplished’ or 'that can be accomplished and will require… time… increase cost… etc.’

7A. The DSDVBD Administrators must have the ability to modify/add/delete required fields as part of

the application process, amend drop down lists, add standard reports, etc. (refer to Section 2.3 SDVOB Application and Certification Requirements, #5).

8Q. Will we be designing the user web interface where the SDVOB applicants will be applying, too. 8A. Yes, in accordance with OGS Style Guidelines which will be shared with the winning vendor.

9Q. Will the web application be client facing or will it be internal only.

9A. There will be an internal facing interface for SDVOB staff to perform their functions. There will also be external facing interfaces where agencies/authorities can input required information and SDOVB vendors can request/renew their certification, contract holders can submit the required information on their SDVOB goals and payments and certified SDVOB firms can verify payments to them.

10Q. Just to be clear we will not be expected to purchase any hardware, but we will be allocated the proper “rack space” in the NYS Data Center

10A. Yes. Refer to Section 5.3 Price, #4 (Tab 4 – Infrastructure Required). The vendor is only required to provide a list of the infrastructure required to host the system; however, ITS will procure and provide the actual hardware and rack space.


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11Q. For tracking user/SDVOB communications, would you like all communication to be done inside the app

11A. There is no requirement for the communication to be completed within the system; however, the system needs to have the ability to capture communications.

12Q. For clarification. The appeal process (when an application is denied) does not need to be part of

the solution

12A. Correct.

13Q. Of the 2100 expected total users detailed on page 28 of the RFP, 1800 are anticipated to be SDVOB’s. How many users are expected in each of the other classes listed on Page 10?

13A. a. DSDVBD Administrator – 2 b. DSDVBD Unit -- 10 c. Agency/Authority Administrator -- 200 d. Agency/Authority -- Unlimited e. Applicants -- Unlimited f. Prime Contractors -- Unlimited g. Certified SDVOB’s – 1800

14Q. Does the State prefer that the new SDVOB integrate with a document management system for the storage of attached files? If so, what is the State’s preferred tool (i.e. Filenet, SharePoint, etc.)?

14A. The State has no preference. 15Q. Can synchronization of shared data be asynchronous, or does OGS expect real-time integration? 15A. It can be asynchronous. 16Q. Data Sources:

a. How many financial data sources are there?

b. What is the data format that they send?

c. Is it the same for all sources?

d. What is the frequency of data exchange? 16A.

a. Approximately 100 agencies and authorities. Approximately half use SFS. Agencies and authorities who do not use SFS will have to manually upload their data from whatever financial system they use, such as Quickbooks, Sage, Dynamics, etc.

b. xlsx, csv

c. No


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d. The data import from SFS is to be daily. The remaining data exchange frequency depends on the data (e.g. Contractor Compliance reports are due to agencies and authorities monthly, Agency/Authority SDVOB Activity Reports are due to the DSDVBD quarterly).

17Q. Does OGS have any preferred methods of authentication – such as those listed below, or others?

a. AD domain authentication for internal users

b. NY.gov ID for NYS portal users would use NY.gov ID

c. OAuth and credentials stored in the contact entity for external portal users

17A. Only AD and NY.gov are acceptable.

18Q. We understand that you have about 10GB of Legacy Data needs to be imported. Could you please elaborate on the format of data (sql, access, excel, doc files, etc…) and number of records that’ll need to be imported

18A. Mostly excel (approximately 4800 files) Some word documents and PDFs (approximately 700)

19Q. Do we need to provide functionality for you to create and manage vendors and third-parties accounts or do you already have an existing Identity Management Solution to meet this need (i.e. NYS Directory Services)?

19A. NYSDS will only be used for Authentication. The user authorization will be managed at the application level.

20Q. What level of work do we need to perform to satisfy “General Requirements -3. Onboard up to 150 NYS agencies, and authorities that may be required to utilize the system”? (page 10) We need to know this to price this effort.

20A. All agencies and authorities must be capable of accessing the system, verifying that legacy data is imported and accessible, importing new financial data from SFS or manually uploading from other sources, and using all the system’s other compliance and reporting functions.

21Q. What are the expectations/needs reflected in “General Requirements - 6. Track communication within the solution between internal and external stakeholders”? Do you need to track case-specific written comments and response or do you need to associate emails with specific case or documents?

21A. Yes, the ability to track case specific comments is required for applications, goal plans and agency narratives as well as the ability to associate emails for all functions.

22Q. Do you have Microsoft SharePoint 2016 license? And if so, how many CALs are included with your license?

22A. NYS has an enterprise license for SharePoint, allowing any executive state employee with an 0365 email account to be able to log onto SharePoint. Not all users are executive state employees. Some work for public authorities or private contractors.


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23Q. Regarding “General Requirements - 9. Schedule reminders for required reports for any users”: Do need the ability to build reports and remind users to build those reports? Or you need to email reminders as reports become available?

23A. The system must schedule reminders for any of the currently required reports (SDVOB Compliance Reports, OGS Centralized Contract Compliance Reports, Agency Quarterly Activity Reports, Agency Master Goal Plan, Agency Narrative Statement). The system shall also provide the capability to create new custom reports and schedule reminders for those reports as needed as per Section 2.6 Report Requirements No. 2 and No. 10.

24Q. Regarding “General Requirements - 12 Allow application to attest the information provided on the application and supporting documentation is true”: should this be an electronic signature with evidence package, so it holds up in court?

24A. Yes.

25Q. Regarding Section 2.5, items #1 through #3: could you please provide additional details as to what PeopleSoft financial data shall be imported (i.e., balance sheet, transactions, accounts, etc)?

25A. Financial information that is imported includes contract header information, Business Unit, Voucher ID, Voucher Line, Voucher Line Description, Amount, Entered By, Journal Date, Journal ID, Journal Line, Purchase Order, Purchase Order Line, Purchase Order Line Description, NYS Contract ID, SFS Contract ID, Contract Description, Contract Begin Date, Contract End Date, Contract Value, Corporate Contract Indicator, Supplier, Invoice Number, Accounting Date, Audit Type, PSP Method, and Obligation Date.

26Q. Regarding Section 2.7, item #13 “Allow Agencies/Authorities t calculate anticipated eligible spend using imported financial data”: is this referring to the imported PeopleSoft SFS financial data from section 2.5 Interface Requirements?

26A. Yes.

27Q. (Page no 36 Sec 3.9) We are a small business SDVOSB Certified...Are we allowed a Teaming/JV with a larger company OR only Sub contractors up to 50% to 60% allowed with Prime being held accountable

27A. The Prime Contractor must be a NYS Certified SDVOB and products and services provided directly by the Prime Contractor must account for at least 30% of the total contract value.

28Q. (Page no 36 Sec 3.9) Can Sub Contractors’ past experience/references be counted as Reference for a SDVOSB company as a Prime?

28A. No. 29Q. (Page 23 Sec 3.4) Can the required insurance be provided once the contract is awarded? 29A. No, insurance must be obtained when tentatively selected, prior to contract award.

30Q. (Page 22 Sec 3.3 - Experience and Qualifications) How many client references are needed...does it have to be website related or general reference for Past performance?


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30A. As per Section 3.3 please provide one primary contact and one backup contact from 3 project clients. The projects should be similar in scope and size to this project.

31Q. (Page 32 Sec 5.2) Financial strength of SDVOB, what is the state agency looking for from SDVOB as prime

31A. OGS conducts an independent review of tentatively awarded contractors. A portion of this review is based on financial information provided by the Contractor through the “For-Profit Business Entity Questionnaire”. The Contractor is required to complete this questionnaire (refer to Section 6.14 – Vendor Responsibility for more information).

32Q. (Page 26 - sec 4.1) What is Selection Criteria? 32A. Refer to Section 4.1 – Proposal Evaluation and Section 4.2 – Proposal Scoring.

33Q. (Page 36 - Sec 6.9) What does this mean, During the term of the Contract, before any part of the contract shall be sublet, the Contractor shall submit to DSDVBD, 32nd Floor Corning Tower, ESP, Albany, NY 12242, in writing, the name of each proposed subcontractor and obtain written consent to such subcontractor. The names shall be submitted in ample time to permit acceptance or rejection of each proposed subcontractor without causing delay in the work of this contract. The Contractor shall promptly furnish such information as the Director of DSDVBD may require concerning the proposed subcontractor's ability and qualifications.

33A. It means the DSDVBD must be aware of and approve all subcontractors at any point in the project.

34Q. (Page 26 - sec 4.1) We have very few W-2 employees, we are planning to team with a larger Sub contractor who has past performance and W-2 employees. Just wanted to know if our strategy to partner with a larger organization is ok.

34A. Refer to Question #27.

35Q. (Page 4 - Section 1.1: Configurable solution to be hosted at the NYS Information Technology Service (ITS) Data Center) Does ITS data Center is configured to run Drupal based solutions. Does the server supports Apache and MySQL database?

35A. The ITS data Center is not configured to run Drupal based solutions and we do not support Apache; however, we do support MySQL database.

36Q. ( - Section 2: Calculate agency exclusions, exemptions and eligible spending using NYS financial data) Is that some sort of information that must be calculated and shared in the open site for general users?

36A. The system should calculate these based on set parameters but the results should only be available to agency/authority administrators and the DSDVBD administrators.

37Q. (Page 9 - Section 2: Provide robust workflow capabilities) Would you be providing the current workflow?

37A. Workflow diagrams are provided in the RFP Attachments 1-25.


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38Q. (Page 9 - Section 2: Provide flexible reporting capabilities) How is reporting currently done? Are Veterans need to fill up and then submit the form?

38A. Information is entered into templates created with excel and submitted via email.

39Q. (Page 9 - Section 2: Provide a searchable public database of Service Disabled Veteran Owned Businesses) Does the search needs to be for Authenticated users only?

39A. No. Anyone should be able to visit the Directory and search for NYS Certified SDVOBs. 40Q. ( - Section 2.2:

a. DSDVBD Administrator b. DSDVBD Unit c. Agency/Authority Administrator d. Agency/Authority e. Applicants f. Prime Contractors g. Certified SDVOB’s) What are the responsibilities associated with specified roles?

40A. These are detailed in Attachment 4 – SDVES Permissions.

41Q. (Page 10 - Section 2.2: 3. Onboard up to 150 NYS agencies, and authorities that may be required to utilize the system) What does onboarding exactly means? Please Elaborate?


42Q. (Page 10 - Section 2.2: 4. All data within the solution must be searchable, exportable and reportable) How many reports are expected from the application? what format of reporting are you expecting?

42A. In addition to the approximately 400 required Agency/Authority SDVOB Activity Quarterly Reports and the DSDVBD Annual Report each year, the system must be capable of creating custom reports as needed for both Agencies/Authorities and the DSDVBD as per Section 2.6 Report Requirements No. 2. Reports should be available in xlsx, docx, csv and PDF format as per Section 2.6 Report Requirements, #4.

43Q. (Page 10 - Section 2.2: 7. Facilitate electronic communication between stakeholders and send notifications via automatic emails) Will you be providing the email template? How are emails currently being triggered?

43A. DSDVBD will provide email templates. DSDVBD must be able to edit and create new email templates as needed. Emails are currently triggered by Outlook calendar reminders and sent manually using templates saved in Word.

44Q. (Page 10 - Section 2.2: 9. Schedule reminders for required reports for any users) How this reminder will work? Is it through an Email or Notification to Authenticated user?

44A. This must be detailed in the proposed solution. Email or notification are both acceptable.


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45Q. (Page 10 - Section 2.2: 10. Schedule reminders for work requiring action within certain timeframes (for DSDVBD staff)) How this reminder will work? is it through an Email or Notification to Authenticated user?


46Q. (Page 10 - Section 2.2: 14. Generate and store documents such as letters, applications, reports, etc.) Is this done in the front-end or the back-end of the site? Does your expectation to have these documents saved locally? We wanted to understand, once the documents (letters, reports) are generated, where would these be stored? Would it be saved to users / requester's system locally or will these documents be saved and stored in a backend database for future use?

46A. We expect the documents to be securely saved and accessible to the appropriate authorized user. Where they should be saved is to be proposed by the vendor as part of their solution.

47Q. ( - Section 2.3: 4. Track vendor certification expiration date and automatically send a notice to the business when the recertification deadline is approaching. Notification must be sent at nine months prior to certification expiration.) Are you currently using any scheduling software? Is your expectations to use the same for the future solution?

47A. We are not using scheduling software. The proposed solution must address this; however, the DSDVBD administrators should have the ability to amend these pre-set dates as necessary.

48Q. (Page 12 - Section 2.3: 24. Accept digital signatures from each applicant) What is your current e-signature solution? Are you expecting the vendor to recommend a new solution.

48A. There is no current solution. The vendor should recommend a solution.

49Q. (Page 13 - Section 2.4: Import and store legacy data) What format is the legacy data in? Does the data include Social Security numbers or credit card numbers? How many fields is the legacy data? Can you share a sample of data file?

49A. Refer to Question #18. Some data includes Social Security numbers; no credit card numbers. Number of fields varies by type of legacy data. Largest number of fields is 23.

50Q. (Page 13 - Section 2.5: Interface Requirements) What are the current internal interfaces? 50A. There are no current internal interfaces.

51Q. (Page 15 - Section 2.7: Allow Agencies/Authorities to upload documents with a maximum file size of 2 GB each) Is it our understanding that you will be providing all the business rules for disbursement and participation tracking. Where is the source data for contracts and purchase orders will be stored?

51A. Source data for contracts and purchase orders will be received from either SFS or uploaded from another financial system.

52Q. (Page 16 - Section 2.8: Disbursements and Participation Tracking) Is it our understanding that you will be providing all the business rules for disbursement and participation tracking. Where is the source data for contracts and purchase orders will be stored?


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53Q. (Page 18 - Section 2.11: The Proposed Relational Database (RDBMS) shall be either Oracle (must run on AIX) or Microsoft SQL Server)) Are you open for other open-source Database?

53A. It must be either Oracle AIX, Microsoft SQL or MySQL. 54Q. (Page 18 - Section 2.11: Overview) What is the expected overall budget for this initiative? 54A. OGS declines to answer this question.

55Q. (Page 9: Detailed scope of work) It is assumed that you will be providing Dev, Test and Production environment for development and implementation of the solution?

55A. Yes

56Q. (Page 9: Detailed scope of work) Does 9 months timelines includes Dev+UAT+Production deployment, please confirm?

56A. Yes, 9 months includes finished production ready system.

57Q. (Page 19: Maintenance and Support Requirements) It is our understanding that selected Vendor would be responsible for developed application only, please advise how multi-vendor (integrated apps) support will be addressed?

57A. The selected bidder must provide a support plan for all parts of the ultimate solution that is procured through this contract.

58Q. (Section 2.5 / Page 13 1. Accept, format and import financial data to the system.) Can we get more information on the financial data and the way should it be formatted? Is this referring to info provided in RFP Attachment 23 -Financial Interface DW627?

58A. The DSDVBD requires agencies and authorities to report the information requested on the Agency Quarterly Activity Report Forms. The DW627 is an example of a report available in SFS that provides some of the requested information. SFS includes other helpful reports; however, some authorities do not use SFS and instead use Quickbooks, Sage, Dynamics, etc. The system shall allow agencies and authorities to import financial information and then help identify the necessary information and create the reports required by the DSDVBD.

59Q. (Section 2.5 / Page 13 2. Establish an integration point with PeopleSoft SFS financial data.) Does the mentioned PeopleSoft SFS provide automated download of information? Any idea on the ways in which a system can integrate to SFS?

59A. Integration with SFS will be done through SFTP file exports and imports.

60Q. (Section 2.5 / Page 13 3. Establish an import mechanism for all other financial data points.) It is not clear what is to be imported and the format? Multiple data sets & multiple formats?



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61Q. (Section 2.5 / 4. Import legacy data including development of all data load routines with DSDVBD approval) Can we get more information on the legacy system and the data format(s)?


62Q. (Section 2.5 / Page 13 6. Support interface with NYS Directory Services for user authentication (Refer to Attachment #6 - NY.gov ID Specifications)) We are not clear regarding the authentication/authorization part. On Page 10, section 2.2.2, it says: “Provide each individual business owner applying for certification a unique log-in with access to his or her application”. This section above says we need to integrate with NYS directory services. Is the idea that we would create new accounts for each business owner in NYS directory services? Or is the use of NYS directory services only for state employees (i.e. the people who approve applications, send notices, file reports, etc.)?

62A. OGS will be creating the NYSDS accounts for authentication and the vendor would be expected to manage authorization within the application.

63Q. (Section 2.6, Page 13 + 14) Can we get some example reports just to get an idea of the level of complexity involved?

63A. Example Reports are provided as Attachments 15, 16, & 22.

64Q. (Page 18 The solution must use NYS provided load testing and performance tuning tools where applicable) What load testing/performance tools are we expected to use, and are there any expected SLAs we need hit?

64A. NYS requires the use of LoadRunner for testing and performance.

65Q. (Section 2.13, Page 19, Maintenance and Support Requirements) How do upgrades in these scenarios usually work? Do we get to determine when upgrades go out? Who tests updates?

65A. ITS follows a standard practice of installing upgrades to the application on a test platform, where ITS and OGS staff will test the upgrade, prior to moving from a test platform to production platform. The timing of the upgrades will be dependent on the timing of when they are released by the winning vendor.

66Q. (Section 3.3, Page 23, Project Plan, Point # 6) What does “onboarding” these agencies involve? Is it a data import? Interfacing to their existing systems? Some form of training/documentation?


67Q. (RFP Page 23, 3.4 Administrative Proposal, 8th Paragraph) Per the RFP, all Appendix B forms are required upon proposal submission. Can you please confirm that the following Forms are required with submission and not upon award: 1) ST-220-TD - this is typically required after/upon contract 2) Form B - this is a quarterly report intended to report actual hours worked

67A. 1) ST-220-TD is to be sent to NYS Tax Department and filed at the time of proposal submission. 2) Form B Contractor’s Annual Employment Report is not required with bid submission. It is to be completed annually by the awarded contractor.


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68Q. (RFP Page 9, 2. Detailed Scope of Work, 1st Paragraph) Is there any business reason for this engagement to be done in 9 months? When do you think this contact will be awarded to winning bidder?

68A. Tentative contract award is expected to be made by February with final award contingent on approval by the Attorney General and the Office of the State Comptroller which could take up to 90 days. OGS feels nine months is a reasonable amount of time to create and deploy the solution.

69Q. (RFP Page 9, 2. Detailed Scope of Work, 1st Paragraph) What is volume of legacy data to be converted to new system?


70Q. (RFP Page 9, 2. Detailed Scope of Work, 1st Paragraph) Is this project funded? If yes, what is the allocated budget?


71Q. RFP Page 9 2.1 Project Tracking 1st Paragraph Is there any preference for the Project Management tool?

71A. No.

72Q. (RFP Page 10, 2.2.2.2 General Requirements, 1st Paragraph) Can you please provide more details on item #4 requirement: "4. All data within the solution must be searchable, exportable and reportable."?

72A. It is expected the solution provides as much flexibility as possible to create custom reports with the business and financial information in the system.

73Q. (RFP Page 10, 2.2.2.2 General Requirements, 1st Paragraph) Does OGS have any preferred choice for mail provider?

73A. All emails will be relayed through the State’s 0365 email platform.

74Q. (RFP Page 13, 2.5 Interface Requirements, 1st Paragraph) Can you please provide more details on item #3 requirement: "3. Establish an import mechanism for all other financial data points."?


75Q. (RFP Page 22, 3.3 Technical Proposal, 4th Paragraph) Can we use a partners experience to meet the mandatory requirements?

75A. No.

76Q. (RFP Page 26, D_MWBE Diversity Practices, 1st Paragraph) As this is a SDVOSB set aside, do we really have to partner with a MWBE company to meet this requirement? Can we get a waiver on this requirement.


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76A. Refer to Appendix E for goals and all relevant processes.

77Q. (Appendix D, Section B, Insurance Requirement, Item 5 and 6) Can the Insurance requirement limits be reduced or removed? - Data Breach and Privacy/Cyber Liability - Technology Errors and Omissions

77A. No.

78Q. (Attachment 11_Goal Plan Reviewing Checklist) Does attachment 11 represent the final version of goal plan and list of agencies who will be participating in the program?

78A. Attachment 11 is the tool the DSDVBD uses to evaluate individual goal plans, not a goal plan itself. The list of agencies are those currently required to submit annual goal plans plus one authority who is not required but is voluntarily participating (The Development Authority of the North Country).

79Q. (Attachment 12_Goal Plan Tracker 18-19) Does attachment 12 represents the final version of the goal plan?

79A. Attachment 12 is the tool the DSDVBD uses to track its progress reviewing all agency and authority goal plans, not a goal plan itself.

80Q. (Attachment16_Agency Quarterly Activity Report Forms 1-3 (awards)) Does attachment 16 represent Awards, Disbursements and Waivers layout?

80A. Those are the current templates used by agencies and authorities to submit their quarterly reports.

81Q. (Attachment25_Diversity Practices Scoring Matrix) Does attachment 25 represent Diversity practices scoring layout?

81A. Yes. Clarification: Any vendor that intends to submit a proposal must have a fully approved SDVOB certification by the “Proposal Due Date” stated in Section 1.5 – Key Events, of RFP No. 2079. All other terms and conditions remain unchanged. If submitting a proposal, this Addendum No. 1 for RFP No. 2079 must contain an original signature, be dated, attached to, and made a part of your proposal. Company Name


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Address (include City, State, Zip) Bidders Name (please print) Title Signature Date

OGS RFP No. 2079 Group 73012 Service Disabled Veteran Enterprise System

Page 1 of 41

REQUEST FOR PROPOSAL (RFP) NUMBER 2079 SOLICITED BY THE

NEW YORK STATE OFFICE OF GENERAL SERVICES

FOR THE

SERVICE DISABLED VETERAN ENTERPRISE SYSTEM

PROPOSAL DUE DATE: DECEMBER 10, 2018 @ 2:00PM

ISSUE DATE: OCTOBER 9, 2018

Designated Contact: Alternate Contact: Eric Schantz Beth Maus

Voice: 518-474-5981 Same E-mail: [email protected]

Alternate Contact: Erin Datri

Same E-Mail: [email protected]

E-mail: [email protected]


Page 2 of 41

Table of Contents 1. INTRODUCTION ................................................................................................................... 5

1.1 OVERVIEW .................................................................................................................................... 5 1.2 DESIGNATED CONTACT .................................................................................................................. 5 1.3 GLOSSARY OF TERMS .................................................................................................................... 6 1.4 MINIMUM PROPOSER QUALIFICATIONS ............................................................................................ 7 1.5 KEY EVENTS ................................................................................................................................. 7

2. DETAILED SCOPE OF WORK ............................................................................................. 9 2.1 PROJECT TRACKING ...................................................................................................................... 9 2.2 GENERAL REQUIREMENTS ............................................................................................................. 9 2.3 SDVOB APPLICATION AND CERTIFICATION REQUIREMENTS .......................................................... 11 2.4 DATABASE REQUIREMENTS .......................................................................................................... 13 2.5 INTERFACE REQUIREMENTS ......................................................................................................... 13 2.6 REPORT REQUIREMENTS ............................................................................................................. 13 2.7 AGENCY GOAL PLAN AND NARRATIVE STATEMENT REQUIREMENTS ............................................... 14 2.8 SDVOB CONTRACT UTILIZATION REQUIREMENTS ......................................................................... 15 2.9 TESTING REQUIREMENTS ............................................................................................................. 17 2.10 TRAINING REQUIREMENTS ............................................................................................................ 17 2.11 TECHNICAL REQUIREMENTS ......................................................................................................... 18 2.12 SECURITY REQUIREMENTS ........................................................................................................... 19 2.13 MAINTENANCE AND SUPPORT REQUIREMENTS .............................................................................. 19 2.14 ACCEPTANCE OF DELIVERABLES .................................................................................................. 19 2.15 STAFFING REQUIREMENTS ........................................................................................................... 20 2.16 ADDITIONAL SERVICES ................................................................................................................. 20

3. PROPOSAL SUBMISSION................................................................................................. 21 3.1 RFP QUESTIONS AND CLARIFICATIONS ......................................................................................... 21 3.2 PROPOSAL FORMAT AND CONTENT .............................................................................................. 21 3.3 TECHNICAL PROPOSAL ................................................................................................................ 21 3.4 ADMINISTRATIVE PROPOSAL ........................................................................................................ 23 3.5 COST PROPOSAL ......................................................................................................................... 23 3.6 PROPOSAL PREPARATION ............................................................................................................ 23 3.7 PACKAGING OF RFP RESPONSE .................................................................................................. 24 3.8 INSTRUCTIONS FOR PROPOSAL SUBMISSION ................................................................................. 24

4. EVALUATION AND SELECTION PROCESS .................................................................... 26 4.1 PROPOSAL EVALUATION .............................................................................................................. 26 4.2 PROPOSAL SCORING ................................................................................................................... 26 4.3 NOTIFICATION OF AWARD ............................................................................................................. 27

5. ADMINISTRATIVE INFORMATION .................................................................................... 28 5.1 ISSUING OFFICE .......................................................................................................................... 28 5.2 METHOD OF AWARD .................................................................................................................... 28 5.3 PRICE ......................................................................................................................................... 28 5.4 TERM OF CONTRACT .................................................................................................................... 29 5.5 METHOD OF PAYMENT ................................................................................................................. 29 5.6 PRICE ADJUSTMENT (ESCALATION / DE-ESCALATION) .................................................................... 30 5.7 ELECTRONIC PAYMENTS .............................................................................................................. 30 5.8 PAST PRACTICE ........................................................................................................................... 31


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5.9 EXCEPTIONS AND EXTRANEOUS TERMS ........................................................................................ 31 5.10 DISPUTE RESOLUTION ................................................................................................................. 31 5.11 EXAMINATION OF CONTRACT DOCUMENTS .................................................................................... 31 5.12 PRIME CONTRACTOR RESPONSIBILITIES ....................................................................................... 32 5.13 RULES OF CONSTRUCTION ........................................................................................................... 32

6. CONTRACT CLAUSES AND REQUIREMENTS ............................................................... 33 6.1 APPENDIX A / ORDER OF PRECEDENCE ........................................................................................ 33 6.2 PROCUREMENT LOBBYING REQUIREMENT ..................................................................................... 33 6.3 CONFIDENTIALITY ........................................................................................................................ 33 6.4 ETHICS COMPLIANCE ................................................................................................................... 33 6.5 TAX AND FINANCE CLAUSE ........................................................................................................... 33 6.6 FREEDOM OF INFORMATION LAW / TRADE SECRETS ...................................................................... 34 6.7 GENERAL REQUIREMENTS ........................................................................................................... 34 6.8 CONTRACT TERMS....................................................................................................................... 35 6.9 SUBCONTRACTORS ...................................................................................................................... 36 6.10 PROCUREMENT RIGHTS ............................................................................................................... 36 6.11 EXTENT OF SERVICES .................................................................................................................. 37 6.12 DEBRIEFINGS .............................................................................................................................. 37 6.13 TERMINATION .............................................................................................................................. 37 6.14 NYS VENDOR RESPONSIBILITY .................................................................................................... 38 6.15 NEW YORK STATE VENDOR FILE REGISTRATION ........................................................................... 39 6.16 INDEMNIFICATION ......................................................................................................................... 39 6.17 FORCE MAJEURE ......................................................................................................................... 39 6.18 ENCOURAGING USE OF NYS BUSINESSES .................................................................................... 39 6.19 INFORMATION SECURITY BREACH ................................................................................................. 40 Appendix A……………...Standard Clauses for New York State Contracts RFP Appendix B………..Required Forms RFP Appendix C………..Sample Contract RFP Appendix D………..Insurance Requirements RFP Appendix E………...MWBE Goals RFP Attachment 1………Cost Proposal Form RFP Attachment 2………Proposal Submission Checklist RFP Attachment 3………Security Guidelines Checklist RFP Attachment 4………SDVES Permissions RFP Attachment 5………Application Process Diagram RFP Attachment 6………NY.gov Specifications RFP Attachment 7………List of Application Statuses RFP Attachment 8………List of System Notifications RFP Attachment 9………Agency SDVOB Goal Plan Guidelines RFP Attachment 10.…….Agency Goal Plan RFP Attachment 11.…… Goal Plan Reviewing Checklist RFP Attachment 12.…… Goal Plan Tracker 2018-19 (sample) RFP Attachment 13. ……Monthly SDVOB Compliance Report Form RFP Attachment 14.…… SDVOB OGS Centralized Contract Compliance Report RFP Attachment 15.…… DSDVBD Master Activity Report Sample RFP Attachment 16.…… Agency Quarterly Activity Report Forms 1-3 (awards) RFP Attachment 17.…… Agency Narrative Form RFP Attachment 18.…… Agency Narrative Diagram RFP Attachment 19.…… SDVOB Operations Guidance RFP Attachment 20 ……. Discretionary Purchasing Guidelines


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RFP Attachment 21……. Set Aside Guidelines RFP Attachment 22……. DSDVBD Annual Report 2017 RFP Attachment 23……. Financial Interface DW627 User Guide RFP Attachment 24……. Diversity Practices Questionnaire RFP Attachment 25……. Diversity Practices Scoring Matrix


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1. INTRODUCTION

1.1 OVERVIEW The Service-Disabled Veteran-Owned Business Act, signed into law by Governor Andrew M. Cuomo on May 12, 2014, allows eligible Veteran business owners to get certified as a New York State Service-Disabled Veteran-Owned Business (SDVOB). The goal of the Act is to encourage and support eligible SDVOBs to play a greater role in the state's economy by increasing their participation in New York State's contracting opportunities. The Office of General Services (OGS) Division of Service-Disabled Veterans' Business Development (DSDVBD) is responsible for certifying eligible SDVOBs and assisting and promoting their participation in the State's procurement activities. OGS is working with its technology provider, the Office of Information Technology Services (ITS), on this procurement to acquire a more efficient solution to their utilization processes. The (OGS), Division of Financial Administration on behalf of DSDVBD, is seeking a configurable solution to be hosted at the NYS Information Technology Service (ITS) Data Center. This solution will enable the online processing of SDVOB applications for certification and reporting of SDVOB contract utilization and agency goals. Currently, the SDVOB Program is using manual processes such as excel spreadsheets, email, and paper systems for all functions. This procurement is being conducted as an SDVOB set-aside. Only certified SDVOBs can participate.

1.2 DESIGNATED CONTACT In compliance with the Procurement Lobbying Law, Eric Schantz, Contract Management Specialist I, NYS Office of General Services, Division of Financial Administration has been designated as the PRIMARY contact for this procurement and may be reached by email or voice for all inquiries regarding this solicitation. Eric Schantz, Contract Management Specialist I NYS Office of General Services Financial Administration / Agency Procurement Office Corning Tower, 32nd Floor, ESP Albany, New York 12242 Voice: 1-518- 474- 5981 Email: [email protected] In the event the designated contact is not available; the alternate designated contacts are: Beth Maus, Contract Management Specialist II NYS Office of General Services Financial Administration/ Agency Procurement Office Corning Tower, 32nd Floor, ESP Albany, New York 12242 Voice: 1-518-474-5981 Email: [email protected] Erin Datri, Contract Management Specialist III NYS Office of General Services Financial Administration/ Agency Procurement Office Corning Tower, 32nd Floor, ESP Albany, New York 12242 Voice: 1-518- 474- 5981 Email: [email protected] For inquires related specifically to Minority Women-Owned Business Enterprises (MWBE) provisions of this procurement solicitation, the designated contact is:


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Lori Brodhead, Compliance Specialist I NYS Office of General Services Minority and Women-Owned Business Enterprises Corning Tower, 29th Floor, ESP Albany, NY 12242 Voice: 1-518-486-9284 Email: [email protected] For inquires related specifically to Service Disabled Veteran Owned Businesses (SDVOB) provisions of this procurement solicitation, the designated contact is: Anthony Tomaselli Assistant Director New York State Office of General Services Division of Service Disabled Veteran’s Owned Business Development 32nd Floor, Corning Tower Building, Empire State Plaza Albany, New York 12242 Voice: 518-474-2015 Email: [email protected]

1.3 GLOSSARY OF TERMS “Issuing Office” shall mean the Office of General Services Division of Financial Administration.

“Contractor” shall mean a successful company(s) awarded a contract pursuant to this RFP.

“Request for Proposal” or “RFP” shall mean this document.

The “State” shall mean The People of the State of New York, which shall also mean the New York State Office

of General Services.

“Commissioner” shall mean the Commissioner of General Services or duly authorized representative.

“Offeror,” “Proposer,” or “Bidder” shall mean any person, partnership, firm, corporation or other authorized

entity submitting a bid to the State pursuant to this RFP.

“SDVOB” shall mean “Service-Disabled Veteran Owned Business”.

“DSDVBD” shall mean “Division of Service-Disabled Veterans’ Business Development”.

“SDVES” shall mean “Service Disabled Veterans’ Enterprise System.

“OGS” shall mean Office of General Services.

“OSC” shall mean the Office of the State Comptroller.

“SFS” The Statewide Financial System (SFS) is New York State government's accounting and financial management system. This modern enterprise resource planning (ERP) system was built with the goal of enabling the State of New York to perform its fiscal and business management tasks more effectively, transparently, and efficiently than ever before. The SDVES system will interface with data in SFS.

“NYS Active Directory” shall mean the centralized user identity and access management service for statewide internet and intranet applications.

“Contracts with SDVOB Goals” Contracts where an SDVOB goal has been placed on the contract. Contract awardees are required to meet the goal or seek a waiver.

“Contracts with no SDVOB Goals” Zero-goal contracts in which the agency or authority has determined no certified SDVOBs are available to do the type of work required in the region where the work is to be done or Emergency Contracts which, because of the urgency of the procurement (natural disaster etc.), there is no time


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to conduct a formal goals review process. This also can include contracts established before the program began (2014).

“Purchase Orders Associated with Contracts” Purchase orders are one-time payments that are associated with a contract. One contract may have many purchase orders.

“Waivers” An SDVOB waiver is a reduction or elimination of the SDVOB goal that has been established on a qualified contract. Agencies and authorities are responsible for their own processes and procedures for granting waivers for SDVOB goal requirements if such waivers are necessary. All total and partial waivers granted for SDVOB goal requirements during a given reporting period must be reported to the DSDVBD on form 3 of the SDVOB Activity Quarterly Report for that period. For more information on waivers see the SDVOB Program rules and regulations (9 CRR-NY G I 252)."

“Agency/Authority Goals” Goal established after Agency/Authority analyzes its spending (removing exemptions and exclusions not applicable to SDVOB goals) and projects how much the Agency/Authority could spend with SDVOBs

“Subcontractor Spend” The amount of SDVOB spending resulting from SDVOBs being Sub-contractors on contracts

“Agency/Authority Spend” The amount of spending by an Agency/Authority for a given time period.

“Exemptions” Agencies and Authorities are responsible for determining which of their contracts and expenditures are appropriate for exemption or exclusion. Exemptions may include intergovernmental charges, fuel for vehicles, milk fund payments, personal services, postage, real estate rentals, sole source contracts, telephones, travel reimbursements, and utilities. Projected exemptions and exclusions should be included in the master goal plan submitted to the DSDVBD each year.

“Exclusions” Agencies and Authorities are responsible for determining which of their contracts and expenditures are appropriate for exemption or exclusion. Exclusions may include Emergency Contracts, zero-goal contracts, and contracts established prior to program implementation. Projected exemptions and exclusions should be included in the master goal plan submitted to the DSDVBD each year.

“Awards” Only executed contracts and dispatched purchase orders during the reporting period should be reported as awards on form 1. Awards do not represent SDVOB spending but anticipated SDVOB spending.

“Disbursements” Only actual payments that have been made to a vendor during the reporting period, either through the Office of the State Comptroller or by an agency/authority’s finance office directly, including subcontractor payments made by a prime contractor and verified by the agency/authority, should be reported as disbursements.

1.4 MINIMUM PROPOSER QUALIFICATIONS Proposers are advised that the State’s intent is to ensure that only responsive, responsible, qualified and reliable Contractors enter into a contract to perform the work as defined in this document. The State considers the following qualification to be a pre-requisite to be considered as a qualified Proposer for purposes of the solicitation:

• The Proposer must be a NYS Certified Service Disabled Veteran Owned Business with experience in developing and maintaining internet software applications.

1.5 KEY EVENTS The Table below outlines the tentative schedule for important action dates.


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Action Date

OGS issues Request for Proposal (RFP) #2079 October 9, 2018

Deadline for Submission of Proposer Questions November 1, 2018

OGS Issues a Response to Written Questions (estimated) November 13, 2018

Proposal Due Date to OGS December 10, 2018 @ 2 :00 PM

Contract Start Date Upon (OSC) approval


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2. DETAILED SCOPE OF WORK The Office of General Services, Division of Service-Disabled Veterans' Business Development, is seeking a configurable solution hosted at the NYS Data Center to enable the online processing of Service Disabled Veteran Owned Business applications for certification, reporting of established SDVOB contract goals; and Prime and Sub-contractor awards and utilization. The NYS Data Center provides a stable and highly secure environment with full back-up and recovery capability to ensure high-availability of State applications. The tier-3 designation brings an expectation of 99.982% availability, full redundancy, greater business continuity and disaster recovery capabilities. OGS expects the solution will:

1. Calculate agency exclusions, exemptions and eligible spending using NYS financial data

2. Provide robust workflow capabilities

3. Provide flexible reporting capabilities

4. Allow for online applications for NYS Service-Disabled Veteran-Owned Business Certification

5. Provide a searchable public database of Service Disabled Veteran Owned Businesses

6. Be viable for the term of the Contract and for many years thereafter

7. Be cost effective to maintain and operate

8. Import legacy data

9. Minimize the time agencies and vendors currently spend on reporting required information to DSDVBD

10. Remove the need for manual Excel spreadsheets and paper certification applications

11. Help expand the SDVOB program

12. Be implemented within 9 months from contract start date The Contractor shall provide a detailed list of all required infrastructure to include, but not be limited to, hardware and/or servers necessary to meet NYS requirements. Such required infrastructure will be provided by NYS. The Contractor represents and warrants that it has all title, interest and rights to the proposed SDVOB system and underlying source code (except open source) or that it is otherwise legally authorized to directly license, sub-license, create derivative works, escrow, publicly display and perform, distribute and modify the proposed product(s).

2.1 PROJECT TRACKING

The Contractor shall provide a “Project Management” tool that is available to all members of the project team 24x7 and which shall provide a current snapshot of the project status to include but not limited to all functional features, user requirements, schedules, tasks, builds, testing and deployments associated with the project.

2.2 GENERAL REQUIREMENTS General service requirements for the solution must:

1. Allow for DSDVBD to establish different access privileges/rights for each class of users identified below:


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a. DSDVBD Administrator

b. DSDVBD Unit

c. Agency/Authority Administrator

d. Agency/Authority

e. Applicants

f. Prime Contractors

g. Certified SDVOB’s

2. Provide each individual business owner applying for certification a unique log-in with access to his or her

application

3. Onboard up to 150 NYS agencies, and authorities that may be required to utilize the system

4. All data within the solution must be searchable, exportable and reportable

5. Provide a single entry in a centralized location for storing and displaying SDVOB data that can be shared among DSDVBD

6. Track communication within the solution between internal and external stakeholders

7. Facilitate electronic communication between stakeholders and send notifications via automatic emails (Refer to Attachment #8 – SDVOB System Notifications)

8. Respond to notification request via email; solution shall be updated based on response received

a. Generate email notifications of action items for a user. The email shall include a link directly to the item requiring action (e.g. confirm payment).

