DIVISION OF FINANCIAL ADMINISTRATION ADDENDUM No. 4 Request for Proposal (RFP) No. 1235 Date : June 13, 2006 Subjec t: Responses to Bidders Written Questions Title : Systems Integrator Implementation Assistance for NYSVoter II Group: 73805 - Class Codes: 43 and 93 Bid Date : REVISED July 5, 2006, 11:00 am EST Address Bid Inquiries to : Dawn P. Becker NYS Office of General Services 40 th Floor, Corning Tower Empire State Plaza Albany, New York 12242 Phone: 518/474-5981 Email: [email protected]To Prospective Bidders : This Bid Addendum No. 4 is relative to answers to prospective bidders written questions. In addition the bid date is changed to July 5, 2006 at 11 am. 1.) Regarding the NYS county databases, can you share with us what types of databases will need to interface with NYS Voter II and what versions of those databases are currently in place? A. Refer to RFP section 3.3.2.4 Independent Systems for a listing of the county system database platforms. It is important to note that NYSVoter will not interface directly with any county database. The interface with the local databases will be through the county voter registration application. County vendors will be responsible for building the interface to their database.
Transcript
DIVISION OF FINANCIAL ADMINISTRATION
ADDENDUM No. 4
Request for Proposal (RFP) No. 1235
Date: June 13, 2006 Subject: Responses to Bidders Written Questions Title: Systems Integrator Implementation Assistance for NYSVoter II Group: 73805 - Class Codes: 43 and 93 Bid Date: REVISED July 5, 2006, 11:00 am EST Address Bid Inquiries to: Dawn P. Becker NYS Office of General Services 40th Floor, Corning Tower Empire State Plaza Albany, New York 12242 Phone: 518/474-5981 Email: [email protected] To Prospective Bidders: This Bid Addendum No. 4 is relative to answers to prospective bidders written questions. In addition the bid date is changed to July 5, 2006 at 11 am. 1.) Regarding the NYS county databases, can you share with us what types of databases
will need to interface with NYS Voter II and what versions of those databases are currently in place?
A. Refer to RFP section 3.3.2.4 Independent Systems for a listing of the county system
database platforms. It is important to note that NYSVoter will not interface directly with any county database. The interface with the local databases will be through the county voter registration application. County vendors will be responsible for building the interface to their database.
2 2.) Regarding the existing DOH and Office of Court Administration systems that NYS
Voter II will interface with, can you speak to what technologies are currently in place for these systems?
A. DOH is currently uses a legacy mainframe system to develop the death record file for NYSBOE. DOH cannot currently use web services or XML to transmit files to NYSBOE. Refer to RFP section 3.3.6.1 for more information on DOH.
The Office of Court Administration currently uses an Oracle-based application to produce their file for NYSBOE (Oracle 10g). Courts currently support ftp and secure ftp on the low end and on the high end exchange xml data with DSS via web services. Refer to RFP section 3.3.6.1 for more information on the Office of Court Administration.
3.) Will the counties be accessing the central dbase or just NYS BOE personnel?
A. Counties will also access NYSVoter II. It is expected that roughly 970 end users from the state and counties will access NYSVoter II.
4.) Please describe the functionality of the existing NYS VOTER I system what
technologies it uses? A. Vendors will not be enhancing NYSVoter I, but will be building a new system
(NYSVoter II) that interfaces in near real time with local systems and meets all the requirements of the RFP. NYSVoter I is based on an Oracle 10g database. The table below highlights NYSVoter I functionality as it relates to state and federal HAVA Legislation.
HAVA Requirement NYSVoter I Functionality Single State Registry – implement a single, uniform, centralized and interactive statewide voter registration list
• NYS has a single, uniform and centralized statewide voter registration (VR) database built in Oracle; the statewide VR database is housed at the State Board of Elections (SBOE);
• County Boards of Elections (BOEs) provide voter registration data to the statewide voter registration database on a daily and in some cases weekly basis.
Duplicate Records – duplicate names are eliminated from the statewide voter registry
• The statewide VR database facilitates the identification and elimination of duplicate voter records.
Administered at State Level – statewide registry administered at the state level that contains the name and registration information of legally registered voters
• The statewide VR database contains the name and registration information of every legally registered voter in NYS and serves as the official voter list for NYS;
• County BOE elections officials have access to the statewide VR database.
Unique State Identifier – State assigns a unique identifier to each legally registered voter
• The statewide VR database assigns a unique identifier.
Inter-agency Coordination - Statewide registry coordinates with other agency databases within the State
• The statewide VR database coordinates with the NYS Department of Health and NYC Department of Health to perform list maintenance for deceased voters; this information is interfaced to the county BOEs;
• The statewide VR database coordinates with the Department of Motor Vehicles in near real-time to verify voter identification based on driver’s license ID; this information is interfaced to the county BOEs;
3 HAVA Requirement NYSVoter I Functionality
• The statewide VR database coordinates with the Social Security Administration, through the Department of Motor Vehicles, in near real-time to verify voter identification based on SSN4; this information is interfaced to the county BOEs;
• The statewide VR database coordinates with the Office of Courts Administration to perform list maintenance for felon or mentally incompetent voters; this information is interfaced to the county BOEs.
5.) On page 10 of the RFP, regarding proposer viability, what do you consider to be a
"similar projects?" A. Previously answered in Addendum 3. Implementation experience with large
government or private industry database systems; tying multiple, diverse, database systems together with one large central database; experience with data integration and conversion, XML and Web Services.
6.) What is the projected amount of data for the NYS Voter II system?
A. Refer to Section 3.6.2 Future Volumes of the RFP. 7.) In Section 2.1.1 of the RFP, page 14, it refers to New York State Election Law 5 – 614 as a point of reference for understanding the voter registration rules and regulations related to this RFP. When researching the referenced Election Law on the State website, there is no indication of Law 5 – 614; it stops at Law 5 – 612 Registration Records. We respectfully request that the State make available the verbiage of New York State Election Law 5 - 614 for bidder review.
A. Refer to the NYS Board of Elections website for the text of the State HAVA legislation. The link is http://www.elections.state.ny.us/
8.) In Section 1.2 of the RFP, page 3, it states that the “the winning proposal will need
to include a company or multiple partnering companies to demonstrate both specific voter registration knowledge and systems integration experience.” We respectfully request that the State publish a bidders list to facilitate partnering amongst the various vendors interested in pursuing this bid and to fulfill the States desire of an award winning contract team.
A. List of vendors who registered an Intent to Bid follows.
4
Geoffrey Mann Sr. Account Manager INTEGRALIS USA 330 Madison Avenue, 6th Floor
New York, NY 10017 Phone 646/495-5194 Fax 646/495-5198 Email: [email protected]
Madhu Nair ANSYA Enterprise Solutions 40 Sutton Point Pittsford, NY 14534 Phone 585/582-5701 Fax 585/582-5705 Email: [email protected]
Steve Nolan Sr. Account Manager Universal Technologies, LLC 194 Washington Avenue, Suite 610 Albany, NY 12210 Phone 518/463-6149 x 111 Fax 518-463-9174 Email: [email protected]
Leo Pfohl, NYS Account Manager CIBER, Inc. 12 Century Hill Drive, Suite 104 Latham, NY 12110 Phone 518/783-3141 Cell 518/330-6277 Email: [email protected]
Catherine Riccio Business Analyst IBM Corporation 80 State Street Albany, NY 12207 Phone 518/487-6259 Fax 518/487-6679 Email: [email protected]
Bill Branch Client Executive – State of New York BearingPoint, Inc. 54 State Street Albany, NY 12207 Phone 518/331-5388 Emial: [email protected]
Richard Barbato President/CEO Clarity Customer Management, Inc. 3495 Winton Place, Suite E-1 Rochester, NY 14623 Phone 585-298-9910 Fax 585/298-9901 Email: [email protected]
Susan Whittmore EViD Program Administrator Decision Support, Inc. 624 Matthews-Mint Hill Road, Suite 100 Matthews, NC 28105 Phone 704/845-1000 x 1803 Fax 704/847-4875 Email: [email protected]
Chaz Popovich, Director OSI Technologies 175 K Commerce Drive Hauppauge, NY 11788 Phone 631/348-4300 Fax 631/348-7639 Email: [email protected]
5 Lee Musick State & Local Government Account Manager Quest Software, Inc 400 Highland Avenue, Suite 400 Needham, MA 02494 Phone 781/449-7799 x 4903 Fax 781/449-7939 Email: [email protected]
Mihaela Preradovic BHH Solutions, Inc. 121 E. 24th Street, 6th Floor New York, NY 10010 Phone 212/475-7100 x 114 Fax 212/982-4724 Email: [email protected]
Rumpi Gravenstein, Vice President Rumkin, Inc. 2045 Kingdale Dr. Stow, Ohio 44224-1823 Phone 330/923-8222 Email: [email protected]
Jay Warshaw, VP Washaw Group, Inc. 540 Broadway, 4th Floor New York, NY 10012 Phone 212/966-4056 x 102 Fax 212/966-4017 Email: [email protected]
Rene D. Guzek Administrative Assistant KMQ Enterprises, Inc. d/b/a/Tailwind Associates 1462 Erie Blvd. Schenectady, NY 12305 Phone 518-579-3020 Fax 518/579-3021 Email: [email protected]
Doug Winkler, Founder Newstream Technologies PO Box 5 Waterford, NY 12188 Phone 518/235-6280 Cell 516/909-8300 Email: [email protected]
Hitesh Bhatnagar Regional Sales Director CMC Americas, Inc. 666 Plainsboro Road, Suite 1281 Plainsboro, NJ 08536 Phone 609/716-9030 x 23 Cell 609/937-0017 Email: [email protected]
Robert Fragola VP of Sales and Marketing ChoiceMaker Technologies, Inc. 48 Wall Street, 11th Floor New York, NY 10005 Phone 212-918-4411 Fax 212/918-4945 Email: [email protected]
Barry T. Berberich, Sr. Principal Bull Services 378 Consaul Road Schenectady, NY 12304 Phone 518/346-4042 Fax 518/346-4104 Email: [email protected]
Bernie Wojtkowiak Sr. Account Executive BrightPlanIt, Inc. 493 Delaware Avenue Buffalo, NY 14202 Phone 716/886-1245 Fax 716-886-2192 Email: [email protected]
6 Arthur M. Brown, Sr. Manager Deloitte Consulting LLP 20 Corporate Woods Blvd. Albany, NY 12211 Phone 518/456-0682 Fax 518/465-9947 Email: [email protected]
Preston Gregg, Business Development Initiate Systems, Inc. 106 Rogues Roost Drive Lakeway, TX 78734 Phone 512/970-0528 Fax 512/532-6506 Email: [email protected]
George J. Polino Technology Sales Manager Oracle USA, Inc. 7 Southwoods, Suite 201 Albany, NY 12211 Phone 518/257-7418 Cell 518/577-0211 Email: [email protected]
Kael Goodman, President GovCore Solutions, LLC 55 Broad Street, 10th Floor New York, NY 10004 Phone 212/420-7870 Fax 212/785-5673 Email: [email protected]
Kapil Sharma Business Development Manger Fulcrum Logic, Inc. 363 Morris Turnpike, Suite 2B Short Hills NJ 07078 Phone 973/379-3050 Fax 973/379-3266 Email: [email protected]
Jean-Max Deetjen, V.P. RICOMM Systems 1300 Route 73, Suite 205 Mt. Laurel, NJ 08054 Phone 856/359-9090 x 26 Fax 856/359-9099 Email: [email protected]
Brian J. O’Connor Primary Contact BOC Group 525K East Market Street Leesburg, VA 20176 Phone 703/625-1124 Fax 703-669-0467 Email: [email protected]
Tom Kelly Director Gov. Sales No. America Datacard Group 2043 Ewing Estates Drive Dacula, GA 30019 Phone 678/985-3979 Fax 678/985-9820 Email: [email protected]
John Alwine Client Principal Hewlett Packard Consulting Services 1301 Fulling Mill Road Middletown, PA 17057 Phone 717/599-5791 Cell 717/579-2868 Email: [email protected]
Richard Collins, Principal Stellar Learning 2526 44th Street Astoria, NY 11103 Phone/Fax 718/267-0226 Email: [email protected]
7 Ernie Small, Sr. Account Exec. IPLogic, Inc. 17 British American Blvd. Latham, NY 12110 Phone 518/724-2300 Fax 518/862-9525 Email: [email protected] 9.) I received the Addendum No. 3 to the NYSVoter II RFP containing results from the RFP review meeting. I noticed that you included the list of companies participating in the RFP review meeting. Do you plan to distribute the list of individuals along with their contact information that represented the companies in the meeting? This list would be helpful for companies looking to possibly work together on the RFP response/contract award.
A. Vendor participants at Pre-bid Conference:
Arthur M. Brown, Sr. Manager Deloitte Consulting LLP 20 Corporate Woods Blvd. Albany, NY 12211 Phone 518/456-0682 Fax 518/465-9947 Email: [email protected]
John Kaid Microsoft 11 N. Pearl Street 11th Floor Albany, NY 12201 Phone 518/694-3669 [email protected] And Chris Lohret Phone 518/854-0006 Email: [email protected]
George Polino Oracle 7 Southwoods Blvd., Suite 201 Albany, NY 12211
Phone 518/257-7418
Gautam Tooley Unique Comp, Inc. 27-08 42nd Road Long Island city, NY 11101 Phone 718/392-5100 [email protected]
8 Matt Bondi NTS 1342 Military Road Niagara Falls, NY 14304 Phone 800/255-0670 Email: [email protected]
Tom Carroll Dell Inc. 1505 Van Curler Avenue Schenectady, NY 12308 Phone 518/388-4139 Email: [email protected]
Eric Byers IBM 80 State Street Albany, NY 12207 315/424-2273 byers@@usibm.com
George Patnode IS Consilium 16 Computer Drive West Albany, NY 12205 Phone 518/265-0285 Email: [email protected] And Richard Connell Phone 518/265-0285 Email: [email protected]
Lee Musick Quest Software 200 Highland Avenue, Suite 400 Needhan, MA 02494 Phone 978/273-6595 Email: [email protected]
Ernest Small IP Logic, Inc. 17 British American Blvd. Latham, NY 12110 Phone 724-2333 Fax 862-9525 Email: [email protected]
Bill Branch Bearing Point 54 State Street Albany, NY 12207 Phone 518/331-5388 Email: [email protected]
Barry T. Berberich Bull Systems 378 Consual Road Schenectady, NY 12304 [email protected]
Steve Nolan Universal Technologies 194 Washington Avenue, suite 610 Albany, NY 12210 Phone 209-8514 Email: [email protected]
John Alvine Hewlet Packard 1301 Fulling Mill Road, Middletown, PA 17057 [email protected]
Michael Barry Citrix Systems 11 Penn Plaza, 20th Floor NY, NY 10001 [email protected]
Terasia Porvost Saber Corp. 3995 Hagars Grove SE Salem, OR 97301 Phone 860/869-4030 Email: [email protected]
Tom Mullen CMA Consulting 700 Troy Schenectady Road, Latham, NY 12110 Phone 518/783-9033 Email: [email protected]
10.) RFP section 6.2 page 52, says that ‘The detailed system documentation for the Washington transfer solution is available for proposer to review‘. We understand that it will be sent out on May 30th, 2006. Will we have an opportunity to seek further clarifications on the Washington System and its documentation? A. No, any information required of the Washington solution is included in the CD provided to potential bidders.
10 11.).RFP, Attachment A (F.1.1.1) page 2, says that ‘VS/EMS software will act as FRONT END’ What enhancements required on the VS/EMS front end if any? A. The county vendors will be required to make modifications to their county systems based on the design specifications created by the System Integrator for NYSVoter II. The System Integrator will not be required to define design specifications for the county VR/EMS system modification other than interface specifications. 12.) In the RFP it is mentioned that there is an existing system NYS Voter I, whose functionality should be the subset of the new system. Whereas the functionalities of the NYS Voter I is not given in the RFP clearly? We will like to know the details about the functionality of the existing system. A. NYSVoter I will not be enhanced by the System Integrator. NYSVoter II will be a completely separate system from NYSVoter I and will not be based on NYSVoter I. NYSVoter I will be retired once NYSVoter II is implemented. The functionality required of NYSVoter II is specified in Attachment A of the RFP.
13.) Should the vendor who is responsible for developing NYS Voter II system will be required to specify and supply the hardware? A. No, the intent is for the Board of Elections to purchase hardware based on the recommendations of the System Integrator. The System Integrator shall be required to specify the hardware required for NYSVoter II as presented in Attachment B of this RFP. 14.) Details of present Networking infrastructure within the state are not clearly mentioned? Ex: link available, bandwidth etc. Please provide details. A. The primary network in the state is the NYeNet, however of majority of the counties will not be utilizing the NYeNet. NYSBOE is currently in the preliminary stages of developing a connectivity strategy for counties not connected to NYeNet via VPN and the public internet. For more information on the NYeNet refer to the following website: http://www.oft.state.ny.us/Services/networking/index.htm 15.).Should the solution provided for NYS voter II comply with the architecture provided in section 12 of RFP? Should the vendor use the same infrastructure? A. Section 12 outlines the standards and guidelines developed by the Office for Technology and should be adhered to. Refer to the Office for Technology website for more information at http://www.oft.state.ny.us/. 16.) What are the criteria for identification of duplicate records (Attachment A – F. 2.4.4.2). A. The State Board of Elections and the System Integrator will work during the design phase to confirm the duplicate checking criteria that is consistent with New York State Election law and rules and regulations.
11 17.) If the entire implementation is proposed to be phased then are the all phases to be completed within the one year contract period? A. The entire implementation must be complete by June 1, 2007 as specified in the RFP. 18.) Can the county systems check with NY Central system for receipt and status of each registration transaction with appropriate detail instead of the Central system notifying every county? – This simplifies communication protocol. (F 2.1.1.1). A. Proposers may recommend and propose alternative communications strategies with the county VR/EMS systems. 19.) (F.2.1.3.5) ‘Ease of Signature Comparison – The signatures shall be stored in a way to enhance speed of display. NYS Voter II shall provide functionality to assist data entry operators to visually verify that the captured signature is from the correct voter or applicant’s document before finally associating the signature image to the voter registration/applicant’s database record.’ Is it acceptable to use any third party tools for this? A. Yes, proposers may recommend 3rd party tool; however the System Integrator will be required to confirm that county systems can provide images in the format required by the 3rd party tool during system design.
20.) RFP says that NYS Voter II is intended to meet all HAVA requirements. Can we assume that attachment A, Business Requirements, column HAVA specifies ‘Y’ is a complete set of HAVA requirements? If there is any other HAVA specification document, can it be provided? A. We believe our business requirements cover the requirements of both the Federal and New York State HAVA laws. Refer to the Election Assistance Commission website for the complete text of the Federal HAVA legislation. The link to the Election Assistance Commission website is http://www.eac.gov/.
Refer to the NYS Board of Elections website for the text of the State HAVA legislation. The link is http://www.elections.state.ny.us/
21.) RFP says that systems should coordinate with the New York Department of Motor Vehicles (DMV), New York Courts, and the NYC and NYS Departments of Health; What is existing connectivity between the counties and the central system, and the above mentioned departments.
A. NYSVoter I currently interfaces with DMV through a web services interface for client identification verification and DMV is currently working on web services verification of SSN through DMV. NYSBOE is sent flat files from DMV for license surrenders, from the NYS Department of Health for death records, and from the NYS Administrative Office of the Courts for felony/mentally incompetent voters. NYSBOE currently does not interface with NYC Department of Health.
12 NYSVoter II will be required to adapt the current web services from DMV as is in order to perform client identification and SSN verification.
Refer to RFP Section 3.3.6 New York Partner State Agencies for more information. 22.) In the pre-bid conference it is mentioned that the vendor should use the existing design and code of ‘Washington Transfer Solution’. The scope of NYS Voter - II involves developing interfaces to Counties Systems and some MIS Reports before implementing at NYS. Would the scope also include any change in functionality or enhancement to Washington System before implementation at NYS? A. The Washington transfer solution does not meet all New York State requirements “as-is” and will require modification to meet all mandatory NYS business and technical requirements. NYSVoter II must meet all mandatory business and technical requirements outlined in Attachment A of the RFP. 23.) NYS Election Law Section 5 – 614 Subsection 2 – “Real-time integration between statewide voter registration databases and various county VR/EMS systems”. I was interested in knowing who the system suppliers/integrators are on this project to contact them about our legally traceable time standards that could be employed with this new voting system to synchronize all systems and provide truly accurate time-of-day records for these systems. A. The current county VR/EMS system vendors are listed in RFP Section 3.3.2 County Voter Registration System Vendors. 24.) Would the State consider an extension of the proposal due date as a result of the unavailability of the CD-ROM (as per the procurement schedule defined in the RFP) with the detailed Washington system documentation required to complete our bid response? A. Yes, NYSBOE is under specific Federal timelines for the completion of this project; however the proposal due date will be extended one week. Proposals are due on Wednesday July 5th, 2006 by 11:00 AM EST. Refer to RFP section 1.6.16.2 for bid submission instructions. 25.) Would the State consider applying Terms and Conditions consistent with CMS1052 to this solicitation and procurement? A. No. 26) The RFP states the monthly transaction volume as 595,000 - what is the volume including inquiry transactions? A. Inquiries will be made via the web interface of the Washington Transfer design. NYSBOE does not have any current estimates of inquiries by counties as this is not currently done. Proposers are asked to make a reasonable estimate based on transaction volumes and the number of potential end users identified in the RFP. During election periods, it is anticipated that inquiries will be heavy volumes. 27.) Technical requirement T-1.1.6 states "NYSVoter II shall be capable of providing direct access to a future telephone inquiry system (Interactive Voice Response System (IVR)." What level of providing for future access is required?
