P-12

Prekindergarten through Grade 12 Education

RFP #12-016

REQUEST FOR PROPOSAL (RFP)

RFP#12-016

NEW YORK STATE EDUCATION DEPARTMENT 

Title:   Technical Assistance Center for the Universal Service Discount (e-Rate) Program
The New York State Education Department (NYSED) Office of District Services (ODS) and the New York State Library (NYSL) are seeking proposals for the provision of technical assistance and planning services related to the implementation of the Universal Service Discount (E-Rate) Program for schools and libraries in New York State.  Eligible applicants are organizations with experience in the administration of the E-Rate Program.

Subcontracting will be limited to thirty percent (30%) of the annual contract budget.  Subcontracting is defined as non-employee direct personal services and related incidental expenses, including travel.  Bidders are required to comply with NYSED’s Minority and Women-Owned Business Enterprises (M/WBE) participation goals for this RFP. Please see the section on NYSED’s Minority/Women-Owned Business Enterprise (M/WBE) Compliance Requirements.

NYSED will award one contract pursuant to this RFP.  The contract resulting from this RFP will be for a term beginning October 1, 2012 and ending September 30, 2016.

Service Area: New York State

Mandatory Requirements:  See Mandatory Requirements section of the RFP.

Components contained in RFP Proposal #12-016 are as follows:

  • Description Of Services To Be Performed
  • Submission
  • Evaluation Criteria and Method of Award
  • Assurances
  • Submission Documents (separate document)

Questions

NYSED did not receive any questions by the March 15, 2012 deadline.

The following documents must be submitted in separately sealed envelopes, as detailed in the Submission section of the RFP, and be received at NYSED no later than April 12, 2012 by 3:00 PM:

  • Technical Proposal labeled Technical Proposal - RFP#12-016 Do Not Open
  • Cost Proposal and electronic version labeled Cost Proposal – RFP#12-016 Do Not Open
  • M/WBE Documents labeled M/WBE Documents—RFP#12-016 Do Not Open 

Note: A copy of the technical, cost and M/WBE proposals must also be submitted in Microsoft Word on CD-ROM. Please include it in a separate envelope labeled CD-ROM-RFP#12-016 Do Not Open.

The mailing address for all the above documentation is:

NYS Education Department

 

Bureau of Fiscal Management
Attn: Richard Duprey, RFP#12-016
Contract Administration Unit
89 Washington Avenue, Room 505W EB
Albany, NY 12234

(Facsimile copies of the proposals are NOT acceptable)

Issue Date:  February 27, 2012

1.)     Description of Services to be Performed

Work Statement and Specifications

This section of the bid package details the services and products to be acquired.  Please note that the contract process also includes general New York State administrative terms and conditions, as well as terms and conditions required by New York State law.  These terms and conditions address issues related to both the submission of bids and any subsequent contract; they are included separately in this bid package for your information.  Please review all terms and conditions.

MANDATORY REQUIREMENTS

The eligible bidder must agree to the Mandatory Requirements found below and must submit the Mandatory Requirements Certification Form located in Submission Documents, signed by an authorized person:

  1. The bidder must have a minimum of two-year experience in reviewing and/or approving technology plans for E-Rate or other federally funded programs (i.e. NCLB/Title IID) for schools and/or libraries. 
  2. The bidder must appoint a project manager (minimum .5 Full Time Equivalent) to be responsible for the project.  The responsibilities of the project manager are set forth in the section “Contractor Responsibilities.”  A resume of the proposed project manager must be included in the bid response.

MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISE (M/WBE) COMPLIANCE REQUIREMENTS

Article 15-A identifies the State’s procurement goals for Minority Business Enterprise (MBE) and Women-Owned Business Enterprise (WBE) participation as 12% and 8%, respectively, of the annual contract budget or as specifically outlined in the RFP.  NYSED’s intent is to comply with Article 15-A and all bidders must demonstrate a good faith effort to comply with these goals. Bidders are required to comply with NYSED’s Minority and Women-Owned Business Enterprise goals by completing and submitting M/WBE 100, Utilization Plan, M/WBE 102, Notice of Intent to Participate and EEO 100, Staffing Plan.  These forms can be found at www.oms.nysed.gov/fiscal/MWBE/forms.html.  All firms utilized must be certified with the NYS Division of Minority and Women Business Development before beginning any work on this contract. For additional information and a listing of currently certified M/WBEs, see www.esd.ny.gov/MWBE.html.

Minority and Women-Owned Business Enterprise (M/WBE) participation includes any or all services, materials and supplies purchased from New York State certified minority and women owned firms.  Utilizing Minority and Women-Owned firms will be applied toward the goals.

All bidders must comply with the stated NYSED M/WBE goals.  The contact person on M/WBE matters is available throughout the application and procurement process to assist bidders in meeting the M/WBE goals.  In an effort to meet the M/WBE goals, NYSED reserves the right to approve the addition or deletion of subcontractors to enable bidders to comply with the M/WBE goals.

All bidders must document “good faith efforts” to comply with the M/WBE goals and provide meaningful participation by New York State Certified M/WBE subcontractors or suppliers in the performance of this contract.  NYSED reserves the right to reject any bid for failure to document “good faith efforts” to comply with the stated M/WBE goals.

All payments to Minority and Women-Owned Business Enterprise subcontractor(s) must be reported to NYSED M/WBE Program Unit using M/WBE 103 Quarterly M/WBE Compliance Report. This report must be submitted on a quarterly basis and can be found at www.oms.nysed.gov/fiscal/MWBE/forms.html

Background

The purpose of this RFP is to retain a contractor (the “Contractor”) to administer the E-rate program for a four year period in New York State on behalf of ODS and the NYSL.  For ODS, this applies to the E-rate programs of approximately 795 school districts, 177 charter schools, 2,000 non-public school buildings and 800 headstart programs. For NYSL, this applies to the State Library E-rate coordinator and 32 library systems in New York State. Individual libraries receive technical assistance from their library system.

The Telecommunications Act of 1996 created a program for providing discounts on telecommunication services (e.g. high speed internet, voice services) to schools and libraries as a component of the universal service provisions of the Act.  More information about the program can be found at http://www.fcc.gov/wcb/tapd/universal_service/schoolsandlibs.html. This program is known as the E-rate program.

The Universal Service Administrative Company (USAC), a non profit organization (www.usac.org), has been appointed by the FCC as the overall administrator of Universal Service Fund collection and distribution.

The Schools and Libraries Division (SLD) of USAC is responsible for administering the E-Rate program for libraries and schools nationwide.  This program provides the opportunity for substantially reducing the cost of telecommunications and internet connection services to educational entities including public schools, public and private libraries, charter schools, non-public schools, and Headstart programs.  E-rate discounts return between $350-$450 million dollars each every year to New York’s schools and libraries.

While this E-Rate Program has fundamentally and substantially supported our schools and libraries in their telecommunication and internet broadband connectivity, the program requires state education agencies to facilitate and coordinate the program implementation process including:

  1. Helping determining eligibility of applicants;
  2. Reviewing, approving and certifying applicant’s technology plan against the USAC requirements;
  3. Disseminating information on program guidelines, requirements, and updates/changes;
  4. Conducting technical assistance workshops on how to effectively participate in the program and leverage the E-Rate funding;
  5. Providing assistance to USAC’s reviewers of the application and technology plan in resolving issues involving New York applicants; and
  6. Participating in state education agencies coordination meetings on program policy and procedure improvement. 

Schools, school districts, and libraries that want to apply for Schools and Libraries support, i.e. E-rate, must first prepare a “technology plan”. Beginning with FY2011, technology plans are required only for Priority 2 services (Internal Connections and Basic Maintenance of Internal Connections). An approved technology plan sets out how information technology and telecommunications infrastructure will be used to achieve educational goals, specific curriculum reforms, or library service improvements.  See, http://www.usac.org/sl/applicants/step02/technology-planning/default.aspx

E-rate program rules are complex and nuanced. With the publication of the National Broadband Plan (http://www.broadband.gov/plan/), which calls for better use of communications, and pressure from changing telecommunications technology, universal service programs are undergoing frequent revisions that will require even more State efforts to inform and guide schools and libraries to go through thorough and intense preparation to complete effective and successful applications.