9. Schedule reminders for required reports for any users

10. Schedule reminders for work requiring action within certain timeframes (for DSDVBD staff)

11. Assign tasks to users based on roles in the solution

12. Provide detailed workflow processes

13. Track history of changes made to records within the solution either by DSDVBD staff or Agency,

Authorities or vendors

14. Generate and store documents such as letters, applications, reports, etc.

15. Adhere to NYS-P08-005 – Accessibility of Web-Based Information and Applications https://its.ny.gov/document/accessibility-web-based-information-and-applications-compliance-reporting https://executiveorder38.ny.gov/sites/default/files/NYS-P08-005.pdf


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2.3 SDVOB APPLICATION AND CERTIFICATION REQUIREMENTS

The solution will allow DSDVBD, Agencies/Authorities and vendors to complete the application and certification process electronically. Requirements relating to this process must:

1. Allow vendors to complete the application electronically (refer to https://ogs.ny.gov/Veterans/Docs/SDVOBCertificationApplication.pdf)

2. Identify appropriate required supporting documents based on the applicant business’ selected ownership

type (refer to https://ogs.ny.gov/Veterans/Docs/SDVOBCertificationApplication.pdf)

3. Pre-populate application for re-certification using vendor information provided in previous application and any previously requested updates to the vendor’s profile (Note: SDVOB certification is valid for five years)

4. Track vendor certification expiration date and automatically send a notice to the business when the recertification deadline is approaching. Notification must be sent at nine months prior to certification expiration.

5. Allow DSDVBD Admin User Group to edit application questions and/or required information fields

6. Allow applicants to electronically attach supporting documentation in the PDF, docx or xls formats

7. Allow DSDVBD to manage the application process with pre-defined workflow process (Refer to

Attachment #5 - Application Process Diagram)

8. Allow DSDVBD to approve or deny applications (Note: This function would be limited to the DSDVBD Admin User Group only)

9. Allow DSDVBD to identify application deficiencies

a. Notify applicants of deficiencies and request remediation using customizable message templates populated with applicant information

b. Allow the applicant to edit the application to correct deficiencies and re-submit

10. Allow applicants to save incomplete applications and resume at a future date

11. Allow applicants and DSDVBD to download copies of submitted applications and attachments in xlsx, docx or PDF format

12. Allow applicant to attest the information provided on the application and supporting documentation is true

13. Systematically assign a unique identifier or SDVOB Control number to each applicant at the point of submission

a. This number shall be six characters long and be attached to the vendor throughout the life of the

program)

b. Existing assigned SDVOB Control numbers cannot be changed and must be tracked in the proposed solution

14. Track changes made to an application by any user

a. The solution shall capture the user ID of the individual who entered the change


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b. The solution shall capture the date and time the change was made

15. Generate denial letters based on a pre-established drop-down list of criteria selected in the system.

16. Generate approval letters based on criteria selected in the system.

17. Allow DSDVBD to revoke certifications after they have been issued and automatically remove the vendor

from the SDVOB Directory.

18. Allow DSDVBD to view and track all applications in the certification process with statuses (Refer to Attachment #7 – List of Application Statuses)

a. The feature is expected to be available to all DSDVBD users

b. Include a comment field for DSDVBD to enter comments relating to each application. The

comment field must only be viewable by DSDVBD, capture date and time of entry, and capture user ID of creator.

19. Track denied applicants through the appeal and hearing process

a. Capture the status of the application

b. Provide the ability to enter comments

c. Provide the ability to upload documents

d. Capture the date and time comments are entered and documents are uploaded

The actual appeal process will be handled outside the proposed solution

20. Track the date when a denied or withdrawn applicant can re-apply for certification (Refer to Attachment #5 - Application Process Diagram)

a. Businesses cannot reapply for certification for 90 days after the application is withdrawn or denied

b. Solution shall block the denied or withdrawn applicant’s FEIN/SSN for 90 days

21. Allow vendors to submit changes for all fields in vendor profile within the solution with the exception of

the Control Number assigned. Vendor profile will include information gathered from the application process and displayed in the Public Facing Directory.

22. Accept uploaded documents detailing the proof of reason for change in xlsx, docx and PDF format

23. Enable DSDVBD to approve changes to vendor profile

a. Public Facing Directory shall be updated with approved changes

b. Vendor profile shall be updated with approved changes

c. Allow DSDVBD to track site visits, capture the status of the site visit, enter comments, upload documents, and capture the date and time comments

24. Accept digital signatures from each applicant

25. Prompt SDVOB vendors to confirm changes or no changes to their associated vendor profile upon each

log-in.


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2.4 DATABASE REQUIREMENTS Database Requirements for the solution must:

1. Store all submitted applications in a central database including supporting documentation

2. Import and store legacy data (current data storage is approximately 10GB)

3. Provide a public facing searchable web page of SDVOB certified vendors

a. Must include the ability to perform advanced searches using multiple criteria

b. Search criteria must include one or more of the following data fields:

Vendor Name NICS Code Key word or words Area serviced

4. Export data from the directory to xlsx, PDF or csv format

Please visit https://online.ogs.ny.gov/sdvob/search to view current public directory.

2.5 INTERFACE REQUIREMENTS The solution must interface with various systems both initially and potential systems added in the future. The Interface Requirements must:

1. Accept, format and import financial data to the system

2. Establish an integration point with PeopleSoft SFS financial data

3. Establish an import mechanism for all other financial data points

4. Import legacy data including development of all data load routines with DSDVBD approval

5. Provide users the ability to download the exact data they entered

6. Support interface with NYS Directory Services for user authentication (Refer to Attachment #6 - NY.gov ID Specifications)

2.6 REPORT REQUIREMENTS Report Requirements for the solution must:

1. Create reports in pre-defined formats for the following:

a. Contracts with Goals

b. Contracts with No Goals

c. Purchase orders associated with Contracts

d. Exclusions


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e. Waivers

f. Agency/Authority Goals

g. Subcontractor spend

h. Agency/Authority spend

i. Agency/Authority quarterly activity report (Refer to Attachment #16 - Agency Quarterly Activity Report Forms 1-3)

j. DSDVBD Master Activity Report Sample (Refer to Attachment #15 – Master Activity Report Sample)

k. DSDVBD Annual Report to Governor and Legislature (Refer to Attachment #22 – DSDVBD Annual Report 2017)

2. Create custom reports from data within the solution

3. Allow users to view reports online

4. Allow users to download reports in xlsx, docx, csv and PDF format

5. Save reports in the solution

6. Allow Agencies/Authorities to electronically submit required reports to DSDVBD

7. Notify DSDVBD staff a report has been submitted

8. Allow DSDVBD staff to send acknowledgement of receipt of report to submitting entity

9. Track Agency/Authority report submission status with one of these statuses

a. Not Submitted b. Requested Extension c. Submitted

10. Generate and send reminders to Agencies/Authorities of report past due date or past due

11. Allow Agencies/Authorities to submit amendments to previously submitted reports

Additionally, the solution is expected to allow for notifications related to reporting and tracking.

2.7 AGENCY GOAL PLAN AND NARRATIVE STATEMENT REQUIREMENTS Goal plans and associated narrative statements are required parts of the SDVOB program. Agency Goal Plan and Narrative Statement Requirements for the solution must:

1. Allow Agencies/Authorities to enter annual SDVOB Goal Plan and annual Narrative Statement into pre-

defined format via upload (Refer to Attachment #9 – Agency SDVOB Goal Plan Guidelines; Attachment #17 – Agency Narrative Form)

2. Allow Agencies/Authorities to save goal plans and narrative statements prior to submission

3. Allow Agencies/Authorities to electronically submit the plan and statement to DSDVBD


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4. Allow Agencies/Authorities to upload documents with a maximum file size of 2 GB each

5. Enable DSDVBD to assign submitted goal plans to specific staff in the DSDVBD Unit

6. Allow DSDVBD unit to review agency goal plan and narrative statement (Refer to Attachment #11 – Goal Plan Reviewing Checklist)

7. Allow DSDVBD unit to approve or request revisions to a submitted agency goal plan and narrative statement (NOTE: DSDVBD Admin User Group only)

8. Allow Agencies/Authorities to submit revisions as requested or amend previously approved goal plans 9. Send DSDVBD notifications a goal plan has been amended

10. Track all Agency/Authority goal plan and narrative statement submission status (Refer to Attachment #16

– Goal Plan Review Tracker)

11. Send reminders to Agency/Authority of goal plan and narrative statement due dates or past due

12. Allow DSDVBD Admin user group to edit the format including adding and removing requirements

13. Allow Agencies/Authorities to calculate anticipated eligible spend using imported financial data

14. Allow Agencies/Authorities to manually enter spend information

15. Identify and track exemptions

16. Identify and track exclusions

2.8 SDVOB CONTRACT UTILIZATION REQUIREMENTS The ability to track spending is a key function of the proposed solution. The following SDVOB Contract Utilization Requirements for the solution must: Utilization Plan

1. Enable Agencies/Authorities to identify expected SDVOB participation on awards for both prime contractors and subcontractors

2. Enable Agencies/Authorities to assign SDVOB goals to contracts

a. NOTE: This includes the ability to assign goals to a portion of the contract and identify the remainder of the contact as an exclusion

3. Allow contractors to submit SDVOB utilization plans 4. Enable Agencies/Authorities to review and approve contractor utilization plans 5. Enable Agencies/Authorities to identify deficiencies and request revisions to contractor utilization plans

a. Proposed solution shall provide a comment field for Agency/Authority entry

b. Proposed solution shall provide notification to the contractor of the request for revision

6. Allow contractors to revise previously submitted utilization plans and resubmit

Waivers

1. Enable contractor to request a total or partial waiver of SDVOB goals

2. Enable contractor to provide mandatory explanation for waiver request

3. Enable contractor to provide supporting documentation uploaded in PDF or docx format


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Disbursements and Participation Tracking

1. Allow Agencies/Authorities to enter individual awards (contracts and purchase orders) and disbursements manually if not included in an import/upload as described in Section 2.5 – Interface Requirements

2. Identify/display expected SDVOB participation on awards for subcontractors in expected dollar value of SDVOB participation and as a percentage of total expected award

3. Identify contracts and purchase orders in the solution as:

a. Exemptions

b. Exclusions

4. Enter amendments or change orders to contracts and purchase orders as they relate to SDVOB utilization without creating a new entry

5. Identify disbursements to SDVOB vendors including:

a. Direct disbursements from Agencies/Authorities

b. Indirect disbursements through prime contractors to SDVOB subcontractors

6. Display disbursements to SDVOB’s on a contract or purchase order as the following:

a. Individual disbursements

b. Total dollar value of all disbursements to SDVOBs to date on a contract or purchase order

c. Total dollar value of all disbursements to SDVOBs as a percentage of total expected award value to date on a contract or purchase order

7. Track total awards to SDVOBs by:

a. Contract

b. Purchase order

c. Agency/Authority

d. SDVOB Vendor

e. Date or reporting period

8. Track total disbursements to SDVOBs by:

f. Contract

g. Purchase Order

h. Agency/Authority

i. SDVOB Vendor

j. Date or reporting period

9. Allow prime contractor to enter payments made to SDVOB subcontractors (Refer to Attachment #13– Monthly SDVOB Compliance Report Form)

10. Allow prime contractor to upload proof of payment in PDF format

11. Allow SDVOB subcontractors to confirm payments reported by prime contractors


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12. Track SDVOB awards and disbursements by Agency/Authorities

13. Allow contractors to confirm awards and disbursements reported by Agencies/Authorities

OGS Centralized Contracts

1. Identify OGS Centralized contracts in the solution

2. Identify disbursements to SDVOBs on OGS Centralized contracts and credit SDVOB utilization appropriately to the procuring Agency/Authority

3. Allow contractors on OGS Centralized contract to submit OGS Centralized Contract Compliance Reports (Refer to Attachment #14 – SDVOB OGS Centralized Contract Compliance Report)

4. Enable OGS Procurement Services to review and approve compliance reports

5. Enable OGS Procurement Services to identify deficiencies and request revisions

a. Proposed solution shall provide a comment field for OGS Procurement Service entry b. Proposed solution shall provide notification to the contractor of the request for revision

6. Allow contractors to revise and resubmit reports

2.9 TESTING REQUIREMENTS Testing requirements for the solution must include:

1. System integration testing encompassing end to end testing of full business functionality and life cycles spanning all components of the system including all defined interfaces and third party interaction

2. A Systems Integration Test Plan (SIT) documenting the plan to test all mandatory features and interaction with the system to include interfaces and information exchange functionality

3. Systems Integration Results thoroughly documenting the executed SIT plans and detailing reconciliation requirements

4. A detailed User Acceptance Test Plan (UAT) to be executed by representatives of all user groups covering all mandatory components and functionality

5. UAT Support to achieve final sign-off for a fully functional system

2.10 TRAINING REQUIREMENTS Training Requirements for the solution must include:

1. A User Training Plan (UTP) detailing a plan to be executed by representatives of all user groups covering all mandatory components and functionality

2. On-site training to OGS DSDVBD staff in a “Train the Trainer” format (up to 3 small group sessions)

3. Electronic end user training materials

4. On-site system administrator training

5. Online help screens and manuals for all users


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2.11 TECHNICAL REQUIREMENTS Technical Requirements for the solution must:

1. Be implemented based on a flexible, modular, services-oriented infrastructure

2. Be able to call the NYS Internet Content Adaptation Protocol (ICAP) virus scanner via a web service or API call before writing files into storage

3. Conform to the OGS website style: www.ogs.ny.gov

4. Provide complete system documentation including:

a. System Administrator Manuals

b. User Manuals

c. Installation Instructions

d. Troubleshooting Guidelines

e. Helpdesk Manuals and Instructions

f. Data Dictionary

g. Context Diagram

h. Ongoing Support Strategy Document

i. Operational Run Book

5. Include a web-based user interface compatible with:

a. Internet Explorer 11 or higher

b. Google Chrome current version for Windows

c. Mozilla Firefox current version

d. Safari current version

e. Microsoft Edge current version

6. The solution must use NYS provided load testing and performance tuning tools where applicable

7. The Proposed Relational Database (RDBMS) shall be either Oracle (must run on AIX) or Microsoft SQL

Server

8. Be mobile friendly, fully functional and display correctly on devices such as:

a. Smartphones

a. iPhones

b. iPads

c. Tablets

NYS Office of Technology Services (ITS) technology policies and guidelines can be found at: https://its.ny.gov/tables/technologypolicyindex


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2.12 SECURITY REQUIREMENTS Security Requirements for the solution must include:

1. Documentation to detail the extent to which each security activity listed in NYS-S13-001, Secured System Development Life Cycle Standard is followed

2. In the event of a security breach as defined by State Technology Law Section 208, the Proposer shall

act in accordance with the NYS Breach Notification Law

3. The Proposer shall maintain and enhance their information security environment and business practices with procedures and policies for a security environment aligning with industry best practices

4. The Proposer shall ensure and certify employees, subcontractors and business partners working on this

project that have access to State data, are aware of and will comply with NYS Information Security and Confidentiality requirements

5. Detailed descriptions of all system security features of the proposed solution

In addition to the Security Requirements identified above, the Contractor must acknowledge and certify it will comply with all requirements as detailed in Attachment #3 - Security Guidelines Checklist.

2.13 MAINTENANCE AND SUPPORT REQUIREMENTS The term of the contract is five years after implementation and acceptance with an optional five-year renewal term. Maintenance and support requirements for the proposed solution shall include:

1. Annual maintenance and support for the life of the contract including the optional renewal term

2. An agreed upon State defined overall system Service Level Agreement(s) (SLAs) to be established post award

3. Description indicating how software upgrades and support will be provided

4. Notification procedures for scheduled maintenance and unscheduled outages

5. Provide support services including the following:

a. Initial setup support

b. Ongoing configuration support

c. Customer processes for enhancements

6. An incident management plan and operation of a “Help Desk” during regular business hours of 8AM to 6 PM (EST) for the purpose of incident management

2.14 ACCEPTANCE OF DELIVERABLES Upon completion and delivery of a project deliverable, the Contractor will notify the OGS DSDVBD Project Manager or their designee via email. Contractor shall request OGS confirmation of receipt of and satisfaction with such Deliverable ("Acceptance"). OGS shall have 15 business days from the date of delivery to accept any project deliverable(s). If Contractor is advised that any part of the deliverable was not provided or that any aspect of the deliverable was unsatisfactory, then Contractor shall have 15 business days to complete or re-perform such deliverable until OGS is satisfied.


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2.15 STAFFING REQUIREMENTS The Contractor must provide a single Project Manager for this engagement. The Project Manager is key personnel and must have five years’ experience working on projects similar in size and scope to this procurement. Previous project experience must have resulted in a fully implemented system which is currently up and running. Any changes to the position of Project Manager must be approved by the OGS DSDVBD Project Manager. The Project Manager, or any proposed substitute, will:

1. Serve as a liaison between DSDVBD and the Contractor’s personnel (including any subcontractors) participating in this project

2. Develop and maintain the Project Requirements as stated in Section 2 - Detailed Scope of Work, in consultation with the DSDVBD Project Manager

3. Facilitate regular communication with the DSDVBD Project Manager, including weekly status reports/updates and review the project performance against the project plan

4. Facilitate weekly project status meetings for the duration of the project

5. Update the project plan on a weekly basis and distribute at weekly meetings for the duration of the project

6. Be responsible for the management and deployment of Contractor’s personnel, including subcontractors

7. Serve as the single-point of responsibility for Contractor activities, the activities of its staff, and the activities of its subcontractors

8. Assure the quality of all Contractor deliverables

9. Manage risk, issues, change, and acceptance

10. Assist the State in maximizing return on investment in this solution

2.16 ADDITIONAL SERVICES Additional Services shall be used in the event that the Contractor’s Fixed Price requires an increase due to a change which is NOT inherent in the RFP Scope of Work Additional Services may be executed due to a result of changes in State or Federal law, regulation, policy or priorities, or improved technology or software, whereby OGS may, in its sole discretion, require that the Contractor use methods or processes or perform services NOT inherent in the RFP Scope of Work. OGS will provide the Contractor with a written notice identifying the scope of work for additional service(s). The Contractor shall, within ten business days of receipt of written notice from OGS identifying an additional service, submit to OGS a proposal which includes a fixed price based on the number of hours the Contractor has determined it will take to complete the service. The Contractor’s proposal shall also include any information requested in OGS’ written notice. OGS reserves the right to accept, reject, or request revisions to a proposal. OGS’ review of a proposal will include a not to exceed total, based on the established hourly rate for additional services. OGS must approve additional services in writing prior to commencement of work by the Contractor. The Contractor will be required to track and submit reports during the performance of additional services showing the actual number of hours used for the reporting period. The additional services process shall be available to OGS throughout the term of the contract resulting from this RFP.


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3. PROPOSAL SUBMISSION

3.1 RFP QUESTIONS AND CLARIFICATIONS There will be an opportunity for submission of questions and/or requests for clarification. Questions and/or clarifications must be submitted via email to the Designated Contact:

Eric Schantz Contract Management Specialist I NYS Office of General Services Financial Administration│Agency Procurement Office 32nd Floor, Corning Tower Building, Empire State Plaza, Albany, NY 12242 518-474-5981 │ [email protected]

All questions should cite the particular page, section, and paragraph number, where applicable. Please submit questions as early as possible following receipt of the RFP. The final deadline for submission of any questions/clarifications regarding this RFP is listed in Section 1.5 – Key Events. Questions received after the deadline may not be answered. OGS will post an addendum on or about the date listed in Section 1.5 – Key Events, containing all questions and answers. The addendum will be released via the NY Contract Reporter and attached to RFP #2079 which is posted on the OGS Bid Calendar (https://nyspro.ogs.ny.gov/content/finding-bid-opportunities). Any additional updates regarding this RFP, will also be released and posted as previously stated.

3.2 PROPOSAL FORMAT AND CONTENT In order for the State to evaluate bids fairly and completely, proposers are strongly encouraged to follow the format set forth herein and should provide all of the information requested. All items identified in the following list should be addressed in order for a proposal to be considered complete. Items should be addressed as concisely as possible. Failure to conform to the stated requirements may necessitate rejection of the proposal.

Proposers are encouraged to include all information that may be deemed pertinent to their proposal. Proposers may be requested to provide clarification based on the State’s evaluation procedure. Any clarification will be considered a formal part of the Proposer’s original proposal. If further clarification is needed during the evaluation period, OGS will contact the Proposer.

Note: OGS reserves the right to request any additional information deemed necessary to ensure that the Proposer is able to fulfill the requirements of the contract.

3.3 TECHNICAL PROPOSAL Cover Letter

The cover letter must confirm that the Proposer understands all the terms and conditions contained in this RFP and will comply with all the provisions and attest they can meet all requirements included in this RFP. Further, should the contract be awarded to your company, you would be prepared to begin services on the contract start date as indicated in Section 1.5 – Key Events. The cover letter should include the full contact information of the Proposer’s Representative that OGS shall contact regarding the proposal and should also include the name(s) of principal(s) of the company responsible for this contract, their function, and title. A Proposer Representative authorized to make contractual obligations must sign the cover letter.

Minimum Proposer Qualifications Proposers must submit information to confirm their ability to meet the minimum qualification as set forth in Section 1.4 – Minimum Proposer Qualifications which must include the Proposers SDVOB tracking number.


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Experience and Qualifications The Proposer should provide a descriptive overview of the company, including main lines of business, core capabilities, and major customers in both the public and private sectors. Experience with government entities is preferred, but not required. The Proposer should describe the number of years the firm has been developing and maintaining internet software applications and identify the proposed personnel for this project including their resumes, references, credentials, experience, certifications, etc. The Proposer should provide the following information for three projects successfully completed within the last five years for clients within the United States. The projects should be similar in scope and size of this project.

1. Description of project including brief scope

2. Start and end dates of project

3. Total contract dollar amount

4. Bidder role (prime or subcontractor)

5. Name, title, address, email, and phone number for one primary contact and one backup contact of project

client. References from current clients (those with which the Proposer has an existing contractual relationship) are preferred.

a. References should include a brief narrative description of the project and discuss the scope of

the services provided to the client

b. The Proposer’s ability to manage large scale projects

c. The quality and scope of services provided by the bidder

The inability to contact a reference provided by the Proposer will be considered as part of the evaluation process and the State may request additional references.

Project Plan The Project Plan should include the following items in the order detailed below:

1. The Proposer should present an executive level summary of the proposed project plan including an overview of the plan, schedule, and approach while highlighting the unique aspects of the proposal.

2. Proposers should build out and propose deliverables accounting for all requirements in Section 2 – Detailed Scope of Work. A detailed outline of the proposed plan for meeting all requirements should be provided.

3. Proposers should define the project approach and process framework that they will employ for the implementation (for example: Waterfall (linear) or Agile (Iterative) project methodologies) and explain why the proposed approach is the best approach for managing the implementation of the SDVOB solution. The Proposer should describe how software upgrades and support will be provided.

4. The Proposer should include the specific methods, tasks, roles of proposed staff, risks to timely and effective completion, and risk mitigation strategies.


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a. The Proposer should submit its overall security plan for the management of the State’s confidential information. The plan is expected to include the Proposer’s technology and non-technology based process for securing information.

5. The Proposer should include a work breakdown structure and an estimated start and end time to

complete each requirement as listed in Section 2 including its requisite deliverable(s). This should include a detailed project schedule in Gantt chart format expressed in work days.

6. The Proposer should demonstrate the capacity and intended process for onboarding up to 150 NYS agencies, and authorities that may be required to utilize the system.

7. Proposers should disclose any proposed subcontractors they may use in conjunction with this project. Business/corporate name(s), address(s), telephone number(s), key personnel and web sites for all subcontractors should be provided along with a complete description of the services they will provide.

Staffing Plan The Proposer should present a project staffing plan with proposed staff and reporting relationships, including subcontractors. This plan should detail both the proposed staff and executive management assigned to the project as well as how the project will be managed by the Proposer’s organization. Resumes of proposed personnel assigned to the project should be provided. The Project Manager should have five years’ experience working on projects similar in size and scope to this procurement. Previous project experience should have resulted in a fully implemented system which is currently up and running.

3.4 ADMINISTRATIVE PROPOSAL 1. All required completed forms from RFP Appendix B.

2. Attachment #2 - Proposal Submission Checklist

3. Important Notes:

a. Insurance – Bidders are reminded of the insurance requirements as described in RFP Appendix D.

The selected Proposer will be required to provide all necessary documentation upon notification of selection.

b. M/WBE & EEO Requirements- Proposers are reminded of the requirements as described in RFP

Appendix E. c. Vendor Responsibility - Proposers are reminded of the requirement as described in Section 6.14 and

are requested to complete the online questionnaire located on the OSC VendRep System website prior to bid submission. If the vendor has previously certified responsibility online, it shall ensure that the VRQ was recertified in the last 6 months.

d. Document Consistency - An award will only be made to the entity which has submitted the proposal.

All submitted documents must be consistent with official name of proposing entity, FEIN and NYS Vendor ID number.

3.5 COST PROPOSAL Provide one electronic copy (xlsx), and four original hard copies of RFP Attachment #1 – Cost Proposal Form. The Cost Proposal should be clearly marked “Cost Proposal” in a separately sealed envelope. The Proposer shall complete the RFP Cost Proposal Form as attached to this RFP, inserting additional lines for each proposed


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deliverable as necessary. Incomplete cost proposals, or inclusion of any other alterations, pricing methods, ranges, qualifiers, assumptions, etc. may result in rejection of the proposal.

3.6 PROPOSAL PREPARATION All proposals must be completed in ink or machine produced. Proposals submitted handwritten in pencil will be disqualified.

3.7 PACKAGING OF RFP RESPONSE Please submit four originals of all required forms from RFP Appendix B; four originals of the Technical Proposal and five exact copies of the Technical Proposal in five separate binders; and one electronic copy of the technical, cost and administrative proposal. The proposal documents must be submitted by mail, hand delivery, overnight carrier or certified mail in a package showing the following information on the outside:

• Bidder 's complete name and address • Solicitation Number – 2079 • Proposal Due Date and Time: (as indicated in Section 1.5 - Key Events) • Proposal for Service Disabled Veteran Enterprise System

Failure to complete all information on the proposal envelope and / or packages may necessitate the premature opening of the proposal and may compromise confidentiality.

3.8 INSTRUCTIONS FOR PROPOSAL SUBMISSION Note that these instructions supersede the generic instructions posted on the OGS website bid calendar. Only those Proposers who furnish all required information and meet the mandatory requirements will be considered. Submit all required proposal documents including signed bid addenda if any, to the NYS Office of General Services - Division of Financial Administration at the following address: NYS Office of General Services Financial Administration, Contract Unit 32ND Floor, Corning Tower Building, Empire State Plaza Albany, NY 12242 Attn: Eric Schantz Bid # 2079 E-MAIL OR FAX PROPOSAL SUBMISSIONS ARE NOT ACCEPTABLE AND WILL NOT BE CONSIDERED. The State of New York will not be held liable for any cost incurred by the Proposer for work performed in the preparation and production of a proposal or for any work performed prior to the formal execution and approval of a contract. Proposals must be received in the above office on or before 2:00 PM on the date indicated in Section 1.5 - Key Events. Proposers assume all risks for timely, properly submitted deliveries. Proposers mailing their bid must allow sufficient mail delivery time to ensure receipt of their bid at the specified location no later than the specified date and time. The received time of proposals will be determined by the clock at the above noted location. Any Proposal received at the designated location after the established time will be considered a Late Proposal. A Late Proposal may be rejected and disqualified from award. Notwithstanding the foregoing, a Late Proposal may be accepted in the Commissioner’s sole discretion where (i) no timely Proposals meeting the requirements of the Solicitation are received, or (ii) the Proposer has demonstrated to the satisfaction of the Commissioner that the Late Proposal was caused solely by factors outside the control of the Proposal. However, in no event will the Commissioner be under any obligation to accept a Late


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Proposal. The basis for any determination to accept a Late Proposal shall be documented in the procurement record. Proposals must remain open and valid for 120 days from the due date, unless the time for awarding the contract is extended by mutual consent of NYS OGS and the Proposer. A proposal shall continue to remain an effective offer, firm and irrevocable, subsequent to such 120-day period until either tentative award of the contract(s) by issuing Office is made or withdrawal of the proposal in writing by Proposer. Tentative award of the contract(s) shall consist of written notice to that effect by the issuing Office to the successful Proposer. This RFP remains the property of the State at all times, and all responses to this RFP, once delivered, become the property of the State. Important Building Access Procedures for Delivered Proposals: Building Access procedures are in effect at the Corning Tower. Photo identification is required. All visitors must register for building access, for delivering bids. Vendors are encouraged to pre-register by contacting the OGS Finance Office at 518-474-5981 at least 24 hours prior to arrival. Pre-registered visitors are to report to the visitor desk located at the Concourse level of the Corning Tower. Upon presentation of appropriate photo identification, the visitor will be allowed access to the building. Upon arrival at the visitor desk, visitors that have not pre-registered will be directed to a designated phone to call the OGS Finance Office. The Finance Office will then enter the visitor’s information into the building access system. Access will not be allowed until the system has been updated. Visitors are encouraged to pre-register to ensure timely access to the building. Vendors who intend to deliver bids or conduct business with OGS should allow extra time to comply with these procedures. These procedures may change or be modified at any time. Visitor parking information can be viewed at the following OGS web site: http://ogs.ny.gov/BU/BA/Parking/Visitor/


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4. EVALUATION AND SELECTION PROCESS

4.1 PROPOSAL EVALUATION Each proposal will be evaluated and scored based upon the criteria set forth in this Section. Proposals will be evaluated for best value to the State. A team of OGS and ITS employees will evaluate each proposal and initially determine whether a proposal is responsive to the requirements of the RFP.

Key personnel from the Proposers that submit responsive proposals must attend a presentation to explain or clarify content within their submitted technical proposal. This is not an opportunity to introduce supplemental submission information. Rather, the Proposer will be requested to cover the major points of its submitted technical proposal. The presentation will be held at OGS’ offices in Albany on a date and time to be designated by OGS.

Information learned during the presentation will be considered in the technical scoring. OGS personnel conducting the presentation will not inquire about any cost components of proposals. Presenters must not offer any information regarding cost components of their proposals. Any mention of cost components of the proposal may result in rejection of the proposal.

OGS also reserves the right to conduct reference checks. In such cases, the Proposer shall be responsible for the availability of the reference contacts. The technical evaluation team will subsequently evaluate and score each responsive proposal for items A through D listed below. The submitted Required Infrastructure tab of the cost proposal – WITHOUT PRICING APPLIED will be provided to the technical evaluation team for consideration. The evaluation team will grade each proposal criteria (A-C) using a 0 - 10 scale. That grade will be applied to the category weight to determine the category points. Example: a perfect grade of 10 in each category (A-C) would receive 665 points (66.5%). Scores from each of the Proposers, including items A - E listed below, will be totaled and the Proposer having the highest score will be ranked number one; the Proposer with the second highest total score will be ranked number two and so on.

4.2 PROPOSAL SCORING

A. Experience and Qualifications (15%) Each Proposal will be evaluated based on the submitted material in Section 3.3 Technical Proposal, Experience and Qualifications. This will include an evaluation of the Proposer’s relevant experience (including that of its proposed employees) and length of service in the industry its ability to perform the required services

B. Project Plan and Staffing Plan (46.5 %)

Each Proposal will be evaluated as to the completeness of and the extent to which the Project Plan and Staffing Plan described in Section 3.3 - Technical Proposal, meet or exceed the project requirements in Section 2 - Detailed Scope of Work.

C. Quality and Completeness of Proposal (5%)

Each Proposal will be evaluated as to the extent to which the proposal satisfies and addresses each requirement of the Solicitation. Consideration will also be given to the overall organization of, and ease of navigation of the submitted proposal.


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D. MWBE Diversity Practices (3.5%)

OGS has determined, pursuant to New York State Executive Law Article 15-A, §313-a that the assessment of the diversity practices of Proposers for this procurement is practical, feasible and appropriate. Accordingly, to receive certain evaluation points, Proposers are required to complete and submit as part of their proposal, the Attachment #24 - Diversity Practices Questionnaire. OGS will review the Proposer’s responses to the Diversity Practices Questionnaire – Attachment #24, and score them per the Diversity Practices Scoring Matrix – Attachment #25, and in comparison, to the responses of all Proposer’s to this solicitation. The points received for each response will be added to achieve a Total Diversity Score of up to 100 points. The Total Diversity Score will then be weighted to achieve a weighted score of 5% of the total technical score or up to 35 points.

E. Cost (30%) The Grand Total Bid Amount as represented on Attachment #1 - Cost Proposal will be evaluated in relation to all cost proposals submitted by responsive Proposers.

4.3 NOTIFICATION OF AWARD After the evaluation, all Proposers will be notified of the name of the selected Proposer. The selected Proposer will be notified that their submitted proposal has been selected and that a contract will be forthcoming for execution. The original proposal, and any additions or deletions to the proposal become part of the contract. Public announcements or news releases pertaining to any contract resulting from this solicitation shall not be made without prior approval from the Issuing Office.


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5. ADMINISTRATIVE INFORMATION

5.1 ISSUING OFFICE This RFP is being released by OGS Financial Administration on behalf of OGS DSDVBD.

5.2 METHOD OF AWARD One contract shall be awarded under this solicitation to the responsive and responsible Proposer affording the best value to the State. The contract awarded under this solicitation will be made to the responsive and responsible Proposer receiving the highest point total using the evaluation criteria listed in Section 4 - Evaluation and Selection Process. Upon determination of the best value proposal, a contract, between OGS and the successful Proposer, will be delivered to the successful Proposer for signature and shall be returned to the Issuing Office for all necessary State approvals. Upon final approval, a completely executed contract will be delivered to the Contractor. The Grand Total bid amount of the selected Contractor shall be used to establish the contract value. The established contract value shall not be exceeded.

5.3 PRICE Proposers must submit RFP Attachment #1 - Cost Proposal with tabs 1 through 5 completed:

1. Tab 1 – SDVES Cost Proposal - will be broken down by the proposed intended deliverables to be completed. Each deliverable will contain a subset of requirements that must be completed before the deliverable can be accepted and payment made. The first deliverable proposed must include the detailed project plan to be approved by OGS.

2. Tab 2 – Maintenance and Support – Maintenance and support for years two through five should be included here. The first year of maintenance should be included in the deliverable costs on Tab 1. A Price Escalation will not be applied to years two through five, maintenance and support.

3. Tab 3 – Software Cost – vendors should include initial software/licensing cost(s), if applicable. For purposes of evaluation the current estimated number of users is 2100. This is comprised of 100 user agencies and 600 SDVOBs each with 3 users. Additionally, if licenses are required, OGS reserves the right not to purchase licenses from the awarded vendor if licenses are a) already owned by NYS or b) can be obtained at a lower price.

4. Tab 4 – Infrastructure Required – vendors shall list the infrastructure required to host the system at the NYS Datacenter. ITS will price the infrastructure components based on ITS contract rates available at: https://its.ny.gov/sites/default/files/documents/fy_2018_rate_card.pdf

5. Tab 5 – Additional Services – for the purposes of evaluating proposals on an equal basis, an estimated quantity of hours is included. Vendors shall provide an hourly rate for the additional services that may be requested during the term of the contract as described in Section 2.16 – Additional Services.

The grand total of these five tabs together will comprise the vendors Grand Total Bid Amount. Any deviations, alterations, qualifiers, ranges, etc. included with the cost proposal will result in rejection of the proposal. Pricing shall include all proposed labor, equipment, materials, supplies, etc. to provide the specified service. All prices quoted shall be inclusive of all customs, duties and charges and shall be including but not limited to travel, insurance, administrative, profit and ancillary costs. The Contractor agrees that from the effective date of the


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contract until contract termination, the rates charged by the Contractor and paid for by OGS will be equal to or lower than any rates provided by the Contractor to other customers for like services. If the Proposer offers an early payment discount for payments made in less than 30 days after receipt of a proper invoice, please detail the discount by providing, in the appropriate place on RFP Attachment #1 – Cost Proposal Form, the percentage of discount and the specific number of days within which the payment must be made for the discount to apply. If Proposer offers multiple discounts, please provide the details for each discount offered (for example: 2%/15 days; 1%/20 days). A discount for early payment does not affect bid amounts nor is it considered in making awards, except that a discount may be considered in resolving tie bids.

5.4 TERM OF CONTRACT This contract will commence upon Office of the State Comptroller Approval and be in effect for five years after implementation and acceptance of the solution and shall include an optional five-year renewal. The State of New York retains the right to cancel this contract for convenience, provided that the Contractor is given at least 30 days written notice of OGS’ intent to cancel. Any cancellation by OGS under this section shall in no event constitute or be deemed a breach of any contract resulting from this RFP and no liability shall be incurred by or arise against OGS, its agents and employees therefore for lost profits or any other damages resulting there from. This provision should not be understood as waiving the State’s right to terminate the contract for cause or stop work immediately for unsatisfactory work, but is supplementary to that provision. Refer to Section 6.13– Termination

5.5 METHOD OF PAYMENT For established project deliverables, invoices will not be billable until final acceptance as described in Section 2.14 - Acceptance of Deliverables. Invoices will be processed in accordance with established procedures of the Office of General Services and the Office of the State Comptroller (OSC) and payments will be subject to the prompt payment provisions of Article XI-A of the New York State Finance Law. Retainage OGS will retain and reserve 15% of the value of each completed deliverable to be paid to the Contractor 30 days after successful completion of the project and acceptance of the final deliverable. OGS also reserves the right to renegotiate payment terms and percentages related to deliverables to prevent unnecessary front-loading of the total cost of project. Each company invoice must be itemized and include the following information:

1. A unique invoice number

2. Contract Number (OGS01-C00XXXX-1140000)

3. Contractor’s New York State Supplier ID

4. Purchase Order Number and PO line charging against

5. Item Description including 6-digit number and summary of the phase completed

Invoices without the above stated information will be returned to Contractor to be completed as required in the paragraph above. Payment will not be issued and will not be due and owing until a corrected invoice is received and approved by OGS.


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All Invoices are to be submitted for payment to: The OGS Business Service Center Accounts Payable - or - [email protected] 1220 Washington Ave., Building 5, 5th Floor Albany, NY 12226

5.6 PRICE ADJUSTMENT (ESCALATION / DE-ESCALATION) There are no price escalations allowed in the base term of the contract. Price escalation will only be applicable during the optional renewal period and shall only be applied to the annual maintenance and support fee. Adjustment for maintenance and support may be applied to the year 5 cost. Upon renewal and upon each anniversary date for the renewal period, the Contractor may be granted an increase or decrease in their maintenance and support fee, dependent upon fluctuations in the Consumer Price Index for All Items, Northeast Urban, as published by the U.S. Department of Labor, Bureau of Labor Statistics, Washington, D.C. 20212. Visit their website at http://www.bls.gov/data/ . The ‘base’ month for determining adjustments will be the third month prior to the acceptance date of the system. The base month is fixed and will not be adjusted year to year. The adjustments will be based on the difference in the base month CPI for each applicable year compared to the same month of the immediately preceding year and will become effective in the anniversary month. For example, if the system is accepted in September 2017, the ‘base’ month will be June. If the contract allows for an adjustment after the first year, it would be based on the difference between the June 2017 CPI and the June 2018 CPI and become effective in September 2018. The Consumer Price Index is published around the middle of each month for the prior month (i.e. the January figure is not published until mid-February). The Contractor has the sole responsibility to request, in writing, a rate adjustment. This request must be received at the below address within three months of the base month. As long as the request is submitted and received within the required time frame, the adjustment will be processed using the base month Consumer Price Index. Once approved, the Contractor will be notified in writing. Contractor shall not submit revised invoices until such notification, at which point an invoice may be submitted for any retroactive difference owed. Requests must be submitted to: NYS Office of General Services Financial Administration, Agency Procurement Office Corning Tower, 32nd Floor, Empire State Plaza, Albany, New York 12242. Should a Contractor fail to submit their request, to the proper location, within three months of the applicable base month date, Contractor shall be deemed to have waived their right to any increase in price, but the State shall not be barred from making the appropriate adjustment in the case of a decrease determined in accordance with the above methodology.

5.7 ELECTRONIC PAYMENTS Contractor shall provide complete and accurate billing invoices in order to receive payment. Billing invoices submitted must contain all information and supporting documentation required by the contract, the agency, and the State Comptroller. Payment for invoices submitted by the contractor shall only be rendered electronically unless payment by paper check is expressly authorized by the Commissioner, in the Commissioner’s sole discretion, due to extenuating circumstances. Such electronic payment shall be made in accordance with ordinary State procedures and practices. The Contractor shall comply with the State Comptroller’s procedures to authorize electronic payments. Authorization forms are available at the State Comptrollers website at www.osc.state.ny.us/epay/index.htm , by e-mail at [email protected] , or by phone at 518-474-4032.