13 A. NYS Election law requires that a 1-800 number be provided for inquiries. Proposers should take into consideration IVR integration when proposing database management software for NYSVoter II. 28.) Technical Requirement T-1.3.3 states "NYSVoter II shall accommodate background (batch) jobs concurrently with online updates" What level of batch processing is anticipated? A. Some specific examples of batch updates include updates to voter history after an election (e.g. tracking whether or not a voter voted in an election) and NCOA processing. During the initial data population and conversion of NYSVoter II, the System Integrator may recommend batch conversion loads for larger counties versus XML transactions for smaller counties. 29). Technical Requirement T-3.1.1 states "The System Integrator shall provide all workstations, servers, and software for the development environment which must be in the continental USA. The development environment shall comply with NYS enterprise architecture standards." Can the State provide more specific information here regarding the architecture standards? A. Refer to section 12 of the RFP. 30.). Will there be requirements for Internet connectivity or point to point private line connectivity required for this? A. The intent for connectivity is to use a public internet connection with VPN and the NYeNet for those counties connected to the NYeNet. Refer to RFP Section 3.4.4 Statewide Voter Registration Network. The following questions pertain to Section 2.2.1 Project Vision states that “The statewide list will also enhance the ability of elections officials to identify duplicate registrations and the reasons for them.” 31.).When a duplicate registration match is found what information does the BOE require for the reason for the match? A. The only match criteria is name, date of birth, gender, driver’s license ID and last 4-digits of SSN. These would be potential match reasons. 32.) When a near-match is found what information does the BOE require for the reason for the near match? A. NYSVoter II should list what potential near-match criteria with levels of confidence. Levels of confidence will be established during system design with the System Integrator and NYSBOE. 33.) Is a human review process required for those instances where a match on non-match can not be determined, i.e., those matches that fall below the match probability and above the non-match probability? A. Yes, all matches have to be investigated by the County BOE Commissioners for final determination. 34.) For near-matches is there a human review process for a decision determination? A. Yes, all near matches have to be investigated by the County BOE Commissioners for final determination.
14 35.) Is there a requirement by the BOE to output reasons for matches, i.e. which business rules fired? A. Yes. 36.) Is there a need for probability of a match, non-match or near-match? A. Yes, a level confidence needs to be established to facilitate final determination by the County BOE Commissioners. 37.) Referring to Section 2.2.4 Key Project Requirements section 3 d. Does each county have an accurate cleansed database that does not contain duplicate records, if not, is the de-duplication process part of the county remediation per section F.1.2? A. Within each county VR/EMS system, duplicates are minimal; however NYSBOE is currently facilitating a statewide duplicate check in order to begin the process of removing duplicate voters across counties. The following questions refer to Section 2.3.1 Project Scope. 38.) Is there an accuracy requirement expressed in terms of percentage for duplicate matching? A. Yes, a level confidence needs to be established to facilitate final determination by the County BOE Commissioners. 39.) Does ‘real time’ duplicate matching apply to near-matches where human intervention may be required for final determination? A. Near-real time duplicate matching refers to identifying duplicates. Human intervention may be needed to confirm and investigate a match. 40.) Are the Court, Death, and DMV separate databases? A. Yes. 41.) Are the Court, Death and DMV databases cleansed or do they need to be de-duplicated? A. NYSBOE does have this information. Duplicate matching in NYSVoter II is not performed against these partner state agency databases. These databases are only used for verification and list maintenance. 42.) This question refers to Section 3.4.1 Washington Transfer Solution. Given that the Washington State model is being challenged in the courts for inadequate matching which may deny voter registration is their consideration to amend the matching criteria prior to the RFP due date? A. NYSBOE does not intend to change matching criteria prior to the proposal due
date. The State Board of Elections and the System Integrator will work during the design phase to confirm the duplicate checking criteria that is consistent with New York State Election law and rules and regulations.
43.) Referring to Section 7.11 Data Conversion Services, do the addresses need to be validated using a CASS certification process?
15 A. No. 44.) Referring to Section F.2.4.4.2, will the match of an applicant’s name, date of birth, signature, and either the state or federal ID number or matching of the previous address of the voter be a sufficient number of fields to accurately match a voter or will additional fields be required? A. The State Board of Elections and the System Integrator will work during the design phase to confirm the duplicate checking criteria that is consistent with New York State Election law and rules and regulations. 45.) In reference to Section F.3.3 Duplicate Checking, is there a minimum number of seconds for a near real time duplicate check?
A. Near real time duplicate checking will occur as the transaction is received by NYSVoter II from the counties. The duplicate checking process by NYSVoter II should not interfere with the web services transaction process from the county VR/EMS to NYSVoter II. The applicable counties will be required to review potential duplicates in the NYSVoter II web interface as per the Washington transfer system design.
Near real time duplicate checking refers to the transaction being received by NYSVoter II from the counties for duplicate checking versus transactions being sent to NYSVoter II from counties for duplicate checking in a batch process.
Prospective bidder is eager to respond to the RFP but is concerned about so because of the risk profile created for the selected vendor by several requirements. Per Section 1.6.12 prospective bidder respectfully requests waiver or modification of the following RFP requirements:
46.) Section 10.2.6 would allow the State of NY to collect attorney's fees and litigation costs for any claim. We request this be changed to a more standard situation where the prevailing party is allowed to recover attorneys' fees and litigation costs.
A. No.
47.) Section 10.2.8 creates unlimited liability. We request that the terms in Appendix B-1, paragraph 82 take precedence and apply.
A. With respect to liability DELETE paragraph 82 and REPLACE with the following terms which shall applicable to this RFP:
74. INDEMNIFICATION Contractor shall be fully liable for the actions of its agents, employees, partners or Subcontractors and shall fully indemnify and save harmless the Authorized Users from suits, actions, damages and costs of every name and description relating to personal injury and damage to real or personal tangible property caused by any intentional act or negligence of Contractor, its agents, employees, partners or Subcontractors, without limitation; provided, however, that the Contractor shall not indemnify for that portion of any claim, loss or damage arising hereunder due to the negligent act or failure to act of the Authorized Users.
16 75. INDEMNIFICATION RELATING TO THIRD PARTY RIGHTS The Contractor will also indemnify and hold the Authorized Users harmless from and against any and all damages, expenses (including reasonable attorneys' fees), claims, judgments, liabilities and costs that may be finally assessed against the Authorized Users in any action for infringement of a United States Letter Patent, or of any copyright, trademark, trade secret or other third party proprietary right except to the extent such claims arise from the Authorized Users gross negligence or willful misconduct, provided that the State shall give Contractor: (i) prompt written notice of any action, claim or threat of infringement suit, or other suit, (ii) the opportunity to take over, settle or defend such action, claim or suit at Contractor's sole expense, and (iii) assistance in the defense of any such action at the expense of Contractor. If usage shall be enjoined for any reason or if Contractor believes that it may be enjoined, Contractor shall have the right, at its own expense and sole discretion to take action in the following order of precedence: (i) to procure for the Authorized User the right to continue Usage (ii) to modify the service or Product so that Usage becomes non-infringing, and is of at least equal quality and performance; or (iii) to replace said service or Product or part(s) thereof, as applicable, with non-infringing service or Product of at least equal quality and performance. If the above remedies are not available, the parties shall terminate the Contract, in whole or in part as necessary and applicable, provided the Authorized User is given a refund for any amounts paid for the period during which Usage was not feasible. The foregoing provisions as to protection from third party rights shall not apply to any infringement occasioned by modification by the Authorized User of any Product without Contractor’s approval. In the event that an action at law or in equity is commenced against the Authorized User arising out of a claim that the Authorized User's use of the service or Product under the Contract infringes any patent, copyright or proprietary right, and Contractor is of the opinion that the allegations in such action in whole or in part are not covered by the indemnification and defense provisions set forth in the Contract, Contractor shall immediately notify the Authorized User and the Office of the Attorney General in writing and shall specify to what extent Contractor believes it is obligated to defend and indemnify under the terms and conditions of the Contract. Contractor shall in such event protect the interests of the Authorized User and secure a continuance to permit the Authorized User to appear and defend its interests in cooperation with Contractor, as is appropriate, including any jurisdictional defenses the Authorized User may have. This constitutes the Authorized User’s sole and exclusive remedy for patent infringement, or for infringement of any other third party proprietary right. 76. LIMITATION OF LIABILITY Except as otherwise set forth in the Indemnification Paragraphs above, the limit of liability shall be as follows: a. Contractor’s liability for any claim, loss or liability arising out of, or connected with the Products and services provided, and whether based upon default, or other liability such as breach of contract, warranty, negligence, misrepresentation or otherwise, shall in no case exceed direct damages in: (i) an amount equal to two (2) times the charges specified in the Purchase Order for the Products and services, or parts thereof forming the basis of the Authorized User’s claim, (said amount not to exceed a total of twelve (12) months charges payable under the applicable Purchase Order) or (ii) one million dollars ($1,000,000), whichever is greater. b. The Authorized User may retain such monies from any amount due Contractor as may be necessary to satisfy any claim for damages, costs and the like asserted against the Authorized User unless Contractor at the time of the presentation of claim shall demonstrate to the Authorized User’s satisfaction that sufficient monies are set aside by the Contractor in the form of a bond or through insurance coverage to cover associated damages and other costs. c. Notwithstanding the above, neither the Contractor nor the Authorized User shall be liable for any consequential, indirect or special damages of any kind which may result directly or indirectly from such performance, including, without limitation, damages resulting from loss of use or loss of profit by the Authorized User, the Contractor, or by others.
48.) Sections 10.2.12, 10.2.13, and 10.2.14 all grant the State arbitrary power to interpret the Statement of Work and Scope. We request these provisions be waived.
A. No.
17 49.) Sections 10.2.15 and 10.2.16 create far more uncertainty and risk than we are comfortable accepting, and suggest that paragraphs 58 and 59 in Appendix B-1 should control.
A. No.
50.) It is unclear how the provisions of paragraph 43 of Appendix B-1 would apply to a project like NYSVoter II and, in order to avoid ambiguity, we request that this provision be waived.
A. No.
51.) Section 1.6.6.1 establishes a 10% retainer from each invoice. Could you please confirm that this retainage will be on services invoices only and not be withheld from any third party software (such as database, operating system, etc.) or hardware (servers, SANs, etc.) products? A. Retainage will be taken on all payments.
52.) Section 4.5.2 requires subcontractors to provide four customer references for similar work. One of our subcontractors is providing us with expertise in integration services, especially around their server product. The subcontractor, however, has only one reference for similar work. We request that this provision be waived with respect to subcontracting for purposes of our response. If necessary, we could provide you with one reference for where a server product was used in a Voter Registration system implementation and three other references that do not pertain to Voter Registration projects?
A. The three other references may be to projects that do not pertain to Voter Registration, but such references should involve similar work.
53.) Section 10.4 requires the successful bidder to provide certain information about its employees to the State. Our subcontractor, however, is unwilling to provide the results of any criminal background checks to the State or to the prime contractor. We request, therefore that these provisions be waived with respect to our subcontractor and propose the following provisions as an alternative that applies only to employees of the subcontractor: Subcontractor will conduct criminal background checks on all subcontractor employees who are performing services under the terms of the contract. subcontractor will not share the results of such background checks with the customer or prime contractor, but subcontractor will also agree not to knowingly assign any of its employees to the customer or prime contractor who have been convicted of or released from prison for any felony involving a crime of violence, breach of trust, or dishonesty in the past seven years.
A. As it would be necessary for the subcontractor to interact with any of the bidders, this condition is presumably applicable to all proposals. We can agree to this clarification so long as there is some independent verification from subcontractor that this is their position on releasing criminal background checks of its employees.
54.) Section 11.3.D.2 requires professional services subcontractors to obtain E&O insurance coverage in the amount of $3MM. Both bidder and its subcontractor currently have lower limits than this and request the State of NY to set this limit at $2MM. Please also confirm that the State will not require bidder or subcontractor to waive any rights of subrogation.
A. The insurance requirements will not be lowered.
18 55 a.) A prospective bidder requests that the State of New York to modify the language in its Security/Confidentiality form to allow for the disclosure of confidential information to other project/team members on a "need to know" basis only while performing services. We further request the removal of any reference to the Security/Confidentiality agreement constituting a warranty and request instead that the agreement be rephrased as an agreement to honor the signing parties' confidentiality obligations.
55. b) Additionally, the references to Information Security Policies and Background Checks are incorrect, and need to be changed to Section 10.4 and 11.6 (currently listed as sections 12.5 and 11.4 respectively).
A. a. No. We are not going to change this language.
b. Make the corrections to Attachment C Required Forms on page 26. The changes are in BOLD italics.
“Prior to performing any work on, or having access to the NYSVoterII project as described in RFP No.1235, each employee of the contractor or subcontractor(s) shall certify by signature below their acknowledgement and acceptance of the above Security/ Confidentiality requirements as well as the Information Security Policy stated in Section 11.6 of the RFP. Additionally, by signature and submission of this document by an authorized company official, the contractor certifies compliance with these clauses as well as the Background Check requirements as stated in Section 10.4 of the RFP.
56.) Please confirm that, other than Section 55 of Appendix B-1, the State will not require that any subcontracts incorporate or flow down the terms of Appendices A and B-1.
A. No.
57.) Please confirm that the State will not require any service deliverables on a "work for hire" basis or require sole ownership of any deliverables.
A. No.
58.) Since we have a number of questions that we are awaiting a response on that will bear upon our final solution and proposal and since these responses will not be received back from the State of New York until at least the first week of June we respectfully request a 2 week extension to the proposal due date.
A. No. The bid date has been changed to July 5, 2006 at 11 am. See front page of this document.
All other terms and conditions remain the same.
19 If submitting a proposal, this Addendum No. 4 for RFP # 1235 must contain an original signature, be dated, attached to, and made a part of your proposal. ________________________________________________________________________ Company Name ________________________________________________________________________ Address (include City, State, Zip) ______________________________________________________ ________________ Bidder’s Name (please print) Title ______________________________________________________ ________________ Signature Date
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DIVISION OF FINANCIAL ADMINISTRATION
ADDENDUM No. 3
Request for Proposal (RFP) No. 1235
Date: May 25, 2006 Subject: Responses to Pre-Bid Conference Questions Title: Systems Integrator Implementation Assistance for NYSVoter II Group: 73805 - Class Codes: 43 and 93 Bid Date: June 28, 2006, 11:00 am EST Address Bid Inquiries to: Dawn P. Becker NYS Office of General Services 40th Floor, Corning Tower Empire State Plaza Albany, New York 12242 Phone: 518/474-5981 Email: [email protected] To Prospective Bidders: This Bid Addendum No. 3 is relative to the Pre-bid Conference of May 22, 2006 at 10:00 am. This document contains the bidder inquiries and responses.
Question: Do you have the architecture and source code of the Washington system? Response: Yes. We have source code and architecture. Question: Is there responsibility for electronic polling devices? Response: No.
- Continued -
Question: When can we expect to receive the CD-Rom of Washington data? Response: Vendors who register to bid for this RFP will be provided with an MS-Word copy of this RFP to complete the required sections of the RFP. Vendors will also be provided with MS-Excel and MS-Word copies of the attachments. The PDF versions of the RFP and attachments posted in the Bid Notification System shall be the official RFP of record in addition to any addenda. Vendors who register will also be mailed a CD-ROM to the address provided with the detailed Washington system documentation to assist in the completion of a bid response. Only one (1) CD-ROM will be provided per registered vendor. The MS-Excel and MS-Word will be sent electronically via email and the CD will be sent via mail on May 30th.
Question: What types of qualifications would you consider “similar”?
Response: Implementation experience with large government or private industry database systems; tying multiple, diverse, database systems together with one large central database; experience with data integration and conversion, XML and Web Services. Question: What impacts do state and federal guidelines have on deliverable completion? Response: We are required to build a permanent system to replace the interim system. The U.S. Department of Justice is looking to have the project completed by spring 2007. Question: Will the System Integrator (SI) be responsible for porting the database to another platform (e.g. SQL Server to Oracle) and any associated conversion activities (e.g. re-writing stored procedures)? Response: NYSBOE has a preference for Oracle but it is not a requirement to propose Oracle as the database platform. The SI shall be responsible for writing stored procedures and any other activities associated with porting to an alternative database platform. NYSBOE currently is using Oracle 10g database software. Question: What do you have budgeted for this project? Response: This information will not be shared. The project is funded.
- Continued –
Question: Can you share the names of the participants for this Pre-bid meeting. Response: Yes. The vendor names of the Pre-bid Conference participants are contained at the end of this Addendum. Question: Is there any effort to do cross county matching and duplication with NYSVoter I? Response: Yes, we are doing cross county matching and duplication using name, date of birth (DOB) and gender and have identified potential duplicates to each county. Files were sent to counties last Friday in order to begin the duplicate checking process and facilitate data cleansing. Question: Is it appropriate for vendors to submit an Intent to Bid if they are only considering a subcontractor role? Response: In order to obtain RFP and Washington system documentation and information, a vendor must register Intent to Bid. Those who do not register Intent to Bid will not be sent RFP Addenda and system documentation. Question: Is there any effort to do cross county matching and duplication with NYSVoter I? Response: NYSBOE is currently using Oracle PL/SQL tools to conduct duplicate checking with NYSVoter I. Duplicates were written to an HTML file and sent to the appropriate county. We identified exact duplicates of name, date of birth and gender. No fuzzy logic matching was conducted. Question: Can you discuss the method or technologies to conduct duplicate checking with NYSVoter I? Response: See response to previous question.
Vendor participants at Pre-bid Conference: Deloitte Consulting LLP Oracle Unique Comp, Inc. CMA Consulting Dell Inc. IS Consilium CMC Americas Mircosoft Saber Corp. NTS IBM Initiate Systems
Newstream Technologies BCB Group BOC Vandervort Group Quest Software Bearing Point Universal Technologies Tailwind Associates IP Logic Bull systems Hewlet Packard Citrix Systems
- Continued –
All other terms and conditions remain the same. If submitting a proposal, this Addendum No. 3 for RFP # 1235 must contain an original signature, be dated, attached to, and made a part of your proposal. ________________________________________________________________________ Company Name ________________________________________________________________________ Address (include City, State, Zip) ______________________________________________________ ________________ Bidder’s Name (please print) Title ______________________________________________________ ________________ Signature Date
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DIVISION OF FINANCIAL ADMINISTRATION
ADDENDUM No. 2
Request for Proposal (RFP) No. 1235
Date: May 22, 2006 Subject: Vendor Preclusions Title: Systems Integrator Implementation Assistance for NYSVoter II Group: 73805 - Class Codes: 43 and 93 Bid Date: June 28, 2006, 11:00 am EST Address Bid Inquiries to: Dawn P. Becker NYS Office of General Services 40th Floor, Corning Tower Empire State Plaza Albany, New York 12242 Phone: 518/474-5981 Email: [email protected] To Prospective Bidders: This Addendum No. 2 is relative to the rationale for precluding certain vendors from bidding on the project. Section 1.1 Who should Respond of the RFP is referenced in part as follows: “Vendors who currently are providing VR/EMS software to counties in NYS are precluded from bidding on this procurement, either as a primary contractor or sub-contractor. In addition, the selected bidder (and any sub-contractors) of this RFP is precluded from providing VR/EMS software to any county in NYS for the life of the contract awarded from this RFP including any of the optional support years that NYSBOE may choose to exercise.”
- Continued -
Rationale: Existing county VR/EMS software vendors, or vendors intending to provide VR/EMS software to counties in the future, shall be precluded from bidding on the NYSVoter II system integrator RFP, either as a primary contractor or a sub-contractor. There is a clear conflict of interest between county VR/EMS software vendors and the future system integrator because of the real or perceived lack of objectivity. This conflict of interest exists for three primary reasons:
1. The system integrator will be required to assess existing county VR/EMS software packages as part of their scope of services to determine which county systems can integrate with NYSVoter II in 'near' real-time as required by HAVA. This puts the system integrator in the position of providing advice to NYSBOE as to which county VR/EMS software may or may not be able to integrate with NYSVoter II in 'near' real-time. They also will be assessing themselves as part of this process. This would put the system integrator, if also a county VR/EMS software vendor, in the position of influencing the future of themselves and their competition's ability to provide services in the state, potentially to the benefit of their company.
2. The system integrator will be required to develop interface specifications for the county VR/EMS software vendors to comply. The system integrator, if also a county VR/EMS software vendor, could develop interface specifications that benefit their county VR/EMS software versus that of their competitors which could lead to a situation described in item #1.
3. The system integrator will be required to develop interface test compliance criteria for the county VR/EMS software vendors and assessing the county VR/EMS software vendor's progress in meeting the compliance criteria. This would put the system integrator, if also a county VR/EMS software vendor, in the position of assessing themselves for interface tests with NYSVoter II. This could lead to more favorable assessments of their own county software's progress in meeting interface test criteria.