Recipients of E-rate discounts for Priority 2 services (schools and library systems) are required to file a technology plan every three years. 

ODS is responsible for the oversight of technology plans for the registered 795 school districts, 177 charter schools over 2,000 non-public school buildings and 800 Headstart programs.  NYSL is responsible for the review of technology plans for 32 library systems.  As with schools, the new plans for library systems are submitted on a three year cycle.

On an annual basis, this review cycle equates to approximately 200 non-public schools, 30-40 charter schools, and 150 headstart programs.  The review of and recommendation for approval letters for technology plans will be the duty of the Contractor.  Approval letters are issued by ODS.

The review and approval of school district technology plans is performed by 12 regional information centers (RICs).  The plans are submitted by the RIC’s to ODS who is responsible for issuing a certification letter.  The 12 RICs submit their own BOCES technology plans to the Contractor for review and recommendation for certification letters of approval from ODS.

The New York State Library is responsible for overseeing the E-rate program for libraries. The 32 library systems in New York State provide the first line of assistance and perform technology plan reviews for any of the approximately1100 library outlets applying for E-rate.  The system plans are submitted to the Contractor for review and recommendation for approval. The NYSL issues a certification letter for each approved system plan, and certification letters for any individual library plans approved by the system. 

Project Deliverables

The summaries of services set forth below are required to be performed by the Contractor.  In each area the contractor will work collaboratively with New York State agencies, Federal agencies and their designees:

  1. Provide technical assistance and training to schools including school districts and regional service agencies (such as BOCES and the RICs) as well as non-public schools, charter schools and non-public school consortium organizations such as the Board of Jewish Education of Greater New York or the Archdiocese of New York, libraries and library systems. Individual libraries will receive some assistance from library systems offices, but library system staff and the state library E-rate coordinator will make use of the Contractor’s technical assistance. The E-rate program is, by its nature, highly technical and applicants benefit from deeper expert advice. In addition, the applications have many legal certifications and assurances that may be challenged by USAC’s Program Integrity Assurance reviewers or auditors.  The Contractor will provide technical assistance in creating a complete and satisfactory response.
  2. Review technology plans for private schools, charter schools, Headstart programs, RICs and library systems and recommend that SED issue an approval letter.  The contractor will comply with SLD Technology Policies and Procedures when reviewing technology plans.
  3. Creation and maintenance of a website to communicate regularly with the E-Rate Community
  4. Collaborate with NYSED to assure that the E-Rate program policies are fair and equitable and meet the needs of New York State.
  5. Provide assistance to USAC’s reviewers for resolving issues involving New York applicants.
  6. Alert individual applicants in danger of missing E-rate form submission deadlines.
  7. Participate in the State E-Rate Coordinators’ Alliance (“SECA”).
  8. Assisting SED in preparing and submitting FCC filings on E-rate issues.
  9. Coordinate state master contracts with NYS OGS.

Each of these areas is described below in detail.  Appropriate specific deliverables and approximate timeframes are provided.

  1. Provide technical assistance and training to schools, Regional Information Centers and libraries.

A minimum of 6 and a maximum of 10 seminar sessions are to be conducted in each year of the contract throughout New York State to provide schools and libraries with an understanding of E-Rate and the processes for obtaining these funds.  Historically, BOCES or RICs have provided the space at no charge for the sessions.  The contractor is responsible for notifying potential attendees.


The following is the list of seminar sessions conducted in 2010:

Dated

Audience

Locale

Attendance

Oct. 16

Western NYS

West Seneca

25

Oct. 29

Westchester

Elmsford

40

Nov 2

Public Libraries

Rotate yearly

50

Nov. 9 or 10   

Brooklyn

Agudath Israel

60

Nov. 13

New York City

Manhattan

200 (plenary session)
25 (concurrent session)

Nov. 16

NYS Non-public Schools

Albany

35

Nov. 17

Northeastern NYS

Albany

50

Nov. 18

Central NYS

Oneida

25

Nov. 29

Long Island

Holbrook

45

These seminars will provide basic information for new applicants and updates on changes to existing grantees.  At least 2 sessions will be held at a library or library system site.

Telephone conference calls with the 32 library system staff with E-rate responsibilities will be held as needed before critical E-rate program due dates, not to exceed three a year. These conference calls can serve to highlight the major application process errors resulting in denial of funds to NYS applicants. 

The contractor will also be available to participate in at least two New York State school or library conferences to provide E-rate assistance.  For example, in 2010, the previous contractor participated in the annual statewide non-public education conference in Albany, NY where the previous contractor presented on updates, concerns and changes in the E-rate program.

In addition, the contractor shall be available by telephone, e-mail and/or other such electronic media to assist individual applicants with questions concerning all aspects of E-Rate.  This service is to be available Monday through Friday from 9:00AM - 5:00PM Eastern Time, excluding State holidays.

2. Review technology plans for private schools, charter schools, Headstart programs, RICs and library systems and recommend that SED issue an approval letter.

The contractor shall review annually all required technology plans from approximately 200 non-public schools, 25-30 charter schools, 40-50 Headstart programs. All 32 library systems in New York State are reviewed all at once every three years.  Once the contractor determines that these plans meet the requirements of the E-Rate program, a copy of the plan shall be forwarded to ODS (schools) or the NYSL for final approval.  The contractor will maintain files of all technology plan approvals issued by ODS (update the records on the database and keep the status record accurate and current.)  The contractor will comply with SLD Technology Policies and Procedures when reviewing technology plans.

3.  Create a website to communicate regularly with the E-Rate Community

In addition to conducting the informational seminars described above, the contractor will create and maintain a web site dedicated to the E-Rate funding process in New York State.  This includes timely updates of the site with information regarding E-Rate and periodic modernizations of the site structure.  In addition, the contractor will distribute a weekly update of funding status, progress and changes associated with E-Rate program operation to e-Rate newsletter subscribers via e-mail

The website will serve other functions as specified below.

4. Collaborate with NYSED to assure that the E-Rate program policies are fair and equitable and meet the needs of New York State.

  1. The contractor will provide ODS with weekly updates of E-Rate program activities (including tech plan reviews, status of E-Rate applications, issues associated with E-Rate program auditing and specific changes and clarifications on the rules and guidelines of the program implementation) and will have bi-monthly meetings to discuss problems and plans.  These bi-monthly meetings may be by telephone or video conference, but two meetings per year will be held at ODS offices in Albany.  The contractor may be called upon to represent ODS at specified meetings (on the nature, scope and impact of the E-Rate program for schools and libraries).  Such representation shall be at the discretion of ODS and occur only upon written instructions from NYSED.  These meetings will occur no more than three (3) times annually, and may require travel to Washington, D.C.  The trips cover a period of 1 day each.
  2. Prior to each bi-monthly meeting with ODS, the contractor will submit a project update report on activities conducted during the previous two month period.

5. Provide assistance to USAC’s reviewers for resolving issues involving New York applicants.

The contractor will review, and respond as required, to all copies of warning letters sent by USAC reviewers to ODS and NYSL advising them of applicants in danger of missing deadlines for submission of additional application review documentation.  The contractor will respond to every direct request by USAC reviewers for entity validation and other assistance requested with New York applicants (eligibility of applicant, calculation of discount rate based on its Free and Reduced Lunch Enrollment rate, a proper process of bidding for contracted services and products, appropriate cost allocation of requested services, existence of approved tech plan).  Entity validation is required mostly for non-public schools due to the frequency of their closing.

As an aid to both USAC reviewers and New York applicants, the Contractor will maintain online databases indicating technology plan approval expirations, providing access to NYSED technology plan approval letters, and validating multi-location schools.  Approval letters will be digitized.  These databases will be accessible via the website the contractor will maintain.

6. Alert individual applicants in danger of missing E-rate form submission deadlines.

The contractor will develop online tools and notification procedures to alert applicants in danger of missing Form 486 and invoicing deadlines.  E.g., “Form 486 must be filed by XXXXXX with XXXXXX to accomplish the following:  To authorize the payment of invoices from the service provider and to indicate approval of Technology Plans, as required See http://www.sl.universalservice.org/reference/8form486.asp for more information on Form 486.
As a courtesy, the contractor will provide advance notification of significant funding and FCC appeal decisions to New York applicants.