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Contractor acknowledges that it will not receive payment on any invoices submitted under this Contract if it does not comply with the State Comptroller’s electronic payment procedures, except where the Commissioner has expressly authorized payment by paper check as set forth above. Please note that in conjunction with New York State’s implementation of a new Statewide Financial System (SFS), the Office of the State Comptroller requires all vendors doing business with New York State agencies to complete a substitute W-9 form. Vendors registering for electronic payment can complete the W-9 form when they register. Vendors already registered for electronic payment are requested to go to the above website and complete the Substitute W-9 form and submit following the instructions provided.

5.8 PAST PRACTICE The failure to exercise any right hereunder in the past shall not operate as a waiver of such right. No breach of this Agreement shall be deemed waived unless such waiver shall be in writing and signed by the party claimed to have waived. No waiver of any breach of the Agreement at any time in the past shall constitute a waiver of subsequent breach.

5.9 EXCEPTIONS AND EXTRANEOUS TERMS The Issuing Office will consider all requests to waive any solicitation requirement. The Term “solicitation requirement” as used herein shall include any and all terms and conditions included in the solicitation documents. Proposers should be aware that failure to obtain a waiver of any proposal requirement in advance of submission, and/or inclusion of extraneous terms in the form of exceptions, assumptions, qualifiers, ranges, modifications, etc. with proposal submission, may result in rejection of Proposer’s proposal and disqualification from the RFP process. Proposers wishing to obtain an exemption or waiver for any part of this solicitation must contact the Issuing Office in writing by the ‘Deadline for Submission of Proposer Questions’ as identified in Section 1.5 - Key Events. The request must cite the specific section and requirement in question, and clearly identify any proposed alternative. Requests will be considered and responded to in writing, either with the ‘OGS Issues a Response to Written Questions’ as identified in Key Events (if the response results in a change to the RFP), or directly to the requesting vendor.

5.10 DISPUTE RESOLUTION It is the policy of the Office of General Services’ Financial Administration to provide vendors with an opportunity to administratively resolve disputes, complaints or inquiries related to proposal solicitations, contract awards, and contract administration. OGS Financial Administration encourages vendors to seek resolution of disputes informally, through consultation with OGS Financial Administration staff, prior to commencing a formal dispute process. All such matters will be accorded full, impartial and timely consideration. A copy of the OGS Financial Administration Dispute Resolution Procedures for Vendors may be obtained by contacting the designated contact person identified in the solicitation. During the term of the contract, if either party notifies the other of a dispute or dissatisfaction, the other party will make a good faith effort to solve or settle dispute amicably, including meeting with the other party to diligently attempt to reach a satisfactory result. In the event of a dispute, the parties will continue to fulfill their obligations hereunder during the dispute resolution process. The parties agree to proceed in good faith to avoid disputes, and resolve disputes that cannot be avoided at the lowest level possible. If party representatives are unable to resolve the dispute or reach a satisfactory result within twenty days of written notice of a dispute, the dispute will be referred to successive higher levels of each organization for final decision.

5.11 EXAMINATION OF CONTRACT DOCUMENTS


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1. Each Proposer is under an affirmative duty to inform itself by personal examination of the specifications of the proposed work and by such other means as it may select, of the character, quality and extent of the work to be performed and the conditions under which the contract is to be executed.

2. Each Proposer shall examine specifications and all other data or instruction pertaining to the work. No

pleas of ignorance of conditions that may be encountered or of any other matter concerning the work to be performed in the execution of the contract will be accepted by the state as an excuse for any failure or omission on the part of the Proposer to fulfill every detail of all the requirements of the documents governing the work. The Proposer, if awarded the contract, will not be allowed any extra compensation by reason of any matter or thing concerning which such Proposer might have fully informed itself prior to bidding.

3. Any addendum issued prior to the proposal due date must be acknowledged by signature, dated and be

submitted on or before the proposal due date. In awarding a contract any written addenda will become a part thereof.

4. Any verbal information obtained from, or statements made by, representatives of the Commissioner of

General Services shall not be construed as in any way amending contract documents. Only such corrections or addenda as are issued, in writing, shall become a part of the contract.

5.12 PRIME CONTRACTOR RESPONSIBILITIES The State will contract only with the successful Proposer who is the Prime Contractor. Products and services provided directly by the Prime Contractor must account for at least 30% of the total contract value. The Issuing Office considers the Prime Contractor, the sole Contractor with regard to all provisions of the RFP, and the contract resulting from the RFP. No subcontract entered into by the Contractor shall relieve the Contractor of any liabilities or obligations in this RFP or the resultant contract. The Contractor accepts full responsibility for the actions of any employee or subcontractor(s) who carry out any of the provisions of any contract resulting from this RFP.

5.13 RULES OF CONSTRUCTION Words of the masculine and feminine genders shall be deemed and construed to include the neuter gender. Unless the context otherwise indicates, the singular number shall include the plural number and vice versa, and words importing persons shall include corporations and associations, including public bodies, as well as natural persons. The terms “hereby,” “hereof,” “hereto,” “herein,” “hereunder,” and any similar terms, as used in this RFP, refer to this RFP.


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6. CONTRACT CLAUSES AND REQUIREMENTS

6.1 APPENDIX A / ORDER OF PRECEDENCE Appendix A — Standard Clauses for New York State Contracts, dated January 2014 attached hereto, is hereby expressly made a part of this solicitation document as fully as if set forth at length herein. The agreement resulting from a successful award will include the following documents. Conflicts between these documents will be resolved in the following descending order of precedence: 1. Appendix A (dated January 2014)

2. Contract Agreement

3. OGS RFP No. 2079 (This Document) Including any Addenda

4. Selected Contractor’s Proposal

6.2 PROCUREMENT LOBBYING REQUIREMENT Pursuant to State Finance Law §139-j and §139-k, this Solicitation includes and imposes certain restrictions on communications between OGS and a Vendor during the procurement process. A Vendor is restricted from making contacts from the earliest posting, on a governmental entity’s website, in a newspaper of general circulation, or in the procurement opportunities newsletter of intent to solicit offers/bids through final award and approval of the Procurement Contract by OGS and, if applicable, the Office of the State Comptroller (“Restricted Period”) to other than designated staff unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law §139-j(3)(a). Designated staff, as of the date hereof, is identified on the first page and in Section 1.2. OGS employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the Vendor pursuant to these two statutes. Certain findings of non-responsibility can result in rejection for contract award and in the event of two findings within a four-year period; the Vendor is debarred from obtaining governmental Procurement Contracts. Further information about these requirements can be found on the OGS website: http://www.ogs.ny.gov/acpl/

6.3 CONFIDENTIALITY Contractor agrees to keep confidential and not to disclose to third parties any information provided by the OGS or learned by the Contractor during the performance of the Contract unless Contractor has received the prior written consent of the OGS to make such disclosure. This provision shall survive the expiration and termination of this Contract. The Contractor warrants that all of its operations are compliant with all federal, state and local laws, rules and regulations pertain to the privacy and/or security of personal and confidential information.

6.4 ETHICS COMPLIANCE All proposers/contractors and their employees must comply with the requirements of §§73 and 74 of the Public Officers Law, other state codes, rules, regulations, and executive orders establishing ethical standards for the conduct of business with New York State. In signing any contract resulting from this RFP, the Contractor certifies full compliance with those provisions for any present or future dealings, transactions, sales, contracts, services, offers, relations, etc., involving New York State and/or its employees. Failure to comply with those provisions may result in disqualification from the bidding process, termination of contract, and/or other civil or criminal proceedings as required by law.

6.5 TAX AND FINANCE CLAUSE Tax Law § 5-A: Section 5-a of the Tax Law, as amended, effective April 26, 2006, requires certain contractors awarded state contracts for commodities, services and technology valued at more than $100,000 to certify to the Department


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of Taxation and Finance (DTF) that they are registered to collect New York State and local sales and compensating use taxes. The law applies to contracts where the total amount of such contractors’ sales delivered into New York State are in excess of $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made, and with respect to any affiliates and subcontractors whose sales delivered into New York State exceeded $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made. This law imposes upon certain contractors the obligation to certify whether or not the contractor, its affiliates, and its subcontractors are required to register to collect state sales and compensating use tax and contractors must certify to DTF that each affiliate and subcontractor exceeding such sales threshold is registered with DTF to collect New York State and local sales and compensating use taxes. The law prohibits the State Comptroller, or other approving agency, from approving a contract awarded to a contractor meeting the registration requirements but who is not so registered in accordance with the law. Contractor certification forms and instructions for completing the forms are attached to this RFP. Form ST-220-TD must be filed with and returned directly to DTF. Unless the information upon which the ST-220-TD is based changes, this form only needs to be filed once with DTF. If the information changes for the contractor, its affiliate(s), or its subcontractor(s) a new Form ST-220-TD must be filed with DTF. Form ST-220-CA must be filed with the bid and submitted to the procuring covered agency certifying that the contractor filed the ST-220-TD with DTF. Proposed contractors should complete and return the certification forms within two business days of request (if the forms are not completed and returned with bid submission). Failure to make either of these filings may render a Proposer non-responsive and non-responsible. Proposers shall take the necessary steps to provide properly certified forms within a timely manner to ensure compliance with the law. Vendors may call DTF at 1-800-698--2909 for any and all questions relating to Section 5-a of the Tax Law and relating to a company's registration status with the DTF. For additional information and frequently asked questions, please refer to the DTF web site: http://www.nystax.gov

6.6 FREEDOM OF INFORMATION LAW / TRADE SECRETS During the evaluation process, the content of each bid will be held in confidence and details of any bid will not be revealed (except as may be required under the Freedom of Information Law or other State law). The Freedom of Information Law provides for an exemption from disclosure for trade secrets or information the disclosure of which would cause injury to the competitive position of commercial enterprises. This exception would be effective both during and after the evaluation process. Should you feel your firm’s bid contains any such trade secrets or other confidential or proprietary information, you must submit a request to except such information from disclosure. Such request must be in writing, must state the reasons why the information should be excepted from disclosure and must be provided at the time of submission of the subject information. Requests for exemption of the entire contents of a bid from disclosure have generally not been found to be meritorious and are discouraged. Kindly limit any requests for exemption of information from disclosure to bona fide trade secrets or specific information, the disclosure of which would cause a substantial injury to the competitive position of your firm.

6.7 GENERAL REQUIREMENTS

1. The Proposer agrees to adhere to all State and Federal laws and regulations in connection with the contract.

2. The Proposer agrees to notify OGS of any changes in the legal status or principal ownership of the firm,

45 days in advance of said change.

3. The Proposer agrees that in any contract resulting from this RFP it shall be completely responsible for its work, including any damages or breakdowns caused by its failure to take appropriate action.


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4. The Proposer agrees that any contract resulting from this RFP may not be assigned, transferred, conveyed or the work subcontracted without the prior written consent of OGS.

5. For reasons of safety and public policy, in any contract resulting from this RFP, the use of illegal drugs

and/or alcoholic beverages by the Contractor or its personnel shall not be permitted while performing any phase of the work herein specified.

6. For purposes of any contract resulting from this RFP, the State will not be liable for any expense incurred

by the Contractor for any parking fees or as a consequence of any traffic infraction or parking violations attributable to employees of the Contractor.

7. OGS interpretation of specifications shall be final and binding upon the Contractor.

8. The Commissioner of OGS will make no allowance or concession to the Proposer for any alleged

misunderstanding because of quantity, quality, character, location or other conditions.

9. Should it appear that there is a real or apparent discrepancy between different sections of specifications concerning the nature, quality or extent of work to be furnished, it shall be assumed that the Proposer has based its bid on the more expensive option. Final decision will rest with OGS.

10. INSPECTION – For purposes of any contract resulting from this RFP the quality of service is subject to

inspection and may be made at any reasonable time by the State of New York. Should it be found that quality of services being performed is not satisfactory and that the requirements of the specifications are not being met, OGS may terminate the contract and employ another contractor to fulfill the requirements of the contract. The existing Contractor shall be liable to the State of New York for costs incurred on account thereof.

11. STOP WORK ORDER – OGS reserves the right to stop the work covered by this RFP and any contract(s)

resulting there from at any time that it is deemed the Contractor is unable or incapable of performing the work to the state’s satisfaction. In the event of such stopping, OGS shall have the right to arrange for the completion of the work in such manner as it may deem advisable and if the cost thereof exceeds the amount of the proposal, the Contractor shall be liable to the State of New York for any such costs on account thereof. In the event that OGS issues a stop work order for the work as provided herein, the Contractor shall have ten (10) working days to respond thereto before any such stop work order shall become effective. Provided, however, that if an emergency situation exists, as reasonably determined by OGS, then the stop work order shall be effective immediately.

12. NON-EXCLUSIVE- Contractor does not have an exclusive right to perform the services, and we can

choose to use other vendors or state employees to perform part or all of the work.

13. It is the Contractor's responsibility to maintain the equipment and materials provided for the work consistent with applicable safety and health codes.

14. OGS reserves the right to reject and bar from the facility any employee hired by the Contractor.

6.8 CONTRACT TERMS All provisions and requirements of Appendix A Standard Clauses for New York State Contracts, which is attached hereto and forms a part hereof, will be incorporated into any contract resulting from this RFP, and will be binding upon the parties to such contract. All provisions and requirements, which are attached hereto and form a part hereof, will be incorporated into any contract resulting from this RFP, and will be binding upon the parties to such contract.


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It is stipulated and agreed by the parties that the law of the State of New York shall solely and in all respects govern with relation to any dispute, litigation, or interpretation arising out of or connected with any contract resulting from this RFP. Any contract resulting from this RFP shall not be deemed executed, valid or binding unless and until approved in writing by the Attorney General and the Comptroller of the State of New York.

6.9 SUBCONTRACTORS The State will contract only with the successful Proposer who is the Prime Contractor. The Issuing Office considers the Prime Contractor, the sole Contractor with regard to all provisions of the solicitation and the contract resulting from the solicitation. When bidding, any known / planned use of subcontractors must be disclosed in detail with proposal submission. If subcontractors are to be used, it shall be understood that the bid price includes the cost of the subcontractor and no additional markups will be allowed. No subcontract entered into by the Contractor shall relieve the Contractor of any liabilities or obligations in this RFP or the resultant contract. The Contractor accepts full responsibility for the actions of any employee or subcontractor/subcontractor’s employee(s) who carry out any of the provisions of any contract resulting from this RFP. The Contractor’s use of subcontractors shall not diminish the Contractor’s obligations to complete the work in accordance with the contract. The Contractor shall coordinate and control the work of the subcontractors. The Contractor shall be responsible for informing the subcontractors of all terms, conditions, and requirements of the contract documents. During the term of the Contract, before any part of the contract shall be sublet, the Contractor shall submit to DSDVBD, 32nd Floor Corning Tower, ESP, Albany, NY 12242, in writing, the name of each proposed subcontractor and obtain written consent to such subcontractor. The names shall be submitted in ample time to permit acceptance or rejection of each proposed subcontractor without causing delay in the work of this contract. The Contractor shall promptly furnish such information as the Director of DSDVBD may require concerning the proposed subcontractor's ability and qualifications.

6.10 PROCUREMENT RIGHTS The State of New York reserves the right to:

1. Reject any and all proposals received in response to this Solicitation.

2. Disqualify a Proposer from receiving the award if the Proposer, or anyone in the Proposer's employ, has previously failed to perform satisfactorily in connection with public bidding or contracts.

3. Correct Proposers’ mathematical errors and waive or modify other minor irregularities in proposals received, after prior notification to the Proposer.

4. Adjust any Proposer's expected costs of the bid price based on a determination of the evaluation team that the selection of the said Proposer will cause the State to incur additional costs.

5. Utilize any and all ideas submitted in the proposals received.

6. Negotiate with Proposers responding to this Solicitation within the Solicitation requirements to serve the best interests of the State.

7. Begin contract negotiations with another Proposer(s) in order to serve the best interests of the State of New York should the State of New York be unsuccessful in negotiating a contract with the selected winning Proposer within 21 days of selection notification.


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8. Waive any non-material requirement not met by all Proposers.

9. Not make an award from this Solicitation.

10. Make an award under this Solicitation in whole or in part.

11. Make multiple contract awards pursuant to the Solicitation.

12. Have any service completed via separate competitive bid or other means, as determined to be in the best interest of the State.

13. Seek clarifications of proposals.

14. Disqualify any Proposer whose conduct and/or proposal fails to conform to the requirements of the RFP.

15. Prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available.

16. Waive any requirements that are not material.

17. If two or more proposals are found to be substantially equivalent, the Commissioner of OGS, at her sole discretion, will determine award using the pre-established process. For best value procurements, cost will be the determining factor.

Note: The State is not liable for any cost incurred by a Proposer in the preparation and production of a proposal or for any work performed prior to the issuance of a contract.

6.11 EXTENT OF SERVICES OGS reserves the right to re-negotiate at its discretion and to reduce the amount of services provided under any contract resulting from this solicitation. This reduction in services shall be effectuated by written amendment to the contract and subject to approval by the Office of the State Comptroller.

6.12 DEBRIEFINGS Pursuant to Section 163(9)(c) of the State Finance Law, any unsuccessful Proposer may request a debriefing regarding the reasons that the Proposal submitted by the Proposal was not selected for award. Requests for a debriefing must be made within 15 calendar days of notification by OGS that the Proposal submitted by the Proposer was not selected for award. Requests should be submitted in writing to a designated contact identified in the Solicitation.

6.13 TERMINATION Termination OGS may, upon 30 days’ notice, terminate the contract resulting from this RFP in the event of Contractor’s failure to comply with any of the proposal’s requirements unless the Contractor obtains a waiver of the requirement. In addition, OGS may also terminate any contract resulting from this RFP upon ten days written notice if the Contractor makes any arrangement for assignment for the benefit of the creditors. Furthermore, OGS shall have the right, in its sole discretion, at any time to terminate a contract resulting from this RFP, or any unit portion thereof, with or without cause, by giving 30 days written notice of termination to the Contractor.


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Any termination by OGS under this Section shall in no event constitute or be deemed a breach of any contract resulting from this RFP and no liability shall be incurred by or arise against the Office of General Services, its agents and employees therefore for lost profits or any other damages. Procurement Lobbying Termination The OGS reserves the right to terminate the Contract in the event it is found that the certification filed by the Contractor in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, OGS may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of the Contract.

6.14 NYS VENDOR RESPONSIBILITY OGS conducts a review of prospective contractors (“Proposers”) to provide reasonable assurances that the Proposer is responsive and responsible. A For-Profit Business Entity Questionnaire (hereinafter “Questionnaire”) is used for non-construction contracts and is designed to provide information to assess a Proposer’s responsibility to conduct business in New York based upon financial and organizational capacity, legal authority, business integrity, and past performance history. By submitting a proposal, the Proposer agrees to fully and accurately complete the Questionnaire. The Proposer acknowledges that the State’s execution of the Contract will be contingent upon the State’s determination that the Bidder is responsible, and that the State will be relying upon the Bidder’s responses to the Questionnaire when making its responsibility determination. OGS recommends each Proposer file the required Questionnaire online via the New York State VendRep System. To enroll in and use the VendRep System, please refer to the VendRep System Instructions and User Support for Vendors available at the Office of the State Comptroller’s (OSC) website, http://www.osc.state.ny.us./vendrep/vendor_index.htm or to enroll, go directly to the VendRep System online at https://portal.osc.state.ny.us. OSC provides direct support for the VendRep System through user assistance, documents, online help, and a help desk. The OSC Help Desk contact information is located at http://www.osc.state.ny.us/portal/contactbuss.htm . Bidders opting to complete the paper questionnaire can access this form and associated definitions via the OSC website at: http://www.osc.state.ny.us/vendrep/forms_vendor.htm. In order to assist the State in determining the responsibility of the Proposer prior to Contract Award, the Proposer must complete and certify (or recertify) the Questionnaire no more than six months prior to the bid due date. A Proposer’s Questionnaire cannot be viewed by OGS until the Proposer has certified the Questionnaire. It is recommended that all Proposer become familiar with all of the requirements of the Questionnaire in advance of the bid opening to provide sufficient time to complete the Questionnaire. The Proposer agrees that if it is awarded a Contract the following shall apply: The Contractor shall at all times during the Contract term remain responsible. The Contractor agrees, if requested by the Commissioner of OGS or her designee, to present evidence of its continuing legal authority to do business in New York State, integrity, experience, ability, prior performance, and organizational and financial capacity. The Commissioner of OGS or her designee, in his or her sole discretion, reserves the right to suspend any or all activities under this Contract, at any time, when he or she discovers information that calls into question the responsibility of the Contractor. In the event of such suspension, the Contractor will be given written notice outlining the particulars of such suspension. Upon issuance of such notice, the Contractor must comply with the terms of the suspension order. Contract activity may resume at such time as the Commissioner of OGS or her designee issues a written notice authorizing a resumption of performance under the Contract. Upon written notice to the Contractor, and a reasonable opportunity to be heard with appropriate OGS officials or staff, the Contract may be terminated by the Commissioner of OGS or her designee at the Contractor’s expense where the Contractor is determined by the Commissioner of OGS or her designee to be non-


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responsible. In such event, the Commissioner of OGS or her designee may complete the contractual requirements in any manner he or she may deem advisable and pursue available legal or equitable remedies for breach. In no case shall such termination of the Contract by the State be deemed a breach thereof, nor shall the State be liable for any damages for lost profits or otherwise, which may be sustained by the Contractor as a result of such termination.

6.15 NEW YORK STATE VENDOR FILE REGISTRATION Prior to being awarded a contract pursuant to this Solicitation, the Bidder(s) must be registered in the New York State Vendor File (Vendor File) administered by the Office of the State Comptroller (OSC). This is a central registry for all vendors who do business with New York State Agencies and the registration must be initiated by a State Agency. Following the initial registration, unique New York State ten-digit vendor identification numbers will be assigned to your company for usage on all future transactions with New York State. Additionally, the Vendor File enables vendors to use the Vendor Self-Service application to manage all vendor information in one central location for all transactions related to the State of New York. If Bidder is already registered in the New York State Vendor File, list the ten-digit vendor ID number on the Contractor Information page included in Appendix B of this solicitation. If the Bidder is not currently registered in the Vendor File and is recommended for award, OGS shall request completion of OSC Substitute W-9 Form. A fillable form with instructions can be found at the link below. The Office of General Services will initiate the vendor registration process for all Bidders recommended for Contract Award. Once the process is initiated, registrants will receive an email from OSC that includes the unique ten-digit vendor identification number assigned to the company and instructions on how to enroll in the online Vendor Self-Service application. For more information on the vendor file please visit the following website: http://www.osc.state.ny.us/vendor_administration Forms to be completed: http://www.osc.state.ny.us/vendors/forms/ac3237_fe.pdf

6.16 INDEMNIFICATION The Contractor shall assume all risks of liability for its performance, or that of any of its officers, employees, subcontractors or agents, of any contract resulting from this solicitation and shall be solely responsible and liable for all liabilities, losses, damages, costs or expenses, including attorney's fees, arising from any claim, action or proceeding relating to or in any way connected with the performance of this Agreement and covenants and agrees to indemnify and hold harmless the State of New York, its agents, officers and employees, from any and all claims, suits, causes of action and losses of whatever kind and nature, arising out of or in connection with its performance of any contract resulting from this solicitation, including negligence, active or passive or improper conduct of the Contractor, its officers, agents, subcontractors or employees, or the failure by the Contractor, its officers, agents, subcontractors or employees to perform any obligations or commitments to the State or third parties arising out of or resulting from any contract resulting from this solicitation. Such indemnity shall not be limited to the insurance coverage herein prescribed.

6.17 FORCE MAJEURE Neither party hereto will be liable for losses, defaults, or damages under any contract resulting from this solicitation which result from delays in performing, or inability to perform, all or any of the obligations or responsibilities imposed upon it pursuant to the terms and conditions of this solicitation, due to or because of acts of God, the public enemy, acts of government, earthquakes, floods, strikes, civil strife, fire or any other cause beyond the reasonable control of the party that was so delayed in performing or so unable to perform provided that such party was not negligent and shall have used reasonable efforts to avoid and overcome such cause. Such party will resume full performance of such obligations and responsibilities promptly upon removal of any such cause.

6.18 ENCOURAGING USE OF NYS BUSINESSES


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New York State businesses have a substantial presence in State contracts and strongly contribute to the economies of the state and the nation. In recognition of their economic activity and leadership in doing business in New York State, proposers/proposers for this contract for commodities, services or technology are strongly encouraged and expected to consider New York State businesses in the fulfillment of the requirements of the contract. Such partnering may be as subcontractors, suppliers, protégés or other supporting roles. Proposers/proposers need to be aware that all authorized users of this contract will be strongly encouraged, to the maximum extent practical and consistent with legal requirements, to use responsible and responsive New York State businesses in purchasing commodities that are of equal quality and functionality and in utilizing services and technology. Furthermore, proposers/proposers are reminded that they must continue to utilize small, minority and women-owned businesses, consistent with current State law. Utilizing New York State businesses in State contracts will help create more private sector jobs, rebuild New York’s infrastructure, and maximize economic activity to the mutual benefit of the contractor and its New York State business partners. New York State businesses will promote the contractor’s optimal performance under the contract, thereby fully benefiting the public sector programs that are supported by associated procurements. Public procurements can drive and improve the State’s economic engine through promotion of the use of New York businesses by its contractors. The State therefore expects proposers/proposers to provide maximum assistance to New York businesses in their use of the contract. The potential participation by all kinds of New York businesses will deliver great value to the State and its taxpayers.

6.19 INFORMATION SECURITY BREACH In accordance with the Information and Security Breach Notification Act (ISBNA) (Chapter 442 of the Laws of 2005, as amended by Chapter 491 of the Laws of 2005), a Contractor with OGS shall be responsible for all applicable provisions of the ISBNA and the following terms herein with respect to any private information (as defined in the ISBNA) received by or on behalf of OGS under this Contract.

1. Contractor shall supply OGS with a copy of its notification policy, which shall be modified to be in compliance with this provision, as well as OGS’s notification policy.

2. Contractor must encrypt any database fields and backup tapes that contain private data elements, as set forth in the ISBNA.

3. Contractor must ensure that private data elements are encrypted in transit to / from their systems.

4. In general, contractor must ensure that private data elements are not displayed to users on computer screens or in printed reports; however, specific users who are authorized to view the private data elements and who have been properly authenticated may view/receive such data.

5. Contractor must monitor for breaches of security to any of its systems that store or process private data owned by OGS.

6. Contractor shall take all steps as set forth in ISBNA to ensure private information shall not be released without authorization from OGS.

7. In the event a security breach occurs as defined by ISBNA Contractor shall immediately notify OGS and commence an investigation in cooperation with OGS to determine the scope of the breach.

8. Contractor shall also take immediate and necessary steps needed to restore the information security system to prevent further breaches.

9. Contractor shall immediately notify OGS following the discovery that OGS’s system security has been breached.


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10. Unless the Contractor is otherwise instructed, Contractor is to first seek consultation and receive authorization from OGS prior to notifying the individuals whose personal identity information was compromised by the breach of security, the State Division of Homeland Security and Emergency Services Enterprise Information Security Office, the Department of State Division of Consumer Protection, the Attorney General’s Office or any consuming reporting agencies of a breach of the information security system or concerning any determination to delay notification for law enforcement investigations.

11. Contractor shall be responsible for providing all notices required by the ISBNA and for all costs associated with providing said notices.

12. This policy and procedure shall not impair the ability of the Attorney General to bring an action against the Contractor to enforce all provisions of the ISBNA or limit the Contractor’s liability for any violations of the ISBNA.

January 2014

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

PLEASE RETAIN THIS DOCUMENT

FOR FUTURE REFERENCE.

STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A

Page 2 January 2014

TABLE OF CONTENTS

Page

1. Executory Clause 3

2. Non-Assignment Clause 3

3. Comptroller’s Approval 3

4. Workers’ Compensation Benefits 3

5. Non-Discrimination Requirements 3

6. Wage and Hours Provisions 3

7. Non-Collusive Bidding Certification 4

8. International Boycott Prohibition 4

9. Set-Off Rights 4

10. Records 4

11. Identifying Information and Privacy Notification 4

12. Equal Employment Opportunities For Minorities and Women 4-5

13. Conflicting Terms 5

14. Governing Law 5

15. Late Payment 5

16. No Arbitration 5

17. Service of Process 5

18. Prohibition on Purchase of Tropical Hardwoods 5-6

19. MacBride Fair Employment Principles 6

20. Omnibus Procurement Act of 1992 6

21. Reciprocity and Sanctions Provisions 6

22. Compliance with New York State Information Security Breach and Notification Act 6

23. Compliance with Consultant Disclosure Law 6

24. Procurement Lobbying 7

25. Certification of Registration to Collect Sales and Compensating Use Tax by Certain 7

State Contractors, Affiliates and Subcontractors

26. Iran Divestment Act 7


Page 3 January 2014

STANDARD CLAUSES FOR NYS CONTRACTS

The parties to the attached contract, license, lease, amendment

or other agreement of any kind (hereinafter, "the contract" or

"this 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 party other than the State,

whether a contractor, licenser, licensee, lessor, lessee or any

other party):

1. EXECUTORY CLAUSE. In accordance with Section 41

of the State Finance Law, the State shall have no liability

under this contract to the Contractor or to anyone else beyond

funds appropriated and available for this contract.

2. NON-ASSIGNMENT CLAUSE. In accordance with

Section 138 of the State Finance Law, this contract may not be

assigned by the Contractor or its right, title or interest therein

assigned, transferred, conveyed, sublet or otherwise disposed

of without the State’s previous written consent, and attempts

to do so are null and void. Notwithstanding the foregoing,

such prior written consent of an assignment of a contract let

pursuant to Article XI of the State Finance Law may be

waived at the discretion of the contracting agency and with the

concurrence of the State Comptroller where the original

contract was subject to the State Comptroller’s approval,

where the assignment is due to a reorganization, merger or

consolidation of the Contractor’s business entity or enterprise.

The State retains its right to approve an assignment and to

require that any Contractor demonstrate its responsibility to do

business with the State. The Contractor may, however, assign

its right to receive payments without the State’s prior written

consent unless this contract concerns Certificates of

Participation pursuant to Article 5-A of the State Finance Law.

3. COMPTROLLER'S APPROVAL. In accordance with

Section 112 of the State Finance Law (or, if this contract is

with the State University or City University of New York,

Section 355 or Section 6218 of the Education Law), if this

contract exceeds $50,000 (or the minimum thresholds agreed

to by the Office of the State Comptroller for certain S.U.N.Y.

and C.U.N.Y. contracts), or if this is an amendment for any

amount to a contract which, as so amended, exceeds said

statutory amount, or if, by this contract, the State agrees to

give something other than money when the value or

reasonably estimated value of such consideration exceeds

$10,000, it shall not be valid, effective or binding upon the

State until it has been approved by the State Comptroller and

filed in his office. Comptroller's approval of contracts let by

the Office of General Services is required when such contracts

exceed $85,000 (State Finance Law Section 163.6-a).

However, such pre-approval shall not be required for any

contract established as a centralized contract through the

Office of General Services or for a purchase order or other

transaction issued under such centralized contract.

4. WORKERS' COMPENSATION BENEFITS. In

accordance with Section 142 of the State Finance Law, this

contract shall be void and of no force and effect unless the

Contractor shall provide and maintain coverage during the life

of this contract for the benefit of such employees as are

required to be covered by the provisions of the Workers'

Compensation Law.

5. NON-DISCRIMINATION REQUIREMENTS. To the

extent required by Article 15 of the Executive Law (also

known as the Human Rights Law) and all other State and

Federal statutory and constitutional non-discrimination

provisions, the Contractor will not discriminate against any

employee or applicant for employment because of race, creed,

color, sex (including gender identity or expression), national

origin, sexual orientation, military status, age, disability,

predisposing genetic characteristics, marital status or domestic

violence victim status. Furthermore, in accordance with

Section 220-e of the Labor Law, if this is a contract for the

construction, alteration or repair of any public building or

public work or for the manufacture, sale or distribution of

materials, equipment or supplies, and to the extent that this

contract shall be performed within the State of New York,

Contractor agrees that neither it nor its subcontractors shall, by

reason of race, creed, color, disability, sex, or national origin:

(a) discriminate in hiring against any New York State citizen

who is qualified and available to perform the work; or (b)

discriminate against or intimidate any employee hired for the

performance of work under this contract. If this is a building

service contract as defined in Section 230 of the Labor Law,

then, in accordance with Section 239 thereof, Contractor

agrees that neither it nor its subcontractors shall by reason of

race, creed, color, national origin, age, sex or disability: (a)

discriminate in hiring against any New York State citizen who

is qualified and available to perform the work; or (b)

discriminate against or intimidate any employee hired for the

performance of work under this contract. Contractor is subject

to fines 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 forfeiture of all moneys due hereunder for

a second or subsequent violation.

6. WAGE AND HOURS PROVISIONS. If this is a public

work contract covered by Article 8 of the Labor Law or a

building service contract covered by Article 9 thereof, neither

Contractor's employees nor the employees of its

subcontractors may be required or permitted to work more

than the number of hours or days stated in said statutes, except

as otherwise provided in the Labor Law and as set forth in

prevailing wage and supplement schedules issued by the State

Labor Department. Furthermore, Contractor and its

subcontractors must pay at least the prevailing wage rate and

pay or provide the prevailing supplements, including the

premium rates for overtime pay, as determined by the State

Labor Department in accordance with the Labor Law.

Additionally, effective April 28, 2008, if this is a public work

contract covered by Article 8 of the Labor Law, the Contractor

understands and agrees that the filing of payrolls in a manner

consistent with Subdivision 3-a of Section 220 of the Labor

Law shall be a condition precedent to payment by the State of


Page 4 January 2014

any State approved sums due and owing for work done upon

the project.

7. NON-COLLUSIVE BIDDING CERTIFICATION. In

accordance with Section 139-d of the State Finance Law, if

this contract was awarded based upon the submission of bids,

Contractor affirms, under penalty of perjury, that its bid was

arrived at independently and without collusion aimed at

restricting competition. Contractor further affirms that, at the

time Contractor submitted its bid, an authorized and

responsible person executed and delivered to the State a non-

collusive bidding certification on Contractor's behalf.

8. INTERNATIONAL BOYCOTT PROHIBITION. In

accordance with Section 220-f of the Labor Law and Section

139-h of the State Finance Law, if this contract exceeds

$5,000, the Contractor agrees, as a material condition of the

contract, that neither the Contractor nor any substantially

owned or affiliated person, firm, partnership or corporation

has participated, is participating, or shall participate in an

international boycott in violation of the federal Export

Administration Act of 1979 (50 USC App. Sections 2401 et

seq.) or regulations thereunder. If such Contractor, or any of

the aforesaid affiliates of Contractor, is convicted or is

otherwise found to have violated said laws or regulations upon

the final determination of the United States Commerce

Department or any other appropriate agency of the United

States subsequent to the contract's execution, such contract,

amendment or modification thereto shall be rendered forfeit

and void. The Contractor shall so notify the State Comptroller

within five (5) business days of such conviction, determination

or disposition of appeal (2NYCRR 105.4).

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 not be limited to, the State's option to

withhold for the purposes of set-off any moneys due to the

Contractor under this contract up to any amounts due and

owing to the State with regard to this contract, any other

contract with any State department or agency, including any

contract for a term commencing prior to the term of this

contract, plus any amounts due and owing to the State for any

other reason including, without limitation, tax delinquencies,

fee delinquencies or monetary penalties relative thereto. The

State shall exercise its set-off rights in accordance with normal

State practices including, in cases of set-off pursuant to an

audit, the finalization of such audit by the State agency, its

representatives, or the State Comptroller.

10. RECORDS. The Contractor shall establish and maintain

complete and accurate books, records, documents, accounts

and other evidence directly pertinent to performance under

this contract (hereinafter, collectively, "the Records"). The

Records must be kept for the balance of the calendar year in

which they were made and for six (6) additional years

thereafter. The State Comptroller, the Attorney General and

any other person or entity authorized to conduct an

examination, as well as the agency or agencies involved in this

contract, shall have access to the Records during normal

business hours at an office of the Contractor within the State

of New York or, if no such office is available, at a mutually

agreeable and reasonable venue within the State, for the term

specified above for the purposes of inspection, auditing and

copying. The State shall take reasonable steps to protect from

public disclosure any of the Records which are exempt from

disclosure under Section 87 of the Public Officers Law (the

"Statute") provided that: (i) the Contractor shall timely inform

an appropriate State official, in writing, that said records

should not be disclosed; and (ii) said records shall be

sufficiently identified; and (iii) designation of said records as

exempt under the Statute is reasonable. Nothing contained

herein shall diminish, or in any way adversely affect, the

State's right to discovery in any pending or future litigation.

11. IDENTIFYING INFORMATION AND PRIVACY

NOTIFICATION. (a) Identification Number(s). Every

invoice or New York State Claim for Payment submitted to a

New York State agency by a payee, for payment for the sale of

goods or services or for transactions (e.g., leases, easements,

licenses, etc.) related to real or personal property must include

the payee's identification number. The number is any or all of

the following: (i) the payee’s Federal employer identification

number, (ii) the payee’s Federal social security number, and/or

(iii) the payee’s Vendor Identification Number assigned by the

Statewide Financial System. Failure to include such number

or numbers may delay payment. Where the payee does not

have such number or numbers, the payee, on its invoice or

Claim for Payment, must give the reason or reasons why the

payee does not have such number or numbers.

(b) Privacy Notification. (1) The authority to request the

above personal information from a seller of goods or services

or a lessor of real or personal property, and the authority to

maintain such information, is found in Section 5 of the State

Tax Law. Disclosure of this information by the seller or lessor

to the State is mandatory. The principal purpose for which the

information is collected is to enable the State to identify

individuals, businesses and others who have been delinquent

in filing tax returns or may have understated their tax

liabilities and to generally identify persons affected by the

taxes administered by the Commissioner of Taxation and

Finance. The information will be used for tax administration

purposes and for any other purpose authorized by law. (2) The

personal information is requested by the purchasing unit of the

agency contracting to purchase the goods or services or lease

the real or personal property covered by this contract or lease.

The information is maintained in the Statewide Financial

System by the Vendor Management Unit within the Bureau of

State Expenditures, Office of the State Comptroller, 110 State

Street, Albany, New York 12236.

12. EQUAL EMPLOYMENT OPPORTUNITIES FOR

MINORITIES AND WOMEN. In accordance with Section

312 of the Executive Law and 5 NYCRR 143, if this contract

is: (i) a written agreement or purchase order instrument,

providing for a total expenditure in excess of $25,000.00,


Page 5 January 2014

whereby a contracting agency is committed to expend or does

expend funds in return for labor, services, supplies,

equipment, materials or any combination of the foregoing, to

be performed for, or rendered or furnished to the contracting

agency; or (ii) a written agreement in excess of $100,000.00

whereby a contracting agency is committed to expend or does

expend funds for the acquisition, construction, demolition,

replacement, major repair or renovation of real property and

improvements thereon; or (iii) a written agreement in excess

of $100,000.00 whereby the owner of a State assisted housing

project is committed to expend or does expend funds for the

acquisition, construction, demolition, replacement, major

repair or renovation of real property and improvements

thereon for such project, then the following shall apply and by

signing this agreement the Contractor certifies and affirms that

it is Contractor’s equal employment opportunity policy that:

(a) The Contractor will not discriminate against employees or

applicants for employment because of race, creed, color,

national origin, sex, age, disability or marital status, 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 and will undertake or continue

existing programs of affirmative action to ensure that minority

group members and women are afforded equal employment

opportunities without discrimination. Affirmative action shall

mean recruitment, employment, job assignment, promotion,

upgradings, demotion, transfer, layoff, or termination and rates

of pay or other forms of compensation;

(b) at the request of the contracting agency, the Contractor

shall request each employment agency, 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; and

(c) 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 or

marital status.