All other terms and conditions remain the same. If submitting a proposal, this Addendum No. 2 for RFP NO. 1235 must contain an original signature, be dated, attached to, and made a part of your proposal. ________________________________________________________________________ Company Name ________________________________________________________________________ Address (include City, State, Zip) ______________________________________________________ ________________ Bidder’s Name (please print) Title ______________________________________________________ ________________ Signature Date
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DIVISION OF FINANCIAL ADMINISTRATION
ADDENDUM No. 1
Request for Proposal (RFP) No. 1235
Date: May 10, 2006 Subject: Announcements Title: Systems Integrator Implementation Assistance for NYSVoter II Group: 73805 - Class Codes: 43 and 93 Bid Date: June 28, 2006, 11:00 am EST Address Bid Inquiries to: Dawn P. Becker NYS Office of General Services 40th Floor, Corning Tower Empire State Plaza Albany, New York 12242 Phone: 518/474-5981 Email: [email protected] To Prospective Bidders: This Addendum No. 1 is relative to Section 1.4 Proposal Format of the RFP referenced in part as follows: “IMPORTANT NOTE: Vendors who register to bid for this RFP will be provided with an MS-Word copy of this RFP to complete the required sections of the RFP. Vendors will also be provided with MS-Excel and MS-Word copies of the attachments. The PDF versions of the RFP and attachments posted in the Bid Notification System shall be the official RFP of record in addition to any addendums.”
MS-Word and MS-Excel Release Date The MS-Word and MS-Excel copies will be provided to vendors who register their Intent to Bid by the deadline as stated in the RFP in Section 1.6.16.1 Intent to Bid/Pre-Bid Conference of May 26, 2006 by 5:00 pm EST. The MS-Word and MS-Excel formats are reserved for release after the Intent to Bid registration deadline has expired in order to maintain a level playing field and a for an equal opportunity for offerors to submit their proposals. Therefore, the MS-Word and MS-Excel formats of the RFP will be released on Tuesday, May 30, 2006 to those vendors who timely registered their Intent to Bid. Email Links Also, it has come to our attention that email links in the RFP document were not working properly. This has been remedied. All other terms and conditions remain the same. If submitting a proposal, this Addendum No. 1 for RFP # 1235 must contain an original signature, be dated, attached to, and made a part of your proposal. ________________________________________________________________________ Company Name ________________________________________________________________________ Address (include City, State, Zip) ______________________________________________________ ________________ Bidder’s Name (please print) Title ______________________________________________________ ________________ Signature Date
****************************
A Request for Proposal (RFP) is being solicited by the
New York State Office of General Services
On behalf of the
New York State Board of Elections
for
Systems Integrator Implementation Assistance for NYSVoter II
(a Statewide Voter Registration System)
8 May 2006
Class Codes: 43 and 93 Group Number: 73805 RFP Number: 1235 Contract Period: As Specified Bid Opening: June 28, 2006 @ 11:00 AM EST Designated Contact: Dawn P. Becker, Purchasing Agent
NYS Office of General Services Corning Tower, 40th Floor Empire State Plaza Albany, New York 12242 Voice: 1-518-474-5981 Fax: 1-518-473-2844 Email: [email protected]
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page i
Announcement to Bidders The Office of General Services Division of Financial Administration is now implementing a new process that will enable us to solicit bids electronically. All bid solicitation documents issued after 8/01/05 are being issued via the Bidder Notification System (BNS) of the Office of General Services Procurement Services Group. Under the new system, vendors register on the OGS web page to receive electronic notices of bid opportunities. The BNS will generate an email notice for bidding opportunities and post the bid solicitation documents on the website. Utilizing the BNS to solicit bids on the Internet enables us to quickly deliver bid documents to all registered vendors. Instructions for the registration process follow below.
The BNS will enable you to sign up for as few or as many bid opportunities that are of interest to you. Each email notification will include a brief synopsis of the bid and a hotlink, which will take you directly to the bid documents on our web site. You may view the bid documents online or you may download the documents and save them on your PC. When you are ready to submit a bid you simply print the necessary bid forms and submit them in accordance with instructions included in the bid document.
If you are already registered for the OGS Bidder’s Notification Services and are receiving bids electronically from the Procurement Services Group, you do not have to register again. However, it is your responsibility to make sure your registration information is up to date and that you have registered for all of the classification codes (categories) for the type of bids you are interested in receiving.
If you are not currently registered and have been receiving paper copies of bids via U.S. Mail from the OGS Division of Financial Administration, you MUST to register online to begin receiving bid documents electronically. Beginning September 1, 2005 we plan to use the electronic system exclusively.
As appropriate, we will continue to advertise bid opportunities in the New York State Contract Reporter, which is published by Empire State Development. The Contract Reporter is the official weekly newsletter announcing contracting opportunities of $15,000 or more with state entities including state agencies, public benefit corporations and public authorities. More Contract Reporter information is available at http://www.nyscr.com.
If you have any questions regarding the BNS initiative, please call the OGS Financial Administration Purchasing Unit at 1-518-474-5981.
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page ii
Instructions for Online Vendor Registration To register for the online Bidder Notification System complete the following two simple steps:
First Step: Go to http://www.ogs.state.ny.us/ovr and enter basic descriptive information about your business.
Second Step: Select all of the commodity or services classification areas for which you are interested in receiving bid notices.
By registering with the Office of General Services you accept certain liability with regard to receipt of announcements of bidding opportunities. Click here to review the Liability Statement.
When you register you may sign up for as few or as many of the bid opportunities that are of interest to you.
FOR THIS PARTICULAR BID SOLICITATION YOU MUST BE REGISTERED FOR CLASSIFICATION CODE 43 and 93.
Each email notification that you will receive will include a brief description of the bid and a hotlink which will take you directly to the bid documents on our website. Each bid document will contain instructions to guide you in returning your bid.
Bid documents will be available through the Bid Calendar at our website whether or not you register for the Bidder Notification Service. However, registering is the only way you will receive the email notice and ensure that you receive bid solicitations, notice of updates, amendments or bid addenda if they occur.
Please note:
The Office of General Services has various departments responsible for procurement. When you register, you will be receiving notification of bidding opportunities from two of those departments; the Procurement Services Group (PSG) and Financial Administration. The following information is provided in an effort to clarify the responsibilities of each of these departments and the types of bids each solicits.
PSG administers statewide, centralized contracts for various commodities, services and technologies. Contracts are available for use by all state agencies and other customers authorized by law. Occasionally, they will contract for an agency specific requirement. PSG implemented the Online Bid Notification system and has been using it for about four years.
Financial Administration has a purchasing unit that solicits bids for requirements of various business units within OGS when the requirement is not covered by a centralized (PSG) contract.
Solicitations include commodities, services and technology. Financial Administration also provides administrative services to a number of small state agencies. Occasionally Financial Administration will solicit bids on behalf of one of these agencies.
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page iii
Table of Contents 1. INTRODUCTION........................................................................................................................1
1.1 Overview ..................................................................................................................................... 1 1.2 Who Should Respond ................................................................................................................. 3 1.3 Key Events .................................................................................................................................. 3 1.4 Proposal Format.......................................................................................................................... 4 1.5 Cover Letter................................................................................................................................. 6 1.6 Important Proposer Information .................................................................................................. 7
1.6.1 Issuing Office ................................................................................................................. 7 1.6.2 Trade Secrets................................................................................................................. 7 1.6.3 Method of Award ............................................................................................................ 7 1.6.4 Term of Contract ............................................................................................................ 7 1.6.5 Right Not to Award a Contract ....................................................................................... 7 1.6.6 Method of Payment ........................................................................................................ 7 1.6.7 Electronic Payment ........................................................................................................ 8 1.6.8 Past Practice .................................................................................................................. 8 1.6.9 Right to Know................................................................................................................. 8 1.6.10 Minority and Women Owned Business Enterprise Participation.................................... 8 1.6.11 Freedom of Information Law .......................................................................................... 9 1.6.12 Exceptions to RFP ......................................................................................................... 9 1.6.13 Change Order Process .................................................................................................. 9 1.6.14 Dispute Resolution ......................................................................................................... 9 1.6.15 Proposal Evaluation ..................................................................................................... 10 1.6.16 Instructions for Participation and Bid Submission........................................................ 11
2. PROJECT OBJECTIVES ..........................................................................................................14 2.1 Help America Vote Act (HAVA)................................................................................................. 14
2.4 Summary of Required Services ................................................................................................ 17 2.4.1 Overview ...................................................................................................................... 17 2.4.2 Project Initiation and Management .............................................................................. 17 2.4.3 County Compliance Criteria and Assessment ............................................................. 18 2.4.4 System Environments .................................................................................................. 19 2.4.5 System Hardware and Software Specifications ........................................................... 19 2.4.6 System Design and Development................................................................................ 19
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page iv
2.4.7 NYSVoter II Rules and Regulations............................................................................. 20 2.4.8 System and Network Testing ....................................................................................... 20 2.4.9 Acceptance Testing...................................................................................................... 21 2.4.10 Data Conversion .......................................................................................................... 21 2.4.11 Training and Knowledge Transfer................................................................................ 22 2.4.12 System Deployment ..................................................................................................... 22 2.4.13 Help Desk Support ....................................................................................................... 22 2.4.14 System Acceptance ..................................................................................................... 23 2.4.15 System Support, Maintenance and Warranty .............................................................. 23
3. PROJECT BACKGROUND........................................................................................................25 3.1 About New York State............................................................................................................... 25
3.1.1 New York State Demographics.................................................................................... 25 3.1.2 New York Political Subdivisions................................................................................... 27
3.2 New York Elections ................................................................................................................... 27 3.2.1 Types of Elections........................................................................................................ 27 3.2.2 Roles of the State Board of Elections and County Boards of Elections ...................... 28 3.2.3 Voter Registration Process .......................................................................................... 29 3.2.4 Election Management Process .................................................................................... 29
3.3 New York State Current Voter Registration and Technology Environment .............................. 29 3.3.1 Environment Overview................................................................................................. 29 3.3.2 County Voter Registration System Vendors ................................................................ 31 3.3.3 County Business Processes and Data Standards ....................................................... 34 3.3.4 Connectivity to the Statewide Voter Registration Database ........................................ 36 3.3.5 County and State Technical and Application Support ................................................. 36 3.3.6 New York State Partner Agencies ............................................................................... 37
3.4 Future NYSVoter II System Technical Considerations ............................................................. 38 3.4.1 Washington Transfer Solution...................................................................................... 38 3.4.2 Integration of the 58 County VR/EMS Systems........................................................... 39 3.4.3 Conversion of the County VR/EMS Systems............................................................... 39 3.4.4 Statewide Voter Registration Network ......................................................................... 40 3.4.5 Expected Functionality of County VR/EMS Systems and NYSVoter II ....................... 40
3.5 State Project Team and Governance Structure ........................................................................ 41 3.5.1 State Board of Elections............................................................................................... 41 3.5.2 New York State Office for Technology......................................................................... 41 3.5.3 Governance Structure .................................................................................................. 41
3.6 Current and Projected Voter Registration Volumes.................................................................. 41 3.6.1 Current Volumes .......................................................................................................... 42 3.6.2 Future Volumes............................................................................................................ 47
4. PROPOSER VIABILITY REQUIREMENTS ...................................................................................48 4.1 Proposer Information................................................................................................................. 48 4.2 List of Providers......................................................................................................................... 48
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
5. BUSINESS REQUIREMENTS ....................................................................................................51 5.1 NYSVoter II Business Requirements ........................................................................................ 51
6.3.1 Technical Architecture.................................................................................................. 52 6.3.2 Database Management System (DBMS)..................................................................... 52 6.3.3 Integration Architecture ................................................................................................ 53 6.3.4 System Administration Toolkit...................................................................................... 53 6.3.5 Configuration Toolkit .................................................................................................... 53 6.3.6 Integration with Version Control Software.................................................................... 54
6.4 System General Design Requirements..................................................................................... 54 6.4.1 System Performance.................................................................................................... 54 6.4.2 System Scalability ........................................................................................................ 54 6.4.3 System Security ........................................................................................................... 54
7. IMPLEMENTATION REQUIREMENTS .........................................................................................56 7.1 NYSVoter II Implementation Requirements .............................................................................. 56 7.2 Understanding of the Engagement ........................................................................................... 56 7.3 Proposed Implementation Strategy........................................................................................... 56 7.4 Proposed Statement of Work .................................................................................................... 56 7.5 List of Major Deliverables.......................................................................................................... 56 7.6 Proposed Project Schedule....................................................................................................... 58 7.7 Proposed Project Management Services.................................................................................. 58
7.8 Summary of Proposed Implementation Team .......................................................................... 59 7.8.1 Team Roles.................................................................................................................. 59 7.8.2 Risk Management Plan ................................................................................................ 61
7.9 Analysis and Design Services................................................................................................... 61 7.9.1 Detailed Requirements and System Design Plan........................................................ 61
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8 May 2006 Page vi
7.10 System Development Services ................................................................................................. 61 7.10.1 Proposer Work Site ...................................................................................................... 61 7.10.2 Software Development Methodology ........................................................................... 62 7.10.3 Configuration Management Plan ................................................................................. 62 7.10.4 Hardware Acquisition Recommendations .................................................................... 62
7.11 Data Conversion Services......................................................................................................... 62 7.12 Interface Development Services ............................................................................................... 63
7.12.1 Interfaces Plan ............................................................................................................. 63 7.12.2 Interface with Department of Motor Vehicles ............................................................... 63 7.12.3 Interface with Office of Court Administration................................................................ 63 7.12.4 Interface with Vital Records ......................................................................................... 64 7.12.5 Interface with County VR/EMS Systems...................................................................... 64
7.13 Testing Services........................................................................................................................ 64 7.13.1 Proposed Testing Services .......................................................................................... 64 7.13.2 Testing — Unit, System, Stress, Reliability, Security and Regression/Audit............... 64 7.13.3 Acceptance Test Plan .................................................................................................. 65
7.14 Training Services....................................................................................................................... 65 7.14.1 Training Plan ................................................................................................................ 65
7.15 Knowledge Transfer Services ................................................................................................... 65 7.16 NYSVoter II Deployment Services ............................................................................................ 65 7.17 System & Program Documentation Services............................................................................ 66 7.18 Summary of Recommended Hardware and Software Products ............................................... 66
8. SUPPORT REQUIREMENTS .....................................................................................................67 8.1 NYSVoter II Support Requirements .......................................................................................... 67 8.2 Support Services....................................................................................................................... 67 8.3 Warranty Requirement .............................................................................................................. 67
8.4.1 Maintenance and Support Services ............................................................................. 68 8.5 Help Desk Support .................................................................................................................... 69 8.6 Software Change Request ........................................................................................................ 69
9. GLOSSARY OF TERMS ...........................................................................................................70 10. TERMS AND CONDITIONS .......................................................................................................80
10.1 Examination of Contract Documents ........................................................................................ 80 10.2 General Requirements .............................................................................................................. 80 10.3 Additional Requirements ........................................................................................................... 82 10.4 Background Checks for Contractors Performing Services For the State of New York............. 82 10.5 Procurement Rights .................................................................................................................. 84
11. SPECIAL CONTRACT CLAUSES AND REQUIREMENTS ..............................................................85 11.1 Procurement Lobbying Requirement ........................................................................................ 85 11.2 Executive Order 127 Clause ..................................................................................................... 86
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11.3 Contractor Insurance Requirements ......................................................................................... 86 11.4 Tax and Finance Clause ........................................................................................................... 87 11.5 Minority and Women Owned Enterprise ................................................................................... 88
11.5.1 Policy and Provisions ................................................................................................... 88 11.5.2 Goals ............................................................................................................................ 88 11.5.3 Utilization...................................................................................................................... 89 11.5.4 Minority and Women Owned Business Officer ............................................................ 89 11.5.5 Required Reports ......................................................................................................... 89 11.5.6 Non-Discrimination....................................................................................................... 89 11.5.7 Post Award................................................................................................................... 89
11.6 New York State Information Security Policy ............................................................................. 90 12. OTHER RELEVANT DOCUMENTATION .....................................................................................92
12.1 Office for Technology: Enterprise Architecture Focus Item – Three-tiered Architecture .......... 92 12.2 NYS Office for Technology/State Data Center and Server Platform Technical Infrastructure
Architecture ............................................................................................................................... 94 Attachment A - Requirements Response Template
Attachment B - Hardware and Software Specifications Environments
Attachment C – Required Forms
Attachment D – Cost Proposal
Appendix A – Standard Clauses for New York State Contracts
Appendix B-1 – General Specifications (Technology Products and Services)
Appendix C – Change Order Process
Exhibit A – Sample Contract
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1. Introduction
1.1 Overview The New York State Office of General Services on behalf of the New York State Board of Elections (NYSBOE) is seeking a qualified contractor to work with the NYSBOE to develop a replacement system for the interim Statewide Voter Registration Database (NYSVoter I). The replacement system will be called the New York State Voter II (NYSVoter II).
NYSVoter II System Solution: The State Board voted to transfer the statewide voter registration database from the State of Washington Office of the Secretary of State, versus custom building an application or purchasing a commercial-off-the-shelf (COTS) solution, in order to expedite the procurement and implementation process and serve as the baseline database software for NYSVoter II. The Washington transfer software matches New York State’s “bottom-up” statewide voter registration database architecture. New York State (NYS) Election Law, passed in July 2005, requires NYSBOE to implement a “bottom-up” statewide voter registration database whereby each of the 62 NYS counties maintains its own county Voter Registration/Election Management System (VR/EMS) and “feeds” voter registration data to a statewide voter registration database. NYSVoter II then performs voter verification with the Department of Motor Vehicles (DMV) and the Social Security Administration (SSA) on behalf of the counties and sends the results back to the county VR/EMS system with a unique statewide identifier. The statewide voter registration database also coordinates with other state agencies, such as the Department of Health and Office of Court Administration, for periodic list maintenance.
Bidders shall propose to implement and modify the Washington transfer solution using its existing technologies or Bidder’s may propose alternative technologies and/or platforms in place of those used in Washington so long as the functional requirements meet or exceed the functionality of the Washington solution throughout the application.
Bidders who wish to propose multiple solutions must submit a separate bid for each solution. Alternative bids shall be evaluated separately and must be submitted in separate packaging following the bid submission instructions in this RFP.
The awarded contractor will develop and configure the system to replace, unify, and enhance the processes being met by the NYSVoter I system. Due to the breadth of the development, a phased implementation is anticipated.
Responses to this procurement should provide pricing for the deliverables required by NYSBOE. NYSBOE will award a contract to a single proposer based upon the criteria specified below.
Designated Contact In compliance with the Procurement Lobbying Law, Dawn P. Becker, Purchasing Agent, NYS Office of General Services, Division of Financial Administration has been designated the ONLY contact for this procurement solicitation and may be reached by email, voice or fax for all inquiries regarding this solicitation. If the questions are substantive, then they must be submitted in writing. Responses shall be furnished in a Bid Addendum to all prospective bidders via the Bidder Notification System (BNS) or by direct email to vendors who have registered an Intent to Bid. Registered vendors will receive updates or responses to questions regarding this RFP. By registering an Intent to Bid, the vendor is not obligated to submit a proposal.
Dawn P. Becker, Purchasing Agent NYS Office of General Services Financial Administration ESP, Corning Tower, 40th Floor Albany, New York 12242 Voice: 1-518-474-5981 Fax: 1-518-473-2844
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
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In the event the designated contact is not available, the back-up designated contact is:
Bill Macey, Purchasing Team Leader NYS Office of General Services Financial Administration ESP, Corning Tower, 40th Floor Albany, New York 12242 Voice: 1-518-474-5981 Fax: 1-518-473-2844 Email: [email protected]
1.2 Who Should Respond The NYSVoter II solution will involve interfacing with 581 county VR/EMS systems via XML/Web Services. Complex systems integration work will be required to interface with all of counties along with the partner state agencies (NYC Department of Health (through the NYS Department of Health), NYS Department of Health, Department of Motor Vehicles and the Office for Court Administration). The winning proposal will need to include a company or multiple partnering companies to demonstrate both specific voter registration knowledge and systems integration experience. Vendors are encouraged to partner with other companies if the partnering will provide a complete solution. New York State is looking to award the work defined in this RFP to a single vendor.
Vendors who currently are providing VR/EMS software to counties in NYS are precluded from bidding on this procurement, either as a primary contractor or sub-contractor. In addition, the selected bidder (and any sub-contractors) of this RFP is precluded from providing VR/EMS software to any county in NYS for the life of the contract awarded from this RFP including any of the optional support years that NYSBOE may choose to exercise.
1.3 Key Events The State is currently implementing a partially HAVA compliant statewide voter registration list (NYSVoter I) for September 1, 2006. This project (NYSVoter II) will replace NYSVoter I. New York plans to fully implement for NYSVoter II by June 1, 2007.
The Table below outlines the tentative schedule for important action dates. If the State finds it necessary to change any of these dates, notification will be accomplished through a bid addendum to this RFP.