7. Participate in the State E-Rate Coordinators’ Alliance (“SECA”).

Under the New York State E-Rate Coordinator’s direction (ODS), the contractor may serve as New York’s representative to the State E-Rate Coordinators’ Alliance (“SECA”).  SECA participation includes being on the active listserv to share E-rate problems and solutions, weekly teleconferences (including a monthly one with the SLD and FCC), and semi-annual out-of-state meetings in Washington D.C. Bidders should budget for membership fees and travel costs.

8. Monitor FCC rulings and prepare and submit FCC filings on E-rate issues.

The contractor will monitor FCC orders, requests for comments, and appeal decisions.  The contractor will assist NYSED in preparing or file on behalf of NYSED comments on FCC proceedings affecting New York State applicants.  In the past year or so, as the FCC has been trying to change the rules and process of how to run or reshape the E-Rate program and seeking public feedback, the contractor did commit days of work to help NYSED as well as the local entities to understand proposed changes and implications, etc.)
9. Coordinate state master contracts with NYS OGS.

Many of the State’s telecommunications and IT equipment contracts can be used by NY E-rate applicants.  As NYSED’s E-rate coordinator, the Contractor will work with OGS to make sure that OGS contracts are considered eligible and that NY applicants know how to use those contracts for E-rate purposes.  This has several components:

  1. A special portion of the OGS Web site has been set up to list potentially E-rate eligible contracted services and equipment.  See: http://www.ogs.state.ny.us/purchase/snt/wiredindex/nywired.asp.  Since the contract expiration dates of these contracts do not generally coincide with the E-rate funding year, the Contractor may have to work with OGS to negotiate limited extensions for E-rate applicants.
  2. Each year, OGS must submit a Form 470 to make these contracts E-rate eligible.  Under E-rate, the Form 470 acts as a quasi-RFP.  It is posted on the USAC Schools and Libraries Web site making bidding information available to service providers nationwide.  The Contractor will have to prepare the annual Form 470s, enter them on line, and coordinate the required OGS certification.  In some cases, E-rate related questions received by OGS by potential service providers will be referred to the Contractor if questions involve E-rate.
  3. OGS, with the help from the Contractor will maintain another Web page reviewing the use of OGS contracts for E-rate purposes and providing a list of historic Form 470 numbers and effective dates.  See:  http://www.ogs.state.ny.us/purchase/snt/wiredindex/default.asp.

 

No additional services are requested beyond those listed above.  Any additional activities will not be reviewed or scored.


Staffing Level

It is expected that the duties described above may be fulfilled by one full time equivalent. The Contractor must appoint a Project Manager, minimum .5 FTE.

Plan of Operation

The plan of operation should describe how the applicant intends to implement the tasks outlined in the Project Deliverables section including program activities, schedule of implementation, and performance indicators used to measure success. The plan must be specific enough to establish evaluation criteria and benchmarks for each activity, responsibility, or service.  A template for the plan of operation is provided in Submission Documents.

Contractor Responsibilities

A.  The contractor must designate a Project Manager who will:

  1. Maintain work schedules and assignments of staff.  It is suggested that the work contemplated by this RFP can be achieved by 1FTE.
  2. Submit required reports to NYSED, including:
    1. Monthly status reports, with summaries of project expenditures.
    2. Documentation of all interactions with NYSED project management staff, related advisory committee members, and other principal organizations e.g., Federal Communications Commission, U.S. Department of Education associated with project activities.
    3. Meeting summaries.
  3. Participate in bi-monthly status meetings with NYSED.  These meetings may be by telephone or video conference, but two meetings per year will be held at NYSED offices in Albany.
  4. Assume overall responsibility for successful and timely completion of all project deliverables.

C. The contractor will provide a Yearly Work Plan that will define tasks and responsibilities.  The Work Plan will provide detailed projections of start and end dates and will be revised, as needed, as part of the bi-monthly status meeting with NYSED.

D. The contractor will assume, and not transfer, fiduciary responsibility for all funds awarded pursuant to this project.  All project funds must be accounted for using straightforward, clearly delineated procedures for documenting all project expenditures.

E. Reports and other outputs as specified in the project deliverables will be submitted to NYSED in hard copy and/or in electronic form in formats used by NYSED (e.g. Word, Access, Excel).  These reports and outputs will become the exclusive property of NYSED.

 

NYSED Responsibilities

  1. NYSED will assign a staff person from ODS as the primary contact for this contract.  That individual will be responsible for oversight and management of all components of the project, including the work of the Contractor.  NYSED will also designate a staff person from the NYSL as the Contractor's contact for library-related program and applicant issues.

  2. NYSED will provide to the contractor, as necessary, documentation needed to proceed with all aspects of project work.  Access to NYSED staff and other organizations will be facilitated by NYSED to ensure adequate engagement of individuals and organizations necessary to successfully complete all project tasks.

  3. NYSED will review all project deliverables and provide written sign-offs (either acceptance or rejections) to the contractor within 45 days of receipt by NYSED.

 

Eligibility

Eligible applicants are organizations with experience in the administration of the E-Rate Program. The bidder must have a minimum of two-year experience in reviewing and/or approving technology plans for E-Rate or other federally funded programs (i.e. NCLB/Title IID) for schools and/or libraries.

Contract Period

NYSED will award one (1) contract with a term of four (4) years.  The contract will run from October 1, 2012 – September 30, 2016.

At the end of any contract term otherwise provided for herein, if a replacement contract has not yet been approved in accordance with State law, any contract awarded hereunder may be extended unilaterally by the State, upon notice to the contractor, at the same terms and conditions, including all contract pricing, for a period of one month.  Additionally, this extension may be for a period of up to three months with the concurrence of the contractor.  However, any extension will terminate immediately upon approval of the replacement contract except where a period for transition of contractors has been previously provided for.

Subcontracting Limit

Subcontracting will be limited to thirty percent (30%) of the annual contract budget. Subcontracting is defined as non-employee direct personal services and related incidental expenses, including travel.

If the vendor proposes to change subcontractors during the contract period, NYSED must be notified prior to the change. NYSED reserves the right to reject any replacement subcontractors proposed by the vendor and reserves the right to approve all changes in subcontractors. The Subcontracting Form located in the Submission Documents must be updated annually and submitted to NYSED. Using this form, the vendor must also report to NYSED, on an annual basis, actual expenditures incurred for all subcontractors and indicate which subcontracting costs are associated with M/WBE.

Consultant Staff Changes

The Contractor will maintain continuity of the Consultant Team staff throughout the course of the contract. All changes in staff will be subject to NYSED approval.  The replacement Consultant(s) with comparable skills will be provided at the same or lower hourly rate.

Electronic Processing of Payments

In accordance with a directive dated January 22, 2010 by the Director of State Operations - Office of Taxpayer Accountability, all state agency contracts, grants, and purchase orders executed after February 28, 2010 shall contain a provision requiring that contractors and grantees accept electronic payments.  Additional information and authorization forms are available at the State Comptroller’s website at www.osc.state.ny.us/epay/index.htm.

Accessibility of Web-Based Information and Applications

Any web-based information and applications development, or programming delivered pursuant to the contract or procurement, will comply with New York State Enterprise IT Policy NYS-P08-005, Accessibility of Web-Based Information and Applications as such policy may be amended, modified or superseded, which requires that state agency web-based information and applications are accessible to persons with disabilities. Web-based information and applications must conform to New York State Enterprise IT Policy NYS-P08-005 (see http://www.cio.ny.gov/Policy/NYS-P08-005.pdf) as determined by quality assurance testing. Such quality assurance testing will be conducted by the contractor, and the results of such testing must be satisfactory to NYSED before web-based information and applications will be considered a qualified deliverable under the contract or procurement.