Contractor will include the provisions of "a", "b", and "c"

above, in every subcontract over $25,000.00 for the

construction, demolition, replacement, major repair,

renovation, planning or design of real property and

improvements thereon (the "Work") except where the Work is

for the beneficial use of the Contractor. Section 312 does not

apply to: (i) work, goods or services unrelated to this contract;

or (ii) employment outside New York State. The State shall

consider compliance by a contractor or subcontractor with the

requirements of any federal law concerning equal employment

opportunity which effectuates the purpose of this section. The

contracting agency shall determine whether the imposition of

the requirements of the provisions hereof duplicate or conflict

with any such federal law and if such duplication or conflict

exists, the contracting agency shall waive the applicability of

Section 312 to the extent of such duplication or conflict.

Contractor will comply with all duly promulgated and lawful

rules and regulations of the Department of Economic

Development’s Division of Minority and Women's Business

Development pertaining hereto.

13. CONFLICTING TERMS. In the event of a conflict

between the terms of the contract (including any and all

attachments thereto and amendments thereof) and the terms of

this Appendix A, the terms of this Appendix A shall control.

14. GOVERNING LAW. This contract shall be governed by

the laws of the State of New York except where the Federal

supremacy clause requires otherwise.

15. LATE PAYMENT. Timeliness of payment and any

interest to be paid to Contractor for late payment shall be

governed by Article 11-A of the State Finance Law to the

extent required by law.

16. NO ARBITRATION. Disputes involving this contract,

including the breach or alleged breach thereof, may not be

submitted to binding arbitration (except where statutorily

authorized), but must, instead, be heard in a court of

competent jurisdiction of the State of New York.

17. SERVICE OF PROCESS. In addition to the methods of

service allowed by the State Civil Practice Law & Rules

("CPLR"), Contractor hereby consents to service of process

upon it by registered or certified mail, return receipt requested.

Service hereunder shall be complete upon Contractor's actual

receipt of process or upon the State's receipt of the return

thereof by the United States Postal Service as refused or

undeliverable. Contractor must promptly notify the State, in

writing, of 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. Contractor will have thirty (30)

calendar days after service hereunder is complete in which to

respond.

18. PROHIBITION ON PURCHASE OF TROPICAL

HARDWOODS. The Contractor certifies and warrants that

all wood products to be used under this contract award will be

in accordance with, but not limited to, the specifications and

provisions of Section 165 of the State Finance Law, (Use of

Tropical Hardwoods) which prohibits purchase and use of

tropical hardwoods, unless specifically exempted, by the State

or any governmental agency or political subdivision or public

benefit corporation. Qualification for an exemption under this

law will be the responsibility of the contractor to establish to

meet with the approval of the State.


Page 6 January 2014

In addition, when any portion of this contract involving the

use of woods, whether supply or installation, is to be

performed by any subcontractor, the prime Contractor will

indicate and certify in the submitted bid proposal that the

subcontractor has been informed and is in compliance with

specifications and provisions regarding use of tropical

hardwoods as detailed in §165 State Finance Law. Any such

use must meet with the approval of the State; otherwise, the

bid may not be considered responsive. Under bidder

certifications, proof of qualification for exemption will be the

responsibility of the Contractor to meet with the approval of

the State.

19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance with the MacBride Fair Employment Principles

(Chapter 807 of the Laws of 1992), the Contractor hereby

stipulates that the Contractor either (a) has no business

operations in Northern Ireland, or (b) shall take lawful steps in

good faith to conduct any business operations in Northern

Ireland in accordance with the MacBride Fair Employment

Principles (as described in Section 165 of the New York State

Finance Law), and shall permit independent monitoring of

compliance with such principles.

20. OMNIBUS PROCUREMENT ACT OF 1992. 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

Albany, New York 12245

Telephone: 518-292-5100

Fax: 518-292-5884

email: [email protected]

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

633 Third Avenue

New York, NY 10017

212-803-2414

email: [email protected]

https://ny.newnycontracts.com/FrontEnd/VendorSearchPu

blic.asp

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 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; and

(d) The Contractor acknowledges notice that the 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.

21. RECIPROCITY AND SANCTIONS PROVISIONS.

Bidders are hereby notified that if their principal place of

business is located in a country, nation, province, state or

political subdivision that penalizes New York State vendors,

and if the goods or services they offer will be substantially

produced or performed outside New York State, the Omnibus

Procurement Act 1994 and 2000 amendments (Chapter 684

and Chapter 383, respectively) require that they be denied

contracts which they would otherwise obtain. NOTE: As of

May 15, 2002, the list of discriminatory jurisdictions subject

to this provision includes the states of South Carolina, Alaska,

West Virginia, Wyoming, Louisiana and Hawaii. Contact

NYS Department of Economic Development for a current list

of jurisdictions subject to this provision.

22. COMPLIANCE WITH NEW YORK STATE

INFORMATION SECURITY BREACH AND

NOTIFICATION ACT. Contractor shall comply with the

provisions of the New York State Information Security Breach

and Notification Act (General Business Law Section 899-aa;

State Technology Law Section 208).

23. COMPLIANCE WITH CONSULTANT

DISCLOSURE LAW. If this is a contract for consulting

services, defined for purposes of this requirement to include

analysis, evaluation, research, training, data processing,

computer programming, engineering, environmental, health,

and mental health services, accounting, auditing, paralegal,

legal or similar services, then, in accordance with Section 163

(4-g) of the State Finance Law (as amended by Chapter 10 of

the Laws of 2006), the Contractor shall timely, accurately and

properly comply with the requirement to submit an annual

employment report for the contract to the agency that awarded

mailto:[email protected]


https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp



Page 7 January 2014

the contract, the Department of Civil Service and the State

Comptroller.

24. PROCUREMENT LOBBYING. To the extent this

agreement is a "procurement contract" as defined by

State Finance Law Sections 139-j and 139-k, by signing this

agreement the contractor certifies and affirms that all

disclosures made in accordance with State Finance Law

Sections 139-j and 139-k are complete, true and accurate. In

the event such certification is found to be intentionally false or

intentionally incomplete, the State may terminate the

agreement by providing written notification to the Contractor

in accordance with the terms of the agreement.

25. CERTIFICATION OF REGISTRATION TO

COLLECT SALES AND COMPENSATING USE TAX

BY CERTAIN STATE CONTRACTORS, AFFILIATES

AND SUBCONTRACTORS.

To the extent this agreement is a contract as defined by Tax

Law Section 5-a, if the contractor fails to make the

certification required by Tax Law Section 5-a or if during the

term of the contract, the Department of Taxation and Finance

or the covered agency, as defined by Tax Law 5-a, discovers

that the certification, made under penalty of perjury, is false,

then such failure to file or false certification shall be a material

breach of this contract and this contract may be terminated, by

providing written notification to the Contractor in accordance

with the terms of the agreement, if the covered agency

determines that such action is in the best interest of the State.

26. IRAN DIVESTMENT ACT. By entering into this

Agreement, Contractor certifies in accordance with State

Finance Law §165-a that it is not on the “Entities Determined

to be Non-Responsive Bidders/Offerers pursuant to the New

York State Iran Divestment Act of 2012” (“Prohibited Entities

List”) posted at:

http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf

Contractor further certifies that it will not utilize on this

Contract any subcontractor that is identified on the Prohibited

Entities List. Contractor agrees that should it seek to renew or

extend this Contract, it must provide the same certification at

the time the Contract is renewed or extended. Contractor also

agrees that any proposed Assignee of this Contract will be

required to certify that it is not on the Prohibited Entities List

before the contract assignment will be approved by the State.

During the term of the Contract, should the state agency

receive information that a person (as defined in State Finance

Law §165-a) is in violation of the above-referenced

certifications, the state agency will review such information

and offer the person an opportunity to respond. If the person

fails to demonstrate that it has ceased its engagement in the

investment activity which is in violation of the Act within 90

days after the determination of such violation, then the state

agency shall take such action as may be appropriate and

provided for by law, rule, or contract, including, but not

limited to, imposing sanctions, seeking compliance,

recovering damages, or declaring the Contractor in default.

The state agency reserves the right to reject any bid, request

for assignment, renewal or extension for an entity that appears

on the Prohibited Entities List prior to the award, assignment,

renewal or extension of a contract, and to pursue a

responsibility review with respect to any entity that is awarded

a contract and appears on the Prohibited Entities list after

contract award.

http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf

RFP Appendix B – Required Forms

Solicitation

New York State – Office of General ServicesSoliciation 2079- Service Disabled Veteran Enterprise SystemAppendix B- Required Forms

Page 1 of 28

Required Forms – Table of Contents

The following required forms are to be submitted with the proposer’s proposal. The forms include: Contractor Information Page

Corporate Acknowledgement (must be notarized)

Offerer’s Affirmation of Understanding of and Agreement pursuant to New York State Finance Law

Offerer Disclosure of Prior Non-Responsibility Determinations

Offerer’s Certification of Compliance with State Finance Law §139-k(5)

NYS Required Certifications Nondiscrimination In Employment In Northern Ireland Macbride Fair Employment Principles Non-Collusive Bidding Certification Diesel Emission Reduction Act Executive Order No 177 Certification Small Business Certifications

ST-220 -TD Taxation & Finance Contractor Certification (Submitted directly to Taxation & Finance)

ST-220 -CA Taxation and Finance Covered Agency Certification

EEO 100- Equal Employment Opportunity Staffing Plan

MWBE 100- MWBE Utilization Plan

SDVOB Utilization Plan

Contract Consultant Forms A and B

New York State – Office of General Services Soliciation 2079- Service Disabled Veteran Enterprise System Appendix B- Required Forms

Page 2 of 28

Contractor Information

Solicitation Number Offerer affirms that it understands and agrees to comply with the procedures of the Government Entity relative to

permissible contacts as required by New York State Finance Law §139-j (3) and §139-j (6) (b).

Authorized Signature Date

Print Name Title

Company Name

Federal ID Number NYS Vendor ID Number

Address

City State Zip County

Telephone Number Ext Toll Free Telephone Ext

Fax Number Toll Free Fax Number

Email of Designated Contact

Please identify if any of the following apply:

New York State Small Business as defined in Executive Law Section 310(20) and as detailed in the “New York State Required Certifications” included in Appendix B herein.

Yes No

New York State Certified Minority Owned Business Yes No

New York State Certified Woman Owned Business Yes No

New York State Certified Service-Disabled Veteran-Owned Business Yes No

Do you understand and is your firm capable of meeting the insurance requirements to enter into a contract with New York State? Yes No

Will New York State Businesses be used in the performance of this contract? Yes No

If yes, identify New York State Business(es) that will be used; (Attach identifying information).

Does your proposal meet all the requirements of this solicitation? Yes No


Page 3 of 28

INDIVIDUAL, CORPORATION, PARTNERSHIP, 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:

[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 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. State of:


Page 4 of 28

Offerer’s Affirmation of Understanding of and Agreement pursuant to New York State Finance Law §139-j (3) and §139-j (6) (b)

New York State Finance Law §139-j(6)(b) provides that: Every Governmental Entity shall seek written affirmations from all Offerers as to the Offerer’s understanding of and agreement to comply with the Governmental Entity’s procedures relating to permissible contacts during a Governmental Procurement pursuant to subdivision three of this section.

Offerer affirms that it understands and agrees to comply with the procedures of the Government Entity relative to permissible contacts as required by New York State Finance Law §139-j (3) and §139-j (6) (b).


Print Name Title

Company Name

Address

City State Zip


Page 5 of 28


Background:

New York State Finance Law §139-k(2) obligates a Governmental Entity to obtain specific information regarding prior non-responsibility determinations with respect to State Finance Law §139-j. This information must be collected in addition to the information that is separately obtained pursuant to State Finance Law §163(9). In accordance with State Finance Law §139-k, an Offerer must be asked to disclose whether there has been a finding of non-responsibility made within the previous four (4) years by any Governmental Entity due to: (a) a violation of State Finance Law §139-j or (b) the intentional provision of false or incomplete information to a Governmental Entity. The terms “Offerer” and “Governmental Entity” are defined in State Finance Law § 139-k(1). State Finance Law §139-j sets forth detailed requirements about the restrictions on Contacts during the procurement process. A violation of State Finance Law

§139-j includes, but is not limited to, an impermissible Contact during the restricted period (for example, contacting a person or entity other than the designated contact person, when such contact does not fall within one of the exemptions).

As part of its responsibility determination, State Finance Law §139-k(3) mandates consideration of whether an Offerer fails to timely disclose accurate or complete information regarding the above non-responsibility determination. In accordance with law, no Procurement Contract shall be awarded to any Offerer that fails to timely disclose accurate or complete information under this section, unless a finding is made that the award of the Procurement Contract to the Offerer is necessary to protect public property or public health safety, and that the Offerer is the only source capable of supplying the required Article of Procurement within the necessary timeframe. See State Finance Law §§139-j (10)(b) and 139-k(3).

Instructions:

A Governmental Entity must include a disclosure request regarding prior non-responsibility determinations in accordance with State Finance Law §139-k in its solicitation of proposals or bid documents or specifications or contract documents, as applicable, for procurement contracts. The attached form is to be completed and submitted by the individual or entity seeking to enter into a Procurement Contract. It shall be submitted to the Governmental Entity conducting the Governmental Procurement.


Page 6 of 28


Name of Individual or Entity Seeking to Enter into the Procurement Contract

Address

City State Zip

Person Submitting this Form Title Date Contract Procurement Number

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?

No Yes

If yes, please answer questions 2-4 before proceeding to question 5. If no, please go to question 5. 2. Was the basis for the finding of non-responsibility due to a violation of

State Finance Law §139-j 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? 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?

No Yes

6. If yes, please provide details below.

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


Page 7 of 28

Offerer’s Certification of Compliance with State Finance Law §139-k(5)

New York State Finance Law §139-k(5) requires that every Procurement Contract award subject to the provisions of State Finance Law §§139-k or 139-j shall contain a certification by the Offerer that all information provided to the Office of General Services with respect to State Finance Law §139-k is complete, true and accurate.

Offerer Certification: I certify that all information provided to the Office of General Services with respect to State Finance Law §139-k is complete, true and accurate.


Print Name Title

Company Name

Address

City State Zip

Procurement Lobbying Termination The Office of General Services reserves the right to terminate this contract in the event it is found that the certification filed by the Offerer in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, the Office of General Services may exercise its termination right by providing written notification to the Offerer in accordance with the written notification terms of this contract.


Page 8 of 28

NYS REQUIRED CERTIFICATIONS

Nondiscrimination In Employment In Northern Ireland Macbride Fair Employment Principles

In accordance with Section 165 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 interest in the bidder, either (answer yes or no to one or both of the following, as applicable):

1. have business operations in Northern Ireland No Yes , and if yes:

2. shall take lawful steps in good faith to conduct any business operations 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 compliance with such principles. No Yes

Non-Collusive Bidding Certification

In accordance with Section 139-d of the State Finance Law, by submitting its bid each bidder and each person signing on behalf of any other bidder certifies, and in the case of a joint bid, each party thereto certifies as to its own organization, under penalty of perjury, that to the best of his or her knowledge and belief:

1. The prices in this bid have been arrived at independently without collusion, consultation, communication, or agreement, for the purpose 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.

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.

In the event that the Bidder is unable to certify as stated above, the Bidder shall provide a signed statement which sets forth in detail the reasons why the Bidder is unable to furnish the certificate as required in accordance with State Finance Law § 139-d(1)(b).

Diesel Emission Reduction Act

Pursuant to N.Y. Environmental Conservation Law § 19-0323 (the “Law”) it is a requirement that heavy duty diesel vehicles in excess of 8,500 pounds use the best available retrofit technology (“BART”) and ultra-low sulfur diesel fuel (“ULSD”). The requirement of the Law applies to all vehicles owned, operated by or on behalf of, or leased by State agencies and State or regional public authorities. It also requires that such vehicles owned, operated by or on behalf of, or leased by State agencies and State or regional public authorities with more than half of its governing body appointed by the Governor utilize BART.

The Law may be applicable to vehicles used by contract vendors “on behalf of” State agencies and public authorities and require certain reports from contract vendors. All heavy duty diesel vehicles must have BART by the deadline provided in the Law. The Law also provides a list of exempted vehicles. Regulations set forth in 6 NYCRR Parts 248 and 249 provide further guidance. The Bidder hereby certifies and warrants


Page 9 of 28

that all heavy duty vehicles, as defined in the Law, to be used under this contract, will comply with the specifications and provisions of the Law, and 6 NYCRR Parts 248 and 249.

Executive Order No. 177 Certification

The New York State Human Rights Law, Article 15 of the Executive Law, prohibits discrimination and harassment based on age, race, creed, color, national origin, sex, pregnancy or pregnancy-related conditions, sexual orientation, gender identity, disability, marital status, familial status, domestic violence victim status, prior arrest or conviction record, military status or predisposing genetic characteristics.

The Human Rights Law may also require reasonable accommodation for persons with disabilities and pregnancy-related conditions. A reasonable accommodation is an adjustment to a job or work environment that enables a person with a disability to perform the essential functions of a job in a reasonable manner. The Human Rights Law may also require reasonable accommodation in employment on the basis of Sabbath observance or religious practices.

Generally, the Human Rights Law applies to:

all employers of four or more people, employment agencies, labor organizations and apprenticeship training programs in all instances of discrimination or harassment;

employers with fewer than four employees in all cases involving sexual harassment; and,

any employer of domestic workers in cases involving sexual harassment or harassment based on gender, race, religion or national origin.

In accordance with Executive Order No. 177, the Bidder hereby certifies that it does not have institutional policies or practices that fail to address the harassment and discrimination of individuals on the basis of their age, race, creed, color, national origin, sex, sexual orientation, gender identity, disability, marital status, military status, or other protected status under the Human Rights Law.

Executive Order No. 177 and this certification do not affect institutional policies or practices that are protected by existing law, including but not limited to the First Amendment of the United States Constitution, Article 1, Section 3 of the New York State Constitution, and Section 296(11) of the New York State Human Rights Law.

Small Business Certifications

State Finance Law § 163(1)(j) (Authorizes Award of Quantitative Factor Credit for Small Business Status in Evaluation for Best Value Contracts) For purposes of New York State Finance Law § 163(1)(j), the contractor certifies that it:

__ IS NOT a Small Business as defined in New York State Executive Law § 310(20). __ IS a Small Business as defined in New York State Executive Law § 310(20).

“Small Business" is defined under New York State Executive Law § 310(20) as a business that:

A. has a significant business presence in New York demonstrated through one of the following: 1. pays taxes in New York State, or 2. purchases New York State products or materials, or 3. has any payroll in New York State

B. is independently owned and operated; C. is not dominant in its field; and,


Page 10 of 28

D. employs less than 300 persons. State Finance Law § 163(6) (Authorizes Discretionary Purchases of Commodities or Services from Small Business Concerns) For purposes of New York State Finance Law § 163(6), the contractor certifies that it:

__ IS NOT a Small Business Concern or Small Business as defined in New York State Finance Law § 160(8). __ IS a Small Business Concern or Small Business as defined in New York State Finance Law § 160(8).

“Small Business Concern” or “Small Business" is defined under New York State Finance Law § 160(8) as a business that:

A. is resident in New York State; B. is independently owned and operated; C. is not dominant in its field; and D. employs 100 or less persons.

By signing you certify your express authority to sign on behalf of yourself, your company, or other entity and full knowledge and acceptance of this Certifications document and that all information provided is complete, true and accurate.


Print Name Title

Company Name

D/B/A – Doing Business As (if applicable)

Address

City State Zip

NYS Department of Taxation and Finance - FORMS

CONTRACTOR CERTIFICATION (ST-220-TD 12/11) CONTRACTOR CERTIFICATION TO COVERED AGENCY

(ST-220-CA 12/11)

New York State – Office of General Services RFP 1986 – Sculpture Conservation and Restoration Appendix B- Required Forms

Page 11 of 27

Need help?

Telephone assistance

Sales Tax Information Center: (518) 485-2889

To order forms and publications: (518) 457-5431

Text Telephone (TTY) Hotline (for persons with hearing and speech disabilities using a TTY): (518) 485-5082

accessible to persons with disabilities. If you have questions about special accommodations for persons with disabilities, call the information center.

Persons with disabilities: In compliance with the Americans with Disabilities Act, we will ensure that our lobbies, offices, meeting rooms, and other facilities are

Visit our Web site at www.tax.ny.gov• get information and manage your taxes online• check for new online services and features

Department of Taxation and Finance

Contractor Certification(Pursuant to Tax Law Section 5-a, as amended, effective April 26, 2006)

ST-220-TD(4/15)

Contractor name

Contractor’s principal place of business City State ZIP code

Contractor’s mailing address (if different than above) City State ZIP code

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 or state agency Contract number or description Covered agency telephone number( )

Covered agency address City State ZIP code

Is the estimated contract value over the full term of the contract (but not including renewals) more than $100,000? Yes No Unknown at this time

For information, consult Publication 223, Questions and Answers Concerning Tax Law Section 5-a (see Need help? below).

General informationTax Law section 5-a, as amended, effective April 26, 2006, requires certain contractors awarded certain state contracts valued at more than $100,000 to certify to the Tax Department that they are registered to collect New York State and local sales and compensating use taxes, if they 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, measured over a specified period. In addition, contractors must certify to the Tax Department that each affiliate and subcontractor exceeding such sales threshold during a specified period is registered to collect New York State and local sales and compensating use taxes. Contractors must also file Form ST-220-CA, Contractor Certification to Covered Agency, certifying to the procuring state entity that they filed Form ST-220-TD with the Tax Department and that the information contained on Form ST-220-TD is correct and complete as of the date they file Form ST-220-CA.

All sections must be completed including all fields on the top of this page, all sections on page 2, Schedule A on page 3, if applicable, and Individual, Corporation, Partnership, or LLC Acknowledgement on page 4. If you do not complete these areas, the form will be returned to you for completion.

For more detailed information regarding this form and Tax Law section 5-a, see Publication 223, Questions and Answers Concerning Tax Law Section 5-a, (as amended, effective April 26, 2006). See Need help? for more information on how to obtain this publication.

Note: Form ST-220-TD must be signed by a person authorized to make the certification on behalf of the contractor, and the acknowledgement on page 4 of this form must be completed before a notary public.

Mail completed form to:NYS TAX DEPARTMENTDATA ENTRY SECTIONW A HARRIMAN CAMPUSALBANY NY 12227-0826

Privacy notificationNew York State Law requires all government agencies that maintain a system of records to provide notification of the legal authority for any request, the principal purpose(s) for which the information is to be collected, and where it will be maintained. To view this information, visit our Web site, or, if you do not have Internet access, call and request Publication 54, Privacy Notification. See Need help? for the Web address and telephone number.


Page 12 of 27

of 4 ST-220-TD (4/15)

Complete Sections 1, 2, and 3 below. Make only one entry in each section.

Section 1 – Contractor registration status

G 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 Tax Law sections 1134 and 1253, and is listed on Schedule A of this certification.

G 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

G The contractor does not have any affiliates.

G 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 Tax Law sections 1134 and 1253. The contractor has listed each affiliate exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this certification.

G 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

G The contractor does not have any subcontractors.

G 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 Tax Law sections 1134 and 1253. The contractor has listed each subcontractor exceeding the $300,000 cumulative sales threshold during such quarters on Schedule A of this certification.

G 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)

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.

ST-220-TD (4/15) Page 3 of 4

ARelationship

tocontractor

BName

CAddress

DFederal ID number

ESales tax ID number

FRegistration 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 the entity is a corporation or limited liability company, enter the exact legal name as registered with the NY Department of State, if applicable. If the entity 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 the entity has a different DBA (doing business as) name, enter that name as well.

Column C – Address - Enter the street address of the entity’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 entity. If the entity 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 entity has submitted Form DTF-17 to the Tax Department but has not received its certificate of authority as of the date of this certification.

Schedule A – Listing of each entity (contractor, affiliate, or subcontractor) exceeding $300,000 cumulative sales thresholdList the contractor, or affiliate, or subcontractor in Schedule A only if such entity exceeded the $300,000 cumulative sales threshold during the specified sales tax quarters. See directions below. For more information, see Publication 223.

of 4 ST-220-TD (4/15)

Individual, Corporation, Partnership, 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.)

G (If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf.

G (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.

G (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.

G (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.

New York State Department of Taxation and Finance

Contractor Certification to Covered Agency (Pursuant to Section 5-a of the Tax Law, as amended, effective April 26, 2006)

ST-220-CA(12/11)

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

Covered agency address

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)

G 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.

G 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)

For covered agency use only

Contract number or description

Estimated contract value over the full term of contract (but not including renewals)

$

Covered agency telephone number

For information, consult Publication 223, Questions and Answers Concerning Tax Law Section 5-a (see Need Help? on back).

Instructions

General informationTax Law section 5-a was amended, effective April 26, 2006. On or after that date, in all cases where a contract is subject to Tax Law 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. 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.

Note: Form ST-220-CA must be signed by a person authorized to make the certification on behalf of the contractor, and the acknowledgement on page 2 of this form must be completed before a notary public.

When to complete this formAs 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).

Need help?

Telephone assistance

Sales Tax Information Center: (518) 485-2889

To order forms and publications: (518) 457-5431

Text Telephone (TTY) Hotline (for persons with hearing and speech disabilities using a TTY): (518) 485-5082

accessible to persons with disabilities. If you have questions about special accommodations for persons with disabilities, call the information center.

Persons with disabilities: In compliance with the Americans with Disabilities Act, we will ensure that our lobbies, offices, meeting rooms, and other facilities are

Visit our Web site at www.tax.ny.gov• get information and manage your taxes online• check for new online services and features

Individual, Corporation, Partnership, 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.]

G (If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf.

G (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.

G (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.

G (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.

Page 2 of 2 ST-220-CA (12/11)

Privacy notificationThe Commissioner of Taxation and Finance may collect and maintain personal information pursuant to the New York State Tax Law, including but not limited 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 pursuant to 42 USC 405(c)(2)(C)(i).

This information will be used to determine and administer tax liabilities and, when authorized by law, for certain tax offset and exchange of tax information programs as well as for any other lawful purpose.

Information concerning quarterly wages paid to employees is provided to certain state agencies for purposes of fraud prevention, support enforcement, evaluation of the effectiveness of certain employment and training programs and other purposes authorized by law.

Failure to provide the required information may subject you to civil or criminal penalties, or both, under the Tax Law.

This information is maintained by the Manager of Document Management, NYS Tax Department, W A Harriman Campus, Albany NY 12227; telephone (518) 457-5181.

EQUAL EMPLOYMENT OPPORTUNITY STAFFING

PLAN General instructions: Contact the Designated Contact(s) for the solicitation if you have any questions. All Offerors must complete an EEO Staffing Plan (EEO 100) and submit it as part of the bid or proposal package. Where the work force to be utilized in the performance of the State contract can be separated out from the contractor’s total work force, the Offeror shall complete this form only for the anticipated work force to be utilized on the State contract. Where the work force to be utilized in the performance of the State contract cannot be separated out from the contractor’s total work force, the Offeror shall complete this form for the contractor’s total work force. Subcontractors awarded a subcontract over $25,000 for the construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "Work") except where the Work is for the beneficial use of the Contractor must complete this form upon request of OGS. Instructions for completing:

1. Enter the Solicitation Number that this report applies to along with the name and address of the Offeror. 2. Check off the appropriate box to indicate if the Offeror completing the report is the contractor or a subcontractor. 3. Check off the appropriate box to indicate if the work force being reported is just for the contract or the Offerors’ total work force. 4. Enter the total work force by EEO job category. 5. Break down the total work force by gender and enter under the heading “Work force by Gender.” 6. Break down the total work force by race/ethnic background and enter under the heading “Work force by Race/Ethnic Identification.” Enter the name,

title, phone number and email address for the person completing the form. Sign and date the form in the designated boxes. RACE/ETHNIC IDENTIFICATION Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the purposes of this report, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as belonging. However, no person should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are: WHITE - (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East. BLACK - A person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa. HISPANIC - A person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race. ASIAN & PACIFIC - A person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent or the Pacific Islands. ISLANDER AMERICAN INDIAN - A person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal OR ALASKAN affiliation or community recognition. NATIVE (Not of Hispanic Origin)

EEO100_Instructions Rev02

EQUAL EMPLOYMENT OPPORTUNITY STAFFING PLAN

SUBMIT WITH BID OR PROPOSAL or within a reasonable time thereafter as requested by OGS, but prior to Contract Award. Solicitation No.: Reporting Entity:

Contractor Subcontractor

Report includes Contractor’s Contractor’s work force to be utilized on this contract

Contractor’s total work force

Subcontractor’s work force to be utilized on this contract

Subcontractor’s total work force

Contractor/Subcontractor’s Name:

Contractor/Subcontractor’s Address:

FEIN:

Enter the total number of employees for each classification: EEO Job Category

Total Work Force

Work force by Gender

Work force by Race/Ethnic Identification

Total Male (M)

Total Female

(F)

White

(M) (F)

Black

(M) (F)

Hispanic

(M) (F)

Asian

(M) (F)

American Indian or

Alaskan Native (M) (F)

Veteran

(M) (F)

(M) (F)

Executive/Senior level Officials & Managers

First/Mid-level officials & Managers

Professionals

Technicians

Sales Workers

Administrative Support Workers

Craft Workers

Operatives

Laborers and Helpers

Service Workers

Totals

PREPARED BY (Signature):

TELEPHONE NO.:

EMAIL ADDRESS:

DATE:

NAME AND TITLE OF PREPARER (Print or Type):

EEO 100 Rev05

Commodities and Services

Submit Completed Plan with your bid To:

NYS Office of General Services Financial Administration – Agency Procurement Office Corning Tower, 32nd Floor, ESP Albany, New York 12242

Instructions for Submitting the MWBE Utilization Plan for Commodities and Services

(Form MWBE 100)

Where required in the Solicitation and/or Contract, submit the completed Plan with your bid package on the stated date and time to:

NYS Office of General Services Financial Administration – Agency Procurement Office Corning Tower, 32nd Floor, ESP Albany, New York 12242 Phone: 518-474-5981

Failure to submit the Plan or obtain a waiver could result in non-award of the Contract. • The Plan must contain a detailed description of the supplies and/or services to be provided by

each MWBE subcontractor/supplier. • Complete all items on the form with the exception of the sections marked “For OGS MWBE

Use Only.” • List New York State certified MBE/WBE firms only. Only MBE/WBE firms certified by Empire State

Development’s Division of Minority and Women’s Business Development can be used to meet MWBE Goals. Non-certified firms, or firms that are pending certification, cannot be used toward goal attainment until they are NYS certified.

• All listed subcontractors/suppliers will be contacted and verified by OGS. • Bidders/Contractors may attach additional sheets if necessary.

2. To identify New York State certified MWBEs, access Empire State Development’s MWBE directory at:

https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp For additional information regarding this directory, please call The Empire State Development Corporation at (212) 803-2414 (Downstate) or (518) 292-5250 (Upstate). Additionally, you may contact the OGS MWBE office designated contacts at (518) 486-9284 which will, upon request, provide you with a listing of certified MBE/WBE firms.

3. Pursuant to 5 NYCRR § 142.8, Contractors must document their good faith efforts toward utilizing MWBEs on the Contract. Actions that do not constitute good faith efforts by Contractors to solicit NYS Certified MWBEs to participate in the Contract include, but are not limited to, the following: (1) Self-performance of tasks on a project. (2) Not engaging an MWBE because it did not submit the lowest quote for work or materials.

4.

OGS will review the submitted Plan and advise Bidder/Contractor of OGS’s acceptance or deficiency within twenty (20) days of its receipt. Bidder/Contractor shall respond to the notice of deficiency within seven (7) business days of receipt by submitting to OGS a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by OGS to be inadequate, OGS shall notify Bidder/Contractor and direct Bidder/Contractor to submit, within five (5) business days, a request for a partial or total waiver of MWBE participation goals on Form BDC 333. Failure to file the waiver form in a timely manner may be grounds for disqualification of the bid or proposal. The approved Plan will be posted on the OGS website within ten (10) days of Contract Award. Any changes to the Plan must be approved by OGS.


Commodities and Services Submit Completed Plan with your bid To:

NYS Office of General Services Financial Administration – Agency Procurement Office Corning Tower, 32nd Floor, ESP Albany, New York 12242

MWBE UTILIZATION PLAN Initial Plan Revised plan Contract/Solicitation #

INSTRUCTIONS: This Utilization Plan must contain a detailed description of the supplies and/or services to be provided by each NYS Certified Minority and Women-owned Business Enterprises (MWBE) under the contract. By submission of this Plan, the Bidder/Contractor commits to good faith efforts in the utilization of MWBE subcontractors and suppliers as required by the MBE/WBE goals contained in the Solicitation/Contract. Making false representations or including information evidencing a lack of good faith as part of, or in conjunction with, the submission of a Utilization Plan is prohibited by law and may result in penalties including, but not limited to, termination of a contract for cause, loss of eligibility to submit future bids, and/or withholding of payments. Firms that do not perform commercially useful functions may not be counted toward MWBE utilization. Attach additional sheets if necessary.

BIDDER/CONTRACTOR INFORMATION MWBE Goals In Contract Bidder/Contractor Name:

NYS Vendor ID: MBE %

Bidder/Contractor Address (Street, City, State and Zip Code): WBE %

Bidder/Contractor Telephone Number: Contract Work Location/Region:

Contract Description/Title:

CONTRACTOR INFORMATION Prepared by (Signature):

Name and Title of Preparer:

Telephone Number:

Date:

Email Address: IF UNABLE TO MEET THE MBE AND WBE GOALS SET FORTH IN THE SOLICITATION/CONTRACT BIDDER/CONTRACTOR MUST SUBMIT A REQUEST FOR WAIVER (FORM BDC 333) MWBE Subcontractor/Supplier Name: MWBE Certification: MBE WBE (If firm is dual certified please select one only) Please identify the person you contacted:

Federal Identification No.:

Telephone No.:

Address:

Email Address:

Detailed Description of work to be provided by subcontractor/supplier:

Dollar Value of subcontracts/supplies/services (When $ value cannot be determined put estimated % of work under the contract or value TBD based on contractual spending): $ or % MWBE Subcontractor/Supplier Name: MWBE Certification: MBE WBE (If firm is dual certified please select one only) Please identify the person you contacted:


Telephone No.:

Address:

Email Address:

Detailed Description of work to be provided by subcontractor/supplier:

Dollar Value of subcontracts/supplies/services (When $ value cannot be determined put estimated % of work under the contract or value TBD based on contractual spending): $ or %

FOR OGS MWBE USE ONLY OGS MWBE Authorized Signature: Accepted Accepted as Noted Notice of Deficiency NAME (Please Print): MBE %/$ WBE %/$ Date Received:

Date Processed:

Comments: NYS CERTIFIED MWBE SUBCONTRACTOR/SUPPLIER INFORMATION: The directory of New York State Certified MWBEs can be viewed at: https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp?TN=ny&XID=2528 Note: All listed Subcontractors/Suppliers will be contacted and verified by OGS.

MWBE 100 (Revised 02/2016)

https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp?TN=ny&XID=2528

ADDITIONAL SHEET Bidder/Contractor Name: Contract/Solicitation #

MWBE Subcontractor/Supplier Name: MWBE Certification: MBE WBE (If firm is dual certified please select one only) Please identify the person you contacted:


Telephone No.:

Address:

Email Address:

Detailed Description of work to be provided by subcontractor/supplier: Dollar Value of subcontracts/supplies/services (When $ value cannot be determined put estimated % of work under the contract or value TBD based on contractual spending): $ or % MWBE Subcontractor/Supplier Name: MWBE Certification: MBE WBE (If firm is dual certified please select one only) Please identify the person you contacted:


Telephone No.:

Address:

Email Address:



Telephone No.:

Address:

Email Address:



Telephone No.:

Address:

Email Address:



Telephone No.:

Address:

Email Address:

Detailed Description of work to be provided by subcontractor/supplier: Dollar Value of subcontracts/supplies/services (When $ value cannot be determined put estimated % of work under the contract or value TBD based on contractual spending): $ or %

MWBE 100 (Revised 02/2016)

Employee Information To Be Reported By Certain Consultant Contractors

Instructions for Completing Form A and B

Form A and Form B should be completed for contracts for consulting services in accordance with the following

Form A - Contractor’s Planned Employment (to be completed and submitted with bid/quote)

• Employment Category: enter the specific occupation(s), as listed in the O*NET occupational classification system, which best describe the planned employees to provide services under the contract.

(Note: Access the O*NET database, which is available through the US Department of Labor’s Employment and Training Administration, on-line at online.onetcenter.org to find a list of occupations.)

• Number of Employees: enter the total number of employees in the employment category to be employed to provide services under the contract including part time employees and employees of subcontractors.

• Number of hours: enter the total number of hours to be worked by the employees in the employment category.

• Amount Payable under the Contract: enter the total amount payable by the State to the State contractor under the contract, for work by the employees in the employment category.

Form B – Contractor’s Annual Employment Report. (to be completed by May 1st of each year for each consultant contract in effect at any time between the preceding April 1st through March 31st fiscal year and submitted to the Department of Civil Service, Office of the State Comptroller and Office of General Services)

• Scope of Contract: choose a general classification of the single category that best fits the predominate nature of the services provided under the contract.

• Employment Category: enter the specific occupation(s), as listed in the O*NET occupational classification system, which best describe the employees providing services under the contract.

(Note: Access the O*NET database, which is available through the US Department of Labor’s Employment and Training Administration, on-line at online.onetcenter.org to find a list of occupations.)

• Number of Employees: enter the total number of employees in the employment category employed to provide services under the contract during the report period, including part time employees and employees of subcontractors.

• Number of hours: enter the total number of hours worked during the report period by the employees in the employment category.

• Amount Payable under the Contract: enter the total amount paid by the State to the State contractor under the contract, for work by the employees in the employment category, for services provided during the report period.


Page 12 of 28

http://online.onetcenter.org/

http://online.onetcenter.org/

OSC Use Only:

Reporting Code:

Category Code:

Date Contract Approved:

FORM A

State Consultant Services - Contractor's Planned Employment From Contract Start Date Through The End Of The Contract Term

State Agency Name: Agency Code: Contractor Name: Contract Number: Contract Start Date: / / Contract End Date: / /

O*Net Employment Category (see O*Net on-line at online.onetcenter.org)

Number of Employees

Number of hours to be worked

Amount Payable Under the Contract

Total this page 0 0 $ 0.00 Grand Total Name of person who prepared this report: Title: Phone #: Preparer's Signature: Date Prepared: / / (Use additional pages, if necessary) Page of

FORM B OSC Use Only: Reporting Code: Category Code:

State Consultant Services Contractor’s Annual Employment Report

Report Period: April 1, to March 31,

Contracting State Agency Name: Agency Code: Contract Number: Contract Term: / / to / / Contractor Name: Contractor Address: Description of Services Being Provided: Scope of Contract (Choose one that best fits): Analysis Evaluation Research Training Data Processing Computer Programming Other IT consulting Engineering Architect Services Surveying Environmental Services Health Services Mental Health Services Accounting Auditing Paralegal Legal Other Consulting

O*Net Employment Category (see O*Net on-line at online.onetcenter.org) Number of Employees Number of Hours Worked Amount Payable Under

the Contract

Total this page 0 0 $ 0.00 Grand Total

Name of person who prepared this report: Preparer's Signature:___________________________________________________ Title: Phone #: Date Prepared: / / Use additional pages if necessary) Page of

543

New York State – Office of General Services Page 1 of 12 RFP 2079 Service Disabled Veteran Enterprise System Appendix C- Sample Contract

RFP Appendix C

Sample Contract

Solicitation No. 2079


STATE OF NEW YORK

OFFICE OF GENERAL SERVICES

AGREEMENT FOR SERVICE DISABLED VETERAN ENTERPRISE SYSTEM

WITH

(CONTRACTOR) _________CONTRACT #OGS1-C00XXXX-1140000_________

THIS AGREEMENT, made this ____ day of ___________, 2018 by and between the People of the State of New York, acting by and through the Commissioner of General Services, whose office is on the 41st Floor, Corning Tower Building, the Governor Nelson A. Rockefeller Empire State Plaza, Albany, New York 12242 (hereinafter “Commissioner”, "OGS" or "State"), and

(Company Name), (hereinafter "Contractor"), with an office at __________________________.