Table 1. Key Events (Estimated)
Action Date OGS Issues Request for Proposal (RFP) for system integrator to implement NYSVoter II. May 8, 2006
NYSBOE Conduct Proposer's Pre-Bid Conference (Optional for Proposers) to discuss and clarify the RFP and address proposer questions (See Section 1.6.16).
May 22, 2006
Proposers Submit Intent to Bid Notification to OGS (see Section 1.6.16 below) May 26, 2006
Proposer Questions Due to OGS including any exception waiver requests (See Section 1.6.12). May 30, 2006
OGS Issues Responses to Questions Due. June 12, 2006 Proposals Due to NYS OGS. June 28, 2006 Estimated Vendor Selection August 15, 2006
1 There are 62 counties in New York State however; the five boroughs of NYC share a single VR/EMS system.
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Action Date Estimated Contract Award. September 15, 2006
1.4 Proposal Format In order for the State to evaluate proposals fairly and completely, proposers should follow the format set forth herein and provide all of the information requested. Proposals that do not adhere to these formatting requirements may be considered non-responsive.
All proposals submitted will become the property of NYSBOE and will not be returned.
Proposals must remain open and valid for 120 days from the opening date, unless the time for awarding the contract is extended by mutual consent of OGS, NYSBOE and the proposer.
All requests for information in this RFP must be responded to as concisely as possible.
Proposers shall formulate their non-cost proposals by completing the pages of requested information included in Sections 4-8 of this RFP and the Requirements Response Template (Attachment A), Recommended Hardware/Software Specifications (Attachment B), Required Forms (Attachment C). Word documents will be provided for proposers to complete the required sections (see Important Note below). Proposers shall complete all tables in Sections 4-8 of this RFP and indicate whether they "Agree (Y/N)" with all requirements in the Requirement Response Template (Attachment A).
Proposals may be accompanied by additional supporting documentation. Only information sufficiently cross-referenced in the proposal so evaluators can locate all the important elements of the document will be considered for evaluation purposes.
Table 2 below describes the format of the non-cost proposal that should be prepared with tabs (separators) and the content of the material located behind each tab.
IMPORTANT NOTE: Vendors who register to bid for this RFP will be provided with an MS-Word copy of this RFP to complete the required sections of the RFP. Vendors will also be provided with MS-Excel and MS-Word copies of the attachments. The PDF versions of the RFP and attachments posted in the Bid Notification System shall be the official RFP of record in addition to any addendums.
Table 2. Proposer Response Format Checklist Tab Contents RFP Reference
Section Comments
1 Cover Letter 1.5 Cover Letter
4.2 List of Providers
4.3 Unique Qualifications
4.4 Prior Experience
4.4.1 Proposer’s Key Personnel Background
4.5.1 Customer References for Proposers
4.5.2 Customer References for Sub-Contractors
4.6 Contract Performance
4.7 Contact Information
2 Proposer Viability
4.8 Conflict of Interest
6.2.1 Technology Components
6.3.1 Technical Architecture
6.3.2 Database Management System (DBMS)
3 Technology
6.3.3 Integration Architecture
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Tab Contents RFP Reference Section
Comments
6.3.4 System Administration Toolkit
6.3.5 Configuration Toolkit
6.3.6 Integration with Version Control Software
6.4.1 System Performance
6.4.2 System Scalability
6.4.3 System Security
7.2 Understanding of Engagement
7.3 Proposed Implementation Strategy
7.4 Proposed Statement of Work
7.6 Proposed Project Schedule
7.7 Proposed Project Management Services
7.7.1 Project Coordination Services
7.7.2 Project Management Plan
7.8.1 Team Roles
7.8.1.1 Proposer’s Key Personnel
7.8.1.2 NYSBOE Team Roles
7.8.1.3 NYSBOE Responsibilities
7.8.1.4 County Team Roles
7.8.1.5 County VR/EMS Vendor Roles
7.8.1.6 County Responsibilities
7.8.1.7 Project Team Continuity
7.8.2 Risk Management Plan
7.9.1 Detailed Requirements and System Design Plan
7.10.1 Proposer Work Site
7.10.2 Software Development Methodology
7.10.3 Configuration Management Plan
7.10.4 Hardware Acquisition Recommendations
7.11 Data Conversion Services
7.12 Interface Development Services
7.12.1 Interface Plan
7.12.2 Interface with Department of Motor Vehicles
7.12.3 Interface with Office of Court Administration
7.12.4 Interface with Vital Records
7.12.5 Interface with County VR/EMS Systems
7.13.1 Proposed Testing Services
7.13.2 Testing – Unit, System, Stress, Security, Regression/Audit
7.13.3 Acceptance Test Plan
4 Implementation
7.14.1 Training Plan
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Tab Contents RFP Reference Section
Comments
7.15 Knowledge Transfer Services
7.16 NYSVoter II Deployment Services
7.17 System and Program Documentation Services
8.2 Support Services
8.3 Warranty Requirement
8.4.1.3 Maintenance Services Form
8.5 Help Desk Support
5 Support
8.6 Software Change Request
Attachment A Requirement Response Template (Excel)
Attachment B NYSVoter II Hardware/Software Specifications (Excel)
6 Attachments
Attachment C Required Forms (MS-Word)
7.3 Proposed Implementation Strategy Attachment
7.4 Proposed Statement of Work Attachment
7.5 Proposed Project Schedule Attachment
7.8.1 Team Roles Attachment
7 Supporting Documentation
N/A Additional Proposer Information
Cost proposals shall consist of a separate cost proposal. Attachment D – Cost Proposals shall be completed by the proposer. Refer to Section 1.6.16 for more information on proposal submission instructions.
Appendix A(09-04).doc Appendix A – Standard Clauses for New York State Contracts MS-Word
Appendix B1.doc Appendix B-1 – General Specifications (Technology Products and Services)
MS-Word
Appendix C Change Order Process.doc
Change Order Process MS-Word
Exhibit A Sample RFP Contract.doc
Sample Contract MS-Word
1.5 Cover Letter The cover letter shall be a summary of the key aspects of the proposing company, distinguishing characteristics of the proposal, the implementation approach as well as the principal advantages to NYSBOE.
The cover letter must also provide a brief description of the proposing firm and may include: history; number of years the organization has been in business; type of services it provides.
The cover letter must confirm that the proposer will comply with all the provisions of this RFP and should state that, should the contract be awarded to your company, you would be prepared to begin operations on October 1, 2006.
The cover letter must reference all attachments included in the proposal.
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The cover letter must include the full contact information of the person(s) the NYSBOE shall contact regarding the proposal. A proposer representative authorized to make contractual obligations must sign the cover letter.
1.6 Important Proposer Information
1.6.1 Issuing Office This RFP is being released by the New York State Office of General Services on behalf of the New York State Board of Elections.
1.6.2 Trade Secrets Refer to Section 1.6.11 Freedom of Information Law clause.
1.6.3 Method of Award It is the State’s intention to make a single contract award (primary contractor) under this solicitation to the proposer receiving the highest point total using the evaluation criteria outlined in this RFP for all work specified herein. While subcontracting is permitted, should the proposer utilize a subcontractor(s) to fulfill any of its obligations, the proposer shall be responsible for the subcontractor’s(s): (a) performance; (b) compliance with all of the terms and conditions of the contract; and (c) compliance with the requirements of all applicable laws.
The Contractor is responsible, at its sole cost and expense, for maintaining labor harmony in conjunction with its work and the work of its subcontractors.
1.6.4 Term of Contract This contract will commence approximately on October 1, 2006 upon approval of the State Comptroller and will be in effect for two (2) years. The contract includes one (1) year of implementation services and one (1) year of support and maintenance services that commences upon system acceptance by NYSBOE.
The contract may be extended twice for a period of one (1) year for support and maintenance services at the discretion of the State at the same terms and conditions. Pricing for these optional support and maintenance services are included in the proposer’s cost proposal as optional support years 2 and 3.
The State of New York retains the right to cancel this contract without cause, provided that the contractor is given at least thirty (30) days notice of its intent to cancel. This provision should not be understood as waiving the State’s right to terminate the contract for cause or stop work immediately for unsatisfactory work, but is supplementary to that provision.
1.6.5 Right Not to Award a Contract NYSBOE and New York State reserve the right to make no award based on this RFP.
1.6.6 Method of Payment Payments cannot be processed by the State until the products have been delivered in satisfactory condition or services have been satisfactorily performed. Invoices for payment shall be submitted at the end of each month on a company invoice or New York State Standard Voucher for deliverables satisfactorily completed during that month. These invoices will be processed in accordance with established procedures of the New York State Office of General Services and the Office of the State Comptroller.
Invoices must contain sufficient data including, but not limited to, contract number, description of services, delivery date, delivery site and number of hours worked for Additional/Miscellaneous Work, rate per hour as well as Federal Identification Number.
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The contractor agrees that from the effective date of the contract until contract termination, the rates charged by the contractor and paid for by OGS on behalf of NYSBOE will be equal to or lower than any rates provided by the contractor to other customers for like services.
All invoices or vouchers are to be submitted for payment to:
THE CLAIMS UNIT OFFICE OF GENERAL SERVICES DIVISION OF FISCAL SERVICES EMPIRE STATE PLAZA STATION P. O. BOX 2117 ALBANY, NEW YORK 12220-0117
1.6.6.1 Retainage NYSBOE shall retain the stated percentage (10%) of each invoice submitted for the life of the project. Upon certification that project deliverables have been satisfactorily completed as well as receipt and acceptance of the Contractor’s project final deliverable, the cumulative amount shall be released.
1.6.7 Electronic Payment The Office of the State Comptroller (OSC) offers an “electronic payment” option in lieu of issuing checks. Contact OSC to obtain an information packet at 1-518-474-4032 or e-mail to [email protected] or visit their website at www.state.ny.us.
1.6.8 Past Practice The failure to exercise any right hereunder in the past shall not operate as a waiver of such right. No breach of this Agreement shall be deemed waived unless such waiver shall be in writing and signed by the party claimed to have waived. No waiver of any breach of the Agreement at any time in the past shall constitute a waiver of subsequent breach.
1.6.9 Right to Know In accordance with the New York State Toxic Substance Act (Right-to-Know Law) and the United States Occupational Safety and Health Administration's Hazard Communication Standard, the State has established and implemented a Right-to-Know/Hazard Communication Program. It is the policy of NYSBOE to provide information and training to advise employees of potentially hazardous substances known to be in the work place. Part of this information is a collection of Material Safety Data Sheets for all chemicals used at State Offices by contract vendors.
Before any chemical product is used on or in any building, a copy of the product label and Material Safety Data Sheet must be provided to and approved by NYSBOE before the chemical is applied.
1.6.10 Minority and Women Owned Business Enterprise Participation The Commissioner recognizes the need to take affirmative action to ensure that minority and women owned business enterprises are given the opportunity for meaningful participation in the development and support of State-occupied premises and to that end encourages the use of minority and women owned business enterprises in the provision of services pursuant to this Request for Proposal. The Offeror, by entering into a contract with the State of New York, as a part of its bid acknowledges and understanding of the State policy, and further pledges to exert reasonable efforts in soliciting and obtaining the participation of minority and women owned business enterprises in provision of services pursuant to this Request for Proposal.
Please refer to Section 11.5 – Minority and Women Owned Enterprise and shall be binding upon the parties of an executed agreement as a result of the RFP.
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1.6.11 Freedom of Information Law During the evaluation process, the content of each bid/proposal will be held in confidence and details of any bid/proposal will not be revealed (except as may be required under the Freedom of Information Law or other State law). The Freedom of Information Law provides for an exemption from disclosure for trade secrets or information the disclosure of which would cause injury to the competitive position of commercial enterprises. This exception would be effective both during and after the evaluation process.
SHOULD YOU FEEL YOUR FIRM’S BID/PROPOSAL CONTAINS ANY SUCH TRADE SECRETS OR OTHER CONFIDENTIAL OR PROPRIETARY INFORMATION, YOU MUST SUBMIT A REQUEST TO EXCEPT SUCH INFORMATION FROM DISCLOSURE. SUCH REQUEST MUST BE IN WRITING, MUST STATE THE REASONS WHY THE INFORMATION SHOULD BE EXCEPTED FROM DISCLOSURE AND MUST BE PROVIDED AT THE TIME OF SUBMISSION OF THE SUBJECT INFORMATION.
REQUESTS FOR EXEMPTION OF THE ENTIRE CONTENTS OF A BID/PROPOSAL FROM DISCLOSURE HAVE GENERALLY NOT BEEN FOUND TO BE MERITORIOUS AND ARE DISCOURAGED. KINDLY LIMIT ANY REQUESTS FOR EXEMPTION OF INFORMATION FROM DISCLOSURE TO BONA FIDE TRADE SECRETS OR SPECIFIC INFORMATION, THE DISCLOSURE OF WHICH WOULD CAUSE A SUBSTANTIAL INJURY TO THE COMPETITIVE POSITION OF YOUR FIRM.
1.6.12 Exceptions to RFP The Issuing Office will consider all requests to waive any RFP requirement. However, proposers should be aware that failure to obtain a waiver of any RFP requirement in advance of proposal submission could result in rejection of Bidder’s proposal and disqualification from the bidding process.
Bidders wishing to obtain an exemption or waiver for any part of this solicitation must contact the Issuing Office in writing by the ‘Questions Due Date’ as identified in Key Events (Section 1.3). The request must cite the specific section and requirement in question, and clearly identify any proposed alternative. Requests will be considered and responded to in writing, either with the ‘Answers to Questions’ as identified in Key Events (if the response results in a change to the RFP), or directly to the requesting vendor.
1.6.13 Change Order Process The Parties agree that in the event it is deemed necessary for some aspect of the Implementation Services or Support and Maintenance Service requirements to be changed, the Parties reserve the right to change such requirements or specification through the change order process established in Appendix C. In order to ensure adequate funding for any change orders, the Parties expressly acknowledge OGS must approve the change order in writing before it can take effect.
NYSBOE shall complete and submit the change order form set forth in Appendix C to the contract awardee. Awardee shall promptly reply with a written proposal indicating whether or not the change order can be accomplished, the date of service, the number of working hours and the rates per hour. The Parties agree that the rates shall not exceed the rates set forth in this Agreement. NYSBOE and OGS shall indicate in writing whether or not the proposal is acceptable. OGS’ role is limited to ensuring that the necessary funds are available to pay for the change order. Change orders will require the approval of the Office of the State Comptroller. Awardee may only proceed with a change order after receiving a copy of the written approvals of NYSBOE and OGS.
1.6.14 Dispute Resolution It is the policy of the Office of General Services and the NYS Board of Elections to provide vendors with an opportunity to administratively resolve disputes, complaints or inquiries related to bid solicitations or contract awards. Vendors are encouraged to seek resolution of disputes through consultation with the Issuing Office. All such matters will be accorded impartial and timely consideration. Interested parties may also file formal written disputes. For purposes of this RFP, the procedures as outlined by the OGS
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Procurement Services Group (PSG) will be followed except that they shall be submitted to the Issuing Office and appeals made to the NYS Board of Elections.
A copy of PSG’s Dispute Resolution Procedures for Vendors may be obtained through the OGS website (www.ogs.state.ny.us).
1.6.15 Proposal Evaluation An evaluation team from NYSBOE, the Office for Technology and the Office of General Services will review proposals submitted. Additional technical assistance may be provided by other agencies. All proposals shall be received with the understanding that the acceptance in writing by the Commissioner of OGS with the approval of the State Comptroller and the Attorney General shall constitute an agreement between the bidder and the State. An award, if any, will be made by OGS.
The evaluation of proposals will be conducted by the State based on information provided in the bidders’ proposals and on such other available information that the State determines to be advisable to consult.
The evaluation team will review proposals for the best value to the State. The maximum possible score for each proposer is 1,000 points; 600 points are allotted for the proposal score, 100 points are allotted for oral presentations and 300 points are allotted for the cost score.
Bidder’s are required to complete Attachment A – Requirements Response Template and indicate that they agree with the requirements. Attachment A includes business, technical, implementation and support requirements. Attachment A will not be scored by the evaluation team, however any proposer who does not agree with a requirement categorized as ‘Mandatory’ may be found non-compliant and may not be considered further for award. If every bidder cannot meet the same ‘Mandatory’ requirement, NYSBOE may choose to waive the requirement (refer to Section 10.5 Procurement Rights).
1.6.15.1 Non-Cost Score There are two (2) components to the non-cost score, the proposal score (600 maximum points) and the oral presentation score (100 maximum points). The evaluation team will evaluate the proposal first for the proposal score.
The proposal score will be based on points awarded for the categories listed below, with maximum points indicated.
1. Proposer Viability (60 maximum points) – evaluates the proposer’s unique qualifications and experience with completing similar projects. This includes contacting customer references and taking into consideration the experience and qualifications of vendor staff assigned to the project. Proposer and subcontractor financial stability will also be evaluated.
2. Technical Approach (210 maximum points) – evaluates the proposer’s technical approach including but not limited to, technical architecture, database management, integration architecture, system administration, configuration management, scalability, performance and security.
3. Implementation Approach (210 maximum points) – evaluates the proposer’s implementation approach including but not limited to, understanding of the engagement, proposed implementation strategy, project schedule, proposed implementation team, analysis and design approach, system development approach, system test approach, interface development approach, training approach, deployment approach and knowledge transfer approach.
4. System Support Approach (120 points) – evaluate the proposers approach including but not limited to help desk support and system maintenance and operations.
Once the evaluation team has scored the proposal score, the proposals of the top three (3) proposal scores, inclusive of ties, will be down-selected for oral presentations to further explain or clarify content within their proposal. Proposals outside of the top three (3) proposal scores and ties will not be invited for oral presentations and will no longer be considered for contract award. The proposal score will not change based on the oral presentations.
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NYSBOE will provide an agenda for proposers invited to oral presentations. After the oral presentations are complete, the evaluation team will score each proposer’s oral presentation. The maximum possible points for an oral presentation are 100 points.
The proposal score plus the oral presentation score shall constitute the proposer’s non-cost score.
1.6.15.2 Cost Score The total maximum cost points are 300 points. The total cost to be evaluated for scoring includes the following:
Total One-time Cost of Implementation Services (Attachment D - Section 1.2.1) plus;
Total Cost of Maintenance and Support Services (Attachment D - Section 1.2.2) comprised of:
Year 1 Total Support and Maintenance Services Cost plus;
Optional Year 2 Total Support and Maintenance Services Cost plus;
Optional Year 3 Total Support and Maintenance Services Cost;
Total Cost to Be Evaluated for Proposer Cost Score = Total One-time Cost of Implementation Services + Total Cost of Maintenance and Support Services.
The cost to the State will be evaluated so that the lowest bid will receive the full allowed points (300 points). All other cost proposals will receive a score that is proportionally commensurate to the lowest bid. The following equation shall be used to determine the cost scores of all bidders other than the bidder offering the lowest total cost:
1.6.15.3 Total Evaluation Score The Bidder’s total evaluation score will be the non-cost score plus the cost score (maximum possible total score is 1,000 points).
1.6.15.4 Notification of Award After the evaluation, all Bidders offering proposals will be notified of the name of the successful bidder. The Bidder will be notified that the submitted proposal has been selected. The original proposal, and any additions or deletions to the proposal, become part of the contract.
Public announcements or news releases pertaining to any contract resulting from this RFP shall not be made without prior approval from the Issuing Office.
Proposals shall be submitted with the understanding that the acceptance thereof in writing by the Commissioners of NYSBOE shall be binding upon the Bidder. Execution of an agreement, which incorporates the terms of this RFP and Bidder’s proposal, with the approval of the State Comptroller and the Attorney General, shall constitute a contract between the Contractor and the State.
1.6.16 Instructions for Participation and Bid Submission
1.6.16.1 Intent to Bid/Pre-Bid Conference Vendors who wish to bid must register their Intent to Bid with OGS by sending an e-mail to Dawn P. Becker, Purchasing Agent via e-mail ([email protected]). Vendors shall include their company name, address, phone, fax, contact name, title, and email address Vendors must register no later than May 26, 2006 by 5:00 PM EST. Only registered vendors will be allowed to submit proposals for
Lowest Grand Total Cost
Other Proposer’s Grand Total Cost
X Total Cost Points Available (300 points) = Cost Points Awarded
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this RFP. Also, only registered vendors will receive updates or responses to questions regarding this RFP. By registering Intent to Bid, the vendor is not obligated to submit a proposal.
Vendors who register will also be mailed a CD-ROM to the address provided with the detailed Washington system documentation to assist in the completion of a bid response. Only one (1) CD-ROM will be provided per registered vendor.
An optional pre-bid conference will be held to review the scope of the RFP and answer any questions from prospective bidders. The Pre-Bid Conference will be held on May 22, 2006 from 10:00 AM EST to 12:00 PM EST. Vendors are limited to two (2) attendees per vendor company. The Pre-Bid Conference will be held at:
Crowne Plaza Albany
State and Lodge Streets
Albany, NY 12207
Phone: 518-462-6611
Crowne Plaza information can be found at http://www.ichotelsgroup.com/h/d/cp/1/en/hd/albdt.
1.6.16.2 Instructions for Bid Submission Submit all required bid contents, including attachments, supporting documents, and bid addenda if any, by sending or delivering all to the OGS Division of Financial Administration at the following address:
Division of Financial Administration NYS Office of General Services Corning Tower, 40th Floor Bid Room Empire State Plaza Albany, NY 12242-0099 Attn: Dawn P. Becker
E-mail or fax bid submissions are not acceptable and will not be considered.