 

M/WBE AND EQUAL EMPLOYMENT OPPORTUNITIES REQUIREMENTS CONTRACTOR REQUIREMENT AND OBLIGATION UNDER NEW YORK STATE EXECUTIVE LAW, ARTICLE 15-A (PARTICIPATION BY MINORITY GROUP MEMBERS AND WOMEN WITH RESPECT TO STATE CONTRACTS)

             In an effort to eradicate barriers that have historically impeded access by minority group members and women in State contracting activities, Article 15-A, of the New York State Executive Law §310-318, (Participation By Minority Group Members and Women With Respect To State Contracts) was enacted to promote equality of economic opportunities for minority group members and women.

             The New York State Education Department (“NYSED”) has enacted its policies Equal Opportunity, Non-Discrimination and Affirmative Action and on Minority and Women-Owned Business Enterprise Procurements, consistent with the requirements as set forth under the provisions of Article 15-A (the “Article”) incorporated by reference, requiring Contracting Agencies to implement procedures to ensure that the “Contractor” (as defined under Article 15-A,  §310.3 shall mean an individual, a business enterprise, including a sole proprietorship, a partnership, a corporation, a not-for-profit corporation, or any other party to a state contract, or a bidder in conjunction with the award of a state contract or a proposed party to a state contract, complies with requirements to ensure Equal Employment Opportunities for Minority Group Members and Women, in addition to providing Opportunities for Minority and Women-Owned Business Enterprises on all covered state contracts.

             In keeping with the intent of the Law, it is the expectation of the Commissioner and the responsibility of all contractors participating in and/or selected for procurement opportunities with NYSED, to fulfill their obligations to comply with the requirements of the Article and its implementing regulations.

             In accordance with these requirements, the contractor hereby agrees to make every good faith effort to promote and assist the participation of certified Minority and Women-Owned Business Enterprises (“M/WBE”) as subcontractors and suppliers on this project for the provision of services and materials in an amount at least equal to the M/WBE goal (Included in the procurement document) as a percentage of the total dollar value of this project.  In addition, the contractor shall ensure the following:

1.  All state contracts and all documents soliciting bids or proposals for state contracts contain or make reference to the following provisions:     
            
a. The contractor will not discriminate against employees or applicants for employment because of race, creed, color, national origin, sex, age, disability, marital status, gender, religion, veteran status, sexual orientation, genetic disposition or carrier status 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.

For purposes of the Article, affirmative action shall mean recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff or termination and rate of pay or other forms of compensation.

b. 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, marital status, gender, religion, veteran status, sexual orientation, genetic disposition or carrier status and that such union or representative will affirmatively cooperate in the implementation of the contractor’s obligation herein.

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, marital status, gender, religion, veteran status, sexual orientation, genetic disposition or carrier status.

2.  The contractor will include the provisions of subdivision one of this section in every subcontract as defined under §310.14, except as provided under §312.6 of the Article, in such a manner that the provisions will be binding upon each subcontractor as to work in connection with the State contract.

3.  Contractors or subcontractors shall comply with the requirements of any federal law concerning equal employment opportunity, which effectuates the purpose of this section.

4.  Contractors and subcontractors shall undertake programs of affirmative action and equal employment opportunity as required by this section .  In accordance with the provision of the Article, the bidder will submit, with their proposal, Staffing Plan (EEO 100).

5.  Certified businesses (as defined under Article 15-A, §310.1 means a business verified as a minority or women-owned business enterprise pursuant to §314 of the Article) shall be given the opportunity for meaningful participation in the performance of this contract, to actively and affirmatively promote and assist their participation in the performance of this contract, so as to facilitate the award of a fair share of this contract to such businesses .

6. Contractor shall make a good faith effort to solicit active participation by enterprises identified in the Empire State Development (“ESD”) directory of certified businesses, which can be viewed at:   http://www.nylovesmwbe.ny.gov. The contractor must document its good faith efforts as set forth in 5 NYCRR 142.8.  This document, Contractors Good Faith Efforts, can be found in the M/WBE Submission Documents.

7.  Contractor shall agree, as a condition of entering into said contract, to be bound by the provisions of Article 15-A, §316.

8.  Contractor shall include the provisions set forth in paragraphs (6) and (7) above, in every subcontract in a manner that the provisions will be binding upon each subcontractor as to work in connection with this contract.

9.  Contractor shall comply with the requirements of any federal law concerning opportunities for M/WBEs which effectuates the purpose of this section.


 

2.)     Submission

Documents to be submitted with this proposal

This section details the submission document or documents that are expected to be transmitted by the respondent to the State Education Department in response to this RFP.  New York State Education Department shall own all materials, processes, and products (software, code, documentation and other written materials) developed under this contract.  Materials prepared under this contract shall be in a form that will be ready for copyright in the name of the New York State Education Department.  Any sub-contractor is also bound by these terms.  The submission will become the basis on which NYSED will judge the respondent’s ability to perform the required services as laid out in the RFP.  This will be followed by various terms and conditions that reflect the specific needs of this project.

Project Submission:

The proposal submitted in response to this RFP must include the following documents:

1. Technical Proposal—Five (5) copies (one bearing an original signature in blue ink)
2. Cost Proposal—Three (3) copies (one bearing an original signature in blue ink)
3. Microsoft Word (CD format)—One (1) electronic version with both the technical and cost proposals.
4. M/WBE Documents—Three (3) copies (one bearing an original signature in blue ink)

The proposal must be received by April 12, 2012 by 3:00 PM at NYSED in Albany, New York.

Proposals should be prepared simply and economically, avoiding the use of elaborate promotional materials beyond those sufficient to provide complete presentation. If supplemental materials are a necessary part of the proposal, the bidder should reference these materials in the technical proposal, identifying the document(s) and citing the appropriate section and page(s) to be reviewed.

The proposal must communicate an understanding of the deliverables of the RFP, describe how the tasks are to be performed and identify potential problems in the conduct of the deliverables and methods to identify and solve such problems.

Bidders should specify all details and dates required to evaluate the technical proposal and should limit aspects of the project plan which are to be determined only after the award of a contract. No optional deliverables to be provided only at an additional cost should be included and will not be considered in the evaluation of the technical proposal. Contractual terms, conditions and assumptions are inappropriate for inclusion in the proposal.

Any proprietary material considered confidential by the bidder must specifically be so identified, and the basis for such confidentiality must be specifically set forth in the proposal.

Technical Proposal                                                                                                           (70 points)

The original plus four copies of the completed Technical Proposal must be mailed in a separate envelope labeled RFP#12-016-Technical Proposal-Do Not Open and must include the following:

Transmittal Instructions

After completing all the required parts of the RFP, assemble your Technical Proposal in the following order:

  1. Project Description including documentation of applicant’s experience with the E-rate program and application process.
  2. Plan of Operation for all four Deliverables (located in Submission Documents). 

In a separate binder, submit:

  1. Response Sheet for Bids
  2. Certifications and Assurances located in Submission Documents      Signatures Required
  3. TAC Certification Form located in Submission Documents                    Signature Required
  4. Mandatory Requirements Certificate                                                      Signature Required

 

Applications must be unbound, paginated, and signed as appropriate.  Please submit five (5) copies of the Technical Proposal (one bearing an original signature) and three (3) copies of the Cost Proposal (one bearing an original signature).  Supplementary materials such as marketing brochures, publications, press clippings, testimonial letters, etc. will not be reviewed nor will they be returned to the applicant.      

Cost Proposal                                                                                                                     (30 points)

The original plus two (2) copies of the completed Cost Proposal must be mailed in a separate envelope labeled RFP#12-016-Cost Proposal-Do Not Open and must include the following:

Index of Documents to be completed and submitted with Cost Proposal:

  1. TAC Budget—Year One
  2. Budget Summary—Year One
  3. Budget Summaries for Years 2-4
  4. Four Year Budget Summary                                                                     Signature Required
  5. Subcontracting Form
  6. M/WBE Subcontracting/Purchasing Form

 

The Financial Criteria portion of the RFP will be scored based upon the grand total of the five year budget summary.

M/WBE Documents

The original plus two (2) copies of the completed M/WBE Documents must be mailed in a separate envelope labeled RFP#12-016-M/WBE Documents-Do Not Open.   Each set must include the following:

1. M/WBE Cover Letter                                                                                Signature Required
2. M/WBE 100 Utilization Plan
3. M/WBE 102 Notice of Intent to Participate
4. EEO 100 Staffing Plan


3.) Evaluation Criteria and Method of Award

This section begins with the criteria the agency will use to evaluate bids, and closes with the “method of award” or how the contractor will be selected.  This will be followed by various terms and conditions that reflect the specific needs of this project as well as New York State contract guidelines and requirements.