W I T N E S S E T H: WHEREAS, the OGS is responsible for ensuring Service Disable Veteran-Owned Business are included on state contracts and transactions to meet the minimum six percent goal for participation, and in fulfilling its responsibility deems it necessary to obtain a Service Disabled Veteran Enterprise System (SDVES) therefore, and WHEREAS, OGS has determined after having solicited proposals from proposers willing to supply these services, that the Contractor submitted the proposal affording the State the best value for such services and that the Contractor possesses the necessary capacity, experience and expertise for provision of an enterprise system that will provide certification and reporting of Service Disabled Veteran Owned Business (SDVOB) contract utilization and agency goals, and that Contractor is ready, willing and able to perform such services on the terms hereinafter set forth. NOW THEREFORE, in consideration of the mutual covenants herein contained, the parties do hereby agree as follows: 1. CONSIDERATION

OGS shall pay the Contractor for all software implementation and maintenance fees and other expenses in accordance with the amounts and rates put forth in the Contractor’s proposal

attached hereto as Appendix "C", which Appendix C is hereby incorporated by reference and made a part hereof as fully as if set forth as length herein. This contract will be established with a not to exceed value of $__________. Services performed beyond this amount will not be compensated.


2. TERM This Agreement shall commence upon OSC approval and will be in effect for five (5) years unless sooner terminated as herein specified.

3. SERVICES The Contractor agrees to perform this Agreement and to furnish the services, labor and materials required in connection therewith in accordance with all the specifications, conditions, covenants and representations contained in RFP 2079, which is annexed as Appendix "B" hereto, and the Contractor’s bid, annexed as Appendix “C” hereto, except as such Appendices B and C have been revised by the terms hereof. Appendix B is hereby incorporated by reference and made a part hereof with the same force and effect as if set forth at length herein.

4. TERMINATION This Agreement may be terminated in accordance with the termination provisions set forth in the solicitation attached hereto as Appendix B hereof.

A) Termination

The Office of General Services may, upon thirty (30) days notice, terminate the contract resulting from this solicitation in the event of the awarded Bidder’s failure to comply with any

of the bid’s requirements unless the awarded Bidder obtained a waiver of the requirement.

In addition, OGS may also terminate any contract resulting from this solicitation upon ten (10) days written notice if the Contractor makes any arrangement for assignment for the benefit of the creditors.

Furthermore, OGS shall have the right, in its sole discretion, at any time to terminate a contract resulting from this solicitation, or any unit portion thereof, with or without cause, by giving thirty (30) days written notice of termination to the Contractor.

Any termination by OGS under this Section shall in no event constitute or be deemed a breach of any contract resulting from this solicitation and no liability shall be incurred by or arise against the Office of General Services, its agents and employees therefore for lost profits or any other damages.

B.) Procurement Lobbying Termination

The Office of General Services reserves the right to terminate this Agreement in the event it is found that the certification filed by the Contractor in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, the Office of General Services may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of this Agreement.


5. RECORDS The Contractor will maintain accurate records and accounts of services performed and monies expended under this Agreement. Such records will be maintained for six (6) years following the close of the State fiscal year to which they pertain and will be made available to representatives of OGS or the New York State Comptroller, as may be necessary for auditing purposes, upon request.

6. TAXES The Contractor will be responsible for all applicable Federal, State and Local taxes and all FICA contributions.

7. INDEPENDENT CONTRACTOR It is understood and agreed that the legal status of the Contractor, its subcontractors, agents, officers and employees is that of an independent contractor and in no manner shall they be deemed employees or agents of the State of New York and, therefore, are not entitled to any of the benefits associated with such employment or designation.

8. APPENDIX A Appendix A, Standard Clauses for New York State Contracts, attached hereto, is hereby expressly made a part of this Agreement as fully as if set forth at length herein.

9. ASSIGNMENT Contractor agrees that it will not assign this Agreement, or any interest therein without the prior written consent of the Commissioner of General Services.

10. LAW This Agreement shall be governed by the laws of the State of New York.

11. CONDITIONS PRECEDENT This Agreement shall not be deemed executed, valid or binding unless and until approved in writing by the Attorney General and the State Comptroller.

12. ENTIRE AGREEMENT This Agreement constitutes the entire Agreement between the parties hereto and no statement, promise, condition, understanding, inducement or representation, oral or written, expressed or implied, which is not contained herein shall be binding or valid and this Agreement shall not be changed, modified or altered in any manner except by an instrument in writing executed by both parties hereto.

13. EXECUTORY CLAUSE This Agreement shall be deemed executory only to the extent of money available to the State for performance of the terms hereof and no liability on account thereof shall be incurred by the State of New York beyond moneys available for purposes thereof.


14. INCONSISTENCIES In the event of any discrepancy, disagreement or ambiguity between this contract agreement and Appendix B "Solicitation" and/or Appendix C "Bid", or between any Appendices, the documents shall be given preference in the following order to interpret and to resolve such discrepancy, disagreement or ambiguity:

i. Appendix A ii. This contract agreement iii. Appendix B – Solicitation #2079 including Addenda iv. Appendix C – Contractor’s Bid

The parties understand and agree that any and all deviations or exceptions taken by Contractor to the State's Invitation to Bid are hereby withdrawn except only to the extent that such exceptions or deviations have been explicitly incorporated into this contract agreement.

15. FORCE MAJEURE Neither party hereto will be liable for losses, defaults, or damages under this Agreement which result from delays in performing, or inability to perform, all or any of the obligations or responsibilities imposed upon it pursuant to the terms and conditions of this Agreement, due to or because of acts of God, the public enemy, acts of government, earthquakes, floods, strikes, civil strife, fire or any other cause beyond the reasonable control of the party that was so delayed in performing or so unable to perform provided that such party was not negligent and shall have used reasonable efforts to avoid and overcome such cause. Such party will resume full performance of such obligations and responsibilities promptly upon removal of any such cause.

16. ASSIGNMENT BY STATE The State agrees not to assign this Agreement without prior notice to and reasonable consent of the Contractor provided, however, that this Agreement may be assigned without such consent to another agency or subdivision of the State pursuant to a governmental reorganization or assignment of functions under which the pertinent functions of OGS as an agency are transferred to a successor agency or subdivision of the State.

17. NOTICES All notices, demands, designations, certificates, requests, offers, consents, approvals and other instruments given pursuant to this Agreement shall be in writing and shall be validly given when mailed by registered or certified mail, overnight carrier or hand delivered, (i) if to the State, addressed to the State at its address set forth above, and (ii) if to Contractor, addressed to Contractor at its address set forth above. The parties may from time to time, specify any address in the United States as its address for purpose of notices under this Agreement by giving fifteen (15) days written notice to the other party. The parties agree to mutually designate individuals as their respective representatives for the purposes of this Agreement.

18. CAPTIONS


The captions contained in this Agreement are intended for convenience and reference purposes only and shall in no way be deemed to define or limit any provision thereof.

19. SEVERABILITY In the event that any one or more of the provisions of this Agreement shall for any reason be declared unenforceable under the laws or regulations in force, such provision will not have any effect on the validity of the remainder of this Agreement, which shall then be construed as if such unenforceable provision had never been written or was never contained in this Agreement.

20. INFORMATION SECURITY BREACH In accordance with the Information and Security Breach Notification Act (ISBNA) (Chapter 442 of the Laws of 2005, as amended by Chapter 491 of the Laws of 2005), a Contractor with OGS shall be responsible for all applicable provisions of the ISBNA and the following terms herein with respect to any private information (as defined in the ISBNA) received by or on behalf of OGS under this Agreement.

Contractor shall supply OGS with a copy of its notification policy, which shall be modified to be in compliance with this provision, as well as OGS’s notification policy.

Contractor must encrypt any database fields and backup tapes that contain private data elements, as set forth in the ISBNA.

Contractor must ensure that private data elements are encrypted in transit to / from their systems.

In general, contractor must ensure that private data elements are not displayed to users on computer screens or in printed reports; however, specific users who are authorized to view the private data elements and who have been properly authenticated may view/receive such data.

Contractor must monitor for breaches of security to any of its systems that store or process private data owned by OGS.

Contractor shall take all steps as set forth in ISBNA to ensure private information shall not be released without authorization from OGS.

In the event a security breach occurs as defined by ISBNA Contractor shall immediately notify OGS and commence an investigation in cooperation with OGS to determine the scope of the breach.

Contractor shall also take immediate and necessary steps needed to restore the information security system to prevent further breaches.

Contractor shall immediately notify OGS following the discovery that OGS’s system

security has been breached.

Unless the Contractor is otherwise instructed, Contractor is to first seek consultation and receive authorization from OGS prior to notifying the individuals whose personal identity information was compromised by the breach of security, the State Division of Homeland Security and Emergency Services Enterprise Information Security Office, the


Department of State Division of Consumer Protection, the Attorney General’s Office or

any consuming reporting agencies of a breach of the information security system or concerning any determination to delay notification for law enforcement investigations.

Contractor shall be responsible for providing all notices required by the ISBNA and for all costs associated with providing said notices.

This policy and procedure shall not impair the ability of the Attorney General to bring an action against the Contractor to enforce all provisions of the ISBNA or limit the Contractor’s liability for any violations of the ISBNA.

21. CONTRACTOR RESPONSIBILITY The Contractor shall at all times during the Contract term remain responsible. The Contractor agrees, if requested by the Commissioner of OGS or her designee, to present evidence of its continuing legal authority to do business in New York State, integrity, experience, ability, prior performance, and organizational and financial capacity.

The Commissioner of OGS or her designee, in his or her sole discretion, reserves the right to suspend any or all activities under this Contract, at any time, when he or she discovers information that calls into question the responsibility of the Contractor. In the event of such suspension, the Contractor will be given written notice outlining the particulars of such suspension. Upon issuance of such notice, the Contractor must comply with the terms of the suspension order. Contract activity may resume at such time as the Commissioner of OGS or her designee issues a written notice authorizing a resumption of performance under the Contract.

Upon written notice to the Contractor, and a reasonable opportunity to be heard with appropriate OGS officials or staff, the Contract may be terminated by the Commissioner of OGS or her designee at the Contractor’s expense where the Contractor is determined by the Commissioner

of OGS or her designee to be non-responsible. In such event, the Commissioner of OGS or her designee may complete the contractual requirements in any manner he or she may deem advisable and pursue available legal or equitable remedies for breach.

In no case shall such termination of the Contract by the State be deemed a breach thereof, nor shall the State be liable for any damages for lost profits or otherwise, which may be sustained by the Contractor as a result of such termination.


CONTRACT NO. C00XXXX IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day and year first above written.

Agency Certification "In addition to the 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."

(Company Name) THE PEOPLE OF THE STATE OF NEW YORK By:____________________________ By:____________________________

Name: Name: Title: Title: Federal I.D. No.: Date: Date:

APPROVED AS TO FORM APPROVED Eric Schneiderman Thomas P. DiNapoli Attorney General State Comptroller

New York State – Office of General Services Page 9 of 12 RFP 2079 Service Disabled Veteran Enterprise SystemAppendix C- Sample Contract

INDIVIDUAL, CORPORATION, PARTNERSHIP, 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:

[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 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. State of:


Sample Contract Appendix A

STANDARD CLAUSES FOR NEW YORK STATE

CONTRACTS

[Text not included at this time because it is included

elsewhere in the solicitation. Will be added when contract

is finalized]


Sample Contract Appendix B

Request for Proposal


Sample Contract Appendix C

Contractor’s Bid

RFP Appendix D – Insurance Requirements

New York State – Office of General Services RFP 2079 - Service Disabled Veteran Enterprise System Appendix D- Insurance Requirements

Insurance Requirements The Bidder shall be required to procure, at its sole cost and expense, all insurance required by this Attachment. The Bidder shall be required to provide proof of compliance with the requirements of this Attachment, as follows:

Proof of all insurance required by Section B below shall be provided in accordance with the provisions hereof;

After award, the Contractor shall be required to provide proof of all insurance after renewal or upon request according to the timelines set forth in Section A.13 below.

Contractors shall be required to procure, at their sole cost and expense, and shall maintain in force at all times during the term of any Contract resulting from this Solicitation, policies of insurance as required by this Attachment. All insurance required by this Attachment shall be written by companies that have an A.M. Best Company rating of “A-,” Class “VII” or better. In addition, companies writing insurance intended to comply with the requirements of this Attachment should be licensed or authorized by the New York State Department of Financial Services to issue insurance in the State of New York. OGS may, in its sole discretion, accept policies of insurance written by a non-authorized carrier or carriers when certificates and/or other policy documents are accompanied by a completed Excess Lines Association of New York (ELANY) affidavit or other documents demonstrating the company’s strong financial rating. If, during the term of a policy, the carrier’s A.M. Best rating falls below “A-,” Class “VII,” the insurance must be replaced, on or before the renewal date of the policy, with insurance that meets the requirements above.

Bidders and Contractors shall deliver to OGS evidence of the insurance required by this Solicitation and any Contract resulting from this Solicitation in a form satisfactory to OGS. Policies must be written in accordance with the requirements of the paragraphs below, as applicable. While acceptance of insurance documentation shall not be unreasonably withheld, conditioned or delayed, acceptance and/or approval by OGS does not, and shall not be construed to, relieve Bidders or Contractors of any obligations, responsibilities or liabilities under this Solicitation or any Contract resulting from this Solicitation.

The Contractor shall not take any action, or omit to take any action that would suspend or invalidate any of the required coverages during the term of the Contract.

A. General Conditions Applicable to Insurance. All policies of insurance required by this Solicitation or any Contract resulting from this Solicitation shall comply with the following requirements:

1. Coverage Types and Policy Limits. The types of coverage and policy limits required from Bidders and Contractors are specified in Paragraph B Insurance Requirements below.


2. Policy Forms. Except as otherwise specifically provided herein, or agreed to in the Contract resulting from this Solicitation, all policies of insurance required by this Attachment shall be written on an occurrence basis. 3. Certificates of Insurance/Notices. Bidders and Contractors shall provide OGS with a Certificate or Certificates of Insurance, in a form satisfactory to OGS as detailed below, and pursuant to the timelines set forth in Section B below. Certificates shall reference the Solicitation or award number and shall name The New York State Office of General Services, Agency Procurement Office, 32nd Floor, Corning Tower, Empire State Plaza, Albany, New York 12242 as the certificate holder.

Certificates of Insurance shall:

Be in the form acceptable to OGS and in accordance with the New York State Insurance Law (e.g., an ACORD certificate);

Disclose any deductible, self-insured retention, aggregate limit or exclusion to the policy that materially changes the coverage required by this Solicitation or any Contract resulting from this Solicitation;

Refer to this Solicitation and/or any Contract Number resulting from this Solicitation; Be signed by an authorized representative of the referenced insurance carriers; and Contain the following language in the Description of Operations / Locations / Vehicles

section of the Certificate or on a submitted endorsement: Additional insured protection afforded is on a primary and non-contributory basis. A waiver of subrogation is granted in favor of the additional insureds.

Only original documents (certificates of insurance and any endorsements and other attachments) or electronic versions of the same that can be directly traced back to the insurer, agent or broker via e-mail distribution or similar means will be accepted. OGS generally requires Contractors to submit only certificates of insurance and additional insured endorsements, although OGS reserves the right to request other proof of insurance. Contractors should refrain from submitting entire insurance policies, unless specifically requested by OGS. If an entire insurance policy is submitted but not requested, OGS shall not be obligated to review and shall not be chargeable with knowledge of its contents. In addition, submission of an entire insurance policy not requested by OGS does not constitute proof of compliance with the insurance requirements and does not discharge Contractors from submitting the requested insurance documentation.

4. Primary Coverage. All liability insurance policies shall provide that the required coverage shall be primary and non-contributory to other insurance available to the People of the State of New York, the New York State Office of General Services, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees. Any other insurance maintained by the People of the State of New York, the New York State Office of General Services, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees shall be excess of and shall not contribute with the Bidder/Contractor’s insurance.


5. Breach for Lack of Proof of Coverage. The failure to comply with the requirements of this Attachment at any time during the term of the Contract shall be considered a breach of the terms of the Contract and shall allow the People of the State of New York, the New York State Office of General Services, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees to avail themselves of all remedies available under the Contract or at law or in equity.

6. Self-Insured Retention/Deductibles. Certificates of Insurance must indicate the applicable deductibles/self-insured retentions for each listed policy. Deductibles or self-insured retentions above $100,000.00 are subject to approval from OGS. Such approval shall not be unreasonably withheld, conditioned or delayed. Bidders and Contractors shall be solely responsible for all claim expenses and loss payments within the deductibles or self-insured retentions. If the Bidder/Contractor is providing the required insurance through self-insurance, evidence of the financial capacity to support the self-insurance program along with a description of that program, including, but not limited to, information regarding the use of a third-party administrator shall be provided upon request.

7. Subcontractors. Prior to the commencement of any work by a Subcontractor, the Contractor shall require such Subcontractor to procure policies of insurance as required by this Attachment and maintain the same in force during the term of any work performed by that Subcontractor. An Additional Insured Endorsement CG 20 38 04 13 (or the equivalent) evidencing such coverage shall be provided to the Contractor prior to the commencement of any work by a subcontractor and pursuant to the timelines set forth in Section A.13. below, as applicable. For subcontractors that are self-insured, the subcontractor shall be obligated to defend and indemnify the above-named additional insureds with respect to Commercial General Liability and Business Automobile Liability, in the same manner that the subcontractor would have been required to pursuant to this section had the subcontractor obtained such insurance policies. 8. Waiver of Subrogation. For all liability policies and the workers’ compensation insurance required below, the Bidder/Contractor shall cause to be included in its policies insuring against loss, damage or destruction by fire or other insured casualty a waiver of the insurer’s right of subrogation against The People of the State of New York, the New York State Office of General Services, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees, or, if such waiver is unobtainable (i) an express agreement that such policy shall not be invalidated if the Contractor waives or has waived before the casualty, the right of recovery against The People of the State of New York, the New York State Office of General Services, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees or (ii) any other form of permission for the release of The People of the State of New York, the New York State Office of General Services, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees. A Waiver of Subrogation Endorsement shall be provided upon request. A blanket Waiver of Subrogation Endorsement evidencing such coverage is also acceptable. 9. Additional Insured. The Contractor shall cause to be included in each of the liability policies required below, ISO form CG 20 10 11 85 (or a form or forms that provide equivalent coverage, such as the combination of CG 20 10 04 13 and CG 20 37 04 13) and form CA 20


48 10 13 (or a form or forms that provide equivalent coverage), naming as additional insureds: The People of the State of New York, the New York State Office of General Services, any entity authorized by law or regulation to use the Contract and their officers, agents, and employees. An Additional Insured Endorsement evidencing such coverage shall be provided to OGS pursuant to the timelines set forth in Section B below. A blanket Additional Insured Endorsement evidencing such coverage is also acceptable. For Contractors who are self-insured, the Contractor shall be obligated to defend and indemnify the above-named additional insureds with respect to Commercial General Liability and Business Automobile Liability, in the same manner that the Contractor would have been required to pursuant to this Attachment had the Contractor obtained such insurance policies. 10. Excess/Umbrella Liability Policies. Required insurance coverage limits may be provided through a combination of primary and excess/umbrella liability policies. If coverage limits are provided through excess/umbrella liability policies, then a Schedule of underlying insurance listing policy information for all underlying insurance policies (insurer, policy number, policy term, coverage and limits of insurance), including proof that the excess/umbrella insurance follows form must be provided upon request. 11. Notice of Cancellation or Non-Renewal. Policies shall be written so as to include the requirements for notice of cancellation or non-renewal in accordance with the New York State Insurance Law. Within five (5) business days of receipt of any notice of cancellation or non-renewal of insurance, the Contractor shall provide OGS with a copy of any such notice received from an insurer together with proof of replacement coverage that complies with the insurance requirements of this Solicitation and any Contract resulting from this Solicitation. 12. Policy Renewal/Expiration Upon policy renewal/expiration, evidence of renewal or replacement of coverage that complies with the insurance requirements set forth in this Solicitation and any Contract resulting from this Solicitation shall be delivered to OGS. If, at any time during the term of any Contract resulting from this Solicitation, the coverage provisions and limits of the policies required herein do not meet the provisions and limits set forth in this Solicitation or any Contract resulting from this Solicitation, or proof thereof is not provided to OGS, the Contractor shall immediately cease work. The Contractor shall not resume work until authorized to do so by OGS. 13. Deadlines for Providing Insurance Documents after Renewal or Upon Request. As set forth herein, certain insurance documents must be provided to the OGS Agency Procurement Office contact identified in the Contract Award Notice after renewal or upon request. This requirement means that the Contractor shall provide the applicable insurance document to OGS as soon as possible but in no event later than the following time periods:

For certificates of insurance: 5 business days For information on self-insurance or self-retention programs: 15 calendar days For other requested documentation evidencing coverage: 15 calendar days For additional insured and waiver of subrogation endorsements: 30 calendar days

Notwithstanding the foregoing, if the Contractor shall have promptly requested the insurance documents from its broker or insurer and shall have thereafter diligently taken all steps necessary to obtain such documents from its insurer and submit them to OGS, OGS shall


extend the time period for a reasonable period under the circumstances, but in no event shall the extension exceed 30 calendar days.

B. Insurance Requirements Bidders and Contractors shall obtain and maintain in full force and effect, throughout the term of any Contract resulting from this Solicitation, at their own expense, the following insurance with limits not less than those described below and as required by the terms of any Contract resulting from this Solicitation, or as required by law, whichever is greater:

Insurance Type Proof of Coverage is Due

Commercial General Liability Not less than $2,000,000 each occurrence

At time of Bid submission and updated in accordance with Contract

General Aggregate $2,000,000 Products – Completed Operations Aggregate

$2,000,000

Personal and Advertising Injury $1,000,000 Medical Expenses Limit $5,000

Business Automobile Liability Insurance Not less than $2,000,000 each occurrence

Crime $50,000

Data Breach and Privacy/Cyber Liability $10,000,000

Technology Errors and Omissions $10,000,000

Workers’ Compensation Disability Benefits

1. Commercial General Liability Insurance: Such liability shall be written on the current edition of ISO occurrence form CG 00 01, or a substitute form providing equivalent coverage.

Policy shall include bodily injury, property damage and broad form contractual liability coverage. General Aggregate Products – Completed Operations Aggregate Personal and Advertising Injury Each Occurrence

Coverage shall include, but not be limited to, the following: Premises liability arising from operations; Independent contractors; Blanket contractual liability, including tort liability of another assumed in a contract; Defense and/or indemnification obligations, including obligations assumed under the

Contract;


Cross liability for additional insureds; and Products/completed operations for a term of no less than one (1) year, commencing

upon acceptance of the work, as required by the Contract.

2. Crime Insurance (Employee Dishonesty): If performance under this Contract shall require work on State property, the Contractor shall maintain, during the term of the Contract, Crime Insurance on a “loss sustained form” or “loss discovered form,” and coverage must include the following:

The policy must allow for reporting of circumstances or incidents that might give rise to future claims.

The policy must include an extended reporting period of no less than one year with respect to events which occurred but were not reported during the term of the policy.

Any warranties required by the Contractor’s insurer as a result of the Contract must be disclosed and complied with. Said insurance shall extend coverage to include the principals (all directors, officers, agents and employees) of the Contractor as a result of this Contract.

The policy shall include coverage for third party fidelity and name “The People of the State of New York, the New York State Office of General Services, and their officers, agents, and employees” as “Loss Payees” for all third party coverage secured. This requirement applies to both primary and excess liability policies, as applicable.

The policy shall not contain a condition requiring an arrest and conviction.

3. Professional Error & Omissions: If providing professional occupation job titles, the Contractor shall maintain Professional Liability insurance.

Such insurance shall apply to professional errors, acts, or omissions arising out of the scope of services.

Such insurance shall cover broad areas, including but not limited to: defamation, invasion of privacy, infringement of copyright, and plagiarism.

If coverage is written on a claims-made policy, the Contractor warrants that any applicable retroactive date precedes the start of work; and that continuous coverage will be maintained, or an extended discovery period exercised, throughout the performance of the services and for a period of not less than three years from the time work under this Contract is completed. Written proof of this extended reporting period must be provided to OGS prior to the policy’s expiration or cancellation.

The policy shall cover professional misconduct or lack of ordinary skill for those positions defined in the Scope of Services of this contract.

4. Business Automobile Liability Insurance: Such insurance shall cover liability arising out of any automobile used in connection with performance under the Contract, including owned, leased, hired and non-owned automobiles bearing or, under the circumstances under which they are being used, required by the Motor Vehicles Laws of the State of New York to bear, license plates.

In the event that the Contractor does not own, lease or hire any automobiles used in connection with performance under the Contract, the Contractor does not need to obtain Business Automobile Liability Insurance, but must attest to the fact that the Contractor does not own, lease or hire any automobiles used in connection with performance under the Contract on a form provided by OGS. If, however, during the term of the Contract, the


Contractor acquires, leases or hires any automobiles that will be used in connection with performance under the Contract, the Contractor must obtain Business Automobile Liability Insurance that meets all of the requirements of this section and provide proof of such coverage to OGS in accordance with the insurance requirements of any Contract resulting from this Solicitation. In the event that the Contractor does not own or lease any automobiles used in connection with performance under the Contract, but the Contractor does hire and/or utilize non-owned automobiles in connection with performance under the Contract, the Contractor must: (i) obtain Business Automobile Liability Insurance as required by this Solicitation or any Contract resulting from this Solicitation, except that such insurance may be limited to liability arising out of hired and/or non-owned automobiles, as applicable; and (ii) attest to the fact that the Contractor does not own or lease any automobiles used in connection with performance under the Contract, on a form provided by OGS. If, however, during the term of the Contract, the Contractor acquires or leases any automobiles that will be used in connection with performance under the Contract, the Contractor must obtain Business Automobile Liability Insurance that meets all of the requirements of this Attachment and provide proof of such coverage to OGS in accordance with the insurance requirements of any Contract resulting from this Solicitation. 5. Data Breach and Privacy/Cyber Liability: Contractors are required to maintain during the term of this Contract and as otherwise required herein, Data Breach and Privacy/Cyber Liability Insurance, including coverage for failure to protect confidential information and failure of the security of the Contractor’s computer systems or the Authorized Users’ systems due to the actions of the Contractor which results in unauthorized access to the Authorized User(s) or their data. Said insurance shall provide coverage for damages arising from, but not limited to the following: Breach of duty to protect the security and confidentiality of nonpublic proprietary

corporate information; Personally identifiable nonpublic information (e.g., medical, financial, or personal in

nature in electronic or non-electronic form); Privacy notification costs; Regulatory defense and penalties; Website media liability; and Cyber theft of customer’s property, including but not limited to money and securities. If the policy is written on a claims made basis, Contractor must submit to OGS an Endorsement providing proof that the policy provides the option to purchase an Extended Reporting Period (“tail coverage”) providing coverage for no less than one (1) year after work is completed in the event that coverage is cancelled or not renewed. This requirement applies to both primary and excess liability policies, as applicable.


6. Technology Errors and Omissions: Contractors are required to maintain during the term of the Contract and as otherwise required herein, Technology Errors and Omissions Insurance. Said insurance shall provide coverage for damages arising from computer related services including but not limited to the following:

1. Consulting; 2. Data processing; 3. Programming; 4. System integration; 5. Hardware or software development; 6. Installation; 7. Distribution or maintenance; 8. Systems analysis or design; 9. Training; 10. Staffing or other support services; and 11. Manufactured, distributed, licensed, marketed or sold cloud computing services.

The policy shall include coverage for third party fidelity including cyber theft. If the policy is written on a claims made basis, Contractor must submit to OGS an Endorsement providing proof that the policy provides the option to purchase an Extended Reporting Period (“tail coverage”) providing coverage for no less than one (1) year after work is completed in the event that coverage is cancelled or not renewed. This requirement applies to both primary and excess liability policies, as applicable.

7. Workers’ Compensation Insurance and Disability Benefits Requirements Sections 57 and 220 of the New York State Workers’ Compensation Law require the heads of all municipal and state entities to ensure that businesses applying for contracts have appropriate workers’ compensation and disability benefits insurance coverage. These requirements apply to both original contracts and renewals. Failure to provide proper proof of such coverage or a legal exemption will result in a rejection of a Bid or any contract renewal. A Bidder will not be awarded a Contract unless proof of workers’ compensation and disability insurance is provided to OGS. Proof of workers’ compensation and disability benefits coverage, or proof of exemption must be submitted to OGS at the time of notification of tentative award, policy renewal, contract renewal and upon request. Proof of compliance must be submitted on one of the following forms designated by the New York State Workers’ Compensation Board. An ACORD form is not acceptable proof of New York State workers’ compensation or disability benefits insurance coverage.

Proof of Compliance with Workers’ Compensation Coverage Requirements:

Form CE-200, Certificate of Attestation for New York Entities With No Employees and Certain Out of State Entities, That New York State Workers’ Compensation and/or


Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’ Compensation Board’s website (www.wcb.ny.gov);

Form C-105.2 (9/07), Certificate of Workers’ Compensation Insurance, sent to OGS by the Contractor’s insurance carrier upon request, or if coverage is provided by the New York State Insurance Fund, they will provide Form U-26.3 to OGS upon request from the Contractor; or

Form SI-12, Certificate of Workers’ Compensation Self-Insurance, available from the New York State Workers’ Compensation Board’s Self-Insurance Office, or

Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group Self-Insurance, available from the Contractor’s Group Self-Insurance Administrator.

Proof of Compliance with Disability Benefits Coverage Requirements: Form CE-200, Certificate of Attestation for New York Entities With No Employees and

Certain Out of State Entities, That New York State Workers’ Compensation and/or Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’ Compensation Board’s website (www.wcb.ny.gov);

Form DB-120.1, Certificate of Disability Benefits Insurance, sent to OGS by the Contractor’s insurance carrier upon request; or

Form DB-155, Certificate of Disability Benefits Self-Insurance, available from the New York State Workers’ Compensation Board’s Self-Insurance Office.

An instruction manual clarifying the New York State Workers’ Compensation Law requirements is available for download at the New York State Workers’ Compensation Board’s website, http://www.wcb.ny.gov. Once on the site, click on the Employers/Businesses tab and then click on Employers’ Handbook. Contractor acknowledges that failure to obtain and/or keep in effect any or all required insurance on behalf of OGS constitutes a material breach of contract and subjects it to liability for damages, indemnification and all other legal remedies available to OGS. Contractor’s failure to obtain and/or keep in effect any or all required insurance shall also provide the basis for OGS’ immediate termination of any contract resulting from this Solicitation, subject only to a five (5) business day cure period. Any termination by OGS under this section shall in no event constitute or be deemed a breach of any contract resulting from this Solicitation and no liability shall be incurred by or arise against the Office of General Services, its agents and employees therefore for lost profits or any other damages.

http://www.wcb.ny.gov/

http://www.wcb.ny.gov/

RFP Appendix E – M/WBE and EEO Requirements

New York State – Office of General Services RFP 2079- Service Disabled Veteran Enterprise System Appendix E- M/WBE and EEO Requirements

CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY NEW YORK STATE CERTIFIED MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN

I. New York State Law Pursuant to New York State Executive Law Article 15-A and Parts 140-145 of Title 5 of the New York Codes, Rules and Regulations (“NYCRR”), the New York State Office of General Services (“OGS”) is

required to promote opportunities for the maximum feasible participation of New York State-certified Minority- and Women-owned Business Enterprises (“MWBEs”) and the employment of minority group

members and women in the performance of OGS contracts.

II. General Provisions A. OGS is required to implement the provisions of New York State Executive Law Article 15-A and 5

NYCRR Parts 140-145 (“MWBE Regulations”) for all State contracts as defined therein, with a

value (1) in excess of $25,000 for labor, services, equipment, materials, or any combination of the foregoing or (2) in excess of $100,000 for real property renovations and construction.

B. The Contractor agrees, in addition to any other nondiscrimination provision of the Contract, and at no additional cost to OGS, to fully comply and cooperate with OGS in the implementation of New York State Executive Law Article 15-A and the regulations promulgated thereunder. These requirements include equal employment opportunities for minority group members and women (“EEO”) and contracting opportunities for MWBEs. Contractor’s demonstration of “good faith

efforts” pursuant to 5 NYCRR § 142.8 shall be a part of these requirements. These provisions

shall be deemed supplementary to, and not in lieu of, the nondiscrimination provisions required by New York State Executive Law Article 15 (the “Human Rights Law”) or other applicable

federal, State, or local laws.

C. Failure to comply with all of the requirements herein may result in a finding of non-responsiveness, a finding of non-responsibility, breach of contract, withholding of funds, liquidated damages pursuant to clause IX of this section, and/or enforcement proceedings as allowed by the Contract and applicable law.

III. Equal Employment Opportunity (EEO) A. The provisions of Article 15-A of the Executive Law and the rules and regulations promulgated

thereunder pertaining to equal employment opportunities for minority group members and women shall apply to all Contractors, and any subcontractors, awarded a subcontract over $25,000 for labor, services, including legal, financial and other professional services, travel, supplies, equipment, materials, or any combination of the foregoing, to be performed for, or rendered or furnished to, the contracting State agency (the “Work”) except where the Work is for the beneficial use of the Contractor.

1. Contractor and subcontractors shall undertake or continue existing EEO programs 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, EEO 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. This requirement does not apply to: (i) the performance of work or the provision of services or any other activity that is unrelated, separate, or distinct from the Contract; or (ii) employment outside New York State.


2. By entering into this Contract, Contractor certifies that the text set forth in clause 12 of Appendix A, attached hereto and made a part hereof, is Contractor’s equal employment

opportunity policy. In addition, Contractor agrees to comply with the Non-Discrimination Requirements set forth in clause 5 of Appendix A.

B. Form EEO 100 - Staffing Plan To ensure compliance with this section, the Contractor agrees to submit, or has submitted with the Bid, a staffing plan on Form EEO 100 to OGS to document the composition of the proposed workforce to be utilized in the performance of the Contract by the specified categories listed, including ethnic background, gender, and federal occupational categories.

C. Form EEO 101 - Workforce Utilization Reporting Form (Commodities and Services) (“Form EEO-101-Commodities and Services”)

1. The Contractor shall submit, and shall require each of its subcontractors to submit, a Form EEO-101-Commodities and Services to OGS to report the actual workforce utilized in the performance of the Contract by the specified categories listed including ethnic background, gender, and Federal occupational categories. The Form EEO-101-Commodities and Services must be submitted electronically to OGS at [email protected] on a quarterly basis during the term of the Contract by the 10th day of April, July, October, and January.

2. Separate forms shall be completed by Contractor and all subcontractors.

3. In limited instances, the Contractor or subcontractor may not be able to separate out the workforce utilized in the performance of the Contract from its total workforce. When a separation can be made, the Contractor or subcontractor shall submit the Form EEO-101-Commodities and Services and indicate that the information provided relates to the actual workforce utilized on the Contract. When the workforce to be utilized on the Contract cannot be separated out from the Contractor's or subcontractor's total workforce, the Contractor or subcontractor shall submit the Form EEO-101-Commodities and Services and indicate that the information provided is the Contractor's or subcontractor’s total workforce during the

subject time frame, not limited to work specifically performed under the Contract.

D. Contractor shall comply with the provisions of the Human Rights Law and all other State and federal statutory and constitutional non-discrimination provisions. Contractor and subcontractors shall not discriminate against any employee or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic, marital status, or domestic violence victim status, and shall also follow the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.

IV. Contract Goals A. OGS hereby establishes an overall goal of 30% for MWBE participation, 15% for Minority-Owned

Business Enterprises (“MBE”) participation and 15% for Women-Owned Business Enterprises (“WBE”) participation (based on the current availability of MBEs and WBEs). The total Contract

goal can be obtained by utilizing any combination of MBE and/or WBE participation for subcontracting and supplies acquired under the Contract.

B. For purposes of providing meaningful participation by MWBEs on the Contract and achieving the Contract goals established in clause IV-A hereof, Contractor should reference the directory of New York State Certified MWBEs found at the following internet address:


https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp?TN=ny&XID=2528. The MWBE Regulations are located at 5 NYCRR §§ 140 – 145. Questions regarding compliance with MWBE participation goals should be directed to the Designated Contacts within the OGS Office of Minority- and Women-Owned Business Enterprises. Additionally, following Contract execution, Contractor is encouraged to contact the Division of Minority and Women’s Business Development

((518) 292-5250; (212) 803-2414; or (716) 846-8200) to discuss additional methods of maximizing participation by MWBEs on the Contract.

C. Contractor must document “good faith efforts” to provide meaningful participation by MWBEs as subcontractors or suppliers in the performance of the Contract (see clause VII below).

V. MWBE Utilization Plan A. In accordance with 5 NYCRR § 142.4, Bidders are required to submit a completed Utilization Plan

on Form MWBE 100 with their bid.

B. The Utilization Plan shall list the MWBEs the Bidder intends to use to perform the Contract, a description of the Contract scope of work the Bidder intends the MWBE to perform to meet the goals on the Contract, and the estimated or, if known, actual dollar amounts to be paid to an MWBE. By signing the Utilization Plan, the Bidder acknowledges that making false representations or including information evidencing a lack of good faith as part of, or in conjunction with, the submission of a Utilization Plan is prohibited by law and may result in penalties including, but not limited to, termination of a contract for cause, loss of eligibility to submit future bids, and/or withholding of payments. Any modifications or changes to the agreed participation by New York State Certified MWBEs after the Contract award and during the term of the Contract must be reported on a revised MWBE Utilization Plan and submitted to OGS.

C. By entering into the Contract, Bidder/Contractor understands that only sums paid to MWBEs for the performance of a commercially useful function, as that term is defined in 5 NYCRR § 140.1, may be applied towards the achievement of the applicable MWBE participation goal. When an MWBE is serving as a broker on the Contract, only 25 percent of all sums paid to a broker shall be deemed to represent the commercially useful function performed by the MWBE.

D. OGS will review the submitted MWBE Utilization Plan and advise the Bidder of OGS acceptance or issue a notice of deficiency within 30 days of receipt.

E. If a notice of deficiency is issued; Bidder agrees that it shall respond to the notice of deficiency, within seven (7) business days of receipt, by submitting to OGS a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is found by OGS to be inadequate, OGS shall notify the Bidder and direct the Bidder to submit, within five (5) business days of notification by OGS, a request for a partial or total waiver of MWBE participation goals on Form BDC 333. Failure to file the waiver form in a timely manner may be grounds for disqualification of the bid or proposal.

F. OGS may disqualify a Bidder’s bid/proposal as being non-responsive under the following circumstances:

(a) If a Bidder fails to submit an MWBE Utilization Plan;

(b) If a Bidder fails to submit a written remedy to a notice of deficiency;

(c) If a Bidder fails to submit a request for waiver; or

(d) If OGS determines that the Bidder has failed to document good faith efforts.

https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp?TN=ny&XID=2528


G. If awarded a Contract, Contractor certifies that it will follow the submitted MWBE Utilization Plan for the performance of MWBEs on the Contract pursuant to the prescribed MWBE goals set forth in clause IV-A of this Section.

H. Bidder/Contractor further agrees that a failure to submit and/or use such completed MWBE Utilization Plan shall constitute a material breach of the terms of the Contract. Upon the occurrence of such a material breach, OGS shall be entitled to any remedy provided herein, including but not limited to, a finding of Contractor non-responsiveness.

VI. Request for Waiver A. Prior to submission of a request for a partial or total waiver, Bidder/Contractor shall speak to the

Designated Contacts of the OGS Office of Minority- and Women-Owned Business Enterprises for guidance.