Bids must be received in the above office on or before 11:00 AM EST on June 28, 2006.
The received time of bids will be determined by OGS at the clock at the above noted location. NO CONSIDERATION WILL BE GIVEN TO BIDS RECEIVED AFTER THE REFERENCED DATE AND TIME.
1.6.16.3 Copies and Packaging of RFP Response 1. Four (4) original and ten (10) exact copies (14 total) of the non-cost proposal shall be submitted
by the deadline indicated above. The originals and copies shall be in 3-ring binders. Each original and copy shall have a CD-ROM included in the binder with all of the non-cost proposal contents. Refer to Table 2 in Section 1.4 for the format of the non-cost proposal.
2. Four (4) original and one (1) exact copy (5 total) of the cost proposal shall be submitted by the deadline indicated above. The originals and copy shall be in 3-ring binders. Each original and copy shall have a CD-ROM included in the binder with the cost proposal contents. The cost proposal shall consist of the vendor completing Attachment D – Cost Proposal. Refer to Section 1.4 for the format of the cost proposal
3. Both the non-cost and cost proposals should be submitted with the name of the proposer and the relevant RFP name and number on the front of the envelope/package. The Cost proposal shall be submitted in a separate sealed envelope/package. The bid documents must be submitted by mail, hand delivery, overnight carrier or certified mail in a package showing the following information on the outside:
Bidder's complete name and address
IFB Proposal Number – 1235
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Bid Due Date and Time: June 28, 2006 @ 11:00 AM EST
Mailed Bids Submitters mailing their bid/proposal must allow sufficient mail delivery time to ensure receipt of their proposal no later than the specified date and time.
This RFP remains the property of the State at all times, and all responses to this RFP, once delivered, become the property of the State.
Please do not contact staff of the State Board of Elections.
Important Security Procedures for Delivered Bids Effective January 30, 2006, new security procedures are in effect at the Corning Tower. While Empire State Plaza procedures govern both parking and admittance to buildings, the new Corning Tower procedures require turnstile security access. Photo identification is required. All visitors must register for building access, including vendors attending bid openings or delivering bids. Vendors are encouraged to pre-register by contacting the OGS Finance Office at 518-474-5981 at least 24 hours prior to the bid opening. Pre-registered visitors are to report to the visitor desk located at the Concourse level of the Corning Tower. Upon presentation of appropriate photo identification, the visitor will be allowed access to the building.
Upon arrival at the visitor desk, visitors that have not pre-registered will be directed to a designated phone to call the OGS Finance Office. The Finance Office will then enter the visitor’s information into the security system. Access will not be allowed until the security system has been updated. Visitors are encouraged to pre-register to ensure timely access to the building.
Vendors who intend to deliver bids or conduct business with OGS should allow extra time to comply with the security procedures. These security procedures may change or be modified at any time.
Visitor parking information can be viewed by viewing the following OGS web site:
1.6.16.4 RFP Questions and Clarifications Questions and requests for clarification regarding this RFP shall only be directed to:
Dawn P. Becker, Purchasing Agent OGS Division of Financial Administration Phone: 1-518-474-5981 Fax: 1-518-473-2844 e-mail: [email protected]
Questions are only accepted in writing via e-mail. All questions related to this RFP must be sent to the contact above. Do not contact the State Board of Elections regarding this RFP. Please review the Procurement Lobbying Requirement in Section 11 of this RFP (Special Contract Clauses and Requirements) regarding vendor contact with NYSBOE and other provisions of the State Finance Law related to procurements.
All questions and answers will be provided to proposers who have submitted Intent to Bid notification.
Deadline for submission of questions will be 5:00 PM EST, May 30, 2006.
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2. Project Objectives
2.1 Help America Vote Act (HAVA)
2.1.1 Introduction The Help America Vote Act of 20022 was approved by Congress to address the issues of timely and accurate elections in the United States. Specifically, the act was established to:
...” provide funds to States to replace punch card voting systems, to establish the Election Assistance Commission to assist in the administration of Federal elections and to otherwise provide assistance with the administration of certain Federal election laws and programs, to establish minimum election administration standards for States and units of local government with responsibility for the administration of Federal elections, and for other purposes.”3
Congress subsequently allocated $3.6 billion to support the Act. These funds are being allocated to states for a number of purposes — especially to update voting systems (ballot creation, vote recording, vote tallying and voter reporting) and to establish a central, statewide list of all registered voters in each state.
New York State also passed its own HAVA legislation in July 2005 mirroring many requirements of the Federal legislation. Key requirements of the NYS legislation, Election Law Section 5-614, include:
New York State Election Law Section 5-614 Subdivision 1 One Official Record — There will be one official record of the registration of each voter;
Interactive, Statewide List — Records will be maintained in an interactive, statewide, computerized, voter registration list;
NYSBOE Administrator — The list shall be administered by the State Board of Elections;
NYSBOE Rules — The State Board of Elections shall promulgate rules and regulations. Local boards of elections are required to comply with the rules and regulations.
Statewide List be created as a “bottoms-up” system.
New York State Election Law Section 5-614 Subdivision 2 Combine County Lists — The list shall be created by combining the existing voter registration lists
maintained by local boards of elections into a single integrated list;
Continue Local VR Systems — Allows, to the maximum extent practicable, local boards of elections to continue to use their existing computer infrastructure to access data from and transmit data to the statewide voter registration list;
Local Access — Allows the use of local interfaces to the maximum extent practicable.
The statewide voter registration system requirement of HAVA is the subject of this Request for Proposal (RFP). NYS currently does not have a HAVA-compliant statewide voter registration database. NYSBOE is in the process of modifying a stand-alone Oracle database to serve as a statewide voter registration database for the 2006 elections (NYSVoter I); however NYSVoter I will not meet a critical requirement of HAVA requiring near ‘real-time’ integration between the statewide voter registration database and the various county VR/EMS systems. New York State is looking for an enhanced statewide voter registration system, based on the State of Washington statewide voter registration database that fully meets the
2 Public Law 107-252, October 29, 2002. 3 Public Law 107-252, October 29, 2002, Preamble.
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requirements of HAVA and facilitates common voter registration procedures and practices statewide. This statewide voter registration database will be called NYSVoter II.
NYSVoter II must fully comply with HAVA. The system will serve as the official voter registration list for the conduct of all elections in the State. The system will need to be available to any election official in the State for immediate electronic access. The System shall include provisions to ensure voter registration records are accurate and updated regularly. List maintenance shall be performed by “the appropriate State or local election official,” in accordance with National Voting Rights Act (NVRA) provisions. Safeguards are required to ensure that legally qualified voters are not removed in error. The HAVA terms single, uniform, centralized, interactive, and expedited basis have not been defined by any control agency. The State will work with the vendor to implement a system that New York believes is completely compliant with the intent of HAVA.
2.2 Project Goals
2.2.1 Project Vision The vision of the NYSVoter II System Project is to implement a solution that meets the mandates of HAVA, NYS HAVA legislation and the requirements of the stakeholders of the system. HAVA is intended to protect the integrity of the electoral process by ensuring the maintenance of an accurate and current voter registration list at the state-level. Regular list maintenance will minimize opportunities for individuals to register and vote in multiple jurisdictions. The statewide list will also enhance the ability of elections officials to identify duplicate registrations and the reasons for them. These functions are key components in protecting the integrity of the electoral process and assuring fair and open elections.
2.2.2 Project Business Goals The business goals of this project are to develop a voter registration system to serve the citizens of New York that meets the minimum requirements of HAVA while fulfilling mandates of state law. Specifically, the project goals are:
Comply with HAVA — Create a statewide voter registration system that enhances current county systems and complies with new Federal/New York State HAVA requirements;
Improve Voter Registration Accuracy — Enhance the accuracy of voter registration records through a more effective coordination of voter registration information with information maintained by other agencies such as the New York Department of Motor Vehicles (DMV), New York Courts, and the NYC and NYS Departments of Health;
Reduce Voter Registration Fraud — Reduce the incidence of voter fraud through a more effective application of voter registration information to identify ineligible voters and prevent casting of duplicate ballots; and
Ensure Current Functionality Retained — Ensure that all current functionality of county voter registration and election management systems and NYSVoter I are provided in NYSVoter II.
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2.2.3 System Stakeholders The NYSVoter II System stakeholders include:
Table 4. NYSVoter II Stakeholders
Stakeholder How Impacted by/Related to the System
The registered voters of New York State System will determine their eligibility to vote in federal and state elections.
The State Board of Elections Responsible for HAVA compliance for the State of New York and per HAVA, the owner of the data.
County and Local Election Officials and Staff Primary users of data to register and conduct elections in New York. Primary users of the system in determining voter eligibility.
New York and NYC Departments of Health, Department of Motor Vehicles and Office of Court Administration
Provide data for determining voter eligibility.
New York State Office of the Chief Information Officer and Office for Technology
Responsible for enterprise-wide standards related to implementing information technology systems and projects.
2.2.4 Key Project Requirements 1. Database of Record — NYSVoter II will be the database of record regarding voter registration in
New York in accordance with HAVA requirements. The responsibility for the statewide database of record will reside with NYSBOE. Local versions of county data and election management business processes will remain in the county VR/EMS systems.
2. Interactive — Unlike NYS Voter I, which will be updated via a batch process, NYSVoter II shall provide “interactive” update of voter registration data. All additions, changes, and deletions of records performed by county voter registration personnel will update the statewide voter registration database in near ‘real-time’.
3. There are four (4) basic components to the project:
a. Modification and implementation of a statewide voter registration database system based on the design of the State of Washington voter registration database system;
b. Development and implementation of statewide voter registration network to connect in near ‘real-time’ all New York county VR/EMS systems, and partner state agency systems with NYSVoter II;
c. Development and implementation of interfaces to, and from, all New York county VR/EMS systems, and partner state agencies with NYSVoter II to capture and update voter registration and voter verification data; and,
d. Conversion and reconciliation of voter registration data from the 62 New York counties to NYSVoter II (including statewide duplicate records matching).
2.3 Project Description Working with county Boards of Elections and state election officials, the State BOE defined functional requirements and roles and responsibilities for performing the functions of voter registration base upon these principles:
NYSBOE shall acquire, maintain and support the statewide system;
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Counties will retain a VR/EMS system to manage voter registration activities, including but not limited to assigning voters to correct political subdivisions; assigning polling places; maintaining voter history; and filing and tracking of candidate petitions;
The state’s official voter registration list will remain under the central control of the State Board of Elections;
The counties will be responsible for voter registration operations, election management, printing responsibilities, and common infrastructure requirements for supporting the statewide VR system;
2.3.1 Project Scope The NYSVoter II overall project scope includes:
1. Centralized Statewide Voter Registration List — The complete functionality for a centralized statewide voter registration list. This includes performing near ‘real time’ duplicate matching, DMV matching, court record matching, and death record matching. The centralized voter registration list will enable voter registration personnel to process duplicate records statewide, process court and death records, and process transfers or moves from one county to another;
2. Interfaces — Providing the necessary interfaces to:
─ County VR/EMS systems for all 62 counties;
─ State of New York Division of Motor Vehicles and, through DMV, Social Security Administration for identity verification;
─ Office of Court Administration for felony and incapacitated case information;
─ NYC Department of Health (through the NYS Department of Health) and the NYS Department of Health for death notification records;
3. Replacement/Upgrade — Up to 10 counties may need to replace their existing voter registration systems as part of this project in order to interface with NYSVoter II in near ‘real-time’ via Web Services/XML. State certified county VR/EMS vendors will perform these replacements/upgrades, though the System Integrator shall be responsible for developing assessment criteria and for performing an assessment to determine which county VR/EMS systems need to be upgraded/replaced.
4. Data Conversion — The initial conversion and integration of existing voter registration data currently residing in all individual county systems into NYSVoter II.
2.4 Summary of Required Services
2.4.1 Overview The following section provides a high-level overview of the scope of services to be provided by the System Integrator during the NYSVoter II implementation and support. The detailed business, technical, implementation and support requirements are highlighted in the proceeding sections of this RFP and Attachment A – Requirements Response Template.
2.4.2 Project Initiation and Management The System Integrator shall develop a detailed implementation plan and schedule outlining the key phases, tasks, activities, dependencies, budgeted hours, assigned resources and deliverables for the project. The project schedule shall take into consideration the election schedule and associated county and NYSBOE resource availability during election periods.
The System Integrator shall also provide a System Integrator project organization chart and a staffing plan. During the course of the project, the System Integrator shall participate in status meetings and
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provide a bi-weekly written status report to NYSBOE. As required, the System Integrator shall also participate in Project Steering Committee meetings.
The System Integrator Project Manager shall maintain and update the implementation plan and project schedule throughout the lifecycle of the project and provide NYSBOE updated versions of the plan and project schedule.
As part of the on-going management of the project, the System Integrator shall develop a risk management plan identifying potential project risks and mitigation strategies. The System Integrator shall also identify, track and manage project issues using an automated issue-tracking tool and develop an issue resolution process.
As part of the project initiation process, the System Integrator shall conduct a project kick-off meeting with key stakeholders within 15 days of contract execution. The kick-off meeting will provide an overview of the project scope and schedule, introduce the System Integrator project team and outline project start-up procedures.
Within 15 days of project initiation, the System Integrator shall provide NYSBOE with a change control plan outlining the process for implementing system changes. Within 30 days of project initiation, the System Integrator shall provide a quality assurance plan.
As part of the on-going communications process, the System Integrator shall assist NYSBOE with revising and enhancing the current statewide voter registration database communications plan.
Major Deliverables
System Integrator Organization Chart
System Integrator Schedule and Work Plan
Quality Assurance Plan
Change Control Plan and Process
Revised Communications Plan
Project Kick-Off Meeting
Project Development Meetings
Project Status Meetings
Project Steering Committee Meetings
Issue Resolution Plan
Project Issue Tracking and Process Tool
Bi-Weekly Written Project Status Report
Risk Management Plan
2.4.3 County Compliance Criteria and Assessment The System Integrator shall develop compliance criteria to determine which county VR/EMS systems can interface with NYSVoter II in near ‘real-time’. Sample criteria may include the ability to integrate with NYSVoter II via XML/Web Services or the capability for the county VR/EMS database to scale adequately with the implementation of NYSVoter II and the associated transactions. Within 2 weeks of project initiation, the System Integrator shall develop the compliance criteria and, after approval by NYSBOE, distribute the compliance criteria to the counties for their initial self-assessment.
The System Integrator shall collect the county self-assessment results from the counties and perform their own assessment of the results and make recommendations to NYSBOE as to which county VR/EMS systems may need to be upgraded in order to interface with NYSVoter II in near ‘real-time’.
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The complete assessment shall be completed within 4 weeks of project initiation.
Major Deliverables County VR/EMS System Integration Compliance Criteria
County VR/EMS System Integration Compliance Assessment
2.4.4 System Environments The System Integrator shall establish a development, training/conversion and test environment within 30 days of project initiation. The System Integrator shall work with host (OFT or a third-party) to establish a production environment prior to system deployment and an alternative site production environment post-deployment. The location of the primary production environment may either be at the NYSBOE or at a state data center. This decision is currently being made by NYSBOE. The alternative site has not been identified; however it is the intent of NYSBOE to have the alternative site located on the NYeNet back bone.
Major Deliverables
Five System Environments (Development, Training/Conversion, Test, Production 1 and Production 2 (alternative site))
2.4.5 System Hardware and Software Specifications The System Integrator shall provide NYSBOE with detailed hardware and software specifications required by NYSVoter II. These specifications shall include database sizing estimates based on anticipated future transaction volumes. The System Integrator shall support NYSBOE with the procurement of any required hardware and software licenses for NYSVoter II. When recommending hardware/software products, the proposer shall take into consideration the technology guidelines provided in Section 12.2 (12.2 NYS Office for Technology/State Data Center and Server Platform Technical Infrastructure Architecture).
Major Deliverables
Hardware/Software Specifications
Hardware/Software Sizing Estimates
2.4.6 System Design and Development The System Integrator shall review the business and technical requirements and confirm which requirements are met by the proposed solution. NYSBOE completed an initial analysis of NYS business and technical requirements and flagged which business requirements were most likely met by the Washington transfer and those business requirements are flagged in the requirements response template (WA Transfer Meets column).
Based on the System Integrator’s requirements analysis, the System Integrator shall develop any system modifications to the proposed solution and NYSBOE-side interfaces and reports required by NYSBOE and NYS. The System Integrator shall develop general and detailed design documentation for each modification. The System Integrator shall develop required modifications and shall validate each modification through code reviews within the development team.
The System Integrator shall also develop the required interface specifications for the county VR/EMS interfaces and partner state agencies interfaces.
The System Integrator shall also develop a structured Configuration Management Plan within 15 days of project initiation that describes the System Integrator's configuration management approach and plan for the NYSVoter II Project.
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Major Deliverables
Software Development Plan
General and Detailed Design Documentation for Software Modifications, Interfaces and Reports
Configuration Management Plan
2.4.7 NYSVoter II Rules and Regulations Building on the rules and regulations developed for NYSVoter I, the System Integrator shall develop similar rules and regulations in preparation for the implementation of the permanent statewide voter registration database (NYSVoter II). NYSVoter II is intended to meet all HAVA requirements, including the ‘interactive’ requirement stipulated in HAVA. Interim rules and regulations for NYSVoter II need to be drafted by December 2006 and updated as necessary through NYSVoter II system acceptance.
Major Deliverables
Proposed, Draft and Final NYSVoter II Rules and Regulations
2.4.8 System and Network Testing The System Integrator shall prepare a system test plan, test all aspects of the system, and implement and use a tracking tool for system problems. NYSBOE and the System Integrator shall jointly develop the criteria for determining significant, medium and low impact bugs. The system test must demonstrate the successful operation of the system, ensuring that the new solution is functioning and processing data correctly.
The System Integrator shall plan, design, and implement a test environment that replicates the production environment. The System Integrator shall load the system test environment with sufficient data to replicate the production environment.
The System Integrator shall perform the required unit, integration, system and performance/stress and reliability testing of NYSVoter II. The System Integrator shall develop detailed test conditions, expected results, test scripts and utilize industry-standard automated testing tools to facilitate the testing process.
As part of testing planning, the System Integrator shall develop a set of county VR/EMS interface certification test cases and test conditions for the county VR/EMS vendors to test. The System Integrator shall coordinate with the county VR/EMS vendors to test transactions back and forth from NYSVoter II to the various county VR/EMS systems.
The System Integrator shall provide a mechanism for tracking expected versus actual test results, and for tracking all errors, problems, and their resolution. This reporting mechanism shall include errors identified; rework efforts, and retesting efforts.
To the extent possible, the System Integrator must perform testing on an infrastructure identical to the production infrastructure, including the NYeNet and the public Internet. The System Integrator shall also perform a network analysis with the network vendor and OFT to determine likely network deficiencies.
The System Integrator shall prepare and conduct a performance test plan employing system and network monitoring software, and system load simulation software. The test plan must utilize the full statewide voter registration database, increasing numbers of users, and increasing activity levels. The performance test shall continue until performance measures are met, and are expected to be met under full operational conditions.
Major Deliverables
System Test Plan
Performance Test Plan
County VR/EMS Interface Certification Test Cases and Conditions
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Network Analysis
Reliability Testing and Test Results
Performance Testing and Test Results
Functional Testing and Test Results
Testing Defect Log
2.4.9 Acceptance Testing Prior to deployment, an acceptance test shall occur. The acceptance test will include all activities to take place during the actual deployment, as well as a series of mock elections. The System Integrator shall develop an Acceptance Test Plan and execute the acceptance testing effort. An Acceptance Test team composed of county and NYSBOE users from various functional areas shall participate in the Acceptance Test.
The acceptance test will include, but is not limited to, verifying the following:
All functional aspects of the system
Ease of use
Installation of software
Accuracy and performance of system interfaces
Effectiveness of training methods and materials
Response time and overall system performance and reliability
System hardware, software and telecommunications performance
System, data, and application security
Major Deliverables
Acceptance Test Plan
Acceptance Testing and Test Results
2.4.10 Data Conversion Data conversion encompasses the initial transfer of voter registration data to NYSVoter II from the 58 county VR/EMS systems.
The System Integrator shall plan and coordinate all conversion activities for production data. The System Integrator shall work closely with the county VR/EMS vendors to formulate data conversion algorithms and develop a detailed data conversion plan including a data map, conversion schedule, impact if any on existing systems, data reconciliation procedures and procedures for handling problem data such as missing data, data exceptions, and default values. The county BOEs will be responsible for data entry or cleanup that must be performed manually in preparation for data conversion; however the System Integrator shall coordinate this effort.
The System Integrator shall design, develop and test the required conversion load programs or XML/Web services for data conversion into NYSVoter II as well as any required data conversion reconciliation reports. The System Integrator shall also recommend which load mechanism is appropriate for each county (e.g. XML/Web Services for smaller counties, flat file/batch process for larger counties, etc.).
In preparation for the final conversion, the System Integrator shall coordinate and plan a series of at least three (3) mock conversions with the county VR/EMS vendors in order to fully test the conversion programs, timing, reconciliation process and end-to-end data conversion process.