Criteria for Evaluating Bids

All complete proposals received by the deadline will be reviewed using the following criteria and ratings. Applicants must ensure that all components of this application request have been addressed, the required number of copies has been provided, all forms and assurances have been completed, and the original signatures in blue are included as required.

An evaluation committee of NYSED staff will complete a review of all proposals submitted. The committee will review each proposal to determine compliance with the requirements described in the RFP. The committee retains the right to determine whether any deviation from the requirements of this RFP is substantial in nature and may reject in whole or in part any and all proposals, waive minor irregularities and conduct discussions with all responsible bidders.

Proposals receiving at least sixty percent (60%) of the points available for the technical proposal (a total of 42 out of 70 points) will move to the next step of the process.  Proposals with a score of less than 42 points in the Technical Proposal section will be eliminated from further consideration. 

Technical Criteria                                                                                                                           (70 Points)   

 

Project Description                                                                                                             (40 Points)

This section must include:

  • Bidders should describe the extent of their experiences in reviewing and/or approving technology plans for schools and/or libraries, which include public, private, charter and Headstart schools, as well as RICs and Library Systems (10 points).
  • Bidders should document the extent of their experience in providing staff development and/or technical assistance to the education community including public and non-public K-12 institutions, BOCES, colleges and universities, libraries, and/or other cultural institutions.  (10 points)
  • An analysis and assessment of the capacity of the applicant to establish partnerships with other organizations to ensure the efficient delivery of all services and products to RICs, library systems, Big Fives, non-public entities or consortia and SLD. (5 points)
  • A narrative description of the program’s organizational structure, governance, and lines of communication. Project staffing and supervision plan. Include the qualifications and experience of key personnel.  (5 Points)
  • A detailed description of the program’s organizational structure and how the process of the technology plan review will be completely separate from its involvement in any E-Rate related services (10 Points)

 

Supporting materials to be included with project description:
  1. Organizational chart
  2. Evidence of at least two years of experience in reviewing and/or approving technology plans for E-Rate or other federally funded programs (i.e. NCLB/Title IID) for schools and/or libraries.
  3. Job descriptions for all staff identified in the budget
  4. Resume for the Project Manager
  5. Resume for any other staff

 

Plan of Operation                                                                                                   (30 Points)

 

The Plan of Operation for the Technical Assistance for the Universal Service Discount (E-Rate) Program (located in Submission Documents) describes how the organization intends to implement Items 1-9 outlined in Project Deliverables.  That plan must include program activities, schedule of implementation, and benchmarks used to measure success.  The plan of operation must be specific enough to establish evaluation criteria and benchmarks for each activity, responsibility, or service. 

Financial Criteria                                                                                                                (30 Points)

The Financial Criteria portion of this RFP will be scored based upon the grand total for the four year budget summary.

•     The financial portion of the proposal represents thirty points of the overall score and will be awarded up to thirty points pursuant to a formula. This calculation will be computed by the Contract Administration Unit upon completion of the technical scoring by the technical review panel.

•     The agency reserves the right to request best and final offers.

•     The submitted budget will be awarded points pursuant to a formula which awards the highest score of 30 points to the budget that reflects the lowest overall cost. The remaining budgets will be awarded points based on a calculation that computes the relative difference of each proposal against the lowest budget submitted. The resulting percentage is then applied to the maximum point value of 30 points.

 

Method of Award

The aggregate score of all the criteria listed will be calculated for each proposal received.

The contract issued pursuant to this proposal will be awarded to the vendor whose aggregate technical and cost score is the highest among all the proposals rated.

In the event that more than one proposal obtains the highest aggregate score, the contract will be awarded to the vendor in that group of highest aggregate scores whose budget component reflects the lowest overall cost.

NYSED’s Reservation of Rights

NYSED reserves the right to: (1) reject any or all proposals received in response to the RFP; (2) withdraw the RFP at any time, at the agency’s sole discretion; (3) make an award under the RFP in whole or in part; (4) disqualify any bidder whose conduct and/or proposal fails to conform to the requirements of the RFP; (5) seek clarifications of proposals; (6) use proposal information obtained through site visits, management interviews and the state’s investigation of a bidder’s qualifications, experience, ability or financial standing, and any material or information submitted by the bidder in response to the agency’s request for clarifying information in the course of evaluation and/or selection under the RFP; (7) prior to the bid opening, amend the RFP specifications to correct errors or oversights, or to supply additional information, as it becomes available; (8) prior to the bid opening, direct bidders to submit proposal modifications addressing subsequent RFP amendments; (9) change any of the scheduled dates; (10) waive any requirements that are not material; (11) negotiate with the successful bidder within the scope of the RFP in the best interests of the state; (12) conduct contract negotiations with the next responsible bidder, should the agency be unsuccessful in negotiating with the selected bidder; (13) utilize any and all ideas submitted in the proposals received; (14) unless otherwise specified in the solicitation, every offer is firm and not revocable for a period of 90 days from the bid opening; (15) require clarification at any time during the procurement process and/or require correction of arithmetic or other apparent errors for the purpose of assuring a full and complete understanding of an offerer’s proposal and/or to determine an offerer’s compliance with the requirements of the solicitation; (16) to request best and final offers.

Post Selection Procedures

Upon selection, the successful bidder will receive a proposed contract from NYSED.  All terms set forth in the selected bidder's technical proposal will be final.  The selected bidder may be given an opportunity to reduce its cost proposal in accordance with the agency's right to negotiate a final best price.  The contents of this RFP, any subsequent correspondence during the proposal evaluation period, and such other stipulations as agreed upon may be made a part of the final contract prepared by NYSED.  Successful bidders may be subject to audit and should ensure that adequate controls are in place to document the allowable activities and expenditure of State funds.

Debriefing Procedures

All unsuccessful bidders may request a debriefing within five (5) business days of receiving notice from NYSED.  Bidders may request a debriefing letter on the selection process regarding this RFP by submitting a written request to the Fiscal Contact person at:

NYS Education Department
Contract Administration Unit
89 Washington Avenue
Room 505W EB
Albany, NY  12234

The Fiscal Contact person will make arrangements with program staff to provide a written summary of the proposal’s strengths and weaknesses, as well as recommendations for improvement.  Within ten (10) business days, the program staff will issue a written debriefing letter to the bidder.

Contract Award Protest Procedures

            Bidders who receive a notice of non-award may protest the NYSED award decision subject to the following:

  1. The protest must be in writing and must contain specific factual and/or legal allegations setting forth the basis on which the protesting party challenges the contract award by NYSED.
  2. The protest must be filed within ten (10) business days of receipt of a debriefing letter.  The protest letter must be filed with:

                        NYS Education Department
                        Contract Administration Unit
                        89 Washington Avenue
                        Room 505W EB
                        Albany, NY 12234

  1. The NYSED Contract Administration Unit (CAU) will convene a review team that will include at least one staff member from each of NYSED’s Office of Counsel, CAU, and the Program Office.  The review team will review and consider the merits of the protest and will decide whether the protest is approved or denied.  Counsel’s Office will provide the bidder with written notification of the review team’s decision within seven (7) business days of the receipt of the protest.  The original protest and decision will be filed with OSC when the contract procurement record is submitted for approval and CAU will advise OSC that a protest was filed.
  2. The NYSED Contract Administration Unit (CAU) may summarily deny a protest that fails to contain specific factual or legal allegations, or where the protest only raises issues of law that have already been decided by the courts. 

Vendor Responsibility

State law requires that the award of state contracts be made to responsible vendors. Before an award is made to a not-for-profit entity, a for-profit entity, a private college or university or a public entity not exempted by the Office of the State Comptroller, NYSED must make an affirmative responsibility determination. The factors to be considered include: legal authority to do business in New York State; integrity; capacity- both organizational and financial; and previous performance. Before an award of $100,000 or greater can be made to a covered entity, the entity will be required to complete and submit a Vendor Responsibility Questionnaire.  School districts, Charter Schools, BOCES, public colleges and universities, public libraries, and the Research Foundation for SUNY and CUNY are some of the exempt entities.  For a complete list, see:
http://www.osc.state.ny.us/vendrep/resources_docreq_agency.htm.