B. In accordance with 5 NYCRR § 142.7, a Bidder/Contractor who is able to document good faith efforts to meet the goal requirements, as set forth in clause VII below, may submit a request for a partial or total waiver on Form BDC 333, accompanied by supporting documentation. A Bidder may submit the request for waiver at the same time it submits its MWBE Utilization Plan. If a request for waiver is submitted with the MWBE Utilization Plan and is not accepted by OGS at that time, the provisions of clauses V(C), (D) & (E) will apply. If the documentation included with the Bidder’s/Contractor’s waiver request is complete, OGS shall evaluate the request and issue

a written notice of acceptance or denial within twenty (20) business days of receipt. C. Contractor shall attempt to utilize, in good faith, any MBE or WBE identified within its MWBE

Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to Contract award may be made at any time during the term of the Contract to OGS, but must be made no later than prior to the submission of a request for final payment on the Contract.

D. If OGS, upon review of the MWBE Utilization Plan and Monthly MWBE Contractor Compliance Reports, determines that Contractor is failing or refusing to comply with the contract goals and no waiver has been issued in regards to such non-compliance, OGS may issue a notice of deficiency to the Contractor. The Contractor must respond to the notice of deficiency within seven (7) business days of receipt. Such response may include a request for partial or total waiver of MWBE contract goals.

VII. Required Good Faith Efforts In accordance with 5 NYCRR § 142.8, Contractors must document their good faith efforts toward utilizing MWBEs on the Contract. Evidence of required good faith efforts shall include, but not be limited to, the following:

1. A list of the general circulation, trade, and MWBE-oriented publications and dates of publications in which the Contractor solicited the participation of certified MWBEs as subcontractors/suppliers, copies of such solicitations, and any responses thereto.

2. A list of the certified MWBEs appearing in the Empire State Development (“ESD”) MWBE

directory that were solicited for this Contract. Provide proof of dates or copies of the solicitations and copies of the responses made by the certified MWBEs. Describe specific reasons that responding certified MWBEs were not selected.

3. Descriptions of the Contract documents/plans/specifications made available to certified MWBEs by the Contractor when soliciting their participation and steps taken to structure the scope of work for the purpose of subcontracting with, or obtaining supplies from, certified MWBEs.


4. A description of the negotiations between the Contractor and certified MWBEs for the purposes of complying with the MWBE goals of this Contract.

5. Dates of any pre-bid, pre-award, or other meetings attended by Contractor, if any, scheduled by OGS with certified MWBEs whom OGS determined were capable of fulfilling the MWBE goals set in the Contract.

6. Other information deemed relevant to the request.

VIII. Monthly MWBE Contractor Compliance Report A. In accordance with 5 NYCRR § 142.10, Contractor is required to report Monthly MWBE

Contractor Compliance to OGS during the term of the Contract for the preceding month’s activity,

documenting progress made towards achievement of the Contract MWBE goals. OGS requests that all Contractors use the New York State Contract System (“NYSCS”) to report subcontractor

and supplier payments made by Contractor to MWBEs performing work under the Contract. The NYSCS may be accessed at https://ny.newnycontracts.com/. This is a New York State-based system that all State agencies and authorities will be implementing to ensure uniform contract compliance reporting throughout New York State.

B. When a Contractor receives a payment from a State agency, it is the Contractor’s responsibility to pay its subcontractors and suppliers in a timely manner. On or after the first day of each month, the Contractor will receive an email or fax notification (“audit notice”) indicating that a

representative of its company needs to log-in to the NYSCS to report the company’s MWBE

subcontractor and supplier payments for the preceding month. The Contractor must also report when no payments have been made to a subcontractor or supplier in a particular month with entry of a zero dollar value in the NYSCS. Once subcontractor and supplier payments have been entered into the NYSCS, the subcontractor(s) and supplier(s) will receive an email or fax notification advising them to log into the NYSCS to confirm that they actually received the reported payments from the Contractor. It is the Contractor’s responsibility to educate its MWBE

subcontractors and suppliers about the NYSCS and the need to confirm payments made to them in the NYSCS.

C. To assist in the use of the NYSCS, OGS recommends that all Contractors and MWBE subcontractors and suppliers sign up for the following two webinar trainings offered through the NYSCS: “Introduction to the System – Vendor training” and “Contract Compliance Reporting - Vendor Training” to become familiar with the NYSCS. To view the training schedule and to register visit: https://ny.newnycontracts.com/events.asp

D. As soon as possible after the Contract is approved, Contractor should visit https://ny.newnycontracts.com and click on “Account Lookup” to identify the Contractor’s

account by company name. Contact information should be reviewed and updated if necessary by choosing “Change Info.” It is important that the staff member who is responsible for reporting

payment information for the Contractor be listed as a user in the NYSCS. Users who are not already listed may be added through “Request New User.” When identifying the person

responsible, please add “- MWBE Contact” after his or her last name (i.e., John Doe – MWBE Contact) to ensure that the correct person receives audit notices from the NYSCS. NYSCS Technical Support should be contacted for any technical support questions by clicking on the links for “Contact Us & Support” then “Technical Support” on the NYSCS website.

E. If Contractor is unable to report MWBE Contractor Compliance via the NYSCS, Contractor must submit a Monthly MWBE Contractor Compliance Report on Form MWBE 102 to OGS, by the 10th day of each month during the term of the Contract, for the preceding month’s activity to: OGS


MWBE Office, 29th Floor Corning Tower, Empire State Plaza, Albany, NY 12242. Phone: 518-486-9284; Fax: 518-486-9285.

F. It is the Contractor’s responsibility to report subcontractor and supplier payments. Failure to respond to payment audits in a timely fashion through the NYSCS, or by paper to OGS, may jeopardize future payments pursuant to the MWBE liquidated damages provisions in clause IX below.

IX. Breach of Contract and Liquidated Damages A. Where OGS determines that the Contractor is not in compliance with the requirements of this

Contract, and the Contractor refuses to comply with such requirements, or if it is found to have willfully and intentionally failed to comply with the MWBE participation goals set forth in the Contract, the Contractor shall be obligated to pay liquidated damages to OGS.

B. Such liquidated damages shall be calculated as an amount equaling the difference between:

1. All sums identified for payment to MWBEs had the Contractor achieved the contractual MWBE goals; and

2. All sums actually paid to MWBEs for work performed or materials supplied under the Contract.

C. If OGS determines that Contractor is liable for liquidated damages and such identified sums have not been withheld by OGS, Contractor shall pay such liquidated damages to OGS within sixty (60) days after they are assessed. Provided, however, that if the Contractor has filed a complaint with the Director of the Division of Minority and Women’s Business Development pursuant to 5

NYCRR § 142.12, liquidated damages shall be payable only in the event of a determination adverse to the Contractor following the complaint process.

X. Fraud Any suspicion of fraud, waste, or abuse involving the contracting or certification of MWBEs shall be immediately reported to ESD’s Division of Minority and Women’s Business Development at (855) 373-4692. ALL FORMS ARE AVAILABLE AT: http://www.ogs.ny.gov/MWBE/Forms.asp

http://www.ogs.ny.gov/MWBE/Forms.asp

RFP Attachment 5 - Application Process Diagram

Attachment #5 Application Process DiagramD

SVB

DA

ppl

ican

tSy

stem

Sign in to sytem

Complete application/submit attachments

(see Application exhibit)

Assign unique identifier for

application and vendor

Receives & reviews application

Application complete?

(notify within 30 days)

Sends email to vendor detail

deficincies

Receives deficiency email (20 days to

remedy deficiency)

Recevies and review updated application (30 days to review)

Application updated

Update application?

Application rejected if not updated within 20 days, letter sent to

applicant

Rejection letter received

In depth application review (60 days)

Application approved

Notification sent

Re-submit after no less than 90 business days

Schedule site visit

No

Yes

Yes

No

Yes

Receive approval letter

No

No, more info needed

Receive additional info

notification

Notification sent

Send additional information?

Notification sent

Application approved

Yes

Yes

No

Added to directory

RFP Attachment 6 - NY.gov Specifications

ATTACHMENT 6

NY.gov ID Specifications

Introduction

The NY.gov ID Service provides a centralized user identity and access management solution for NYS Internet and

NYeNET Intranet applications. It includes authentication and authorization services for secure websites, delegated

administration services, and a self-care framework to allow for integration into application enrollment. This

solution features a single sign-on capability across all NYS domains and provides NYS government users, business

partners, and private citizens with a portal view with links to all applications to which they are authorized.

At the core of this solution is a secure directory of user profiles and application entitlements. User profile

information is used to authenticate a user’s identity at sign-on time. Application entitlements determine which

applications a user is authorized to access. A set of administrative policies and procedures is used to establish

consistency among the administrators from each program area who are responsible for managing their portion of

this directory. NYSDS also provides delegated administration tools that allow application owners to control access

to their resources, participating organizations to control their owned user accounts, and self-service functionality

allowing users to maintain their own contact information. Complete password services are also provided.

Current NY.gov ID Usage

NYS uses this service for the following purposes:

• Storage of user authentication and authorization information for Single Sign on to NYS Web-Based applications.

• Resource for developers to leverage to build applications rich in dynamic content • Single authoritative source for user credentials and other information • Policy store for CA SiteMinder

NYSDS Components

The following table summarizes the software and platforms that comprise the NYSDS and associated services:

Software Package Vendor Version HW Platform OS Version

Oracle/Directory Server

Enterprise Edition

Oracle 11.1.1.7.0 x86_64 / VMware ESX RHEL 6

CA SiteMinder Policy

Server/Web Access Manager

CA SiteMinder Web

Agent/Web Access Manager

Agent

CA r12.51 cr-01

r12.51 cr-01

x86_64 / VMware ESX

(policy

server)

IIS, Apache, IBM HTTP

Server

(customer agents)

RHEL 6

Windows/Unix

/Linux

Oracle Directory Proxy

Server (DPS)

Oracle 11.1.1.7.0 x86_64 / VMware ESX RHEL 6

NYSDS Delegated Admin.

Software

In-House

Application

2.1 IBM P-series AIX 6

Login, Account Mgmt, Self

Service, DAWS

IBM

WebSphere

8 IBM P-series AIX 6

Oracle 11gr2 Enterprise

Edition Database Server

Oracle 11.2.0.4 IBM P-series AIX 6

PingFederate Ping Identity 7.1 x86_64 / VMware ESX RHEL 6

ATTACHMENT 6


2

NY.gov ID Specifications and Details

The directory has a root suffix of “o=ny, c=us and contains branches for NYS Agencies, Local Government

organizations, private citizens and business partners, both for profit and non-profit. Each branch in the

Central Directory contains an ou=People and ou=Groups branch, however LDAP dynamic groups are

heavily used as opposed to static groups for application access control. Each person entry in the

directory is built with the following standard Object Classes:

top

person

organizationalPerson

inetorgPerson

The required and allowed attributes for each of these standard object classes can be found in the

Internet

Engineering Task Force (IETF) standard LDAP schema.

Additionally, ITS has extended the top object class to create additional objectclasses that are present in

select user’s entries. Typical custom object classes include

Nyperson contains additional NYS specific user information (i.e. AgencyID)

NYeNET-applications

contains application specific attributes used for access control and the basis for dynamic groups

Nyacctlevel1 contains account level attributes used for trust level of account

CA SiteMinder Usage and Details

• NY.gov ID uses CA SiteMinder to provide Single Sign On for NYS internal and citizen facing

applications.

• NYS agencies utilize the CA SiteMinder web and application server agents to make their

applications LDAP enabled. This makes their NYS applications capable of participating in

this statewide SSO infrastructure.

• CA SiteMinder is currently supporting password-based authentication for all applications

requiring this service.

• CA SiteMinder is deployed in a fully redundant manner to provide 7/24/365 service.

Oracle Directory Proxy Server (DPS) Usage and Details

• Provides for failover and load balancing of directory resources. • Allows NYS users LDAP lookup capability for application information.

ATTACHMENT 6


3

NY.gov ID Delegated Admin Software Usage and Details

• Allows NY.gov ID Admins to create, delete, and modify NY.gov ID user accounts • Allows NY.gov ID Admins to create, delete, and modify NY.gov ID entitlement and other

application-specific attributes.

NY.gov ID Delegated Admin Web Service (DAWS) Software Usage and Details

• Allows NY.gov ID Admins to create, delete, and modify NY.gov ID user accounts • Allows NY.gov ID Admins to create, delete, and modify NY.gov ID entitlement and other

application-specific attributes. Account Management Services Usage and Details

• Allows NY.GOV ID users to change their password. • Allows NY.GOV ID users to change and set their shared secrets. • Allows NY.GOV ID users to view their application entitlements. • Allows NY.GOV ID users access to maintain their contact information.

Oracle Database Servers Usage and Details

• Functions as the repository for the CA SiteMinder Audit logs NY.GOV ID Federation Service

• NY.GOV ID uses PingFederate from Ping Identity to provide Federation Services. • NY.GOV ID can generate SAML assertions with user’s NY.GOV ID identity and can

consume SAML assertions generated by external identity providers and provide SSO to NY.GOV ID SSO environment.

• NY.gov ID Federations service supports SAML 2.0 and WS-Federation per SAML OASIS standards.

Additional Information

• Schema checking is enabled in the NY.GOV ID • UID’s are unique across the entire NY.GOV ID • The NY.GOV ID is replicated and load balanced across multiple servers • NY.GOV ID has not modified any standard LDAP objectclass or misused any standard

attributes • The NY.GOV ID utilizes Delegated Administration as well as bulk loads to populate and

maintain the directory entries • NY.GOV ID will work with the successful bidder in making schema changes as needed for

applications use of the ny.gov ID directory. • Access to the NY.GOV ID is strictly controlled by a combination of Directory ACL’s, Oracle

DPS, and Firewall.

RFP Attachment 7-List of Application Statuses

ATTACHMENT 7

LIST OF APPLICATION STATUSES

1. New Application

2. Deficient Application

3. Complete Application

4. In-Depth Review in Progress

5. Additional Info Requested

6. Additional Info Review

7. Awaiting Director Action

8. Pending Certification Applicants

9. Denied & Withdrawn Applicants

10. Appealed Decisions

11. Director Site Visit

Status What it means

New Application Application Received by DSDVBD

Deficient Application Application Missing required documents

Complete Application Application includes all required attachments and pertinent details (ex. signed)

In-Depth Review in Progress DSDVBD staff assigned to conduct in-depth review

Additional Info Requested DSDVBD staff has requested additional information

Additional Info Review DSDVBD staff is reviewing additional information received

Awaiting Director Action Application awaiting Director approval or site visit

Pending Certification Applicants Application waiting on OGS Commissioner Signature

Denied & Withdrawn Applicants Application denied or withdrawn

Appealed Decisions Applicant is appealing the denied decision

Director Site Visit Scheduled Director has selected a date to visit SDVOB applicant’s business. Can add on to an applicant’s status

RFP Attachment 8 - List of System Notifications

ATTACHMENT 8

LIST OF SYSTEM NOTIFICATIONS

Notifications should be sent in response to any of the situations or actions described below

o For Agencies and Authorities: Goal Plans are due/past due (annual) Activity reports are due/past due (quarterly) Narrative reports are due/past due (annual) Received a monthly compliance report from a contractor (monthly) Received a utilization plan Received a wavier form Any Other Program Related info from DSDVBD

o SDVOB Applicants Application Received Deficiencies on Application Requiring Resubmission Reminder Deficiencies on Application Requiring Resubmission Missing Documents with Application Reminder Missing Documents Application Complete Additional Requirements Reminder Additional Requirements Certified Denied Response to appeal request Any Other Program Related info from DSDVBD

o Certified SDVOB Please confirm payment from prime Recertification deadline is approaching Annual request to update Directory Information Any other program related info from DSDVBD

o Primes Send monthly compliance report Send monthly Centralized contract compliance report Utilization Plan received/accepted Wavier received accepted/rejected Any Other Program Related info from DSDVBD

o DSDVBD New applications for SDVOB certification Response deadline for deficiencies on application approaching Response deadline for missing documents approaching Application Complete deadline approaching Certification Decision deadline approaching Appeal of certification decision requested Information submitted by SDVOB Applicant (voluntarily or in response to any of the above

requests/notifications) Goal Plan submitted Activity Report Submitted Narrative Report Submitted

RFP Attachment 9 Agency SDVOB Goal Plan Guidelines

1

ATTACHMENT 9

AGENCY SDVOB GOAL PLAN GUIDELINES

Service-Disabled Veteran-Owned Business (SDVOB) Goal Plan Document Guidelines

This document provides information for State agencies and authorities on how to successfully complete

SDVOB Master Goal Plans.

Pursuant to the rules and regulations of the SDVOB program, Master Goal Plans are to be submitted to

the DSDVBD Director at [email protected] on or before January 15th of each year. A Master

Goal Plan should include specific information on how a NYS agency/authority plans to achieve the 6%

SDVOB spending goal required by article 17-B of the Executive Law.

Below is an overview of the major components required in a Master Goal Plan. As always, please contact

the DSDVBD if you have any questions.

Agency Overview

Mission and Goals

Scope of Agency Operations

Description of SDVOB Procurement Strategy

Reflection on Previous Years’ SDVOB Utilization

o Compare your agency/authority’s actual utilization of SDVOBs during the past year to

the Specific Numbers for Projected SDVOB Use provided in your agency/authority’s

SDVOB goal plan for the that year.

Is actual utilization the same, better, or worse than projected?

Provide a brief explanation for why the performance was the same, better, or

worse.

What is working/not working for your agency/authority?

Strategic Objectives Regarding Utilization of SDVOBs

o Specifically address contracting categories including commodities, construction,

construction consultants, services/consultants, or other categories approved by the

Division of Service-Disabled Veterans’ Business Development (DSDVBD).

Plans to Achieve Strategic Objectives

o Practices, procedures, strategies or actions that may be implemented by the

agency/authority to ensure participation by NYS Certified SDVOBs in agency/authority

contracts.

o Plans to educate procurement/purchasing personnel about SDVOB legislation and

requirements

Please include specific examples of how this will be accomplished such as:

Hold training events focused on the SDVOB program

Invite the DSDVBD to give a presentation to personnel



2

Distribute information as pamphlets or memos

Require attendance in the SDVOB class at the annual OGS GovBuy

Incorporate SDVOB training for all new purchasing staff hires

Specific Numbers for Projected Budget/Projected SDVOB Use

o Detailed description of agency/authority methodology for determining exemptions

and exclusions

o Agencies/authorities should display a summarized budget in the following format:

o The spending numbers should be comparable to the previous year’s Goal Plan. If

there is a substantial variance in the numbers, the agency/authority should

explain why

Anticipated challenges of meeting SDVOB goal

o Strategies to address each challenge

Boilerplate Language

Any standard language sent out with agency Requests for Proposals (RFPs) See sample SDVOB

Contract Language available at ogs.ny.gov/Veterans

Agency SDVOB Operations/Organizational Chart

Offices and/or personnel involved in reaching agency SDVOB contracting goals and their roles

and responsibilities in the procurement process

Outreach Efforts

Summarize efforts to engage SDVOBs in procurement opportunities

Other Information

Any other information the State Agency/Authority deems relevant or necessary to its master

goal plan

Standardized Forms

Any standardized forms used in the agency’s procurement efforts

Total Agency Budget $

Total Exemptions $

Total Exclusions $

Total Amount Eligible for SDVOB $

Total SDVOB Goal (6%) $

https://ogs.ny.gov/Veterans/default.asp

RFP Attachment 10 - Agency Goal Plan

Attachment #10 Agency Goal PlanD

SVB

DA

gen

cySD

VES

Sign in to sytem

Notification sent to DSDVBD

Approval Notification sent

Receive approval notification

Display Main Screen

Click Agency Goal Plan

Display Agency Goal Plan entry

screen

Calculate Eligible spend from imported

financial data

Upload documents

Submit Goal Plan

Approve goal plan?

Remediation notification sent

to Agency

No

Yes

Receive remediation notification

RFP Attachment 13 Monthly SDVOB Compliance Report Form

Attachment #13 Monthly SDVOB Compliance Report – SDVOB 101 (9/16)

Attachment #13

CONTRACTOR’S MONTHLY SDVOB COMPLIANCE REPORT (DUE ON THE 10TH DAY OF EACH MONTH FOR THE PRECEDING MONTH’S ACTIVITY AS EVIDENCE TOWARDS ACHIEVEMENT OF THE SDVOB GOALS ON THE CONTRACT)

Contract No.:

Contractor/Vendor Name, Address and Phone No.:

Contractor/Vendor Federal ID No.: SDVOB Goals Reporting Period

Description of Project:

%

Month Year

Firm Name, Address and Phone Number (List All Firms) Description of Work or Supplies Provided Designation Payment This Month Contract Amount

SDVOB

Sub

Broker

Joint Venture

Written Contract

Supplier

Team

Other

No Written Contract

Federal ID No.: No Payment This Month

SDVOB

Sub

Broker

Joint Venture

Written Contract

Supplier

Team

Other

No Written Contract


SDVOB

Sub

Broker

Joint Venture

Written Contract

Supplier

Team

Other

No Written Contract


SDVOB

Sub

Broker

Joint Venture

Written Contract

Supplier

Team

Other

No Written Contract


Signature Print Name and Title Date For [Agency] Use Only Submission of this form constitutes the Contractor’s acknowledgement as to the accuracy of the information contained herein. Failure to submit complete and accurate information may result in a finding of noncompliance, non-responsibility, suspension and/or termination of the Contract.

Reviewed By:

Date:

RFP Attachment 14SDVOB OGS Centralized Contract

Compliance Report

Attachment #14 - SDVOB OGS Centralized Contract Compliance Report – SDVOB 101 (9/16)

Attachment #14

SDVOB OGS CENTRALIZED CONTRACT COMPLIANCE REPORT

Contract No.:

Contractor/Vendor Name, Address and Phone No.:

Contractor/Vendor Federal ID No.: SDVOB Goals Reporting Period

Description of Project:

Month Year

Firm Name, Address and Phone Number (List All Firms)

Description of Work or Supplies Provided Designation Amount of

SDVOB Sales Total Contract Sales (to date)

SDVOB

Sub

Broker

Joint Venture

Written Contract

Supplier

Team

Other

No Written Contract


Signature Print Name and Title Date For [Agency] Use Only

Submission of this form constitutes the Contractor’s acknowledgement as to the accuracy of the information contained herein. Failure to submit complete and accurate information may result in a finding of noncompliance, non-responsibility, suspension and/or termination of the Contract.

Reviewed By:

Date:

RFP Attachment 17 - Agency Narrative Form

Attachment #17 Agency Narrative Form

Required Information

Name of Agency/Authority Choose Agency/Authority

If “Other” Agency/Authority: Enter Name of Agency/Authority

Commissioner (or equivalent): Enter Name of Commissioner (or Name and Title of equivalent)

Chief Counsel: Enter Name of Chief Counsel

Chief Financial Officer (or equivalent): Enter Name of Chief Financial Officer (or Name and Title of equivalent)

Primary SDVOB Compliance Point of Contact: Email Address of Primary SDVOB Compliance Point of Contact:

Enter Name of Primary SDVOB Compliance Point of Contact

Narrative (maximum of 120 words) description of the agency/authority efforts throughout the 2017 calendar year to promote the utilization of SDVOBs with respect to state contracts and subcontracts to such businesses.

Enter Required Narrative Here (guidance provided below)

Suggestion to assist the development of your narrative:

Review the Description of SDVOB Procurement Strategy provided in your Agency/Authority SDVOB Master Goal Plan.

What practices, procedures, strategies or actions did your Agency/Authority implement to ensure participation by NYS Certified SDVOBs in agency/authority contracts?

What steps did your Agency/Authority take to educate procurement/purchasing personnel about the SDVOB legislation and requirements?

RFP Attachment 18 - Agency Narrative Diagram

Attachment #18 Agency Narrative DiagramA

gen

cySD

VES

DSD

VB

D

Sign in to sytem

Answer required information for

Agency Narratives

Upload or type Agency Narrative

Statement

Submit Agency Narrative

Approve report?

Notification sent to DSDVBD

Notification sent

Receive notification

Remediate report and re-submit

Display Main Screen

Click Agency Narrative

Submission

Display Agency Narrative entry

screen

Remediation notification sent

to agency

No

Yes

RFP Attachment 19 - SDVOB Operations Guidance

Email: [email protected] Web: ogs.ny.gov Phone: 518.474.2015

1 | P a g e

The Division of Service-Disabled Veterans’ Business Development (“DSDVBD” or the “Division”)

Service-Disabled Veteran-Owned Business (SDVOB) Operations Guidance Document

The Division of Service-Disabled Veterans' Business Development (DSDVBD) is housed within the New

York State Office of General Services and is tasked with promoting and encouraging the continuing

economic development of Service-Disabled Veteran-Owned Businesses (SDVOBs). Through the

DSDVBD, the State of New York aims to assist service-disabled veterans in playing a greater role in the

economy of the state and to provide additional assistance and support to disabled veterans to better

equip them to form and expand small businesses, thereby enabling them to realize the American dream

they fought to protect. New York State Executive Law Article 17-B governs requirements for the

participation of SDVOBs in New York State contracting. The objective of Article 17-B is to expand

opportunities for SDVOBs, primarily through increased participation in New York State contracting.

Key Objectives of the DSDVBD:

To encourage and assist State agencies and authorities that are engaged in contracting activities

to award a share of State contracts to SDVOBs.

To review applications by businesses seeking certification as a SDVOB and to maintain a

directory of NYS Certified SDVOBs.

To promote the business development of SDVOBs through education and outreach to agencies,

authorities, non-profit organizations, independent contractors, and SDVOBs.

To collect, review, monitor, and report on data pertaining to the utilization of SDVOBs by NYS

agencies and authorities.

To ensure continued progress toward the statewide SDVOB utilization goal of 6% established by

New York State Executive Law Article 17-B.

Purpose

This SDVOB Operations Guidance Document is designed to provide direction to agencies and authorities

in their efforts to meet their SDVOB goals and report on their SDVOB utilization. It, along with other

guidance from the DSDVBD, is intended to be used as a refresher and/or an introduction for Diversity

Liaisons, Procurement Officers, and other impacted personnel. It is an evolving document that will be

edited and updated to improve its effectiveness as the Division continues to fine-tune its operations.

Please note that this guidance document is not meant to be a stand-alone resource and should be used

in conjunction with other directives, resources, outreach and assistance provided by the DSDVBD. As

such, it is highly recommended that your agency or authority contact the DSDVBD at any time should

you have any questions related to the administration of the SDVOB program.

List of NYS Certified Service-Disabled Veteran-Owned Businesses

The DSDVBD maintains a Directory of NYS Certified SDVOBs. The directory is updated regularly with the

addition of any newly certified SDVOBs or necessary changes requested by the listed SDVOBs or DSDVBD

staff. State personnel and other interested parties may contact the DSDVBD and request they be added

to a distribution list to receive the directory and its regular updates via email. The Directory of NYS

Certified SDVOBs is also posted on the DSDVBD website.

Attachment # 19 SDVOB Operations Guidance

https://ogs.ny.gov/Veterans/docs/Chapter22.pdf


https://ogs.ny.gov/Veterans/Default.asp





2 | P a g e

SDVOB Language for all State Contracts

Any contract that conforms to the definition of state contract as described in the rules and regulations

of the SDVOB program (9 CRR-NY G I 252) shall include language referencing the SDVOB program.

Sample SDVOB Contract Language is available on the DSDVBD website. Language referencing

the SDVOB program shall be included in contracts regardless of intent or determination to

use SDVOBs in the contract performance as its inclusion will promote awareness of the

SDVOB program among bidders/proposers.

Annual State Agency-Specific Goals and Master Goal Plan

According to the rules and regulations of the SDVOB program (9 CRR-NY G I 252), “each State agency

shall develop and adopt agency-specific goals in accordance with article 17-B of the Executive Law. Such

agency specific goals shall be in addition to goals established pursuant to article 15-A of the Executive

Law with respect to procurements from certified minority owned and women owned business

enterprises.” Agency-specific goals shall be detailed in a master goal plan to be submitted to the

DSDVBD Director on or before January 15th of each year. For guidance in the development of agency-

specific goals and a master goal plan, please contact the DSDVBD.

Options for the Use of SDVOBs

Agency and authority personnel have three primary options for using NYS Certified SDVOBs in their

contracting/purchasing activities. It is the responsibility of each agency and authority to determine

which option, or combination of options, can best achieve the agency-specific goals described in their

master goal plan.

1. SDVOB set-asides: Set asides permit the reservation in whole or in part of certain procurements

by State agencies for SDVOBs when more than one NYS Certified SDVOB is available and can

provide the necessary construction, construction services, technology, commodities, products

and other classifications to meet state agencies’/authorities’ form, function and utility. SDVOB

set-asides shall be assessed for M/WBE participation goals pursuant to article 15-A of the

Executive Law. For more information about set-asides, see Participation by Service-Disabled

Veterans with Respect to State Contracts Through Set Asides or contact the DSDVBD.

2. SDVOB Contract Goal Setting: A required percentage of SDVOB participation may be placed on

qualified procurements. Any contract that conforms to the definition of state contract as

described in the rules and regulations of the SDVOB program (9 CRR-NY G I 252), unless exempt

or excluded, may be assessed for SDVOB participation goals. State agencies/authorities shall

require contractors to submit SDVOB utilization plans for achieving contract goals established

for the participation of NYS Certified SDVOBs with their bids. SDVOB participation goals shall be

in addition to any M/WBE goals established pursuant to article 15-A of the Executive Law.

3. SDVOB Discretionary Purchasing: NYS Certified SDVOB vendors may be chosen when making

discretionary purchases. Discretionary purchases are procurements made below statutorily

established monetary levels and at the discretion of the agency, without the need for a formal

competitive procurement process. State agencies may use discretionary purchasing authority of

up to $200,000 to purchase from SDVOBs. For more information about discretionary purchasing


https://govt.westlaw.com/nycrr/Browse/Home/NewYork/NewYorkCodesRulesandRegulations?guid=I9d8894e01d8411e4add5b8cbd0b4f9b6&originationContext=documenttoc&transitionType=Default&contextData=(sc.Default)



https://ogs.ny.gov/Veterans/docs/Guidelines.pdf






3 | P a g e

with SDVOBs, see Discretionary Purchasing Guidelines for Service-Disabled Veteran-Owned

Businesses.

When assessing a procurement to determine which, if any, of the three options for using NYS Certified

SDVOBs should be used, an agency or authority should consider:

The contract and subcontract scope(s) of work;

The potential subcontract opportunities available in the prime contract;

The number and types of NYS Certified SDVOBs available to perform the State contract work;

The geographic location of the contract performance;

The extent to which geography is material to the performance of the contract;

The ability of NYS Certified SDVOBs located outside of the geographic location of contract

performance, notwithstanding the regional location of the NYS Certified SDVOB, to perform on

the State contract;

The total dollar value of the work required by the State contract in relation to the dollar value of

the subcontracting opportunities;

The relationship of the monetary size and term of the State contract to the monetary size and

term of the project for which the State contract is awarded; and

The agency or authority’s annual agency-specific goal established pursuant to the rules and

regulations of the SDVOB program (9 CRR-NY G I 252).

Utilization Rules

1. Exemptions and Exclusions: Agencies and Authorities are responsible for determining which of

their contracts and expenditures are appropriate for exemption or exclusion. Exemptions may

include intergovernmental charges, fuel for vehicles, milk fund payments, personal services,

postage, real estate rentals, sole source contracts, telephones, travel reimbursements, and

utilities. Exclusions may include Emergency Contracts, zero-goal contracts (in which the agency

or authority has determined no certified SDVOBs are available to do the type of work required in

the region where the work is to be done), and contracts established prior to program

implementation. Projected exemptions and exclusions should be included in the master goal

plan submitted to the DSDVBD each year.

2. Waivers: A SDVOB waiver is a reduction or elimination of the SDVOB goal that has been

established on a qualified contract. Agencies and authorities are responsible for their own

processes and procedures for granting waivers for SDVOB goal requirements in the event that

such waivers are necessary. All total and partial waivers granted for SDVOB goal requirements

during a given reporting period must be reported to the DSDVBD on form 3 of the SDVOB

Activity Quarterly Report for that period. For more information on waivers see the SDVOB

Program rules and regulations (9 CRR-NY G I 252).

3. Federally Funded Contracts: Federal spend refers to funding provided by the federal

government that makes up part or all of the funds in a state contract.

a. No SDVOB goals are to be placed on federal funding that is designated as Disadvantaged

Business Enterprise (“DBE”) funding.


https://ogs.ny.gov/Veterans/docs/DPGuidelines.pdf

https://ogs.ny.gov/Veterans/docs/DPGuidelines.pdf







4 | P a g e

b. 100% federal funded projects which are not DBE may be assessed for SDVOB goals. In so

assessing the general rules of SDVOB use and goal setting applies, as well as exemptions,

exclusion and waivers.

c. Any SDVOB utilization from federally funded contracts (both partially or 100% funded)

should be submitted to the DSDVBD with the quarterly utilization report and counted as

part of the agency or authority’s total utilization.

4. Grants: May be assessed for SDVOB use including SDVOB goal setting (waivers, exemptions and

exclusion may apply).

5. Legislative items from the NYS legislature: May be assessed for SDVOB use including SDVOB

goal setting (waivers, exemptions and exclusion may apply).

6. Not for profit funds: May be assessed for SDVOB use including SDVOB goal setting (waivers,

exemptions and exclusion may apply). When assessing funds that are earmarked for not for

profit procurement, the following consideration applies regarding the setting of SDVOB goals:

a. Personal services, rent and utilities are exempted from the total contract value or grant

amount.

b. To the extent the goods or services being procured for the agency or authority by way of the

not for profit is being self-performed by the not for profit (i.e. not procured in the open

market), then SDVOB goals do not apply. So if $100,000 of funds from an agency to a not for

profit is being self-performed by the not for profit in the amount of $60,000, then only

$40,000 may be assessed for SDVOB goals (which may also be adjusted for personal

services, rent and utilities as stated above).

State Agency/Authority Compliance Reporting

State agencies and authorities subject to Article 17-B shall submit the SDVOB Activity Quarterly Report

to the DSDVBD for the following reporting periods:

Q1: April 1 – June 30 due July 31

Q2: July 1 – September 30 due October 31

Q3: October 1 – December 31 due January 31

Q4: January 1 – March 31 due April 30

Guidelines for Completing Agency/Authority SDVOB Activity Quarterly Reports:

1. Complete and return ALL THREE forms: The DSDVBD requires agencies/authorities to report

SDVOB activity using three forms:

SDVOB Awards (form 1)

SDVOB Disbursements/Utilization (form 2) and

SDVOB Waivers (form 3).

The three forms can be downloaded from the DSDVBD website and should be completed and

returned to [email protected]. In the event that your agency/authority has not

engaged in one or more types of SDVOB activity during the reporting period, enter “NA” or “0”

into the appropriate fields on the form(s).





5 | P a g e

2. Awards: Only executed contracts and dispatched purchase orders that have received final

approval from the Office of the New York State Comptroller during the reporting period should

be reported as awards on form 1.

3. Disbursements: Only actual payments that have been made to a vendor during the reporting

period, either through the Office of the State Comptroller or by an agency/authority’s finance

office directly, including subcontractor payments made by a prime contractor and verified by

the agency/authority, should be reported as disbursements.

4. Total Agency/Authority Non-Exempt and Non-Excluded Disbursements: This is the total

disbursements made by the agency/authority during the reporting period less exemptions and

exclusions. Exemptions may include intergovernmental charges, fuel for vehicles, milk fund

payments, personal services, postage, real estate rentals, sole source contracts, telephones,

travel reimbursements, and utilities. Exclusions may include Emergency Contracts, zero-goal

contracts (in which the agency/authority has determined no certified SDVOBs are available to do

the type of work required in the region where the work is to be done), and contracts established

prior to SDVOB program implementation. In the event that disbursements are made to an

SDVOB under circumstances that would normally be considered exempt or excluded, those

disbursements may be counted as SDVOB utilization and should be recorded on form 2.

5. Waivers: All total and partial waivers for SDVOB goal requirements granted during a given

reporting period, in compliance with an agency/authority’s internal processes and procedures

for granting waivers, must be reported to the DSDVBD on form 3.

Contact the Division of Service-Disabled Veterans’ Business Development (DSDVBD)

The DSDVBD is responsible for assisting State agencies and authorities in their compliance with New

York State Executive Law Article 17-B. DSDVBD staff are available to answer any questions regarding the

information and instructions provided in this guidance document as well as to consult with agencies,

authorities, and other interested parties regarding any efforts or concerns related to the promotion and

development of Service-Disabled Veteran-Owned Businesses in the State of New York.

Office of General Services Division of Service-Disabled Veterans’ Business Development 32nd Floor, Corning Tower The Governor Nelson A. Rockefeller Empire State Plaza Albany, NY 12242 Phone: 518.474.2015 Email: [email protected]



RFP Attachment 20 Discretionary Purchasing Guidelines

Discretionary Purchasing Guidelines for Service-Disabled Veteran-Owned Businesses

Article 17-B of the Executive Law, enacted in 2014, provides for more meaningful participation in public procurement by certified Service-Disabled Veteran-Owned Businesses (SDVOBs), thereby further integrating such businesses into New York State’s economy. The Article established a goal of 6% of procurement expenditures to be made with SDVOBs by state agencies, public authorities and public benefit corporations. In addition to establishing goals for certain public procurements, the Article also provided for set asides of certain procurements for which only SDVOBs would be eligible.

An additional tool authorized by Chapter 569 of the Laws of 2015 has extended the authority for state agencies (not public authorities or public benefit corporations) under State Finance Law § 163 (6) to use discretionary purchasing authority of up to $200,000 to purchase commodities, services and technology to further promote purchasing from SDVOBs. Similar discretionary authority had already been granted to state agencies for procurements from small businesses, minority-owned businesses or woman-owned businesses and, as applicable, from vendors of recycled or remanufactured products or food commodities, including milk and milk products that are grown, produced or harvested in New York State.

To identify SDVOBs in using discretionary purchasing authority, state agencies shall consult the Office of General Services (OGS) directory of certified SDVOBs at http://ogs.ny.gov/Core/docs/CertifiedNYS_SDVOB.pdf to determine if there is a competitive field of certified SDVOBs that appear to be suitable in meeting agency needs and that have sufficient capacity and resources. The up to $200,000 discretionary purchasing threshold may be exercised by state agencies when the commodity, service or technology is not available from preferred sources or from OGS centralized contracts. Discretionary purchases are not subject to formal competitive bidding requirements set forth in State Finance Law § 163, but are subject to the advertising requirements published in the Contract Reporter as mandated by the Economic Development Law Article 4-C.

State agencies must also comply with their internal policies and procedures governing discretionary purchases, which should include an assessment as to whether a formal competitive procurement process, or one that is less formal, but still competitive, may best meet the agency’s needs. Agencies may also determine based upon experience, knowledge and a current analysis,

whether it is appropriate to use a set aside for such discretionary purchase or to engage a larger competitive field that could also include small businesses, minority-owned businesses or woman-owned businesses and as applicable vendors of recycled or remanufactured products or food commodities, including milk and milk products, that are grown, produced or harvested in New York State. More information on set aside procurements is available at: https://ogs.ny.gov/Veterans/docs/Guidelines.pdf at the link to Guidelines on Participation by Service-Disabled Veterans with Respect to State Contracts.

(NOTE: State Finance Law §160 (8) defines “small business” as meaning a business which is resident in this state, independently owned and operated, not dominant in its field and employs one hundred or less persons).

State Finance Law §112 (2) (a) continues to require prior approval by the State Comptroller for contracts exceeding $50,000. So discretionary purchases with a value between $50,000 and $200,000 from SDVOBs would need to be reviewed and be finally approved by the Office of the State Comptroller. Their review will encompass whether the state agency addressed the following issues:

1. The agency needs to ensure that the commodities,services or technology being acquired meets its form,function and utility.

2. The agency needs to document and justify theselection of the vendor.

3. The agency needs to document and justify thereasonableness of price.

4. The agency needs to ensure that the agency is buyingfrom responsive and responsible vendors.

As a general rule, the State Comptroller would require a minimum of three (3) quotes; additional justification by state agencies relative to adequate competition and reasonableness of price should be provided if there are less than three (3) quotes.