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Major Deliverables
Conversion Plan
Conversion Data Mapping
Conversion Load Programs and Reconciliation Reports
Mock Conversions
Data Conversion Results
2.4.11 Training and Knowledge Transfer The System Integrator shall be responsible for developing a training curriculum and training materials for NYSVoter II. The System Integrator shall conduct ‘train-the-trainer’ training sessions for NYSBOE and County BOE staff who will then train end users at NYSBOE or the respective counties.
The System Integrator shall perform gap analysis of current NYSBOE technical skills and required skills to support NYSVoter II. The System Integrator shall also recommend training curriculum for NYSBOE technical support that will provide them with the required skills to support NYSVoter II after the post-production support period.
Within 30 days of project initiation, the System Integrator shall submit a Knowledge Transfer Plan to NYSBOE for NYSBOE staff.
Major Deliverables
End User Training, Curriculum and Materials
End User Training
Technical Skills Gap Analysis and Assessment
Knowledge Transfer Plan
2.4.12 System Deployment The System Integrator shall develop a system deployment plan for NYSVoter II and the 62 counties. The system deployment shall be a phased approach. Deployment Plan shall include a detailed schedule that clearly defines key milestones, deliverables, tasks and responsibilities, incorporate hardware, software, network, and data conversion activities and sequencing.
The System Integrator shall provide an organizational change management plan that provides the NYSBOE with necessary planning guidance to effectively transition the NYSBOE and county organizations to the NYSVoter II System environment.
NYSBOE envisions system deployment over a 3-month period; however the System Integrator may suggest an alternative deployment schedule.
Major Deliverables
Draft and Final System Deployment Plan
Organizational Change Management Plan
Full System Deployment
2.4.13 Help Desk Support The System Integrator shall assist NYSBOE with designing and establishing the NYSVoter II help desk facility, which must be fully operational at the start of the deployment. The System Integrator shall develop help-desk procedures and troubleshooting procedures and provide tier 3 support. The help desk
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will be staffed during the normal State business hours of 8:00 to 5:00. During peak election periods, the help desk shall be available 24X7. This help desk will deal only with technological issues relating to the functioning of the database. All substantive questions shall be referred directly to program staff at NYSBOE for resolution.
The initial point of contact will be the NYSBOE help desk, which will receive telephone calls and email from internal and external systems users statewide. The help desk will log the call, and either resolve it or refer it to one of the other tiers (tier 2 or tier 3) of support. Ninety-five percent of calls related to user inexperience will be handled by the help desk. The System Integrator shall assist NYSBOE in analyzing the type and frequency of these calls, and will trigger appropriate improvements to reduce the volume of such calls. The System Integrator shall produce a monthly help desk status report to track system issues, call volumes, etc.
Major Deliverables
Help Desk Support Procedures
NYSVoter II Help Desk Resource Training
2.4.14 System Acceptance System acceptance shall occur when NYSBOE determines that all of the following criteria have been met:
Full deployment of NYSVoter II has been completed.
The delivered source software is installed on appropriately configured hardware, with no errors and no warnings for at least 30 days after the final version has been installed.
The system passes acceptance test as agreed to by the System Integrator and NYSBOE.
The documentation, source code and training manuals are accepted by NYSBOE.
All project deliverables completed by full NYSVoter II deployment have passed technical and quality reviews.
All business, technical and implementation requirements of this RFP have been met.
Major Deliverables
System Acceptance
2.4.15 System Support, Maintenance and Warranty The System Integrator shall provide system support and maintenance after system acceptance. A warranty period for one (1) year shall also commence at system acceptance.
During the system support phase, the System Integrator, with the continued assistance of the NYSBOE technical staff who participated in earlier tasks, shall support, maintain, performance tune and fix bugs with NYSVoter II. The System Integrator shall update any system documentation on a monthly basis during the support period.
The System Integrator shall perform system maintenance on NYSVoter II as part of the maintenance phase. The System Integrator shall also provide an estimated 1,000 hours during each maintenance year as needed to perform system enhancements or transition-out services. As part of the system support and maintenance, the System Integrator shall develop software change management procedures and develop tools and procedures for performance measurement (e.g. system availability, transaction volumes, etc.).
During the system support and maintenance phase, the System Integrator shall develop the Transition-Out Plan. The goal of the Transition-Out Plan is to support a smooth transition of programs, knowledge, data and procedures for operation by NYSBOE. The Transition-Out Plan shall include:
Transition-out schedule
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Help desk transition-out plan
Current documentation and training curriculum
Inventory of all work in progress
Inventory of all equipment and software to be transitioned over
Major Deliverables
Updated System Documentation
Transition-Out Plan
Software Change Management Procedures
System Maintenance Plan
Database Recovery Plan
Performance Measurement Tools
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3. Project Background
3.1 About New York State
3.1.1 New York State Demographics New York State has an estimated total population of 18,976,487 4 and a total voter registration of 11,834,8895 as of the end of 2004. The state is comprised of 62 counties (including the five boroughs which comprise New York City) with most of the state’s population concentrated in these eleven counties: City of New York (all five boroughs) with 8,008,278, Erie County with a population of 950,265, Monroe County with 735,343, Nassau County with 1,334,544, Suffolk County with 1,419,369, and Westchester County with a population of 923,459. Together these eleven Counties represent 70% of the State’s population.
Table 5. New York State Counties, Population and Voter Registration Statistics
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Figure 1. Map of New York State Counties
3.1.2 New York Political Subdivisions The smallest political subdivision in the State is the Election District. Presently, there are 15,819 election districts in NYS. There are also 150 state Assembly Districts, 61 State Senatorial Districts, and twenty-nine (29) congressional districts.
3.2 New York Elections
3.2.1 Types of Elections Primary elections occur annually in September; general elections occur annually in November. In addition, there is a presidential primary in March of the year in which the president is elected. Commonly, in odd-numbered years, those elections are focused on county and other local offices. Likewise, in even-numbered years, they are focused on statewide and federal offices.
School elections are conducted annually during May and also other school elections as well as some village elections are conducted at various times throughout the year. Fire district elections are commonly conducted during December and also at various times throughout the year. Library, sewer, water and other special districts also conduct elections at various times throughout the year.
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3.2.2 Roles of the State Board of Elections and County Boards of Elections
3.2.2.1 State Board of Elections The New York State Board of Elections was created in 1974 and assumed election functions previously handled by the Department of State and the Attorney General. In addition, a wide variety of new election responsibilities was assigned by law to the State Board, including enforcement of campaign finance disclosure statutes.
The Board consists of four Commissioners, appointed by the governor and recommended by the chairs of the two major political parties, and the leadership of each house of the legislature. The State Board's duties and responsibilities include:
Encouraging voter participation in elections;
Developing and recommending election-related legislation;
Conducting reviews of the operation of each local Board of Elections and recommending changes for operational improvement and revisions to policies and procedures;
Designing and specifying forms used in registration and elections;
Administering and enforcing campaign financial disclosures procedures
Investigating alleged violations of the Election Law;
Testing and certifying new voting systems for use in New York State;
Evaluating useful technology to improve Board operations and establishing rules and regulations for its implementation;
Enacting Rules and Regulations to implement the provisions of the Election Law;
Providing guidance to local Boards in areas such as interpretation of law and work procedures;
Certifying candidates for statewide, Congressional, Assembly, Senate and certain other offices and approving the form, content and wording of statewide ballot questions;
Certifying the results of elections involving offices noted above, and all those offices embracing more than one county (for example, Justices of the Supreme Court).
Staff of the State Board has day-to-day contact, by phone, fax and in-person, with individual local Boards. In addition, there are several seminars scheduled each year, at which the State Board and its staff confer with regional groups of Boards, or all Boards.
3.2.2.2 Local (County) Boards of Elections There are 62 Boards of Elections in New York State, one in each county and one for each of the five boroughs of New York City. The City of New York consolidates the services for all five boroughs at its General Offices, located in Manhattan. Each Board has the primary responsibility for the conduct of elections within its jurisdiction. Their responsibilities include the registration of voters, certification of candidates for the ballot, maintenance and set-up of voting machines, appointment and training of Election Inspectors and Voting Machine Custodians, and the canvassing and certifying of all election results.
To ensure fairness in the election system, Board Commissioners and other Board staff are selected equally from the 2 major parties (Democrat and Republican). This is true of both office or "regular" staff and Election Inspectors and others who work at poll sites on election days.
The activities of local Boards in registering voters and conducting elections provide citizens with most of their exposure to the New York State system of elections.
For more information regarding the State Board of Elections or County Boards of Elections, please visit the NYSBOE Web site at http://www.elections.state.ny.us.
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3.2.3 Voter Registration Process The basic requirements for voter registration in New York State are age (18 years), U.S. citizenship and residency in the county where registering. Young adults may register before they are 18, and often do as part of high school 'Participation in Government' classes. Some County Boards have developed a procedure which creates a 'tickler file' for these applications, where they can be kept in order, by month, and registered at the appropriate time. In order to vote in an election, you must have resided in the political subdivision thirty days immediately preceding the election.
The majority of all registrations now processed in New York State are mail registrations. The ratio may vary from county to county, however mail registration has become a very important component of the tasks performed by a County Board of Elections.
The National Voter Registration Act (NVRA), and its implementing legislation in New York, provide voter registration opportunities as part of the application process at the Department of Motor Vehicles and a number of other state agencies, including the Department of Social Services, Department of Health and Department of Labor.
Registration applications are processed year round by local boards of elections. However, in addition to residency duration, an individual must generally, be registered twenty-five days prior to the election in which they wish to vote.
3.2.4 Election Management Process The scope of NYSVoter II does not include election management processing. County VR/EMS systems will perform all processing related to:
Provisional and Special Ballot Processing;
Polling Place and Poll Worker Management;
Rosters Creation and Voter History Activity Management;
Petitions Management.
3.3 New York State Current Voter Registration and Technology Environment
This section summarizes New York’s voter registration and technology environment.
3.3.1 Environment Overview The current NYS voter registration system environment consists of 58 county systems, NYC’s five borough system, a central Oracle voter registry database at NYSBOE (updated annually from county systems) and individual data feeds for list maintenance from the Department of Health (deceased voters), Department of Motor Vehicles (license surrenders and client ID verification) and Office of Court Administration (felon status). The NYC Department of Health currently interacts directly with the NYC BOE to provide them with records on deceased voters in NYC. With the implementation of NYSVoter II, NYC Department of Health will interact with NYSVoter II through the NYS Department of Health.
Of the 58 counties (including the five (5) boroughs of NYC), 40 counties (or 69%) use a commercial off-the-shelf software (COTS) product from NTS Data Services and seven (7) counties (or 12%) use a COTS product from Election Systems and Software (ES & S). NYC uses a voter registration system custom-developed by n-Tier. The remaining counties use custom-developed, or independent, voter registration systems.
New York City’s n-Tier voter registration system stores the most registered voters (4,493,514 registrations or 38% of the state’s registrations). Although NTS is currently used in 40 counties, ES & S is relatively close to NTS in terms of the total number of registrations stored in its 7 counties (3,076,771 or 26% for NTS vs. 2,408,974 registrations or 20% for ES & S). The remaining 1,855,630 registrations or 16% are
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stored in independent county voter registration systems. The figure below depicts the breakdown of registrations per county vendor.
Figure 2. Registered Voters per County Vendor
Registered Voters per County Vendor
NTS, 3,076,771, 26%
ES & S, 2,408,974, 20%
nTier, 4,493,514, 38%
Independent, 1,855,630, 16%
NTSES & SnTierIndependent
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3.3.2 County Voter Registration System Vendors Figure 3. County Voter Registration System Vendors
Source: New York State Board of Elections
3.3.2.1 ES & S Seven (7) counties currently use ES & S’ Mega Power Profile software package to perform their voter registration functions. Mega Power Profile is designed for county voter registration. ES & S has developed a specific version of its Mega Power Profile product for NYS counties because of New York’s unique environment and requirements including petition processing and election night reporting. ES & S also has a voter registration software package designed as a statewide VR system called Power Profile Enterprise Edition (EE) which is in production in the States of Arkansas and New Mexico and being piloted in the States of Kansas and Nebraska. For smaller counties, ES & S has a software package called Power Profile.
Mega Power Profile is built in Visual Basic using an Oracle database. Nassau County is on the current version of Mega Power Profile (5.1.3) and the rest of the New York counties should be upgraded to that version shortly. Software upgrades are performed from a self-extracting CD provided to each of the counties and the upgrade is reported to not be a significant undertaking. All NYS ES&S counties are under an on-going maintenance contract with ES & S and the VR system source code is held in an escrow account.
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3.3.2.2 nTier nTier Technologies built a custom voter registration system for NYC BOE. The system is called AVID (Archive Voter Images and Data) and captures voter record data and focuses on imaging voter signatures, other forms of identification (e.g., utility bill) and other voter documentation. AVID also performs NCOA processing on a weekly basis. NYC owns the source code for AVID and the system is centrally hosted. nTier relies on sub-contract consultants to perform enhancements and support AVID. All five (5) boroughs are on the same version (2.0) of AVID.
AVID is built in ASP using a SQL Server 7 Database Management System (DBMS). There is also a mainframe component to NYC voter registration, which is hosted by NYC DOITT. The mainframe component stores voter registrations and is used to produce pollbooks. Data interfaces between NYC BOE and other agencies such as the DMV is achieved by extracts of data from the mainframe. AVID receives GIS information from the NYC Department of City Planning. nTier has also created brokering functions between the mainframe component and its ASP environment.
There are plans to port AVID from ASP to.Net. NYC BOE would also like to migrate from the mainframe at some point in the future, although no time frame has been set for this. AVID can support XML-based Web Services as an interface to a statewide voter registration database.
nTier is also developing a custom Election Management System (EMS) for NYC called S-Elect. S-Elect will include functionality for poll worker management and training, candidate processing and tabulation. S-Elect is being built using ASP,.Net/Visual Basic and.Net on a SQL 2000 database.
3.3.2.3 NTS 40 counties currently use various NTS software packages to perform their voter registration and elections management functions. NTS does not have a voter registration product designed specifically as a statewide VR system. The NTS product line includes TEAM, which is NTS’ core county voter registration product. TEAM includes digitalized signature functionality formally part of the discontinued Sign-It product. TEAM also has built-in matching functionality that performs checks against records sent from the Department of Motor Vehicle license surrenders, Office of Court Administration felony voter records and Department of Health deceased person records. The matching criteria assigns a confidence score based on the number of match criteria met.
All 40 of the NYS NTS counties have the TEAM product and are using the same version (2.9.0) of it. The NTS TEAM source code is held in an escrow account. Coupled within TEAM is NTS’ Sign-It signature digitization product which all 40 counties using TEAM are using. Versions of Sign-It used by the counties vary from 3.2.2 to 3.5.2.
NTS’ ‘Image It’ product provides full document and imaging management capabilities including scanning voter registration forms, and related documents, etc. Ten (10) counties in New York are using this product (version 3.5.2).
NTS’ Election Management System (EMS) software performs election, petition and candidate management functions short of ballot preparation. 15 New York counties are using this software currently (version 3.2.0).
NTS’ Total Election Reporting and Certification System (TERACS) provides the tools and reports to assist the State with certifying elections. 13 counties in New York are using this product (version 5.8.1).
NTS also has a Web-based look-up and self-service tool that five or six New York Counties are using.
All of the products, with the exception of the Web-based look-up tool, are built in FoxPro and run on Windows operating systems (from Windows 98 through XP). The Web-based look-up tool is built in.Net.
3.3.2.4 Independent Systems The remaining county voter registrations systems in New York are custom-developed or small COTS packages. Independent systems range in complexity from an Access database in Chemung County to a
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custom large Oracle database in Suffolk County6. Schoharie County has developed a DOS-based system with plans to port to Java/SQL Server in the future. Monroe County uses a software package from Hamer Enterprises called EZ Vote 3.1.
Table 6. County VR/EMS System Technology Platforms
County VR System Version Technology
Platform DBMS Interface Options Comments
ES&S Counties (7)
Mega Power Profile 5.1.3 Visual Basic Oracle XML/Web
Services
NTS Counties (40) TEAM 2.9.0 Windows/FoxPro FoxPro XML/Web
Services
New York City nTier AVID 2.0 ASP SQL
Server 7 XML/Web Services
Core VR data may be stored on mainframe
Chemung Custom MS Access - MS Access MS Access TBD
Delaware Custom - ASP SQL Server TBD
Potential to be.Net capable by end of the year
Essex Custom - MS Access MS Access TBD May be switching to SQL Server
Monroe Hamer Enterprises EZ Vote
3.1 AS400 DB2 XML, Flat File, FTP
Oneida Custom Considering NTS
Orleans Custom - MS Access MS Access TBD
Rennselaer Custom VRS Upgrade As Needed
MS NT SQL Server Flat File
Schoharie Custom - JAVA SQL Server
XML/Web Services
Plans to migrate to JAVA/SQL Server
Steuben Custom - Visual Basic 6.0/MS Windows Sybase TBD
Suffolk Custom - .Net Oracle TBD Migrating to.Net by January 2006
The systems integrator shall be responsible for developing compliance criteria and conducting an assessment in order to determine which of the independent county systems can interface with NYSVoter II in near ‘real-time’. It is assumed that some of the counties using an independent system will be required
6 Suffolk County is in the process of porting their existing voter registration database to .Net. This migration is scheduled to be completed in January 2006.
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to upgrade to a compliant county VR/EMS system in order to interface with NYSVoter II in the manner required by HAVA.
3.3.3 County Business Processes and Data Standards
3.3.3.1 Business Processes
Voter Entry Methodology 86% of NYS counties enter voter registrations into their systems in real-time. Real-time means that as a voter registration form is received by the County Board of Elections, the registration is entered directly into the county voter registration system and saved as an electronic record.
9% of NYS counties enter voter registrations in batch mode. In this context, batch mode refers to a county grouping registrations into batches and entering them into the voter registration system less frequently such as bi-weekly, than in real-time. Another 5% of NYS counties enter voter registrations in both real-time and batch modes.
According to NYS law, a voter is considered registered when the voter registration process is completed. Counties have interpreted this in different ways as shown in the figure below. 60% of NYS counties consider a voter registered when the voter record is saved as an electronic record in their voter registration system. Another 27% of NYS counties consider a voter registered when the registration form has been date/time stamped by the County Board of Elections and 4% of NYS counties consider a voter registered when their voter registration form is received by the County Board of Elections. NYC considers a voter registered after all quality control steps have been successfully completed by NYC Board of Elections.
Processing Minor Registrants Minors who submit voter registration forms before they turn 18 are handled in several different ways by the counties. In some counties, if the minor will turn 18 by the end of the calendar year, the registration is entered into the voter registration system with an “Inactive” status. The record is made “Active” once the voter turns 18. In Suffolk County, the minor voter is entered into its voter registration system with a status code of ‘S’ for “Special Age” voter. NYC also enters minor voters into its voter registration system with a “Postpone” status code.
Other counties such as Franklin County file the paper registration form by birth month. The registration is then entered into the voter registration system in the month the voter turns 18. Monroe County rejects the voter registration form and performs no action. A few counties will also send a letter to minors informing them that they will not be registered to vote until they turn 18.
Voter Identifier The majority of the counties who responded to the county survey replied that they assign a voter identifier either by auto-numbering or creating an alphanumeric identifier in their voter registration system. Five (5) counties use both an auto-numbered and alphanumeric identifier. Suffolk County auto-numbers voter identifiers in their new system, however legacy voter records use an alphanumeric identifier. Schoharie County adds a prefix of the current year and then increments the identifier as new registrants are entered (e.g., 051234 where ‘05’ is the year).
14 counties were queried on situations where a voter registers in a county, moves out of the county and subsequently moves back to the original county. Five (5) counties assign a new identifier in all cases. Four (4) counties assign a new identifier only if the voter was purged7 when the voter originally moved out of the county. Two (2) counties assign the original identifier, regardless if the voter has been purged and three (3) counties do a combination or assigning a new identifier or use the old identifier.
7 When classifying a voter as “purged”, a majority of the counties meant that a voter record was assigned a purge code but not physically purged from the database in the IT context of purged.
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One county determines whether or not creating a new voter record and identifier will have a cost impact before assigning identifiers. Its vendor charges the county by the number of voter records stored in their voter registration system. This cost is weighed to determine whether or not to assign a new identifier.
Driver’s License Number and SSN According to the county survey, all NYS counties currently store the voter’s driver’s license number (if available) and the last four digits of the social security number (SSN). In most cases, the driver’s license number is only captured for new voters; however, about ten (10) counties capture driver’s license number for all voters.
Deleting and Purging Records A majority of NYS counties delete and purge through status changes at the appropriate time, however, deleted or purged voter records are not physically deleted from the county voter registration database. NTS has recommended to counties using its product to retain records on the system for audit and inquiry purposes. Chemung and Onondaga counties do physically delete voter records after ten years. Chemung County does this because of storage and capacity issues. Steuben County physically deletes deceased and felony voter records at the end of each year. Franklin County also physically deletes voter records and keeps a hard copy file and microfiche. Schoharie County moves purged voters to a separate history file and NYC archives deleted voter registrations to tape.