NYSEDrecommends that vendors file the required Vendor Responsibility Questionnaire online via the New York State VendRep System.  To enroll in and use the New York State VendRep System, see the VendRep System Instructions available at http://www.osc.state.ny.us/vendrep/vendor_index.htm or go directly to the VendRep System online at https://portal.osc.state.ny.us

Vendors must provide their New York State Vendor Identification Number when enrolling.  To request assignment of a Vendor ID or for VendRep System assistance, contact the Office of the State Comptroller’s Help Desk at 866-370-4672 or 518-408-4672 or by email at ciohelpdesk@osc.state.ny.us

Vendors opting to complete and submit a paper questionnaire can obtain the appropriate questionnaire from the VendRep website www.osc.state.ny.us/vendrep or may contact NYSED or the Office of the State Comptroller’s Help Desk for a copy of the paper form.

Note: Bidders must acknowledge their method of filing their questionnaire by checking the appropriate box on the Response Sheet for Bids (Submission Documents).

 

PROCUREMENT LOBBYING LAW

Pursuant to State Finance Law §§139-j and 139-k, this solicitation includes and imposes certain restrictions on communications between the New York State Education Department (“NYSED”) and an Offerer/bidder during the procurement process.  An Offerer/bidder is restricted from making contacts from the earliest notice of the solicitation through final award and approval of the Procurement Contract by NYSED and, if applicable, 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 below.  NYSED employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the Offerer/bidder 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 Offerer/bidder is debarred from obtaining governmental Procurement Contracts.  Further information about these requirements can be found at the following web link:  http://www.oms.nysed.gov/fiscal/cau/PLL/procurementpolicy.htm

Designated Contacts for NYSED
Program Office – INSERT #10
Contract Administration Unit – Insert Your Name
M/WBE – Joan Ramsey

Consultant Disclosure Legislation

Effective June 19, 2006, new reporting requirements became effective for State contractors, as the result of an amendment to State Finance Law §§ 8 and 163.  As a result of these changes in law, State contractors will be required to disclose, by employment category, the number of persons employed to provide services under a contract for consulting services, the number of hours worked and the amount paid to the contractor by the State as compensation for work performed by these employees. This will include information on any persons working under any subcontracts with the State contractor.
Chapter 10 of the Laws of 2006 expands the definition of contracts for consulting services to include any contract entered into by a State agency for analysis, evaluation, research, training, data processing, computer programming, engineering, environmental, health, and mental health services, accounting, auditing, paralegal, legal, or similar services.
To enable compliance with the law, State agencies must include in the Procurement Record submitted to OSC for new consultant contracts, the State Consultant Services Contractor’s Planned Employment From Contract Start Date Through the End of the Contract Term (Form A - see link below). The completed form must include information for all employees providing service under the contract whether employed by the contractor or a subcontractor. Please note that the form captures the necessary planned employment information prospectively from the start date of the contract through the end of the contract term.
Form A:  http://www.osc.state.ny.us/agencies/gbull/g226forma.doc
Chapter 10 of the Laws of 2006 mandates that State agencies must now require State contractors to report annually on the employment information described above, including work performed by subcontractors. The legislation mandates that the annual employment reports are to be submitted by the contractor to the contracting agency, to OSC and to the Department of Civil Service.  State Consultant Services Contractor’s Annual Employment Report (Form B - see link below) is to be used to report the information for all procurement contracts above $15,000.  Please note that, in contrast to the information to be included on Form A, which is a one-time report of planned employment data for the entire term of a consulting contract on a projected basis, Form B will be submitted each year the contract is in effect and will capture historical information, detailing actual employment data for the most recently concluded State fiscal year (April 1 – March 31).
Form B: http://www.osc.state.ny.us/agencies/gbull/g226formb.doc
For more information, please visit the OSC web site for G-Bulletin 226 at: http://www.osc.state.ny.us/agencies/gbull/g-226.htm.

Public Officer’s Law Section 73

All bidders must comply with Public Officer’s Law Section 73 (4)(a), as follows:

4. (a) No statewide elected official, state officer or employee, member of the legislature, legislative employee or political party chairman or firm or association of which such person is a member, or corporation, ten per centum or more of the stock of which is owned or controlled directly or indirectly by such person, shall (i) sell any goods or services having a value in excess of twenty-five dollars to any state agency, or (ii) contract for or provide such goods or services with or to any private entity where the power to contract, appoint or retain on behalf of such private entity is exercised, directly or indirectly, by a state agency or officer thereof, unless such goods or services are provided pursuant to an award or contract let after public notice and competitive bidding. This paragraph shall not apply to the publication of resolutions, advertisements or other legal propositions or notices in newspapers designated pursuant to law for such purpose and for which the rates are fixed pursuant to law.

(i) The term "state officer or employee" shall mean:
    (i) heads of state departments and their deputies and assistants other than members of the board of regents of the university of the state of New York who receive no compensation or are compensated on a per diem basis;
    (ii) officers and employees of statewide elected officials;
   (iii) officers and employees of state departments, boards, bureaus, divisions, commissions, councils or other state agencies other than officers of such boards, commissions or councils who receive no compensation or are compensated on a per diem basis; and
   (iv) members or directors of public authorities, other than multistate authorities, public benefit corporations and commissions at least one of whose members is appointed by the governor, who receive compensation other than on a per diem basis, and employees of such authorities, corporations and commissions.

Public Officer’s Law Section 73 can be found at http://www.nyintegrity.org/law/ethc/POL73.html.

NYSED Substitute Form W-9

Any payee/vendor/organization receiving Federal and/or State payments from NYSED must complete the NYSED Substitute Form W-9 if they are not yet registered in the Statewide Financial System centralized vendor file.

The NYS Education Department (NYSED) is using the NYSED Substitute Form W-9 to obtain certification of a vendor’s Tax Identification Number in order to facilitate a vendor’s registration with the SFS centralized vendor file and to ensure accuracy of information contained therein.  We ask for the information on the NYSED Substitute Form W-9 to carry out the Internal Revenue laws of the United States. 

 

4.)     Assurances

The State of New York Agreement, Appendix A – Standard Clause for all New York State Contracts, and Appendix A-1 WILL BE INCLUDED in the contract that results from this RFP.  Vendors who are unable to complete or abide by these assurances should not respond to this request.

The documents listed below are included in (Submission Documents), which must be signed by the Chief Administrative Officer.  Please review the terms and conditions.  Certain documents will become part of the resulting contract that will be executed between the successful bidder and the NYS Education Department.

           
Non-Collusion Certification
(Signature Required - the form is included in (Submission Documents)

MacBride Certification
(Signature Required - the form is included in (Submission Documents)

            Certification-Omnibus Procurement Act of 1992
(Signature Required - the form is included in (Submission Documents)
           
Certification Regarding Lobbying; Debarment and Suspension; and Drug-Free Workplace Requirements
(Signature Required - the form is included in (Submission Documents)

Offerer Disclosure of Prior Non-Responsibility Determinations
(Signature Required - the form is included in (Submission Documents)

NYSED Substitute Form W-9 (If bidder is not yet registered in the SFS centralized vendor file.)
(Signature Required – the form is located in (Submission Documents)

M/WBE Documents – (the forms below are included in (Submission Documents) Each set must include the following:

1. M/WBE Cover Letter                                            (Signature Required)
2. M/WBE 100 Utilization Plan
3. M/WBE 102 Notice of Intent to Participate
4. EEO 100 Staffing Plan


STATE OF NEW YORK AGREEMENT

            This AGREEMENT is hereby made by and between the People of the State of New York, acting through John B. King, Jr., Commissioner of Education of the State of New York and Chief Executive Officer of the Board of Regents of the University of the State of New York, party of the first part, hereinafter referred to as the (STATE) and the public or private agency (CONTRACTOR) identified on the face page hereof.