Further information regarding the SDVOB program may be obtained by visiting the Division of Service-Disabled Veterans’ Business Development (DSDVBD) webpage at https://ogs.ny.gov/Veterans or by contacting DSDVBD by phone or email:

Phone: 518-474-2015Email: [email protected]



mailto:veteransdevelopment%40ogs.ny.gov?subject=

RFP Attachment 21 - Set Aside Guideliness

Office of General ServicesDivision of Service-DisabledVeterans’ Business Development

Participation by Service-Disabled Veterans with Respect to State Contracts Through Set Asides

GuidelinesArticle 17-B of the Executive Law, enacted in 2014, provides for more meaningful participation in public procurement by Service-Disabled Veteran-Owned Businesses (SDVOBs), thereby further integrating such businesses into New York State’s economy. One tool authorized by the law is the use of set asides. Set asides permit the reservation in whole or in part of certain procurements by State agencies for SDVOBs. The process for managing set asides are the subject of these guidelines from the Commissioner of General Services.

Types of procurements that may use set asides include:

1. Construction

2. Construction Related Services

3. Non-Construction Related Services (including finance/bond management)

4. Technology

5. Commodities

Set asides will be administered subject to the laws, rules and procedures governing contracting for each type of procurement, including, but not limited to:

1. Competitive bidding with award based on adherence to specifications and lowest price.

2. Competitive bidding with award based on technical responsiveness and best value.

3. Award based on qualifications and best value (for architects, engineers, and land surveyors).

4. Emergency award.

5. Single source award.

6. Sole source award.

7. Purchase based on exercise of discretionary authority subject to agency internal controls.

8. Other authorized procurement method(s) for making acquisition.

Accordingly, prior to making a “determination of need” for a procurement (within the meaning of the rules for procurement lobbying under State Finance Law §§ 139-j and 139-k), State agencies shall review the NYS Certified Service-Disabled Veteran-Owned Business Directory, available at https://ogs.ny.gov/Veterans/Docs/CertifiedNYS_SDVOB.pdf, to determine if there is a competitive field of certified SDVOBs that appear to be suitable in meeting agency needs and that have sufficient capacity and resources. If there is, the agency is strongly encouraged to reserve and conduct that procurement as a set aside for SDVOBs.

Each agency shall have in place an internal approval protocol for review of and finalizing the determination to proceed with a set aside procurement. It is recommended that at least two levels of approvals be included in the protocol. The approvals should be made part of the procurement record.

In order to determine that a competitive field of SDVOBs exists, an agency must review the certified SDVOB Directory and reasonably determine that at least two SDVOBs are able to respond to the procurement. During the agency review of the Directory and prior to the “determination of need” for the procurement, the potential SDVOBs may be contacted regarding their suitability to meet the agency need and whether the SDVOBs are likely to respond to the procurement.

The agency in providing public notice of the procurement opportunity shall include in its advertisement in the Contract Reporter the fact that the procurement is a set aside and the pool of bidders is limited to NYS certified SDVOBs. The agency shall then proceed with its procurement in accordance with the acquisition processes that are usually employed to secure the particular type of procurement. In making the contract award, the agency must assess and make a determination that the price offered by the vendor is reasonable and reflective of fair market value. Such finding should be made a part of the procurement record.

In the event that the set aside procurement does not result in a contract award, the agency may then open up the procurement and proceed with the acquisition with participation by all qualified vendors for the type of procurement.

Such procurements will continue to be subject to restrictions on communications during the procurement process governed by § 139-j and § 139-k of the State Finance Law. The agency, as part of the procurement process must also evaluate the responsibility of the SDVOB based upon financial and organizational capacity, legal authority, business integrity and past performance history.

State agencies shall report the number of completed set asides and ongoing set asides to the Director of the Division of Service-Disabled Veterans’ Business Development, on a quarterly basis. See attached Report form. If there are no completed or ongoing set asides, the report should also indicate that status.

NOTE: Information about using SDVOBs in public procurement, including sample solicitation/contract documents, can be found at https://ogs.ny.gov/Veterans.

https://ogs.ny.gov/Veterans/Docs/CertifiedNYS_SDVOB.pdf

https://ogs.ny.gov/Veterans/default.asp

RFP Attachment 22 DSDVBD Annual Report 2017

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Background In May 2014 Governor Andrew M. Cuomo signed the Service-Disabled Veteran-Owned Business Act (the Act) into law, which, in addition to other measures of support, establishes a six percent participation goal for service-disabled veteran-owned companies on State contracts, the highest in the nation. As a part of that Act, Governor Cuomo created the Division of Service-Disabled Veterans’ Business Development (the Division) within the Office of General Services (OGS). The Division monitors the activities of agencies and authorities, develops statewide annual reporting, and, most importantly, assists Service-Disabled Veteran-Owned Businesses (SDVOBs) in becoming certified and positioned to do business through State contracts.

Certification

In 2017, the Division certified 146 SDVOBs, which was more than any previous year, with certification taking an average of 33 working days. From the inception of the Program, the Division has received 513 applications resulting in 417 certifications of SDVOBs.* On October 10, 2017, a mobile friendly, web-based, searchable Directory of NYS Certified SDVOBs went live on the Division’s website.

* To date, 64 applications (13%) have been denied or withdrawn for various reasons. Nineteen SDVOBs had their certifications revoked due to buy-outs, retirement, incorporation, or business dissolution, and two SDVOBs are currently listed as inactive because they are temporarily unable to accept work. No appeals have been received.

Commodities14%

Construction25%

Construction Professional Services

10%

Financial Services5%

Consulting & Other Services (Business, Management, & Administrative)

14%

Consulting & Other Services (IT & Media)

14%

Consulting & Other Services

(Transportation & Equipment)

5%

Consulting & Other Services

(Miscellaneous)13%

Total Breakdown by Major Type

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Increasing the Pool of Available SDVOBs To increase the pool of State-certified SDVOBs, the Division uses a two-pronged approach to increase certification: first, by focusing efforts to identify and certify existing SDVOBs, and second, by working with strategic partners to help service-disabled veterans start new businesses. In 2017, in addition to being a featured participant at NY GovBuy 2017 (formerly the NYS Purchasing Forum), the Division engaged in 17 matchmaking events and 16 outreach events from Niagara Falls to Long Island. To broaden the geographic availability, the Division sought to increase the number of certified SDVOBs in underserved areas such as Plattsburgh and Cobleskill by working with strategic partners to host events and distribute materials. The Division also worked with national, regional and local organizations to identify existing and potential SDVOBs and to be resources for providing entrepreneurial training, guidance and support to both new and existing SDVOBs. These organizations include the Small Business Administration (SBA), Veteran Business Outreach Center (VBOC), Small Business Development Centers (SBDCs), Procurement Technical Assistance Centers (PTACs), Regional Economic Development Councils (REDCs), Empire State Development’s Entrepreneurial Assistance Program (EAP), Chambers of Commerce, State and private colleges, veteran groups and many more.

Statewide Utilization Following the success of the pilot rollout in fiscal year (FY) 2015-2016, wherein only a small group of agencies and authorities required certified SDVOB participation in their contracts, the Program was expanded to all State agencies and authorities beginning April 1, 2016 (FY 2016-2017). Since then, the Program experienced a steady growth in disbursements from October 1, 2016 to June 30, 2017 followed by a doubling of disbursements made to certified SDVOBs to almost $10 million for the quarter ending September 30, 2017. Further, with the introduction of the searchable Certified SDVOB Directory, based on feedback from agencies, authorities and SDVOBs, the new directory is expected to significantly increase statewide utilization figures as it is now much easier for users to find NYS certified SDVOBs who provide the goods and services they are seeking.

Total Awards 1,803 Total Value of the Awards $32,578,928 Average Value of Award $18,069 Total Disbursements to DSVOBs $22,010,831

$3,086,684$4,197,417

$4,910,856

$9,637,465

1 2 3 4Dis

burs

emen

ts to

SD

VOB

s

Quarters from 10/1/16 to 9/30/17

GROWTH TREND FOR SDVOB DISBURSEMENTS

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Agency and Authority Utilization - FY 2016(Q3)-2017(Q2)

Agency/Authority SDVOB

Utilization $ SDVOB

Utilization %

Adirondack Park Agency (APA) 1,298 3.43%

Agriculture & NYS Horse‐Breeding Development Fund (Ag&Horse) 0 0.00%

Albany County Airport Authority (ACAA) 88,719 1.77%

Albany Port District Commission (PortAlbany) 0 0.00%

Alcohol Beverage Control Board (SLA) 7,646 13.66%

Battery Park City Authority (BPCA) 1,847,606 35.36%

Board of Elections (ELECTIONS) 6,732 1.21%

Buffalo Fiscal Stability Authority (BFSA) 125 88.46%

Capital District Transportation Authority (CDTA) 20,943 0.36%

Cayuga County Water & Sewer Authority (CCWSA) 0 0.00%

Central New York Regional Transportation Authority (CNYRTA) 14,833 0.38%

City University Construction Fund (CUCF) 0 0.00%

City University of New York (CUNY) 245,431 0.86%

Council on the Arts (ARTS) 0 0.00%

Department of Agriculture & Markets (AG&MKTS) 50,812 1.40%

Department of Civil Service (CS) 16,155 1.36%

Department of Corrections & Community Supervision (DOCCS) 1,107,401 4.10%

Department of Economic Development (DED) 0 0.00%

Department of Environmental Conservation (DEC) 1,449,159 1.14%

Department of Financial Services (DFS) 19,750 3.84%

Department of Health (DOH) 92,981 0.98%

Department of Labor (DOL) 897 0.12%

Department of Motor Vehicles (DMV) 114,517 3.69%

Department of Public Service (DPS) 0 0.00%

Department of State (DOS) 1,788 0.06%

Department of Taxation & Finance (TAX) 36,074 1.59%

Department of Transportation (DOT) 1,602,109 1.07%

Development Authority of the North Country (DANC) 206,470 3.87%

Division of Budget (DOB) 42,758 99.77%

Division of Criminal Justice Services (DCJS) 3604 27.28%

Division of Homeland Security & Emergency Services (DHSES) 0 0.00%

Division of Human Rights (DHR) 21,998 8.83%

Division of Military & Naval Affairs (DMNA) 77,043 3.57%

Division of State Police (TROOPERS) 356,208 2.65%

Division of Veterans Affairs (DVA) 6,073 15.28%

Dormitory Authority of the State of New York (DASNY) 1,592,055 0.29%

Empire Center at the Egg (EGG) 0 0.00%

Empire State Development (ESD) 2,906,803 3.88%

Environmental Facilities Corporation (EFC) 100,887 2.24%

Erie County Fiscal Stability Authority (ECFSA) 0 0.00%

Erie County Medical Center (ECMC) 329,841 0.68%

Executive Chamber (CHAMBER) 18,460 68.72%

Gaming Commission (GAMING) 8,988 0.03%

Governor's Office of Employee Relations (GOER) 0 0.00%

Higher Education Services Corporation (HESC) 0 0.00%

Housing Trust Fund Corporation/Governor's Office of Storm Recovery (GOSR) 188,927 3.26%

Hudson River Park Trust (HRPT) 51,889 0.50%

Hudson River‐Black River Regulating District (HRBRRD) 6,452 1.44%

Information Technology Services (ITS) 6,554 0.02%

Jacob Javits Convention Center (JAVITS) 380,558 1.90%

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Agency/Authority SDVOB

Utilization $ SDVOB

Utilization %

Joint Commission on Public Ethics (JCOPE) 0 0.00%

Justice Center for the Protection of Persons with Special Needs (JUSTICE) 0 0.00%

Livingston County Water & Sewer Authority (LCWSA) 0 0.00%

Long Island Power Authority (LIPA) 1,075,345 3.38%

Metropolitan Transportation Authority (MTA) 1,107,282 0.07%

Nassau County Interim Finance Authority (NIFA) 0 0.00%

Nassau Health Care Corp. (NHCC) 0 0.00%

Natural Heritage Trust (NHT) 0 0.00%

New York Power Authority (NYPA) 1,737,490 7.35%

New York State Bridge Authority (NYSBA) 41,766 0.25%

New York State Energy Research & Development Authority (NYSERDA) 167,552 2.81%

New York State Homes & Community Renewal ‐ DHCR, HTFC (DHCR) 88,504 3.80%

New York State Homes & Community Renewal ‐ HFA, AHC, SONYMA, MBBA, TSFC (HFA) 458,883 3.85%

New York State Insurance Fund (NYSIF) 357,767 1.16%

New York State Thoroughbred Breeding & Development Fund Corporation (NYBREDS) 0 0.00%

New York State Thruway Authority (NYSTA) 76,023 1.87%

Niagara Falls Water Board (NFWB) 0 0.00%

Niagara Frontier Transportation Authority (NFTA) 22,668 0.05%

Office for People with Developmental Disabilities (OPWDD) 36,885 0.31%

Office for the Aging (AGING) 3,251 21.51%

Office for the Prevention of Domestic Violence (OPDV) 0 0.00%

Office for Victim Services (OVS) 0 0.00%

Office of Alcoholism & Substance Abuse Services (OASAS) 8,866 0.15%

Office of Children & Family Services (OCFS) 38,195 0.20%

Office of General Services (OGS) 1,200,888 6.35%

Office of Mental Health (OMH) 133,639 1.85%

Office of Parks, Recreation, & Historic Preservation (PARKS) 335,025 0.24%

Office of Temporary & Disability Assistance (OTDA) 1,569 47.46%

Office of the Inspector General (OIG) 0 0.00%

Office of the Medicaid Inspector General (OMIG) 2,895 11.75%

Office of the Welfare Inspector General (OWIG) 0 0.00%

Ogdensburg Bridge & Port Authority (OGDEN) 0 0.00%

Olympic Regional Development Authority (ORDA) 0 0.00%

Port of Oswego Authority (OSWEGO) 479 0.49%

Public Employment Relations Board (PERB) 0 0.00%

Rochester Genesee Regional Transportation Authority (RGRTA) 4,690 3.12%

Roosevelt Island Operating Corporation (RIOC) 147,948 1.23%

Roswell Park Cancer Institute (RPCI) 0 0.00%

Schenectady Metroplex Development Authority (SMDA) 0 0.00%

State Commission of Correction (SCOC) 0 0.00%

State University Construction Fund (SUCF) 82,518 0.02%

State University of New York (SUNY) 1,453,366 0.29%

Syracuse Regional Airport Authority (SRAA) 4,079 0.43%

United Nations Development Corporation (UNDC) 246,804 6.76%

Upper Mohawk Valley Water Authority (MVWA) 0 0.00%

Westchester County Health Care Corporation (WMC) 92,856 1.59%

Workers Compensation Board (WCB) 53,053 10.25%

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Agency/Authority Efforts to Promote SDVOB Utilization Adirondack Park Agency The Agency is a small agency of only 54 FTEs and has a very limited discretionary budget. The Agency does not enter into State contracts on a routine basis. However, the Agency continually looks for ways to utilize SDVOB in its day-to-day discretionary spending by educating its procurement/purchasing personal via monthly discussions on updates to SDVOB legislation and requirements and regular review of the SDVOB listing to determine if any newly certified firms can provide needed services or commodities. Agriculture and New York State Horse-Breeding Development Fund The Fund is a small agency with very low discretionary spending. Many of the SDVOB vendors appear to be construction related, which the Fund does not use. The list of SDVOB vendors is reviewed by the Fund’s purchasing personnel with a focus on increasing SDVOB utilization. Albany County Airport Authority The Authority helps certified SDVOB firms identify procurement opportunities and understand procurement processes, policies and procedures. The Authority seeks to increase the pool of available SDVOB firms by encouraging uncertified firms to get certified as a SDVOB. The Authority works closely with prime contractors to ensure that they comply with requirements to report payments to subcontractors and that they make good faith efforts to meet the utilization goals established for the contract. Assistance to prime contractors includes providing them with lists of certified SDVOB’s able to perform specific types of work that falls within the scope of the contract. The Authority has established an SDVOB purchase goal of 6% of eligible spending, with an eligible spending budget of approximately $6 million. Albany Port District Commission The Port of Albany puts SDVOB language in all procurement documents so that those interested in doing business with the Port know that the Port is actively looking for SDVOB contractors. Port leadership reviews the most current list of certified SDVOBs looking for opportunities to engage contractors and are in regular contact with the Division of SDVBD to find certified contractors. Members of the Port’s leadership team will be attending VetCon 2017. The Port’s procurement personnel, and all Port staff, are educated and updated regarding SDVOB requirements at regularly held staff meetings. Alcohol Beverage Control Board/State Liquor Authority (SLA) Many commodities and services used by the SLA are acquired through centralized State contracts. Other spending is made using purchase orders and the procurement card system. Efforts have been made to identify opportunities for outreach. The SLA has consistently sought to identify certified vendors using the SDVOB database and promote the utilization of SDVOBs. Agency staff attended workshops at the 2017 NY GovBuy event to learn more about the SDVOB program requirements. Through these efforts, the SLA was successful in securing commodities in FY 2017-18 from a SDVOB. Battery Park City Authority (BCPA) When a procurement opportunity arises, BPCA’s procurement team conducts extensive outreach to the SDVOB community and reaches out to OGS’s Division of Service-Disabled Veterans for additional outreach. BPCA also identifies companies owned by a disabled-veteran but not yet certified as an SDVOB and assists in connecting them with OGS for certification as a SDVOB. BPCA also has an established track record in assisting contractors to meet, and where possible has exceeded Governor Cuomo’s established goal of 6%. Board of Elections (BOE) After review of the SDVOB vendors currently certified, the BOE has identified the following areas where we could possibly leverage SDVOB procurement opportunities: Office Furniture/Supplies/Equipment; IT Resellers, and Advertising, Printing & Marketing Services. As part of the BOE’s day-to-day activities, the Administrative Office intends to regularly identifies SDVOB resources from the OGS directory and have an ongoing dialogue with OGS staff; actively solicit SDVOB vendors by reviewing all possibilities on the OGS contracts; actively solicit SDVOB vendors for all open, competitive bid opportunities; continually encourages BOE’s Purchasing cardholders to utilize SDVOB firms by reviewing statements to identify areas where utilization could be improved. Buffalo Fiscal Stability Authority To encourage participation of NYS certified SDVOBs within the Authority’s contracts and procurements, Authority staff routinely searches the SDVOB database for qualified vendors for the goods and services being procured, as applicable. Once potential vendors are identified from the list, staff attempts to contact the vendors by phone and email. In the event an identified SDVOB has failed to respond to staff requests for information and/or quotes, an email

7

is sent to the Division to inform them of the difficulty in obtaining a response from the identified SDVOB vendor. Additional guidance and assistance is requested at that time. Capital District Transportation Authority (CDTA) CDTA staff has increased utilization from less than a .5% to almost 2% through outreach to SDVOBs via the directory, meeting with NYS OGS contract vendors who offer subcontracting opportunities with SDVOBs. Staff will be participating in the upcoming VetCon event to try to meet even more SDVOBs. Additionally, staff will begin utilizing SDVOB language in IFBs and RFPs to encourage participation. Cayuga County Water and Sewer Authority (CCWSA) The CCWSA does not currently have State contracts and/or subcontracts. Whenever CCWSA has services or product needs, staff searches the program system information to find utilization opportunities. CCWSA is a small water and sewer service utility, revenue-based business with a small staff. The CCWSA will continue to educate its staff and continue to search for opportunities to utilize the SDVOB program. Central New York Regional Transportation Authority (CNYRTA) The CNYRTA collectively considers the objectives of the SDVOB program as well as methods to increase participation. Each Invitation to Bid and Request for Proposal greater than $25,000 is advertised in local newspapers, indicating that SDVOBs are encouraged to respond. Additionally, CNYRTA reviews the list of NYS certified SDVOBs and sends bid/proposal packages to those businesses that meet the description of the specifications for each bid. Prior to bid submissions, a pre-bid meeting is conducted to inform potential bidders about subcontracting opportunities and CNYRTA’s commitment to maximize utilization of SDVOBs. Due to the lack of construction contract needs, the CNYRTA focuses on commodities and services as the main contracting categories in which to capture SDVOB utilization. City University Construction Fund (CUCF) The CUCF Procurement Services website (www.cuny.edu/cunybuilds) provides a resource where solicitation announcements are posted, solicitation documents can be downloaded, and where SDVOBs can link-up with actual or potential prime contractors by accessing updates on partnering opportunities and procurement status. At the annual conference held jointly by CUCF/CUNY, SDVOBs learn how to do business with CUCF and can network with College decision makers, industry representatives and NYS/NYC government resources. New solicitations issued after April 1, 2017, contain required SDVOB provisions indicating up to a 6% SDVOB goal. CUCF recently adopted the requisite Discretionary Purchasing Guidelines, and is continuing its development of an operational process consistent with those guidelines for procurements not exceeding $200,000. Information on updated status of SDVOB vendors is distributed to all procurement staff. City University of New York (CUNY) CUNY hosted its annual supplier diversity conference on August 2, 2017 to encourage SDVOB firms to meet and develop business connections with its 24 colleges and selected prime contractors. During CY2017, CUNY’s Supplier Diversity Team began conducting SDVOB-focused outreach for specific solicitations in an effort to enhance procurement outreach efforts. In addition, CUNY recently updated its “Sell to CUNY” brochure and website (cuny.edu/selltocuny) providing up-to-date information for SDVOB firms interested in doing business with CUNY, including information on currently advertised opportunities. CUNY emphasizes the importance of incorporating SDVOB participation on CUNY contracts to purchasing directors during its monthly status meetings. Consistent with our approach, all SDVOB goals are reviewed by the Supplier Diversity Team for accuracy and completeness. During late 2017, CUNY worked to refresh its RFQ/IFB forms to highlight SDVOB participation goals on solicitations and to incorporate updated SDVOB contract terms into all new procurements starting in 2018. New York State Council on the Arts (NYSCA) NYSCA has limited discretionary operational funding. Much of the NYSCA budget is allocated to salaries, rent, and utilities. The remaining allocation supports travel, supplies, and equipment. Due to NYSCA’s small size, its budget and its mission, there are very few opportunities for agency contracting. Most of NYSCA’s procurement is done through discretionary purchasing. All State procurement guidelines and regulations are followed and, when necessary, the Contract Reporter is utilized. NYSCA’s procurement/purchasing personnel did review SDVOB legislation and regulations. Department of Agriculture and Markets The Department’s general approach to SDVOB inclusion is regular monitoring of potential contractual and/or discretionary spending for opportunities to utilize SDVOBs. While SDVOB contracting opportunities are limited due to

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the nature of the Department’s mission, the standard SDVOB language is included in our procurement and contract documents to ensure that even when no SDVOB goal is present that there is a reference to the program to aid in sight recognition for entities doing business with us. We also use Analyze NY to run quarterly reports to ensure we utilize any available credit for work performed by OGS on behalf of the Department. Department of Civil Service Upon receipt of a request for a discretionary purchase, the Assistant Purchasing Agent performs a thorough review of the SDVOB Directory to identify potential vendors. In terms of procurements, as contracts expire and new procurements are established, every effort will be made to identify potential SDVOB subcontractors. The Director of Finance is the SDVOB point of contact and the Office of Financial Administrative is responsible for both purchasing and procurements and informing staff of SDVOB requirements. Department of Corrections and Community Supervision (DOCCS) DOCCS uses all available opportunities to maximize SDVOB utilization including goal setting, discretionary purchasing, and set-asides as applicable. The Contract Procurement Unit (CPU) is designated as the primary oversight and compliance authority, and works in conjunction with correctional facilities to advance the SDVOB program. DOCCS has implemented a mandatory training requirement to educate staff on SDVOB requirements. All procurement staff are required to take this training on an annual basis. DOCCS encourages staff attendance at training sessions that promote SDVOB utilization. CPU hosts trainings and distributes memos for the purpose of sharing information about DOCCS’s SDVOB Program goals. DOCCS continues to participate in events designed to identify new Vendors/Bidders whenever possible. Department of Environmental Conservation (DEC) DEC initially focused on direct purchases from SDVOB businesses, recognized the need to expand the program and considered contract areas to pilot subcontracting goals, specifically its Standby Engineering procurement. To make recommendations as early on in the process as possible, the SDVOB program is housed within DEC’s procurement function. Staff regularly educate colleagues on the variety of ways SDVOBs can be engaged. Use of SDVOBs is part of a certified business checklist, required of each procurement under $50k. Program division staff detail steps employed to engage SDVOBs or reasons why there were no opportunities. This has resulted in several instances where DEC has exercised its discretionary authority in Executive Law. Department of Financial Services (DFS) DFS’s Procurement staff seeks to place orders with SDVOB vendors for purchases unavailable through a preferred source or OGS centralized contract. Staff attends events to promote DFS to SDVOBs and to obtain contact information for procurement opportunities. During the 2016 VETCON event, SDVOB vendor contact information was obtained and compiled into a bidders list for use in the issuance of RFPs. This list was utilized in the circulation of RFPs throughout 2017. Staff also attended the 2017 VETCON event. In addition to contracting opportunities, procurement staff work closely with Office Services to identify goods and services that can be obtained from SDVOBs under discretionary purchasing authority. Department of Health (DOH) In December 2017, DOH and DASNY will be releasing a $200M RFA for projects that facilitate health care transformation activities and create financially sustainable systems of care. An SDVOB goal will be placed on this opportunity and where proposed expenditures under the grant are eligible for participation, DOH will be seeking utilization plans that are reflective of this goal and working to ensure grantees comply with their stated goal. Going forward, DOH template procurement language will include a mention of the SDVOB program regardless of whether SDVOB goals are appropriate. DOH also sent staff to VETCON in November 2017 and continues to partner with DASNY in finding SDVOB opportunities on our facilities maintenance projects. Department of Labor (DOL) DOL’s SDVOB program has established procurement policies, processes and procedures to identify and promote utilization of SDVOBs. DOL routinely solicits SDVOBs to fulfill DOL’s orders for commodities and services for discretionary purchases. DOL’s SDVOB administrator advises procurement and contract staff of updates to the SDVOB directory and the SDVOBS on OGS centralized contracts. DOL has and will continue to participate in outreach activities to increase the identification of SDVOBs that can provide goods and services to DOL. The SDVOB administrator works with program areas when RFA/RFPs are being developed to analyze whether there is opportunity for SDVOBs. SDVOB contract goal RFP language is provided in all RFP/RFA/IFBs.

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Department of Motor Vehicles (DMV) Throughout 2017, DMV has promoted the utilization of SDVOBs on State contracts and subcontracts in several ways. Procurement staff search the list of certified SDVOBs for potential participation for each procurement DMV issues. DMV has incorporated the SDVOB standardized solicitation and contract language in all procurements to further promote the SDVOB Program. Staff continually review the list of certified SDVOBs to see where DMV can purchase directly from SDVOBs with discretionary funds. DMV staff have attended SDVOB trainings offered to keep apprised of any changes or updates to the SDVOB Program, and staff have attended SDVOB meet and greet events to network with prospective SDVOBs. These events have been beneficial in promoting DMV’s participation in the SDVOB Program. Department of Public Service (DPS) DPS will strive to increase the use of SDVOBs by continuing outreach efforts to secure contracts with the SDVOB community. Open competitive procurement opportunities are advertised in the NYS Contract Reporter in accordance with Office of the State Comptroller’s established guidelines. Procurement opportunities are also posted on DPS’s website. DPS expects that advertising in the Contract Reporter and competitively bidding new contracts will generate more competition and increase the likelihood of SDVOB participation. Additionally, DPS’s Office of Administration regularly reviews the SDVOB Directory for opportunities to fulfill discretionary purchasing needs via SDVOB vendors. Department of State (DOS) As part of DOS’s efforts to promote SDVOB utilization in 2017, DOS developed SDVOB language for DOS procurement and contract documents; created informational memoranda for contractors and programs; requested contractors to make a concerted effort to engage SDVOB subcontractors in the performance of their DOS contracts; identified and created opportunities for SDVOB participation; reached out to SDVOBs for DOS's discretionary procurement of goods and services; and advised program and procurement staff to attend SDVOB events and to participate in SDVOB-related trainings. SDVOB material is part of DOS’s MWBE presentations to contractors and programs. Finally, DOS staff attended the November 2017 VETCON Conference and other SDVOB events. DOS will intensively use Analyze NY to ensure accuracy in its reports. Department of Taxation and Finance Procurement staff routinely utilize the below techniques as part of the Department’s strategy to maximize SDVOB utilization:

• Include SDVOB language in Department contracts and solicitations. • Regularly identify SDVOB resources from the SDVOB directory and have ongoing dialogue with OGS staff, as

necessary. • Actively solicit SDVOB vendors for all open, competitive bid opportunities. • Utilize special discretionary buying threshold for SDVOB firms, when applicable. • Continually encourage the Department’s Purchasing cardholders to utilize SDVOB firms. • Reach out to sister agencies to discuss their strategies to maximize SDVOB utilization and identify potential

SDVOB vendors. • Consistent with the Economic Development Law, publish any bid opportunity of $15,000 or greater in the

weekly publications and the quarterly listing of general procurement of $5,000 to $15,000. Department of Transportation (DOT) Staff from the DOT Purchasing Office traveled to 11 Regional Offices to conduct training on SDVOB procurement for internal staff. Purchasing staff attended the Cobleskill SDVOB matchmaker event in 2017 and attended the VETCON conference in both 2016 and 2017. Information received from SDVOBs at the conferences is distributed to DOT program areas and regional purchasers after each event. The Purchasing Office assesses all procurement opportunities for potential SDVOB goals. Purchasing has awarded two projects to date containing SDVOB goals and seven contracts have been awarded to Architectural/Engineering/Survey Consultants. Reviews of the SDVOB directory are conducted for every solicitation issued by Purchasing to ensure SDVOBs are added to mailing lists. In DOT’s WorkSmartNY Orientations, 30 SDVOBs received information on upcoming major projects, dual certification assistance and an overview of doing business with DOT Development Authority of the North Country The Authority actively seeks SDVOB participation in its contracts. Procurements are decentralized and performed at division level. The Authority has developed templates for IFBs and RFPs for the divisions’ use that includes SDVOB participation goals. The list of certified SDVOBs is reviewed to identify potential certified firms to solicit when an IFB or RFP is let. All IFBs and RFPs are also listed on the Contract Reporter. Division managers review all contracts to ensure efforts are made to include SDVOB participation where available. Finance staff reviews the Authority’s annual operating budget and capital projects for the upcoming fiscal year and identifies potential opportunities for known SDVOBs.

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Division of the Budget Based on the Division’s pattern of spending and the makeup of certified SDVOBs, the Division’s strategy is focused primarily on the purchase of office supplies. The Division evaluates all service and commodity procurements to gauge whether they are suited for subcontracting goals, set asides, or direct purchase from a certified NYS SDVOB. In addition, the Division continuously monitors the certified SDVOB vendor list to identify areas where purchases could be made from an SDVOB vendor. The Division’s procurement staff are aware of all SDVOB regulations and guidelines and will continue to evaluate all procurements for SDVOB utilization. Division of Criminal Justice Services (DCJS)

• DCJS includes SDVOB language into each solicitation and contracts • DCJS holds quarterly meetings with program areas. Each meeting DCJS includes SDVOB on the agenda to

encourage the use of SDVOB • DCJS Procurement Office forwards all informative communications pertaining to or from SDVOB business to

all program areas, to stay current on all vendors or changes. • DCJS presented a SDVOB segment to the agency during our yearly “Procurement 101” training. • DCJS has uploaded SDVOB information to the DCJS Intranet for programs reference and information. • DCJS Procurement Office promotes and responds to all inquiries from program areas on desired items or

services that could be utilized by SDVOB vendor Division of Homeland Security and Emergency Services (DHSES) DHSES began reviewing all purchases in 2017 to ensure that it is looking for SDVOB opportunities when available. This involves the agency’s Procurement Officer and Purchasing Agents being involved in looking for opportunities when available. Over the past couple of months DHSES has begun utilizing SDVOB vendors and resellers and looks to significantly increase its utilization moving forward as DHSES staff continues to network with various vendors and resellers. Division of Human Rights The Division tries to maximize its SDVOB discretionary spending whenever possible. The agency discretionary spending consists mainly from the purchase of office supplies. Division of Military & Naval Affairs (DMNA) DMNA personnel were encouraged to seek and refer potential SDVOBs to the SDVOBD office to gain certification. In this effort, communication between DMNA Headquarters in Latham, New York and the various program staff are crucial to effectively utilizing and promoting SDVOB. DMNA has conducted training with program staff on how to search the SDVOB list to check which vendors can provide the required goods or services. Division of State Police The Division has developed purchasing guidelines that are disseminated to all employees that are involved in purchasing and/or contracting. Specific instructions regarding the identification, solicitation and use of SDVOBs are included in this document. The Division utilizes the SDVOB database, OGS contract listings and information on file to identify SDVOB vendors for purchases. Solicitations received from SDVOB vendors and all promotional materials are kept on file electronically and are added to current or future bidder lists as appropriate. This file is reviewed by purchasing staff to ensure familiarity with vendors that provide required goods and/or services. Correspondence or other marketing contacts received from businesses are reviewed and the information is added to our files for future reference. Division of Veterans Affairs (DVA) DVA seeks all feasible opportunities to procure goods and services from SDVOBs. For instance, when DVA needed new signs for all of the agency’s field offices, DVA conducted extensive research to find an SDVOB to meet this need. DVA conducted similar research to engage an SDVOB for purchases of multiple promotional/outreach items bearing DVA’s logo and branding. Furthermore, DVA conducts hundreds of Veteran-focused outreach events across New York State every year, and uses these outreach events as a platform for informing Veterans, Service members, and their families about New York’s SDVOB certification program and the benefits of gaining this certification. Dormitory Authority of the State of New York (DASNY) DASNY engaged SDVOBs for prime and subcontracting opportunities in construction, construction-related professional services, internet technology, operations, and commodities/services. Outreach included: direct notice of procurement opportunities to SDVOBs; SUNY Cobleskill SDVOB Matchmaking Event participation, NYS MWBE/SDVOB Forum and VETCON; conducting Statewide project informational/networking sessions; advertising on website, enrolling SDVOBs in DASNY’s Registry, and Plan Holders/Interested Subcontractor /Suppliers List, designed to link M/W/SDVOB/SBEs, with DASNY opportunities. Through DASNY’s syndicate of underwriters, SDVOBs received 6% (approximately $150,000) of sales to institutional investors. DASNY’s Opportunity Program Group meets with

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DASNY divisions to identify opportunities for SDVOB firms. DASNY set aside an Architectural, Engineering/Surveying Term contract, engaging 13 SDVOBs with contracts up $1,000,000. Empire Center at the Egg The Egg’s primary strategy for increasing SDVOB participation is through distribution of periodic email reminders for Egg staff to revisit the SDVOB database on a regular basis, inquire with current vendors to see if their firm or business would be eligible for SDVOB certification, and to ask other local arts venues if they are aware of any local vendors who may be eligible for SDVOB certification. Empire State Development (ESD) ESD’s Office of Contractor and Supplier Diversity (OCSD) sets goals on upcoming procurements and projects, analyzing the subcontracting opportunities and availability of SDVOBs prior to their release to the public. ESD program staff are also encouraged to utilize the discretionary thresholds to make purchases without release of an RFP. ESD has coordinated outreach events targeting SDVOB subcontractors for the three largest construction projects ESD currently has: the Javits Transformer, the Javits Expansion, and the Moynihan Train Hall. ESD staff also participated in this year’s VETCON to meet SDVOBs, discuss ESD contracting opportunities, and identify potential SDVOB firms for future opportunities. In addition, OCSD has begun identifying (i) new and updated policies and procedures for management of the SDVOB program, and (ii) distribution of this information to all necessary staff. Environmental Facilities Corporation (EFC) EFC regularly participates in conferences and outreach events. For example, EFC staff attended the Contracting with Service-Disabled Veteran-Owned Businesses class at the 2017 NY GovBuy event. EFC utilizes SDVOBs for professional services whenever possible and also utilizes SDVOBs for the purchase of IT products and miscellaneous office supplies, when feasible. EFC has developed a set of Bid Packets to assist recipients of EFC financial assistance, and contractors and subcontractors on EFC-funded projects in complying with EFC program requirements. The Bid Packets contain language that encourage the use of SDVOBs for federally funded projects and set goals of 6% on State funded projects. EFC also updated its procurement policy this year to include specifics regarding procedures that procurement staff follow. Erie County Fiscal Stability Authority The Authority is a small, three staff member Authority headquartered in Buffalo, NY. The Office Manager has primary responsibility for agency purchasing. Primary purchases include legal and accounting services, and office related items. The Agency has no construction or other major contracts. Prior to purchases, the Office Manager reviews the current list of SDVOB vendors to determine if any goods or services needed by the Authority are available through this source. Erie County Medical Center Corporation (ECMCC) ECMCC strategies include:

1. For RFPs, requiring a mandatory pre-bid call where all SDVOB requirements/reporting are reviewed prior to submission of proposals

2. Requiring a Utilization Plan to be submitted as a requirement with documents 3. Updating the ECMCC web page specific to the procurement opportunities within ECMCC 4. All outreach events, sharing both MWBE and SDVOB goals and opportunities within ECMCC 5. Sending a blast email on any upcoming SDVOB events/programs/activities shared to ECMCC’s internal

directory of certified vendors 6. Referencing in the ECMCC newsletter SDVOB 6% goal & Veteran One Stop event 7. Making a presentation to the Purchasing Dept -covering SDVOB requirements and sharing the SDVOB

Certified Directory with them and Buffalo Niagara Medical Campus Procurement team 8. Participating in the 2017 VETCON event in Albany

Executive Chamber Due to the current procurement needs of the Chamber, all SDVOB utilization is currently achieved by purchasing office supplies. The Chamber’s procurement staff reviews each contract and purchase request and communicates with OGS’s SDVOB Division to determine whether SDVOB utilization is possible. In addition, the Chamber closely monitors the SDVOB certification directory to identify vendors from whom purchases can be made. Gaming Commission The Commission is in the process of developing policy and procedures related to the SDVOB program. Once these documents are finalized, they will be shared with Commission staff, which will assist in delivering the program to procurement staff in a more effective manner. The Commission will continue to assess each procurement opportunity and set a goal, where applicable on each contract. To identify State certified SDVOB contractors, the SDVOB

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compliance staff in cooperation with the Contract Management Staff will utilize the directory of NYS Certified SDVOBs. Good faith efforts will be monitored closely. Governor's Office of Employee Relations (GOER) GOER seeks to procure with SDVOB vendors whenever possible. GOER’s purchasing unit assists program staff in identifying opportunities for SDVOB utilization. All procurements are monitored to ensure good faith efforts are made to utilize SDVOBs, whenever possible. New York State Contract Reporter ads include the agency’s SDVOB goals for that procurement, as applicable. As a means of promoting SDVOB utilization, GOER attends SDVOB outreach events such as, VETCON. Higher Education Services Corporation (HESC) Before awarding a new contract or purchase order, HESC determines whether a qualified SDVOB is available to provide all or a portion of the goods/services being sought. HESC purchasing staff use the certified list of SDVOBs, its own list of bidders, and other means of communication to reach possible SDVOB vendors. If a qualified SDVOB is identified by the agency, HESC staff involve them in the procurement process as an identified vendor. These combined efforts have allowed HESC to successfully utilize the services of a certified SDVOB during the year. Moving forward, HESC will continue its current practice of identifying SDVOBs, while educating procurement staff of ongoing requirements, with the hope that additional SDVOB vendors can be identified to fulfill HESC’s needs. Housing Trust Fund Corporation/Governor's Office of Storm Recovery (GOSR) GOSR through its Office of Diversity and Civil Rights (DCR) has implemented efforts to promote participation and utilization of SDVOBs. These include the following:

• Conducting 8 training sessions for GOSR’s vendors on SDVOB requirements; • Participating in 25 SDVOB-targeted events throughout New York State, including Vetcon; • Hosting 8 “Meet and Greet” events bringing together SDVOB’s with GOSR project leads for networking

opportunities; • Training SDVOBs on use of GOSR’s “Opportunities Portal”; • Providing continued technical assistance and training on SDVOB requirements to all stakeholders; • Including SDVOB language in all applicable GOSR RFPs; • Sending regular emails to SDVOBs listed in the OGS portal regarding GOSR’s current contracting

opportunities. Hudson River Park Trust (HRPT) HRPT has actively endeavored to promote the utilization of SDVOBs through the education and monitoring of our procurement staff and procuring departments, coupled by an active outreach program to certified SDVOBs. HRPT has a dedicated MWBE/SDVOB compliance analyst, whose responsibilities include: mentoring procuring staff on the most recent updates to SDVOB policies, setting goals, assistance with matching certified vendors to prime contractors, and ensuring contractor compliance throughout the term of the contract. HRPT staff also attended VetCon 2017 in Albany as a means of increasing exposure to the SDVOB community. Hudson River-Black River Regulating District The District’s overall strategy consists of identifying SDVOB firms, both primary and secondary, from the directory of certified businesses serving the North Country. The District sends “general requests for qualifications” to all engineering firms demonstrating hydraulic/hydrologic capabilities. All proposals requiring hydraulic/hydrologic capabilities are sent to those firms identified. The firms selected will be required to utilize SDVOB sub-consultants where applicable. Additionally, where possible, we will unbundle contract deliverables. All contracts include SDVOB language. To further support our efforts, purchasing personnel received SDVOB program training. Office of Information Technology Services (ITS) ITS set up exhibits at three events this year. Procurement staff discuss with SDVOBs how to do business with ITS. Staff provide each SDVOB with materials that help them understand what their opportunities are and also offer follow-up meetings after the events. ITS conducted separate follow-up meetings with certified SDVOBs. During these meetings, ITS has aided SDVOBs in navigating the New York State contract and procurement process, has sought additional information about their offering which may suit the needs of ITS, and has offered ongoing assistance. ITS’s infrastructure facilitates efficient distribution of SDVOB-related information. ITS communicates new SDVOB requirements information through a clearly specified network of Resource Managers and Procurement Liaisons in each program area. Jacob Javits Convention Center During the 2017 calendar year, the Center has tried to increase SDVOB participation by utilizing the directory of certified SDVOBs to identify firms to inform them about business opportunities in their area. Center staff has sent

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copies of the solicitation document to every certified SVDOB that appears to provide the goods and services requested within the geographic area. Purchasing Agents have contacted SVDOB firms to discuss the goods and services they offer. The Center has included in the bidders list for IFBs and RFPs SVDOB firms provided by OGS when ads for commodities and services are placed in the NYS Contract Reporter. Joint Commission on Public Ethics (JCOPE) JCOPE’s Director of Administration oversees three staff in all procurement activities. All staff have been trained and are aware of JCOPE’s SDVOB goals. All service and commodity discretionary procurements are required to attempt to utilize SDVOB vendors for purchases to include office supplies, computer hardware, and audit services. As SDVOB vendors are added to the available vendors who supply these goods and services, JCOPE will procure accordingly. Justice Center for the Protection of Persons with Special Needs After ensuring that purchasing staff are equipped with the most recent eligible SDVOB vendor lists through internal email distribution, the Center’s SDVOB review process includes vetting commodities and services available through centralized contracts for SDVOB-approved vendors before procuring; and closely examining the most recent eligible SDVOB vendor tracking sheets before making discretionary purchases. In January, the Center successfully identified ‘Tony Baird Electronics’ as a vendor capable of meeting agency needs through the standard SDVOB review process and completed a significant procurement. The majority of Justice Center discretionary purchasing is, however, made through centralized contracts, which has the impact of limiting the opportunity for open-market procurements. As circumstances warrant, the Center will explore using set-aside contracts to meet the Center’s goals. Livingston County Water and Sewer Authority (LCWSA) While LCWSA has very few contracts and subcontracts that meet the State contracting thresholds, the LCWSA has taken proactive steps internally and externally to encourage SDVOB participation in LCWSA contracts. Internally, as part of regular staff meetings, staff are reminded of the SDVOB directory and are encouraged to utilize the directory whenever practical. As part of construction meetings for ongoing contracts, Contractors and Subcontractors are encouraged to seek out additional opportunities to utilize certified SDVOB. Long Island Power Authority (LIPA) LIPA has conducted the following: established exclusion list based upon certified SDVOBs matching our procurement needs and revising monthly as firms become certified or cease operations; published updated procedural documents on PSEG Long Island procurement website including the adoption of set-asides and discretionary spend; updated all contracts documents (including RFP and PO templates), processes and procedures to reflect SDVOB requirements; conducted procurement staff training and provide ongoing counsel to staff and prime contractors; had staff attend networking events to promote greater participation by SDVOBs and collect contact information about diverse suppliers and maintaining contacts for future events and procurement opportunities. Metropolitan Transportation Authority (MTA) The MTA continues to achieve 6% SDVOB participation in its bond underwriting transactions. MTA staff review procurements for SDVOB or discretionary set aside opportunities, and assist procurement staff in identifying SDVOBs. MTA agencies have also continued their efforts to training procurement staff on SDVOB requirements, soliciting from SDVOBs for commodity purchases, and identifying SDVOB resources from the list of certified firms, and notifying prime contractors of the SDVOB Program. Additionally, NYC Transit has increased SDVOB participation by creating SDVOB contract boilerplate language to encourage participation even if no SDVOB goals are assigned, and utilizing a small purchase program to encourage use of SDVOBs in procurements under $100,000. MTA agencies also continue to attend outreach events, including the VETCON NY event. Nassau County Interim Finance Authority (NIFA) All NIFA’s RFPs have an SDVOB goal of 6%. NIFA has a small administrative staff of five people that are responsible for personnel, purchasing, telecommunications, employee benefits, payroll, mailroom and copying functions, voucher payments, computer programming and network administration, etc. All five people work closely together in all aspects of the administration of NIFA. The Executive Director manages the functions of this unit. The Executive Director oversees implementation of NIFA’s policy and directs NIFA’s efforts to grant SDVOB’s an opportunity to compete for NIFA’s business. Nassau Health Care Corporation The Corporation advertises all its current bid and RFP opportunities on its website and in the local paper. The Corporation also contacts any SDVOB that has a scope of services that match any current RFP or Bid. The Corporation has also been educating hospital staff on SDVOB utilization and try encourage them to do business with SDVOBs.