Imaging Of the county surveys received, 53 counties scan and store an image of the voter’s signature. For example, Albany County uses the signature image to determine if a voter whose name changes is the same person. Suffolk County also frequently uses the signature image for voter verification.
Another 20 counties scan the registration form and/or related documentation such as absentee ballot applications, correspondence and change of address forms.
Ontario and Tompkins counties are also in the process of comparing signature images between other imaged documents to eliminate duplicate records.
Printing Poll Books 22 counties were queried regarding printing of poll books. Eleven (11) counties print and bind poll books in-house and seven (7) counties have a vendor (e.g., NTS) print and bind their poll books. Four (4) counties have their vendor print and bind poll books for general and primary elections while they print and bind poll books in-house for small primaries and village, school, fire district and library district elections.
3.3.3.2 Data Standards Information regarding specific county data standards was captured from the county survey and confirmed in follow-up workshops. These data standards will be an important input to data conversion planning and interface design. Several of these data standards are highlighted below.
Voter Status Codes and Political Party Codes The three most common voter status codes used across counties are “Active,” “Inactive” and “Purged” (‘A’, ‘I’ and ‘P’ respectively). For “Purge” status, in most cases a voter registration record is flagged as being purged from the voter rolls but is not physically removed from the county voter registration system.
Some counties using the ES&S voter registration system, such as Putnam and Westchester, also have more detailed status and reason codes including ‘D’ for duplicate record, ‘1’ for moved out of county, ‘2’ for deceased, ‘3’ for felony, etc. Chenango County has similar numerical codes to Putnam and Westchester counties. NYC uses ‘A’ for ”Active,” ‘X’ for “Inactive” and ‘1’ for “Moved.” Suffolk County uses ‘V’ for “Active/Valid,” ‘I’ for “Inactive,” ‘D’ for “Deleted,” ‘S’ for “Special Age” and ‘T’ for registered “Too Late” for the general election. Montgomery and Rennselaer counties use ‘Cancelled’ instead of purged.
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Counties with NTS and ES&S voter registration systems code political parties using 3-letter codes such as ‘DEM’, ‘REP’ and ‘IND’ for Democrat, Republican and Independents respectively. NYC uses single-letter codes such as ‘D’, ‘R’ and ‘I’ for Democrat, Republican and Independents respectively. Most of the independent counties use 3-letter codes. Some independent counties also use single letter codes for political parties.
Voter Name
For counties using NTS and most independent counties, the first name, middle name and last name are stored in separate fields. ES&S stores first name, middle name and last name in one field using comma delimiters between the first/middle name and the last name. For example, Jane M. Doe is stored in one field in the following manner: Jane M, Doe.
Independent counties such as Steuben County store first and last name in separate fields but not the middle name while Schoharie County stores the first name, middle name and last name in one field.
Voter Address In all counties, voter residential address information is stored in separate fields (e.g., street 1, street 2, city/town, state, postal code) while the mailing address is stored in a single field. In cases where rural addresses exist, NTS provides a free text field to capture the address information.
NYC registers homeless voter address information as “park bench” in some cases and Queens has addresses with hyphens in the address (e.g., 125-7 85th Street) and other addresses throughout NYC have fraction numbers and/or ‘A’ or ‘B’ in the address. In Suffolk County, some rural addresses use the number of feet from the street corner as the house number.
Counties follow either U.S. Postal Service, 911 or a combination of Postal/911 standards to capture address information.
Missing Date of Birth Information 26 counties have voter records missing date of birth (DOB) information. NYC has the most records missing date of birth information (27,547 records). Montgomery and Monroe counties are missing date of birth information for 12,424 and 9,000 records respectively. Other counties missing date of birth information range from one or two records to 1,802 records.
Counties differ on how they code voters with missing voter date of birth information. Some counties populate the date of birth field with all zeroes and others use a default birth date such as ‘01/01/1901’.
3.3.4 Connectivity to the Statewide Voter Registration Database Based on the county survey results, three (3) potential options exist for county voter registration systems to connect to the statewide voter registration database: through county networks, via the NYSeNet state network or through the public Internet. 53 county BOEs are connected to their county network, 7 county BOEs are connected to the NYeNet and all 58 county BOEs have access to the public Internet.
3.3.5 County and State Technical and Application Support 24 counties have dedicated BOE IT support staff for their county voter registration systems. NYC has 14 dedicated BOE IT support staff while most of the other counties that have BOE IT support staff have one or two dedicated BOE support staff. Suffolk and Broome counties have six (6) BOE IT support staff and Cortland County has five BOE IT support staff. Monroe County has 4.5 dedicated BOE IT support staff.
Counties without dedicated BOE IT support staff rely on county IT departments for system and network support. Putnam County relies on system support from ES & S and Otsego County relies on system support from NTS. Several county IT departments are outsourced to external vendors including Franklin, Schuyler and Yates counties. Monroe County also relies on an outside vendor to support the county network.
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County IT support will be an important consideration when developing and testing the county interfaces to and from the statewide voter registration database.
3.3.6 New York State Partner Agencies NYSBOE currently interfaces with the Department of Health (DOH), the Department of Motor Vehicles (DMV) and the Office of Court Administration (OCA) in order to facilitate voter list maintenance for the counties and NYC. NYC Board of Elections currently interfaces directly with the NYC Department of Health (NYCDOH) to update its records of deceased voters. The relationships with each of the partner agencies are described below.
3.3.6.1 Department of Health On a monthly basis, DOH provides NYSBOE a file of deceased individuals allowing NYSBOE to facilitate list maintenance with the individual county voter registration databases. DOH does not currently provide NYC death information as required by law (see NYCDOH section below). Prior to sending NYSBOE a file, DOH matches death records with an internal cancer registry system to increase the likelihood of identifying the correct deceased individual. DOH does not currently match with DMV; however this matching may be possible in the future to further increase the probability of a successful match. Birth certificates stored at DOH are also not cross-referenced.
DOH extracts a fixed-length MVS file from a legacy mainframe system8 that tracks deaths in the state. DOH only sends NYSBOE current year deaths (e.g., only 2005 deaths are sent in 2005, prior year deaths that are identified are not sent to NYSBOE). The MVS file is loaded on a secure Web-site and DOH e-mails NYSBOE whenever a file is available.
NYSBOE downloads the MVS file from the secure Web-site and uploads the data into staging tables on an Oracle database. Extract routines are then executed for each county and the individual county data is loaded on to floppy disks. Data formats for these floppy disks vary by county; some formats are fixed length, NTS format, ASCII, etc. No business logic is performed in the NYSBOE Oracle database (e.g., validation and edits) and no reporting is generated. The floppy disks are mailed via standard mail to each of the counties to perform their list maintenance.
The entire process is manual; the file transfer and loading of data at NYSBOE requires manual intervention to kick-off each of the processes from downloading the file from DOH, uploading the data into the NYSBOE Oracle database and creating and mailing the floppy disks to the counties.
In 2004, 95,000 people died upstate and an additional 58,000 died in NYC. These counts are reasonable benchmarks for NYSBOE to anticipate the combined volume of deceased voters throughout the State and NYC when the statewide voter registration database is implemented.
3.3.6.2 NYC Department of Health NYCDOH currently interfaces deceased voter information directly with the NYC Board of Elections. DOH and NYSBOE are not currently involved in facilitating this process. With the implementation of NYSVoter II, NYCDOH will interact with NYSVoter II through the NYS Department of Health.
8 DOH receives death certificates from registrars, funeral directors and hospitals. Once DOH has edited the death certificate (e.g., ensure valid death date), DOH manually enters death certificate information into a legacy mainframe system from the standard NYS death certificate form. Other states also send DOH deceased individual information. Data entered into the legacy system includes name, address, date of death and SSN if available. Death certificates are also imaged, however the imaged certificate is not currently linked to the mainframe record with the image (in progress). DOH also extracts death certificate data to a Sybase relational database, however the actually file sent to NYSBOE is extracted directly from the legacy mainframe system.
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3.3.6.3 Department of Motor Vehicles
License Surrenders On a monthly basis, DMV provides NYSBOE a file of license surrenders (those licenses drivers in NYS who have moved out of state). One file is also sent for NYC and the five (5) boroughs. The same process described above for DOH and deceased voters is used for DMV license surrenders. NYSBOE receives a flat file from DMV and the file is uploaded to the NYSBOE Oracle database. Individual county floppy disks are created and mailed to each county. No business logic or validation is performed on the data and the entire process is manual.
Client ID (CID) Verification CID Verify is a Web service in production at DMV that allows certified users, including NYSBOE, to perform real-time online verifications using DMV client data. The Web service accepts a NYS DMV client ID (e.g., driver’s license number, learner’s permit, non-driver ID card) and performs a match on criteria including name, date of birth and zip code. If a record is found using the CID, the Web services returns a “true” or “false” result for each record (“true” being the CID matches a DMV record and “false” being no match) sent by the requesting agency.
The CID Verify Web service currently does not interface with the AAMVA for Social Security number matches as required by HAVA, however the current Web service does perform the required DMV verification as stipulated in HAVA.
NYSBOE currently uses this Web service for county verification and provides the results to each of the counties.
3.3.6.4 Office of Court Administration On a monthly basis, the Office of Court Administration (OCA) provides NYSBOE a file of convicted felons who are not eligible to vote. One file is sent for NYC and the five (5) boroughs. The same process described above for DOH and DMV is used for OCA convicted felons. NYSBOE receives a flat file from OCA and the file is uploaded to the NYSBOE Oracle database. Individual county floppy disks are created and mailed to each county. No business logic or validation is performed on the data and the entire process is manual.
Once a convicted felon is eligible to vote again, it is their responsibility to re-register to vote. OCA does not send NYSBOE a file of re-instated felon voters.
3.4 Future NYSVoter II System Technical Considerations
3.4.1 Washington Transfer Solution The State of Washington (Washington) is implementing a “bottom-up” statewide voter registration system and database. This model is consistent with the NYS HAVA legislation calling for counties to retain their existing Voter Registration/Election Management Systems (VR/EMS) and to interface with a statewide voter registration system to the maximum extent practicable.
The Washington statewide voter registration system consists of an Office of the Secretary of State (OSOS) Web interface for counties and state personnel to perform voter registration processing (e.g., duplicate checking, county transfers), a statewide voter registration database, 39 county VR/EMS systems that interface with the statewide voter registration database and interfaces to Partner State Agencies for voter verification. These Partner State Agencies include the Division of Licenses (DOL) for driver’s license and Social Security Administration (SSA) verification; the Washington State Patrol (WSP), Department of Corrections (DOC) and Administrative Office of the Courts (AOC) for verifying felon voters; and the Department of Health (DOH) for verifying vital records and descendent voter information.
The technical architecture of the Washington statewide voter registration system includes the following components:
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OSOS Web Interface built using VB.Net;
Statewide voter registration database built using SQL Server 2000;
All interfaces between county VR/EMS systems and Partner State Agencies is via XML/Web Services; Web Services built using C# (C Sharp);
All county VR/EMS systems and the statewide voter registration database are connected via Washington’s state-maintained Inter-Governmental Network (IGN).
Baseline functionality of the statewide voter registration database and OSOS Web interface include:
Voter registration processing;
Duplicate registration processing;
Felon and deceased voter processing;
County transfer processing;
Seasonal addresses and absentee voter processing;
Imaging (signatures and forms);
Unique voter ID;
Voter history;
Global updates (e.g., re-districting);
Transaction queuing and logging;
Audit and reconciliation (checksum logic);
Redundancy and failover.
Please review the detailed Washington transfer system documentation for more information on the Washington transfer solution.
3.4.2 Integration of the 58 County VR/EMS Systems All 58 county VR/EMS systems will need to interface in near ‘real-time’, via XML/Web Services, with the statewide voter registration database (NYSVoter II). This involves electronic messaging to/from the county VR/EMS systems and NYSVoter II to add and modify voter registration records. This interfacing will require system modifications of the county VR/EMS in order to integrate with NYSVoter II.
3.4.2.1 County Upgrades The systems integrator shall be required to develop county VR/EMS system assessment criteria for the 11 independent counties at the beginning of the project. The 11 independent counties will then perform a self-assessment to determine if their current VR/EMS can interface with NYSVoter II in near ‘real-time’ as required by HAVA. The System Integrator shall collect the county self-assessment results from the counties and perform their own assessment of the results and make recommendations to NYSBOE as to which county VR/EMS systems may need to be upgraded in order to interface with NYSVoter II in near ‘real-time’.
The county VR/EMS system vendor non-certified counties select will be required to upgrade and convert the legacy county VR/EMS system to their product in parallel with the NYSVoter II implementation.
3.4.3 Conversion of the County VR/EMS Systems The 62 counties will convert voter registration data from their county VR/EMS systems to NYSVoter II as part of an initial data load process of the statewide voter registration database. This will involve conversion of all their current data into the new system. NYSBOE has already been facilitating duplicate checking for the counties to facilitate the data conversion process.
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3.4.4 Statewide Voter Registration Network The 62 counties will be required to connect to NYSVoter II via a voter registration network. The voter registration network will be a combination of the State’s NYeNet and through a secure public Internet connection for those counties not connected to NYeNet. The NYS Office for Technology has begun the process of assessing network connectivity options for all counties. NYSBOE also is intending to contract with a network vendor to build a secure network, via the public Internet, to connect those counties not connected to NYeNet.
3.4.5 Expected Functionality of County VR/EMS Systems and NYSVoter II
3.4.5.1 County VR/EMS Systems The county VR/EMS systems will undertake the following functions:
Perform data entry and verification of voter registration records;
Maintain voter registration records;
Provide interfaces to NYSVoter II;
Process information received back from NYSVoter II such as duplicate records, felon records, death records, DMV matches, etc.;
Manage addresses;
Manage districts;
Manage elections;
Manage petitions;
Manage correspondence;
Manage special and mail ballots;
Manage provisional ballots;
Manage poll workers and polling locations;
Provide reporting and measurements;
Interface with the NYSVoter II on a near 'real time' basis.
3.4.5.2 NYSVoter II Functionality The statewide voter registration database, deployed by NYSBOE, will undertake the following functions:
Assign a unique state identifier to each voter record;
Store voter history;
Interface with county VR/EMS systems on a near ‘real time’ basis;
Store voter record audit and reconciliation functionality;
Match all new and certain modified records with the Motor Vehicle Division and return results to the proper county for processing;
Facilitate duplicate record processing by county BOEs;
Allow county voter registration personnel to process duplicates by informing the county of the earlier registration date of a possible move;
Facilitate county voter registration personnel to process court records;
Facilitate county voter registration personnel to process death records;
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Allow county voter registration personnel to view voter registration records in NYSVoter II;
Facilitate county voter move and transfer processing with counties;
Provide global update capabilities in the case of re-districting, new area codes, etc.
3.5 State Project Team and Governance Structure
3.5.1 State Board of Elections The two Co-Executive Directors of NYSBOE are serving as the Project Sponsors for the statewide voter registration database implementation project. NYSBOE has also identified a full-time project manager to work with the systems integrator project manager. NYSBOE also has identified a Communications Lead and will provide technical and network expertise as needed.
3.5.2 New York State Office for Technology OFT will support the NYSVoter II implementation in several ways including providing “last mile” connectivity to county BOEs for those counties connected to the NYeNet, reviewing system documentation to ensure compliance with the New York State Office for Technology Enterprise Architecture Standards, and based on the decision of the State Board, may host the NYSVoter II production environment in a state data center.
3.5.3 Governance Structure NYSBOE has created three governance committees to identify and address policy, technical and funding issues throughout the implementation project. These committees consist of representation from NYSBOE, county BOEs, the Office of the State CIO and the Office for Technology.
3.5.3.1 Policy Committee The Policy Committee is responsible for identifying and implementing any election policy or standards changes required as a result of HAVA and the statewide voter registration database implementation. NYSBOE and county BOE representatives participate in this committee.
3.5.3.2 Technical Standards Committee The Technical Standards Committee is responsible for identifying and resolving any technical or operational issues related to HAVA and the statewide voter registration database implementation. NYSBOE, Office for Technology and county BOE and IT representatives participate in this committee.
3.5.3.3 HAVA Grants Board All HAVA funds used by counties to interface with the statewide voter registration database and upgrade their VR/EMS systems are distributed through a grants process. The Grants Review Board reviews all county grant requests and makes a recommendation to the State Board for accepting or rejecting the grant request. The Grants Review Board has NYSBOE and county representation (small, medium and large county).
3.6 Current and Projected Voter Registration Volumes This section describes the various system transaction and user volume statistics that should be considered to gauge the scope, capacity and capabilities of the new NYSVoter II system.
NYSVoter II is expected to store 11,834,889 voter registration records initially. Voter counts from 2004 to 2005 have decreased by 215,752 active and inactive voters.
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3.6.1 Current Volumes
3.6.1.1 Peak Month Voter Transactions As part of a county survey that was conducted in September 2005, counties were asked to provide transaction counts of their peak month in three areas: new registrations, updated registrations and purges9. This data was used to estimate potential transaction counts between the respective county voter registration systems and the statewide database during a peak month.
Transaction counts for a peak month ranged from 94,341 in Suffolk County to 85 in Hamilton County. Transactions during a peak month between all of the county voter registration systems and the statewide database could potentially reach 595,000 transactions. Due to different definitions of “purge” among the counties, these numbers may not be precise; however they do give a reasonable “order of magnitude” for peak month transactions.
The figure below lists each county’s new registrations, updated registrations and purges for a peak month.
9 Transaction data for Allegany, Clinton, Erie, Niagara and Oneida counties were compiled from the 2003 NYSBOE County Survey which did not compile transaction counts for purges.
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Figure 4. Voter Registration Transactions During a Peak Month
3.6.1.2 Number Driver’s License Verification Records New York has statistics for the number of records sent to DMV for driver’s license verification over the past two (2) years and to date in 2006 which are shown below:
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Table 7. Number of Records Sent to DMV for Driver’s License Verification
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Since 1995, NYSBOE has been assisting and guiding participating state agencies in understanding and executing their voter registration responsibilities mandated by the National Voter Registration Act of 1993 (NVRA) and its corresponding state laws. New York has statistics for voter registration applications or transactions that were received by County BOEs which resulted from the efforts of state agencies and programs offering voter registration opportunities.
3.6.1.5 Sources of Agency-Based Registrations Table 10. Total Agency-Based Applications
Source 2004 1995–2004 Motor Vehicle 420,914 3,962,349Public Assistance Agencies 90,876 1,176,342State Designated Agencies 8,968 246,844Disability Agencies 8,903 119,420By Mail to NYSBOE 2,478 44,697Armed Services 341 1,806Total 532,480 5,551,458
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3.6.2 Future Volumes The following table highlights anticipated volumes that new NYSVoter II will have the capacity to accommodate or process during the next 10 years.
Table 12. Anticipated Future Volumes
Volume Description Expected Future Volume Expected Number NYSVoter II Concurrent Users 970 users Total # of Voter Registration Records ~11,728,103 active registrations Number of Registrations ~234,555 new registrations per year Number of Felons Matched ~55,488 per year Number of Deaths Matched ~23,425 per year Motor Vehicle Matches ~209,149 per year Number of Address Changes ~133,625 per year
For more information on the State Board of Elections, refer to the 2004 New State Board of Elections 2004 Annual Report on the Web at:
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4. Proposer Viability Requirements
4.1 Proposer Information This section should provide all relevant information regarding project organization and the proposer’s unique capabilities. Both the documentation of proposer’s internal practices and satisfaction of its customer base are an essential part of the State’s evaluation process.
Important Note: If the response to the RFP includes more than one company, please be sure to include information for all companies in the relevant answers to this section. For example, if two companies partnered in the response, include both company's information in all the relevant sections such as team roles, financials, experience, etc.
4.2 List of Providers Please indicate the company name(s) that will furnish the products or services below (If necessary, insert extra rows).
Systems Integrator (if not the proposer) <Insert Systems Integrator Name Here>
Training Provider(s) <Insert Training Provider Name(s) Here>
Identify the qualifications that the proposer brings to this project. Explain what differentiates its services from others in the market. <Insert answer here>
4.4 Prior Experience Prior Experience
Does the proposer have demonstrated experience in completing similar projects on time and within budget? Cite installation. <Insert answer here> Do the individuals assigned to the project have experience on similar projects? Site installation. <Insert answer here> How extensive is the applicable education and experience of the assigned personnel? <Insert answer here> Describe the adequacy of staff, methodology, tools and resources; quality and appropriateness of technical or support staff; and past performance of the organization relevant to this project. <Insert answer here> The proposer should discuss its customer base including a profile of geographical areas served, customer size, and type of solutions and services provided. <Insert answer here> Has the proposer implemented a HAVA compliant statewide voter registration system for any other state?
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Prior Experience If yes, describe. <Insert answer here>
4.4.1 Proposer's Key Personnel Background In addition, include the following for each key project team member. The proposer’s Project Manager should be PMI certified as a Project Management Professional.
Team Member
Project Role
Work History on Similar Projects
Technical Qualifications
Certificates or Honors
Legal Relationship with Prime or Subcontractor
<Please insert Resumes of the key project team members (both proposer and sub-contractors where applicable)>
4.5 Customer References
4.5.1 Customer References for Proposers Proposers are required to list (4) proposer references, including contact information for similar projects that the proposer has completed.