    WITNESSETH:
            WHEREAS, the STATE has the authority to regulate and provide funding for the establishment and operation of program services and desires to contract with skilled parties possessing the necessary resources to provide such services; and

            WHEREAS, the CONTRACTOR is ready, willing and able to provide such program services and possesses or can make available all necessary qualified personnel, licenses, facilities and expertise to perform or have performed the services required pursuant to the terms of this AGREEMENT;

            NOW THEREFORE, in consideration of the promises, responsibilities and covenants herein, the STATE and the CONTRACTOR agree as follows:

I.          Conditions of Agreement

            A.  This AGREEMENT may consist of successive periods (PERIOD), as specified within the AGREEMENT or within a subsequent Modification Agreement(s) (Appendix X).  Each additional or superseding PERIOD shall be on the forms specified by the particular State agency, and shall be incorporated into this AGREEMENT.
           
            B.  Funding for the first PERIOD shall not exceed the funding amount specified on the face page hereof.  Funding for each subsequent PERIOD, if any, shall not exceed the amount specified in the appropriate appendix for that PERIOD.

            C.  This AGREEMENT incorporates the face pages attached and all of the marked appendices identified on the face page hereof. 

            D.  For each succeeding PERIOD of this AGREEMENT, the parties shall prepare new appendices, to the extent that any require modification, and a Modification Agreement (The attached Appendix X is the blank form to be used).  Any terms of this AGREEMENT not modified shall remain in effect for each PERIOD of the AGREEMENT. 

            To modify the AGREEMENT within an existing PERIOD, the parties shall revise or complete the appropriate appendix form(s).  Any change in the amount of consideration to be paid, or change in the term, is subject to the approval of the Office of the State Comptroller.  Any other modifications shall be processed in accordance with agency guidelines as stated in Appendix A1. 

            E.  The CONTRACTOR shall perform all services to the satisfaction of the STATE.  The CONTRACTOR shall provide services and meet the program objectives summarized in the Program Workplan (Appendix D) in accordance with: provisions of the AGREEMENT; relevant laws, rules and regulations, administrative and fiscal guidelines; and where applicable, operating certificates for facilities or licenses for an activity or program.

            F.  If the CONTRACTOR enters into subcontracts for the performance of work pursuant to this AGREEMENT, the CONTRACTOR shall take full responsibility for the acts and omissions of its subcontractors.  Nothing in the subcontract shall impair the rights of the STATE under this AGREEMENT. No contractual relationship shall be deemed to exist between the subcontractor and the STATE.

            G.  Appendix A (Standard Clauses as required by the Attorney General for all State contracts) takes precedence over all other parts of the AGREEMENT.         

II.          Payment and Reporting

            A.  The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated payment office (identified in Appendix C) any appropriate documentation as required by the Payment and Reporting Schedule (Appendix C) and by agency fiscal guidelines, in a manner acceptable to the STATE.

            B.  The STATE shall make payments and any reconciliations in accordance with the Payment and Reporting Schedule (Appendix C).  The STATE shall pay the CONTRACTOR, in consideration of contract services for a given PERIOD, a sum not to exceed the amount noted on the face page hereof or in the respective Appendix designating the payment amount for that given PERIOD.  This sum shall not duplicate reimbursement from other sources for CONTRACTOR costs and services provided pursuant to this AGREEMENT.

            C.  The CONTRACTOR shall meet the audit requirements specified by the STATE.

III.         Terminations

            A.  This AGREEMENT may be terminated at any time upon mutual written consent of the STATE and the CONTRACTOR.

            B.  The STATE may terminate the AGREEMENT immediately, upon written notice of termination to the CONTRACTOR, if the CONTRACTOR fails to comply with the terms and conditions of this AGREEMENT and/or with any laws, rules, regulations, policies or procedures affecting this AGREEMENT.

            C.  The STATE may also terminate this AGREEMENT for any reason in accordance with provisions set forth in Appendix A1.

            D.  Written notice of termination, where required, shall be sent by personal messenger service or by certified mail, return receipt requested.  The termination shall be effective in accordance with the terms of the notice.

            E.  Upon receipt of notice of termination, the CONTRACTOR agrees to cancel, prior to the effective date of any prospective termination, as many outstanding obligations as possible, and agrees not to incur any new obligations after receipt of the notice without approval by the STATE.

            F.  The STATE shall be responsible for payment on claims pursuant to services provided and costs incurred pursuant to terms of the AGREEMENT.  In no event shall the STATE be liable for expenses and obligations arising from the program(s) in this AGREEMENT after the termination date.

IV.  Indemnification

            A.  The CONTRACTOR shall be solely responsible and answerable in damages for any and all accidents and/or injuries to persons (including death) or property arising out of or related to the services to be rendered by the CONTRACTOR or its subcontractors pursuant to this AGREEMENT.  The CONTRACTOR shall indemnify and hold harmless the STATE and its officers and employees from claims, suits, actions, damages and costs of every nature arising out of the provision of services pursuant to this AGREEMENT.

            B.  The CONTRACTOR is an independent contractor and may neither hold itself out nor claim to be an officer, employee or subdivision of the STATE nor make any claim, demand or application to or for any right based upon any different status.

V.         Property

            Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT is deemed to be the property of the STATE except as may otherwise be governed by Federal or State laws, rules or regulations, or as stated in Appendix Al. 

VI.        Safeguards for Services and Confidentiality

            A.  Services performed pursuant to this AGREEMENT are secular in nature and shall be performed in a manner that does not discriminate on the basis of religious belief, or promote or discourage adherence to religion in general or particular religious beliefs.

            B.  Funds provided pursuant to this AGREEMENT shall not be used for any partisan political activity, or for activities that may influence legislation or the election or defeat of any candidate for public office.

            C.  Information relating to individuals who may receive services pursuant to this AGREEMENT shall be maintained and used only for the purposes intended under the contract and in conformity with applicable provisions of laws and regulations, or specified in Appendix A1.


APPENDIX A
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).

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, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, or marital 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 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, 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.

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
30 South Pearl St -- 7th Floor
Albany, New York  12245
Telephone:  518-292-5220
Fax:  518-292-5884
http://www.empire.state.ny.us

A directory of certified minority and women-owned business enterprises is available from:

NYS Department of Economic Development
Division of Minority and Women's Business Development
30 South Pearl St -- 2nd Floor
Albany, New York  12245
Telephone:  518-292-5250
Fax:  518-292-5803
http://www.empire.state.ny.us

The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million:

(a)  The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State;

(b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities 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 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. (December 2011)


APPENDIX A-1

Payment and Reporting

  1. In the event that Contractor shall receive, from any source whatsoever, sums the payment of which is in consideration for the same costs and services provided to the State, the monetary obligation of the State hereunder shall be reduced by an equivalent amount provided, however, that nothing contained herein shall require such reimbursement where additional similar services are provided and no duplicative payments are received.

  2. Variations in each budget category not exceeding ten percent (10%) of such category may be approved by the Commissioner of Education.  Any such variations shall be reflected in the final expenditure report and filed in the Office of the State Comptroller. Variations in each budget category which do exceed ten percent (10%) of such category must be submitted to the Office of the State Comptroller for approval.

  3. For each individual for whom costs are claimed under this agreement, the contractor warrants that the individual has been classified as an employee or as an independent contractor in accordance with 2 NYCRR 315 and all applicable laws including, but not limited to, the Internal Revenue Code, the New York Retirement and Social Security Law, the New York Education Law, the New York Labor Law, and the New York Tax Law.  Furthermore, the contractor warrants that all project funds allocated to the proposed budget for Employee Benefits, represent costs for employees of the contractor only and that such funds will not be expended on any individual classified as an independent contractor.

 

Terminations

  1. The State may terminate this Agreement without cause by thirty (30) days prior written notice.  In the event of such termination, the parties will adjust the accounts due and the Contractor will undertake no additional expenditures not already required.  Upon any such termination, the parties shall endeavor in an orderly manner to wind down activities hereunder.
  2. SED reserves the right to terminate this Agreement in the event it is found that the certification by the Contractor in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete.  Upon such finding, SED may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of this Agreement.