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Natural Heritage Trust (NHT) NHT has encouraged agency partners to contact SDVOB vendors when they are procuring services or products by providing a list of all SDVOB businesses to staff responsible for procurements in their regions. NHT is in the process of completing a compliance form that will be distributed to all regions requiring them to report on which SDVOBs were contacted for bids. Often, NHT raises funds for a portion of a given program or project – most procurements are done by our partnering agencies (e.g., NYS Parks and NYS DEC), so NHT is somewhat limited by what the partnering agencies do to reach SDVOB goals. NHT has found that in a few instances, SDVOBs were not willing to give a quote if SDVOBs were not the only entities being contacted for bids. New York Power Authority (NYPA) NYPA and the Canal Corporation (Canals) have ensured that (1) bid solicitations were forwarded to the SDVOB community, (2) SDVOB firms are regularly solicited for RFP opportunities and discretionary spend opportunities, and (3) sourcing events are exclusively conducted for the SDVOB community when applicable. SDVOB training was provided to procurement personnel at NYPA and Canals. From January 2017 to November 2017, SDVOBs have been awarded contracts valuing $2,379,600.97. NYPA/Canals will continue to seek out opportunities to utilize SDVOBs in our procurement and purchasing activities. New York State Bridge Authority (NYSBA) NYSBA attends all matchmaker events and expos that feature SDVOB firms whenever possible, in addition to conducting outreach to business support organizations to promote awareness of NYSBA procurements. NYSBA contract opportunities are advertised on the Contract Reporter and our website, and NYPA sends out personal invitations to all best-match SDVOB firms for each contract opportunity. NYSBA enforces goals on all contracts, includes SDVOB Narratives and Utilization Plan requirements, and amends internal controls to allow reasonable higher bids (10%) for procurement/purchasing and all outside services. NYSBA searches for opportunities within each department to utilize a qualified SDVOB firm to replace existing generic procurements when reasonable. New York State Energy Research and Development Authority (NYSERDA) NYSERDA as a practice:

reviews each RFP for SDVOB opportunities, reviews the firms on the certification list, reaches out via email to confirm the skills of the SDVOB, and once the RFP is issued we notify SDVOB firms of the opportunity.

NYSERDA educates: procurement and program staff on SDVOB requirements via meetings and emails included SDVOB requirements in our Procurement and Program Contract Guidelines and Operations &

Procedures Manual, and we’ve reviewed the SDVOB goal plan and specific actions planned with executive sponsors.

As a result, NYSERDA has executed a total of nine purchase orders year to date, with a value of $118,000 – with six contracts that include SDVOB goals projected to be executed prior to year-end. New York State Homes and Community Renewal (HCR) HCR’s Office of Economic Opportunity and Partnership Development has done the following to ensure SDVOB participation in the Agencies’ contracting opportunities:

1. Encourage not-for-profits and development contractors to procure goods and services from SDVOBs by: a. Including SDVOB goals in all opportunities. b. Reviewing, reporting and monitoring SDVOB Quarterly Reports

2. Communicate HCR’s commitment to SDVOB utilization in contracting opportunities by reinforcing the solicitation of SDVOBs including identifying certified SDVOBs. HCR also:

a. Includes goals and boilerplate language in all solicitations and contracts b. Conducts a review of renewal contracts and upcoming solicitations c. Participates as a member of the selection committee for all procurement contracts

3. Coordinate with procurement and program staff on SDVOB requirements New York State Insurance Fund (NYSIF) NYSIF’s efforts include, ongoing education of its procurement staff, to ensure that every feasible procurement opportunity available to SDVOB’s is utilized to allow for their maximum participation; and incorporating language in NYSIF’s contracts to promote SDVOB contract opportunities. NYSIF’s external outreach includes website advertising of procurement opportunities, as well as inviting SDVOBs to increase their participation, and informing potential

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SDVOBs of certification resources. As part of its outreach efforts, NYSIF was in attendance at the second annual VETCON on November 28-29, in Albany, NY. New York State Thoroughbred Breeding & Development Fund Corporation The Fund routinely reviews the database of certified SDVOBs for new certifications and purchasing opportunities. The Fund has referenced the SDVOB database to search for, and reach out to, qualified vendors needed for financial services (annual audit), IT maintenance, workers’ compensation insurance, and audio visual/media services. New York State Thruway Authority (NYSTA) NYSTA evaluates all agreements, construction contracts and purchases to determine if the scope of work provides opportunities for SDVOB participation. To date 90% of all agreements, have SDVOB goals. NYSTA is working to find smaller projects in construction to include SDVOB goals and adding "Focused Procurement" contracts in NYSTA’s commodities group. NYSTA participates in all SDVOB outreach events and encourages firms to visit and discuss potential work opportunities with NYSTA. Niagara Falls Water Board The Board has included a 6% SDVOB goal in every contract in excess of $25,000 for labor, services, equipment, materials or any combination of the foregoing and in excess of $100,000 for real property renovations and construction that went out. Contract language also states that it is the contractor’s responsibility to document “good faith” efforts to utilize certified SDVOB subcontractors, submit quarterly compliance and payment reports and submit a report documenting progress made toward achieving the MWBE/SDVOB goals. Niagara Frontier Transportation Authority (NFTA) NFTA’s Procurement Department has continued to encourage SDVOB participation in the following ways:

• NFTA personnel participated in community and state-wide outreach SDVOB programs as they became available

• NFTA consults the list of certified SDVOBs when making procurements • NFTA has provided information and training to new procurement personnel on the SDVOB program • NFTA staff has been educated on how to access the certified SDVOB list when making procurements • NFTA has provided assistance to SDVOBs for how to gain SDVOB certification • NFTA has made specifications available to SDVOBs free of charge in the EEO/Diversity Development office

and in the Engineering Department • NFTA is currently evaluating the discretionary purchase section of State Finance Law § 163(6)

Office for People with Developmental Disabilities (OPWDD) OPWDD has trained procurement staff on the Act and has advised them of OPWDD’s 2017/18 annual goal plan. Although OPWDD is faced with the challenge of a limited number of certified SDVOBs that can meet our human service needs, OPWDD makes a good faith effort to utilize SDVOBs when opportunity allows. As a result, OPWDD procurement staff solicits SDVOBs frequently for discretionary purchasing, and other procurements. OPWDD includes the SDVOB contract language in all procurements. OPWDD has also made efforts to solicit SDVOB for procurements that are under the dollar thresholds specified in the Act. New York State Office for the Aging (NYSOFA) NYSOFA strongly encourages its contractors to utilize SDVOBs for any non-personal service discretionary spending. Current boilerplate language is included in each contract and competitive offering. To identify SDVOB contractors for procurements, NYSOFA purchasing staff participated in VETCON in both 2016 and 2017. NYSOFA staff frequently references the SDVOB list to identify new SDVOB suppliers. NYSOFA’s Assistant Minority Business Specialist is now seated with NYSOFA purchasing staff to directly assist with SDVOB inclusion in discretionary purchasing. Office for the Prevention of Domestic Violence (OPDV) OPDV is a hosted agency administered by the DCJS. The Affirmative Action Administrator working in collaboration with OPDV Financial Services will ensure that procurement liaisons are aware of SDVOB goals, which are a priority for DCJS’s and OPDV management. When making purchases, OPDV staff reviews the list of SDVOBs to identify opportunities for SDVOB participation. Procurement liaisons are continually kept abreast of OPDV’s commitment to meet and exceed SDVOB goals by participating in meetings and sharing strategies for meeting our goals. For the upcoming program year, OPDV will adhere to the clearly stated DCJS SDVOB policy and continue to consider the use of SDVOB for all procurements, and advertise appropriate opportunities in the Contract Reporter to encourage the submission of SDVOB proposals. Office for Victim Services (OVS) The following describes OVS’s process of identifying SDVOB vendors for contracts related to its Federal Training Grant:

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• Subject matter expert consultants are solicited from OVCTTAC and NAVAA for contract consideration. • The SDVOB directory is searched via keyword for additional candidates. • Quotes for services are requested from all potential consultants. • Candidates are vetted and awarded based on subject matter expertise, value and SDVOB status.

Purchasing and procurement staff have been advised of SDVOB legislation, goals and how to search the directory for certified vendors.

Office of Alcoholism and Substance Abuse Services (OASAS) OASAS purchasing procedures require that SDVOBs be contacted for price quotations for purchases that are not restricted to Preferred Sources or Centralized Contracts. This year OASAS created an independent unit dedicated to MWBE and SDVOB opportunities, which developed and conducted training for all agency purchasing agents and procurement card holders to ensure they understand the requirements and know how to find potential suppliers in the SDVOB vendor directory. In addition, staff attended the SDVOB Matchmaking Event at SUNY Cobleskill on July 7, 2017 and the Annual VETCON Conference in November. These events provide opportunities to learn more about potential SDVOB suppliers and develop linkages. Office of Children and Family Services (OCFS) SDVOB subcontracting opportunities are evaluated based on the goods and services being procured and goals are set accordingly. OCFS strongly encourages OCFS contractors to consider the utilization of SDVOBs for at least 6% of discretionary non-personnel service spending. OCFS reviews the list of certified SDVOBs prior to releasing a procurement to determine if there are certified SDVOBs that appear to be suitable in meeting OCFS needs. OCFS’s Purchasing Unit maximizes the use of SDVOBs for discretionary purchases. Office of General Services (OGS) One priority in 2017 was to increase SDVOB utilization on Statewide Centralized Contracts. Two particular successes occurred on this front. First, a contract to procure waterborne, lead-free traffic paint and glass spheres for reflective pavement marking was the first Statewide Centralized Contract awarded to include an SDVOB requirement. To date, the SDVOB participant has already received over $1 million in purchase orders from this award. Second, within the past month, a new Statewide Centralized Contract for environmentally preferred lighting products was established with 6% SDVOB goal. Both awards represent a milestone for the SDVOB program and are a real testament to the growing list of diverse SDVOBs. OGS Design & Construction continues to work extensively with SDVOBs to increase their role in D&C contracting. Since January D&C has assigned SDVOB goals to multiple projects totaling over $3.5 million. Lastly, outreach continues to be a featured part of OGS implementation of the SDVOB program. At the annual NY GovBuy 2017, the SDVOB program was featured prominently and included two instructional classes offered by the Division. OGS also took a leading role in this year’s VETCON Conference, the only small business matchmaking event specially designed for SDVOBs. Office of Mental Health (OMH) Prior to the release of solicitations, OMH reviews each procurement against the available certified firms found in the SDVOB directory. This review examines statewide availability, the geographic location and its materiality to the workplan of the contract. OMH includes SDVOBs on bidders lists when SDVOB were available. Training on the SDVOB initiative was included in procurement training to Facility and Central Office program managers. The existence of the program was discussed on calls with Facility Business Office contacts. Training focused on a high-level review of the relevant regulations as well as how to use SDVOB directory to identify potential vendors. Central Office Purchasing Staff were also provided with a general understanding of the regulations and pointed to resellers/subcontractors on frequently utilized OGS statewide contracts. Purchasing staff are encouraged to select these vendors whenever possible. OMH Procurement staff are required to attend the annual NY GovBuy event and this year were encouraged to attend the workshop on the SDVOB program. Office of Parks, Recreation, and Historic Preservation (Parks) Throughout the calendar year of 2017 Parks has introduced the SDVOB program statewide. A section has been added to Parks’ internal assessment forms used in each area of procurement. This provides the purchaser with guidance in using MWBE and SDVOB in their procurement. This information is relayed to Parks staff through guidance documents and initially introduced via in person meetings and webinars. Parks has seen an increase in the use of SDVOB in the areas of procurement and construction. Currently Parks is strategizing to start setting more goals on contracts related to construction, which provides the most opportunities for participation.

17

Office of Temporary and Disability Assistance (OTDA) Throughout 2017 OTDA has taken the following measures to promote the utilization of SDVOBs:

• Commercial Contracts – included SDVOB participation requirements in all applicable procurements, and discussed SDVOB participation requirements during Offeror’s Conferences.

• Set asides – assessed OTDA’s procurements to establish SDVOB set asides. • Invited and met with the Assistant Director of the NYS Division of SDVOB, in August to discuss SDVOB Best

Practices with OTDA’s procurement team. • Disseminated SDVOB participation requirements to OTDA staff and institutionalized compliance documents in

OTDA’s procurement processes. • Purchasing – utilized the SDVOB directory to categorize opportunities and strategically targeted SDVOBs;

resulting in increased spend with SDVOBs. • Participated in the 2017 NY GovBuy workshop facilitated by the Division, and participated in VETCON on

November 28 & 29, 2017. Office of the Inspector General/Welfare Inspector General All Inspector General staff members responsible for procurement regularly consult the list of SDVOBs in order to review potential service and commodity availability. In May 2017, Inspector General staff attended the NY GovBuy event and actively sought out and met with SDVOB exhibitors, discussing potential business opportunities. Of note, the Inspector General sought to engage an SDVOB in a specific purchase but has yet to do so because of proposed project cost. The Inspector General continuously reviews procurement policies and procedures to ensure that every effort is made to utilize and support SDVOBs. Office of the Medicaid Inspector General (OMIG) While OMIG has relatively few contracts, SDVOBs are included in bidder lists and are targeted for discretionary purchases whenever appropriate. As of November 1, OMIG removed supplies from its equipment service contract to direct such purchases to SDVOBs wherever possible. In addition, OMIG has begun utilizing an SDVOB for some of its investigative services, now that a certified SDVOB vendor is available. Ogdensburg Bridge and Port Authority Through Nov. 30, 2017, there have been very few new projects to utilize SDVOB certified firms. Each person responsible for procurement is aware of the certified SDVOB directory and, as RFPs and projects become available, they will add SDVOB firms to the listing of eligible bidders for those contracts. SDVOB program compliance suffered due to extreme administrative turnover in Spring 2017. The replacement staff for CFO, Accounting Manager, and Administrative Assistants have recently been hired and begun the process of catching up on program requirements including compliance with the SDVOB legislation. The Ogdensburg Bridge and Port Authority is communicating with the Division of Service-Disabled Veterans’ Business Development and expects to increase SDVOB utilization in the coming year Olympic Regional Development Authority (ORDA) Through Nov 30, 2017, there have been very few projects to utilize SDVOB certified firms. In every contract, the SDVOB verbiage is in the packet delivered to the contractor. Goals on each project are higher or lower based on a complete review of the utilization plan and inquiries by SDVOBs, the most current listing of certified SDVOBs and the contractor’s good faith efforts. ORDA is working to improve its efforts and expects these efforts to increase its utilization percentage in the coming year. Port of Oswego Authority The Port of Oswego has reached out using the available information to purchase goods and services from SDVOBs where possible. The Port’s purchasing staff searches the list of certified firms each time the Port has a purchase that may be eligible. The Port has strived to engage SDVOBs to utilize them in all possible needs for the Port. Public Employment Relations Board (PERB) While PERB encounters very few opportunities in the area of contracting, consideration of SDVOB businesses has been integrated into PERB’s procedures when selecting vendors for discretionary purchases, along with preferred source, MWBE and other vendors on centralized State contracts. The Executive Director currently receives regular updates to the list of certified SDVOBs and will continue to work with the Agency Program Aide to make SDVOBs part of the collection of vendors considered in regard to day-to-day purchases. During 2017 the Executive Director will continue to work closely with the Agency Program Aide to increase awareness and knowledge of the SDVOB program, legislation and other resources such as the SDVOB website

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Rochester Genesee Regional Transportation Authority (RGRTA) • The Manager of Contract Administration met with department heads to review the SDVOB program, discuss

upcoming procurements, and review the SDVOB directory to identify SDVOB firms that could be engaged. • Procurement Officers review the list of certified SDVOB firms prior to issuing an IFB or RFP and notify certified

firms of the procurement. • Procurement Officers review the list of SDVOB firms participating in OGS contracts when OGS contracts are

being utilized. • RGRTA participated in a local Veterans’ Expo to meet local firms and discuss potential contracting

opportunities. Firms not certified, were encouraged to meet with the OGS representatives on site. Roosevelt Island Operating Corporation (RIOC) RIOC participated in a NYS forum featuring the Assistant Director of the Division of Service-Disabled Veterans' Business Development. The discussion focused on best practices, compliance requisites, reporting guidelines and general requirements necessary for satisfactory participation in the SDVOB program. RIOC subsequently provided training and guidance to personnel engaged in the procurement process to confirm the goals established for SDVOB participation are realized. At the procurement level, RIOC identified opportunities to exercise its discretionary purchasing authority and set-aside contract awards in excess of $200,000 to two certified SDVOBs. RIOC will continue its outreach to SDVOB vendors by directly notifying (via e-mail) of the availability of RFPs, RFIs, RFQs and other solicitations. Roswell Park Cancer Institute The Institute conducts interviews with SDVOBs that are interested in working with us, and whose services are relevant to our needs. Such firms are then added to a list that will be utilized when the need for that specified type of service arises. Efforts are made to have an on-site meeting with each vendor that wants one, in the initial implementation phase of the program. Meetings with contractors and vendors occur on a frequent basis at the Institute or via teleconference. ODI staff will work closely with Procurement Office staff to identify potential opportunities for increased participation by SDVOBs. The Institute has previously hosted a vendor fair at which 48 local MWBEs have participated. This outreach will continue and will include invitations to all certified SDVOB listed on the DSDVOB’s website. The Institute will conduct outreach and training to contractors by assisting with locating certified SDVOB vendors, helping fill out reports, etc. Schenectady Metroplex Development Authority The Authority works closely with Schenectady County’s Affirmative Action Department and City of Schenectady’s Affirmative Action Officer to provide procurement opportunities for SDVOBs. Additionally, the Authority helps expedite certification for local businesses that meet eligibility criteria for SDVOB status. The Authority’s outreach efforts include utilizing the database to identify qualified SDVOBs and participating in local events designed to educate businesses regarding opportunities with the Authority. The Authority includes language pertaining to the SDVOB program in competitive procurements contracts and purchases. State Commission of Correction (SCOC) Because SCOC is hosted for its purchasing by DCJS, the efforts to promote the use of SDVOBs on SCOC contracts are the same as the efforts described by DCJS. State University Construction Fund (SUCF) SUCF procurements must have a SDVOB goal determination prior to release of advertisement. SUCF staff continuously review procurements and the SDVOB directory to identify and match opportunities for set asides for exclusive SDVOB bidding. Additionally, all procurements and the directory are reviewed to determine the appropriate goal for subcontracting opportunities for SDVOBs. Email blasts are sent to SDVOBs for advertised procurements. SUCF staff participate in and attend exposition and outreach events for SDVOBs. All RFP and contract language is in compliance with statute and there are processes in place to ensure all procurements are reviewed for opportunity and goals set accordingly. All SUCF procurement staff are educated/updated on SDVOB program requirements and expectations. It should be noted that SUCF is excluded from $200k discretionary purchasing authority. State University of New York (SUNY) SUNY has implemented a strategic plan to actively promote the utilization of SDVOBs by SUNY campuses. The plan includes, mandatory training sessions for campus procurement staff, providing communication channels (i.e., listserv and web based contract system) for managing contract performance and participation, dedicating specific commodities or service areas primarily to SDVOB vendors, sharing best practices and identifying quality SDVOB suppliers at semi-annual University-wide Purchasing Association meetings, participating in VETCON and hosting SDVOB-specific outreach events, developing procedures for contractor submission of utilization plans and waivers, producing quarterly

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reports tracking campus utilization of SDVOBs, and working with OGS and other State agencies to determine best practices for SDVOB utilization. Syracuse Regional Airport Authority The operation of the Airport transitioned from the City of Syracuse to the Authority in 2014. The Airport holds an outreach program for MWBEs and SDVOBs annually. Authority staff attended VETCON in 2016 and 2017. The SDVOB directory is very helpful to the Authority and its contractors. The Authority remains committed to the SDVOB program and works with all contractors in helping them secure opportunities for work. United Nations Development Corporation (UNDC) Throughout 2017, UNDC made good faith efforts to award contracts to SDVOBs, and encouraged prime contractors to utilize SDVOBs as subcontractors. UNDC lists SDVOB goals in solicitations. UNDC staff assess State contracts for SDVOB participation goals. Staff consider UNDC’s goal plan, the 6% goal, the contract and subcontract scopes of work, the potential subcontract opportunities available in the prime contract, and the number of SDVOBs available to perform the work. UNDC procurement staff attempt to unbundle State contracts and solicit bids from SDVOBs, and encourage joint ventures, teaming agreements, or other similar arrangements between prime contractors and SDVOBs. UNDC compliance staff educated procurement staff about the SDVOB legislation and requirements by disseminating written policies and instructions and conducting training sessions. Upper Mohawk Valley Water Authority (MVWA) MVWA personnel attend conferences and workshops throughout the State where vendors present their organizations for commodities, services, consulting and construction. All requests for proposals for services over $25,000 and construction for over $100,000 include required SDVOB language. When requests for proposal are under the statutory thresholds, MVWA researches the Contract Reporter for potential SDVOB vendors. In the surrounding area, MVWA has identified six SDVOB vendors for potential local purchasing. Westchester County Health Care Corporation (WCHCC) WCHCC’s SDVOB outreach efforts throughout 2017 included events that were held in April and July 2017 to inform SDVOB vendors about opportunities to participate as subcontractors in the construction of the Ambulatory Care Pavilion on the Valhalla Campus as well as how to do business with WCHCC. Other efforts have included emailing the updated lists of certified SDVOB vendors to WCHCC’s department leaders to ensure that they have the most recent information should opportunities become available for their department to procure goods or services from SDVOBs. Workers’ Compensation Board (WCB) When the WCB considers a new procurement, staff reaches out directly to the Division to determine if there are any vendors that can provide the services. Procurement opportunities are made available on the WCB’s website for all vendors to see. The WCB has included an option on its Intent to Bid Form for SDVOB firms to indicate if they want their contact information published on the WCB’s procurement website, which will allow non-SDVOB vendors to see which SDVOB vendors are interested in subcontracting opportunities. All procurement staff are notified of the SDVOB legislation and all requirements.

RFP Attachment 23 Financial Interface DW627 User Guide

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ANDREW M. CUOMO GOVERNOR

BOB SAMSON CHIEF INFORMATION OFFICER

Attachment #23Financial Interface DW627 – User Guide

Contents Purpose of Report.............................................................................................................................................................................2

Source ...............................................................................................................................................................................................2

Report Structure ...............................................................................................................................................................................2

Views ............................................................................................................................................................................................2

Prompts ........................................................................................................................................................................................2

Report Section ..................................................................................................................................................................................2

Data Elements ..............................................................................................................................................................................2

Tips and Tricks ..................................................................................................................................................................................3

Customizing Columns in the Report .............................................................................................................................................3

To Include Columns in the Report ............................................................................................................................................4

To Exclude Columns in the Report ...........................................................................................................................................4

Moving Columns ...........................................................................................................................................................................4

Adding Prompts ............................................................................................................................................................................4

Adding Sections to the Report ......................................................................................................................................................4

Saving Report Customizations ..........................................................................................................................................................4

To save a report customization: ...............................................................................................................................................5

To apply a saved report customization: ...................................................................................................................................5

How to Export to Excel .....................................................................................................................................................................5

How to Print Report..........................................................................................................................................................................5

Administrative and General Services Cluster – AnalyzeNY

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Purpose of Report The purpose of the DW627 Contract Listing report is to query contract header and line information for approved or closed

contracts

Source The data on this report from the Purchasing modules of the Statewide Financial System (SFS).

Data is as of the prior business day and will typically be loaded after SFS batch processing is completed overnight. AnalyzeNY will load data as of 3:30AM if batch processing has not yet completed.

Report Structure

Views There are two views on this report and are located on two tabs: Contract Listing and Exportable. Each view has a similar

Prompting section. Data elements are the same.

• The data displayed in the Contract Listing view is header information with the ability to drill down to the contract line

information.

• The exportable view combines all fields from the Contract Header and Contract Line fields; it is the contract detail

information in one exportable table.

Prompts

Report Section

Data Elements Column Heading Column Definition Source of Definintion

NYS Contract ID The State agency entered New York State Audit ID, containing the agency assigned NYS Contract # (e.g., C1234567) that appears on the actual contract documents

OSC GFO - XI.2.B.2 New York State Contract Identifiers

SFS Contract ID The SFS auto-generated 25-digit identifier that appears in the Contract ID field.

OSC GFO - XI.2.B.2 New York State Contract Identifiers

Supplier Vendor ID and name


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Contract Description High level description of contract. Only view the user’s own Business Unit.

Contract Begin Date Date of the start of the contract.

Contract End Date Date the contract is set to expire.

Audit Type Used to determine whether the transaction will be routed to OSC for prior approval, and if so, which audit team.

PSP Method This is the planned spending projection method assigned on the contract that will be inherited on associated POs.

Contract Profile Contract profile defined in SFS

Status The status of the contract: Approved, Closed, etc.

Contract Lines Action link to drill down to Contract Line Details

Department Code Department code associated to the contract. This may equate to the Level 2 Department Code.

SFS

Version Number Any changes to a contract within SFS will generate a new version. AnalyzeNY reports on the latest version

Maximum Amount The contract header maximum amount.

Adjustment Voucher Amount Posted refunds to closed Purchase Orders are added back to the contract in this bucket.

Non PO Expense Amount Converted data from SFS 9.0 (pre-EE1). These amounts exist at both the contract header and line levels of detail.

Released Amount Purchase orders dispatched against a contract.

Available Balance (Maximum Amount - Adjustment Voucher Amount - Non PO Expense Amount - Released Amount)

Line Number Indicates the line number on the contract

Item Description Details describing the item

Purchase Line Type Identifies if the line was amount or quantity based

Item ID Represents type of item from the contract line

Item Name Item name

Tips and Tricks

Customizing Columns in the Report Columns may be included or excluded within the report after it has run. The position of the columns within the report can also be manipulated.


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To Include Columns in the Report

• Right click on the header

• Choose Include Column

• Scroll through the available choices and click to select the column to include. The report will re-retrieve the data each time a new column is selected. Columns can be repositioned by clicking the column header and dragging it to the desired location within the report.

To Exclude Columns in the Report

Use this function if the wrong column was added or if a column needs to be removed. A new report will be generated to roll up the data to the new level of detail:

• Right-click on the column you wish to exclude. • Click on Exclude Column. • The column will be removed from the report. Columns must be excluded one at a time.

Moving Columns The position of the columns may be moved within the report. Columns can be clicked and dragged into the desired positions, or moved by right-clicking the column header and making a selection under Move Column: Moving columns using right-click will only allow columns of the report to be moved on at a time.

Adding Prompts Right click the column header and under Move Column choose To Prompts. The column will now show as a prompt in the reporting section. Any value may now be chosen from the newly formed

drop down prompt to limit the data in the report by that chosen value.

Adding Sections to the Report You have the ability to section your dashboard based on the values in a selected column. For example, you may want to add Transactional Department to your Account report but don’t want to see repeating values in a column. Instead, you can create sections which will add a subtitle and total for each Transactional Department in your dashboard.

• Hover over a column header until a handle with arrows appears.

• Click on header with handle and drag above table into the Sections area

• You can also Right click the column header and under Move Column choose To Sections. This will move the column out of the report and into a new, separate reporting section.

Saving Report Customizations Customizations are filter choices and/or manipulation that you have made within the dashboard page. These are specific to the dashboard page (tab) you are on, not the entire dashboard. Many different customizations can be saved for the same dashboard. Saved customizations are saved for your user ID only. Currently, sharing a customization requires administrative privileges. Any shared customization will show up below the line in the Apply Saved Customization menu, Shared customizations cannot be deleted or renamed.


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To save a report customization:

• Click on the Page Options icon ( ) in the upper right-hand corner of the dashboard.

• Select Save Current Customization from the menu.

• In the pop-up window, name your customization. You can also set this customization as the default for the report.

• Click OK. The customization will now be saved.

To apply a saved report customization:

• Click on the Page Options icon ( ) in the upper right-hand corner of the dashboard.

• Hover over Apply Saved Customization.

• From the list that appears select which customization you wish to apply.

How to Export to Excel All reports are exportable to Excel.

• Scroll to the bottom of the report.

• Click on the Export hyperlink.

• Hover over Excel and chose the preferred Excel version for the export.

• Chose to open in Microsoft Excel (this will probably be defaulted) and click OK.

• In Excel, a pop-up message will appear informing you that the file types do not match. Click Yes to open the file.

How to Print Report Expand any sections you wish to view before printing. You can hide prompting areas by collapsing the section prior to printing. Be sure any sections you wish to view are expanded before printing. Collapsed sections will not viewable upon printing.

• Click on the Page Options icon () in the upper right hand corner of the OBIEE dashboard. • Select Print > Printable PDF • Print the document in Adobe Reader

New York State – Office of General Services Solicitation 2079 – Service Disabled Veteran Enterprise System Attachment 24 – Diversity Practices Questionnaire Page 1 of 6

RFP 2079

Attachment 24

Diversity Practices Questionnaire


1) Does your company have a Chief Diversity Officer or other individual who is tasked

with supplier diversity initiatives?

____ No

____ Yes

If yes, provide the name, title, description of duties, and evidence of initiatives performed by this

individual or individuals within the last fiscal year (use additional sheets if necessary):

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

_________________________________________________________________________.

2) What percentage of your company’s gross revenues (from your prior fiscal year) was

paid to New York State certified minority or women-owned business enterprises

(“MWBEs”) as subcontractors, suppliers, joint-venturers, partners or other similar

arrangement, for the provision of goods or services to your company’s clients or

customers? ________%.

Provide evidence to support this such as audited financial statements, copies of cancelled checks,

certified statements from certified MWBEs confirming payment, etc.

3) What percentage of your company’s overhead (i.e., those expenditures that are not

directly related to the provision of goods or services to your company’s clients or

customers) or non-contract-related expenses (from your prior fiscal year) was paid to

MWBEs as suppliers/contractors? ________%.

Provide evidence to support this such as audited financial statements, copies of cancelled checks,

certified statements from certified MWBEs confirming payment, etc.

4) Does your company provide technical training1 to minority- or women-owned business

enterprises?

____ No

____ Yes

1 Technical training is the process of teaching employees how to more accurately and thoroughly perform the technical components of their jobs. Training can include technology applications, products, sales and service tactics related specifically to their industry, and more. Technical skills are job-specific as opposed to soft skills, which are transferable.


If yes, provide the title and description of all technical program (must relate solely to your

industry), duration (hours/weeks/months), number of NYS certified MWBEs participating and

number of persons employed by NYS certified MWBEs trained within the last fiscal year (use

additional sheets if necessary):

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

_________________________________________________________________________.

5) Is your company participating in a government-approved minority- or women-owned

business enterprise mentoring program?

____ No

____ Yes

If yes, provide the name, title, description of the mentoring program, including time and resource

commitments, government agency involved in regulating the program, how the mentee

meaningfully participates in the delivery of contract requirements, the names of all mentee

organizations involved in the program within the last fiscal year as well as copies of all such

mentee programs including terms, agreements, expectations and metrics for success of the

mentoring program (use additional sheets if necessary):

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

_________________________________________________________________________.

6) Does your company include specific quantitative goals for the utilization of minority- or

women-owned business enterprises in its non-government procurements?

____ No

____ Yes

If Yes, provide a description of such non-government procurements (including time period, goal,

scope and dollar amount) and indicate the percentage of the goals that were attained within the

last fiscal year.

7) Does your company have a formal minority- or women-owned business enterprise

supplier diversity program?


____ No

____ Yes

If yes, provide a description of the supplier diversity programs including requirements for

participation, elements of the program, outreach, training and education efforts by your company

to increase participation or capacity of minority- and women-owned business enterprises and the

names and address of such businesses and the activities conducted within the last fiscal year (use

additional sheets if necessary):

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

_________________________________________________________________________.

8) Does your company plan to enter into partnering or subcontracting agreements with

New York State certified MWBEs to carry out your obligations under the Contract, if

selected as the successful bidder?

____ No

____ Yes

If yes, and if the Solicitation for this procurement includes MWBE goals, complete a Utilization

Plan on Form MWBE 100, and submit with the Bid as required in the Solicitation. This form is

available at: http://ogs.ny.gov/MWBE/Forms.asp

If yes, but there are no MWBE goals in the Solicitation, identify the following for each MWBE

you plan to utilize on the awarded Contract (add additional pages if necessary):

MWBE Subcontractor/Supplier Name: ______________________________________________

Name of the person you contacted within that MWBE Company: __________________________

MWBE address: ________________________________________________________________

MWBE phone number: ___________________________________________________________

MWBE email address: ___________________________________________________________

Whether MBE or WBE (if dual certified select only one): ________________________________

MWBE Federal Employer Identification Number: ______________________________________

http://ogs.ny.gov/MWBE/Forms.asp


Detailed description of the commercially useful work to be provided by the MWBE:

______________________________________________________________________________

______________________________________________________________________________

Estimated % of the value of the resulting contract work to be performed by the MWBE: _______

PLEASE NOTE: If there were no MWBE goals identified within the Solicitation and Bidder is

awarded points during the evaluation for its response to Question 8, Bidder agrees that, if

awarded a Contract, the information Bidder provided regarding the utilization of MWBEs on the

Contract shall be used to set an MWBE goal on the awarded Contract. Bidder further agrees that

it will submit to OGS, within five business days of request, a Utilization Plan on Form MWBE

100 confirming Bidder’s agreement to make good-faith efforts in the utilization of MWBEs to

meet that MWBE goal during the term of the awarded Contract. Failure to submit the completed

Form MWBE 100 as required may delay or prevent award of a Contract.

All information provided in connection with the questionnaire is subject to audit and any

fraudulent statements are subject to criminal prosecution and/or debarment in accordance with

Executive Law § 316.

Signature of

Owner/Official

Printed Name of

Signatory

Title

Name of Business

Address

City, State, Zip

Date


STATE OF

COUNTY OF ) ss:

On the ______ day of __________, 201_, before me, the undersigned, a Notary Public in

and for the State of __________, personally appeared _______________________________,

personally known to me or proved to me on the basis of satisfactory evidence to be the individual

whose name is subscribed to this certification and acknowledged to me that he/she executed the

same in his/her capacity, and that by his/her signature on this certification, the individual, or the

person upon behalf of which the individual acted, executed this certification.

__________________________

Notary Public