Property

  1. The Contractor shall maintain a complete inventory of all realty, equipment and other non-expendable assets including, but not limited to, books, paintings, artifacts, rare coins, antiques and other collectible items purchased, improved or developed under this agreement.  The Contractor shall submit a copy of the inventory in a form identical to or essentially similar to, Exhibit A annexed hereto.  The term "non-expendable assets" shall mean for the purposes of this agreement any and all assets which are not consumed during the term of this agreement and which have a cost of One Thousand Dollars ($1,000) or more.

    Inventories for non-expendable assets must be submitted with the final expenditure report.  In addition to or as part of whatever rights the State may have with respect to the inspection of the Contractor, the State shall have the right to inspect the inventory without notice to the Contractor.
         
    The Contractor shall not at any time sell, trade, convey or otherwise dispose of any non-expendable assets having a market value in excess of Two Thousand Dollars ($2,000) at the time of the desired disposition without the express permission of the State.  The Contractor may seek permission in writing by certified mail to the State.

    The Contractor shall not at any time use or allow to be used any non-expendable assets in a manner inconsistent with the purposes of this agreement.
  2. If the Contractor wishes to continue to use any of the non-expendable assets purchased with the funds available under this agreement upon the termination of this agreement, it shall request permission from the State in writing for such continued use within twenty-five (25) days of the termination of this agreement.  The Contractor's request shall itemize the non-expendable assets for which continued use is sought.  The State may accept, reject or accept in part such request.  If the request for continued use is allowed to any degree, it shall be conditioned upon the fact that said equipment shall continue to be used in accordance with the purposes of this agreement.

    If after the State grants permission to the Contractor for "continued use" as set forth above the non-expendable assets are not used in accordance with the purposes of this agreement, the State in its discretion may elect to take title to such assets and may assert its right to possession upon thirty (30) days prior written notice by certified mail to the Contractor.  The State upon obtaining such non-expendable assets may arrange for their further use in the public interest as it in its discretion may decide. 

  3. Upon termination of this agreement, the State in its discretion may elect to take title and may assert its right to possession of any non-expendable assets upon thirty (30) days prior written notice by certified mail to the Contractor.  The State's option to elect to take title shall be triggered by the termination of this agreement or by the State's rejection of continued use of non-expendable assets by the Contractor as set forth herein.  The State upon obtaining such non-expendable assets may arrange for their further use in the public interest as it in its discretion may decide.

  4. The terms and conditions set forth herein regarding non-expendable assets shall survive the expiration or termination, for whatever reason, of this agreement.

Safeguards for Services and Confidentiality

  1. Any copyrightable work produced pursuant to said agreement shall be the sole and exclusive property of the New York State Education Department.  The material prepared under the terms of this agreement by the Contractor shall be prepared by the Contractor in a form so that it will be ready for copyright in the name of the New York State Education Department.  Should the Contractor use the services of consultants or other organizations or individuals who are not regular employees of the Contractor, the Contractor and such organization or individual shall, prior to the performance of any work pursuant to this agreement, enter into a written agreement, duly executed, which shall set forth the services to be provided by such organization or individual and the consideration therefor.  Such agreement shall provide that any copyrightable work produced pursuant to said agreement shall be the sole and exclusive property of the New York State Education Department and that such work shall be prepared in a form ready for copyright by the New York State Education Department.  A copy of such agreement shall be provided to the State.

  2. All reports of research, studies, publications, workshops, announcements, and other activities funded as a result of this proposal will acknowledge the support provided by the State of New York.

  3. This agreement cannot be modified, amended, or otherwise changed except by a writing signed by all parties to this contract.

  4. No failure to assert any rights or remedies available to the State under this agreement shall be considered a waiver of such right or remedy or any other right or remedy unless such waiver is contained in a writing signed by the party alleged to have waived its right or remedy.

  5. Expenses for travel, lodging, and subsistence shall be reimbursed at the per diem rate in effect at the time for New York State Management/Confidential employees.

  6. No fees shall be charged by the Contractor for training provided under this agreement.

  7. Nothing herein shall require the State to adopt the curriculum developed pursuant to this agreement.

  8. This agreement, including all appendices, is, upon signature of the parties and the approval of the Attorney General and the State Comptroller, a legally enforceable contract.  Therefore, a signature on behalf of the Contractor will bind the Contractor to all the terms and conditions stated therein.
  9. The parties to this agreement intend the foregoing writing to be the final, complete, and exclusive expression of all the terms of their agreement.

 

Certifications

  1. Contractor certifies that it has met the disclosure requirements of State Finance Law §139-k and that all information provided to the State Education Department with respect to State Finance Law §139-k is complete, true and accurate.

  2. Contractor certifies that it has not knowingly and willfully violated the prohibitions against impermissible contacts found in State Finance Law §139-j.

  3. Contractor certifies that no governmental entity has made a finding of nonresponsibility regarding the Contractor in the previous four years.

  4. Contractor certifies that no governmental entity or other governmental agency has terminated or withheld a procurement contract with the Contractor due to the intentional provision of false or incomplete information.

  5. Contractor affirms that it understands and agrees to comply with the procedures of the STATE relative to permissible contacts as required by State Finance Law §139-j (3) and §139-j (6)(b).
  6. Contractor certifies that it is in compliance with NYS Public Officers Law, including but not limited to,  §73(4)(a).

Notices

Any written notice or delivery under any provision of this AGREEMENT shall be deemed to have been properly made if sent by certified mail, return receipt requested to the address(es) set forth in this Agreement, except as such address(es) may be changed by notice in writing.  Notice shall be considered to have been provided as of the date of receipt of the notice by the receiving party.

Miscellaneous

  1. 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). Contractor shall be liable for the costs associated with such breach if caused by Contractor’s negligent or willful acts or omissions, or the negligent or willful acts or omissions of Contractor’s agents, officers, employees or subcontractors.

  2. If required by the Office of State Comptroller (“OSC”) Bulletin G-226 and State Finance Law §§ 8 and 163, Contractor agrees to submit an initial planned employment data report on Form A and an annual employment report on Form B.  State will furnish Form A and Form B to Contractor if required.

The initial planned employment report must be submitted at the time of approval of this Agreement.  The annual employment report on Form B will be submitted each year the contract is in effect and will detail actual employment data for the most recently concluded State fiscal year (April 1 – March 31). The first report will be filed no later than May 15, 2008.  Thereafter, Form B will be filed no later than May 15th of each succeeding year.  Copies of the report will be submitted to the NYS Education Department, OSC and the NYS Department of Civil Service at the addresses below.

By mail:                

NYS Office of the State Comptroller
Bureau of Contracts
110 State Street, 11th Floor
Albany, NY 12236
Attn:  Consultant Reporting

By fax:                 

(518) 474-8030 or (518) 473-8808


Reports to DCS are to be transmitted as follows:

By mail:                

NYS Department of Civil Service
Office of Counsel
Alfred E. Smith Office Building
Albany, NY 12239

Reports to NYSED are to be transmitted as follows:

By mail:                

NYS Education Department
Contract Administration Unit
Room 505 W EB
Albany, NY 12234


By fax:                 

(518) 408-1716

  1. Consultant Staff Changes.  If this is a contract for consulting services, Contractor will maintain continuity of the consultant team staff throughout the course of the contract.  All changes in staff will be subject to STATE approval.  The replacement consultant(s) with comparable skills will be provided at the same or lower hourly rate.

Notice – Contractors are provided with notice herein, NYSED may require a contractor to submit proof of an equal opportunity program after the proposal opening and prior to the award of any contract.  In accordance with regulations set forth under Article 15-A §312.5, contractors and/or subcontractors will be required to submit compliance reports relating to the contractor’s and/or subcontractor’s program in effect as of the date the contract is executed.

Should the contractor identify a firm that is not currently certified as an M/WBE, it should request that the firm submit a certification application to the NYSED M/WBE Program Unit by the deadline for submission of proposals for eligibility determination.  NYSED will work with ESD to expedite the application, however, it is the responsibility of the contractor to ensure that a sufficient number of certified M/WBE firms have been identified in response to this procurement, in order to facilitate full M/WBE participation. 

State of New York Agreement

Appendix A - Standard Clauses for NYS Contracts

Appendix A-1

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Last Updated: March 20, 2012 12:43 PM