Project Description; Project Scope; Project Objectives; Original Contract Value; Final Contract Value; Products and Services Rendered to Organization; Project Duration/Dates; Project Status and Outcome; Proposed Personnel Involved
4.5.2 Customer References for Sub-Contractors Sub-contractors are required to list (4) references, including contact information for similar work that the sub-contractor will be performing on the NYS Voter II implementation.
Project Description; Project Scope; Project Objectives; Original Contract Value; Final Contract Value; Products and Services Rendered to Organization; Project Duration/Dates; Project Status and Outcome; Proposed Personnel Involved
If a proposer or sub-contractor has had a contract terminated due to the proposer’s non-performance or poor performance during the past five (5) years, all such incidents must be described, including the other party’s name, address and telephone number. If the proposer has experienced no terminations in the past five years, so indicate. <Insert answer here>
4.7 Contact Information Subcontractors may be used to perform work under this contract. The substitution of one subcontractor for another may be made only at the discretion of the State project manager, and with prior written approval from the project manager. Proposers will be responsible for the subcontractors meeting all terms and conditions of the specifications.
This section must be completed for proposer and all subcontractors included in the proposal.
Contact Representative Name and Title <Insert contact representative name and title here>
Representative Phone and E-mail <Insert representative phone and E-mail here>
4.8 Conflict of Interest Conflict of Interest
Each proposer and sub-contractor shall include a statement indicating whether or not the organization or any of the individuals proposed to work on the contract has a possible conflict of interest and, if so, the nature of that conflict. The State reserves the right to cancel the award if any interest disclosed from any source could either give the appearance of a conflict or cause speculation as to the objectivity of the program to be developed by the proposer. The State’s determination regarding any questions of conflict of interest shall be final. <Insert conflict of interest statement here>
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5. Business Requirements
5.1 NYSVoter II Business Requirements The detailed business requirements for NYSVoter II are in Attachment A – Requirements Response Template of this RFP. NYSBOE has completed a preliminary analysis of the Washington transfer solution to determine which requirements are met by the Washington transfer solution. These are denoted with a ‘Y’ in the Washington Transfer Meets column. The System Integrator shall perform a detailed analysis of the business requirements to confirm which requirements are met by its proposed solution.
The proposer shall indicate which business requirements it agrees to meet in Attachment A by noting ‘Yes’ in the ‘Agree (Y/N)’ column. The Requirements Response Template identifies mandatory and desired requirements under the ‘Requirement Category’ column.
IMPORTANT NOTE: Bidder’s are required to complete Attachment A. Attachment A includes the business requirements as well as the technical, implementation and support requirements. Refer to Section 1.6.15 to understand how Attachment A is part of the proposal evaluation process.
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6. Technical Requirements
6.1 NYSVoter II Technical Requirements Technical Requirements for NYSVoter II are contained both in this section and in Attachment A – Requirements Response Template of this RFP. The proposer shall respond to the Technical Requirements in both of these Sections. In this Section, the response should be in a narrative form.
The proposer shall indicate which technical requirements it agrees to meet in Attachment A by noting ‘Yes’ in the ‘Agree (Y/N)’ column. The Requirements Response Template identifies mandatory and desired requirements under the ‘Requirement Category’ column.
IMPORTANT NOTE: Bidder’s are required to complete Attachment A. Attachment A includes the technical requirements as well as the business, implementation and support requirements. Refer to Section 1.6.15 to understand how Attachment A is part of the proposal evaluation process.
6.2 Technology Component Requirements The detailed system documentation for the Washington transfer solution is available for proposers to review. A summary of the Washington transfer solution technology components is also included in Section 3.4.1 of this RFP. Proposers may provide additional or alternative recommendations for technology components and platforms based on the business and technical requirements of NYSBOE.
6.2.1 Technology Components Requirement
<Insert proposed technology components here>
6.3 Technical Architecture The Washington transfer solution has a 3-tier technical architecture consisting of a user interface (presentation layer), middleware/data access layer and a database layer, with firewalls separating each layer. Proposers may provide alternative recommendations for the technical architecture that may benefit NYSBOE.
6.3.1 Technical Architecture NYSBOE is considering having the New York State Office for Technology host NYSVoter II. Regardless of where NYSVoter II is hosted, Proposers shall take into consideration OFT’s guidelines for technical architectures along with the State Office of the CIO standards for enterprise architecture (see CIO website at http://www.cio.state.ny.us/ for details on enterprise architecture principles). A description of OFT’s 3-tiered architecture is included in Section 12 (Other Relevant Documentation) of this RFP.
6.3.2 Database Management System (DBMS) Requirement
The Washington transfer solution currently uses a SQL Server 2000 DBMS. NYSBOE’s preferred DBMS platform is Oracle 10g. Proposers who propose an alternative to SQL Server shall be required to perform any other system changes required in porting to an alternative DBMS, including but not limited to, updating stored procedures, to be compatible with the alternative DBMS. <Insert your proposed DBMS platform and approach for implementation with NYSVoter II here>
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6.3.3 Integration Architecture Requirement
The Washington transfer solution uses BizTalk for integration between the statewide voter registration database and the county VR/EMS systems. Proposers may provide alternative recommendations for the integration architecture for NYSVoter II that is consistent with NYSBOE business and technical requirements. Describe:
Your proposed method for integrating NYSVoter II with the state and county IT environments. Messaging architecture and support for standard messaging protocols
<Insert proposed integration architecture here>
6.3.4 System Administration Toolkit Requirement
Describe: The system administration tools and procedures that will be delivered for the ongoing support and
maintenance, including customization, of NYSVoter II. The descriptions, and technical specifications for:
Database Administration Tools Operating System Administration Tools System Administration Tools
<Insert system administration description here>
6.3.5 Configuration Toolkit Requirement
Describe: The NYSVoter II configuration tools and procedures proposed to support the ongoing system
reconfiguration due to changing requirements and business process needs. Descriptions, and technical specifications for:
Database Configuration Tools - Describe the toolkit and features. Define the tool(s) scope of functionality (e.g., modify, create, or delete of fields, rows, and/or tables, ability to create automated key assignment logic, etc). Describe the level of technical expertise required to use these tools.
Business Process Management Tools - Describe the toolkit and features. Define the tool(s) scope of functionality (e.g., business process and business rule documentation, workflow creation, etc). Describe the level of technical expertise required to use these tools.
User Interface Management Tools - Configuration of the user interfaces shall be able to be performed by trained non-IT Agency staff member that can specify the data elements and other components for job-function dashboards, as well as specify read, write, and other data capabilities. Describe the toolkit and features. Define the tool(s) scope of functionality (e.g., creation of new screens, addition of fields to screens, viewing privileges, etc).
<Insert configuration toolkit description here>
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6.3.6 Integration with Version Control Software Requirement
Describe: List of supported Software Configuration Management packages
<Insert integration with version control software description here>
6.4 System General Design Requirements
6.4.1 System Performance Requirement
Throughput - What is the expected system throughput for online and batch processing? (e.g. TPS – transactions per second) The average transaction on the server needs to occur on average in less than one second. Describe stress testing that has been performed on the proposed solution. Describe methodology, and tools used, and the stress test environment. Provide calculations where possible and any benchmarking statistics from any other installations of similar scale. <Insert system performance & stress testing description here>
6.4.2 System Scalability Requirement
The awarded contractor shall analyze current and projected future system volumes. The contractor shall modify NYSVoter II to accommodate anticipated transaction levels using these analysis results. NYSVoter II, including programs, database, and ancillary hardware and software systems shall be able to retain its performance levels when adding additional users, functions, and data. Describe:
How you plan to address these scalability issues Address concurrency issues as an outgrowth of increased user connections Describe your approach to scalability. Discuss opportunities and constraints with respect to both
vertical and horizontal (distributed systems) scale. Maintaining a consistent throughput with increased transaction rates Avoiding high levels of persistent disk I/O Minimizing network traffic between the client application and the server Cost-effective plan for implementing "Scale-Up" systems in the event of unexpected growth Optimizing database indexing
<Insert system scalability plan here>
6.4.3 System Security Requirement
The contractor shall comply with all State mandated security protocols and standards that apply. This determination should be based on New York State Information Security Policies. Describe: What authentication capabilities are to be utilized by NYSVoter II? What authorization (access control) is to be included in the solution? Describe all that
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apply - Roles/Rules based, hierarchical access levels, page-level and/or field-level security, defined by user location. What centralized user management is to be used (add, delete, change, access levels etc.). Users ability to change their own password Automated mechanisms to logout users based on an inactivity/idle timeout period What mechanisms will be used for internal auditing and logging of access control and transactions? What secure communications mechanism will be used (SSL over HTTPS for Internet based transactions and/or some form of data encryption for client/server transactions) What application level security will be used, including how it will handle user or group security access configuration and enforcement in the follow areas of the system:
Row/field level on data elements in databases Access to system functionality or modules Access to specific fields or screens in the user interface
Document authenticity mechanism – digitally signed, hashing, etc Encryption used in the solution, either external or internal <Insert proposed security enhancements to the Washington transfer solution here>
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7. Implementation Requirements
7.1 NYSVoter II Implementation Requirements Implementation Requirements for NYSVoter II are contained both in this section and in Attachment A – Requirements Response Template of this RFP. The proposer shall respond to the Implementation Requirements in both of these Sections. In this Section, the response should be in a narrative form.
The proposer shall indicate which implementation requirements it agrees to meet in Attachment A by noting ‘Yes’ in the ‘Agree (Y/N)’ column. The Requirements Response Template identifies mandatory and desired requirements under the ‘Requirement Category’ column.
IMPORTANT NOTE: Bidder’s are required to complete Attachment A. Attachment A includes the implementation requirements as well as the business, technical and support requirements. Refer to Section 1.6.15 to understand how Attachment A is part of the proposal evaluation process.
7.2 Understanding of the Engagement Indicate your understanding of the State’s current situation. What do you understand to be the purpose and scope of this project? <Insert answer here> What are the pertinent issues and potential problems related to the project? <Insert answer here>
7.3 Proposed Implementation Strategy NYSBOE expects the proposer to supply an implementation strategy based on a phased approach methodology. It may make sense to convert data from some of the counties to a NYSVoter II early. There will need to be a strategy for such staging. The implementation strategy is subject to revision at contract negotiations and shall include the deployment of NYSVoter II for all counties by June 1, 2007. <Reference File Name/Location of Implementation Strategy here>
7.4 Proposed Statement of Work Provide a statement of proposed work. Briefly describe the project phases and how the proposer intends to proceed toward the completion of project. Indicate major responsibilities of proposer, subcontractor, the State. <Reference File Name/Location of Statement of Proposed Work Here>
7.5 List of Major Deliverables The systems integrator shall be required to complete the following major deliverables.
ID Major Deliverable D-01 Systems Integrator Organization Chart D-02 Systems Integrator Schedule and Work Plan D-03 Quality Assurance Plan D-04 Change Control Plan and Process D-05 Communication Plan D-06 Project Kick-Off Meeting
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ID Major Deliverable D-07 Project Development Meetings D-08 Project Status Meetings D-09 Project Steering Committee Meetings D-10 Project Issue Tracking and Process Tool D-11 Issue Resolution Plan D-12 Bi-Weekly Written Project Status Report D-13 Risk Management Plan D-14 County VR/EMS Systems Integration Compliance Criteria D-15 County VR/EMS Systems Integration Compliance Assessment D-16 Draft and Final System Deployment Plan D-17 Organizational Change Management Plan D-18 End User Training, Curriculum and Materials D-19 End User Training D-20 Technical Skills Gap Analysis and Assessment D-21 Knowledge Transfer Plan D-22 Five System Environments (Development, Test, Training/Conversion, Production 1 and
Production 2) D-23 Acceptance Test Plan D-24 Reliability Testing and Test Results D-25 Performance Testing and Test Results D-26 Functional Testing and Test Results D-27 Testing Defect Log D-28 Network Analysis D-29 Software Development Plan D-30 General and Detailed Design Documentation for Software Modifications, Interfaces and
Reports D-31 Configuration Management Plan D-32 Help Desk Support Procedures D-33 NYSVoter II Help Desk Resource Training D-34 Updated System Documentation D-35 Transition-Out Plan D-36 Software Change Management Procedures D-37 Performance Measurement Tools D-38 Hardware/Software Specifications D-39 Hardware/Software Sizing Estimates D-40 System Test Plan D-41 Performance Test Plan D-42 County VR/EMS Interface Certification Test Cases and Conditions D-43 Conversion Plan D-44 Conversion Data Mapping
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ID Major Deliverable D-45 Conversion Load Programs and Reconciliation Reports D-46 Mock Conversions D-47 Data Conversion Results D-48 Full System Deployment D-49 System Maintenance Plan D-50 Database Recovery Plan D-51 Acceptance Testing and Test Results D-52 System Acceptance D-53 Proposed, Draft and Final NYSVoter II Rules and Regulations
7.6 Proposed Project Schedule Attach and reference a GANTT chart showing major project activities including major milestones and deliverable dates upon whose acceptance payments will be made. The project should include but not be limited to; requirements analysis, design, testing, installation, training and support. The proposed project schedule should include implementation of components of the system by June 1, 2007 and must identify which component. Any major contingencies should be clearly identified. <Insert reference project schedule file name/location here>
The State requires that the prime contractor take responsibility for providing extensive project management and implementation services for all proposed systems and applications. The prime contractor is expected to guarantee the successful, timely completion of those aspects of the project over which it has control. The State intends to take responsibility for meeting its obligations as defined in an agreed upon project implementation plan. Detail below the nature and extent of the services to be provided in this area. <Insert nature and extent of the Project Management Services here>
Describe the nature and extent of the project coordination services proposed such as the following: Preliminary on-site evaluations at each county and NYSBOE Maintain project schedule. Coordinate hardware planning and installation. Conduct training plan Conduct detailed design review. Prepare project status reports and attend status meeting. Problem solving and trouble shooting all proposer products and services. Onsite coordination of proposer, State and County efforts. Describe extent. Describe your approach to developing county VR/EMS system assessment criteria for integrating with NYSVoter II in ‘near’ real-time and method for assessing county VR/EMS systems.
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Other (Specify) <Insert Project Coordination Services here>
7.7.2 Project Management Plan Requirement
Relationship Management - Explain how your organization will represent itself to the State and the counties from an overall viewpoint. Describe the internal process used to select an individual to be the primary interface to the State and the counties. Discuss treatment of account management, status reporting, performance review meetings (at least monthly), contract management, audits, planning, setting priorities and handling service requests. Problem Management - Explain your proposed process for problem management including: problem logging, problem prioritization, problem resolution, tracking of unresolved problems, problem escalation procedures, and problem closeout and reporting practices. Quality Management - Explain your proposed quality assurance and testing practices. Explain your internal quality management program. This should include reference to the use of any specific methodologies, as well as the receipt of any quality certification. <Insert Project Management Plan here> The State reserves the right to modify the proposed phased implementation plan based on its evaluation of the proposal or during the course of the project. As the detailed requirements and functional and system design are completed, realignment of the priorities may be necessary. The contractor shall have input into the decision process on re-phasing. The State will consider best practices when phasing the implementation of the software solution. Innovative options and alternatives are welcome and will be considered. <Insert samples of a weekly status report, an agenda, minutes, and a risk assessment report here>
7.8 Summary of Proposed Implementation Team
7.8.1 Team Roles The proposer should demonstrate that it employs a competent team of people that are readily available to work on this project. All proposed key project personnel, including subcontractor staff, must be identified in the proposal. Each person’s role must be identified and documented in the following format:
Proposer Team Roles Provide a list of the names, positions, on-site hours per month and duration of assignment for each of your personnel that may be assigned to the project. Please provide a MS-Visio diagram of the proposed project staffing structure (showing proposer, subcontractor and State team members) List roles and team members designated to each role List other required resources (specify) <Reference File Name/Location of MS-Visio Diagram here>
7.8.1.1 Proposer's Key Personnel The State reserves the right to approve or disapprove any change in the successful proposer’s project team members whose participation is specifically offered in the proposal. This is to assure that persons with vital experience and skill are not arbitrarily removed from the project by the prime contractor. Add additional rows as necessary.
The proposer shall provide back-up resumes for each key project position.
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
7.8.1.2 NYSBOE Team Roles In the table below list each NYSBOE and County project team role required to assist in the implementation of the proposed system. Include team role, number of people assigned to role, a brief description of tasks, estimated number of staff hours per role per month, and duration of the project required. Add additional rows as necessary.
Describe what is required of NYSBOE to ensure a successful system implementation. <Insert answer here>
7.8.1.4 County Team Roles In the table below list each State and County project team role required to assist in the implementation of the proposed system. Include team role, number of people assigned to role, a brief description of tasks, estimated number of staff hours per role per month, and duration of the project required. Add additional rows as necessary.
7.8.1.5 County VR/EMS Vendor Roles In the table below list each county VR/EMS vendor role required to assist in the implementation of the proposed system. Include team role, number of people assigned to role, a brief description of tasks, estimated number of staff hours per role per month, and duration of the project required. Add additional rows as necessary.
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
Describe what is required of the Counties to ensure a successful system implementation. <Insert answer here>
7.8.1.7 Project Team Continuity
Describe your plan for maintaining continuity in the composition of the project team. <Insert answer here>
7.8.2 Risk Management Plan Requirement
At the outset of the project, the contractor, NYSBOE and county project teams will develop a Risk Management Plan that shall be maintained and updated by NYSBOE throughout the course of the project. New or outstanding issues shall be reviewed at the weekly status meeting. <Insert Risk Management Plan here>
7.9 Analysis and Design Services
7.9.1 Detailed Requirements and System Design Plan Requirement
Describe: The proposed methodology for collecting and analyzing data, and transforming data into
development of the design and/or configuration specifications. The team structure and responsibilities. The review and sign-off process for the application design and/or configuration.
<Insert Requirements and Design Plan here>
7.10 System Development Services
7.10.1 Proposer Work Site Requirement
Implementation requirements I-6.7.1 requires the contractor to provide a secure design, development and testing work site within the continental USA. Describe your design, development and testing facilities including the facilities’ security, infrastructure and location. <Insert work site description here>
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7.10.2 Software Development Methodology Requirement
Describe your software development methodology. <Insert software development methodology here>
7.10.3 Configuration Management Plan Requirement
The proposal shall include a Configuration Management Plan. The Plan shall include the staffing, methodologies and procedures proposed to support configuration throughout the phased implementation of NYSVoter II. The proposal shall identify the procedures envisioned for use for problem identification, resolution, and sign off. <Insert Configuration Management Plan here>
Provide recommended dates of required hardware equipment installation based on your recommended hardware specifications for NYSVoter II. Provide any potential county hardware and software requirements, responsibilities and timeframes. <Insert Hardware Acquisition Recommendations here>
7.11 Data Conversion Services Requirement
The proposal shall include a Data Conversion Plan that includes database conversion for the existing State and county VR databases. The winning proposer shall be responsible for the quality of the data conversion and has included the cost of quality assurance on the data conversion in their proposal costs. In the Data Conversion Plan include:
Methodology and procedure for determining and adjusting data cleanup issues Conversion mapping and testing methodology and procedures Identify where/how data is currently being stored/maintained, by county Determine most efficient method for extracting data Determine approach for loading data into State’s centralized file Determine method of merging/validating/matching data against external databases including
motor vehicle database Describe how current county data files will be converted maintaining all data Describe proposed method for counties to assist in clean up efforts Perform multiple iterations of data conversion (e.g. mock conversions) to address data
correction issues Provide sample conversion lists to counties for validation of accuracy Describe quality assurance policies and quality control procedures to be used to ensure
integrity of conversion. Describe approach to handling anomalies in files among the various counties (i.e. some
counties use the second address field for comments). If a standard mechanism is used to identify data stored in a non-related field (i.e. storage of a
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driver’s license number in the second address field where the driver’s license number is prefaced with an identifier such as DL#…), can you pull the data and place in the correct field?
<Insert Data Conversion Plan here>
7.12 Interface Development Services Requirement
NYSBOE requires a number of integration points with other systems. Some partner state agencies, such as the NYS Department of Health, may not be able to integrate with NYSVoter II via XML on day one of system deployment. The proposer shall be required to perform the system integration necessary to accomplish the required interfaces. The proposer shall provide the skills and level of technical expertise required to use its integration tools and methodologies. The county VR/EMS vendors will develop county-side portions of any interfaces to NYSVoter II. The partner state agencies will develop the agency-side portion of any interfaces to NYSVoter II. The proposal shall describe its proposed Interface Development Services: <Insert Description of Interface Development Services>
7.12.1 Interfaces Plan Requirement
NYSBOE requires the selected contractor to develop and test the linkages that support ‘near’ real-time inbound and outbound data feeds from the various county VR/EMS systems and the Department of Motor Vehicles and Social Security Administration (through the Department of Motor Vehicles) for voter verification. On at least a monthly basis, NYSVoter II will interface with the Department of Motor Vehicles for license surrenders, NYC Department of Health, NYS Department of Health (through NYS Department of Health) and the Office of Court Administration for voter list maintenance. The proposal shall describe how the proposed system will support and implement these integration points. <Insert Interface Plan here>
7.12.2 Interface with Department of Motor Vehicles Requirement
The Department of Motor Vehicles will provide interface specifications for the Department of Motor Vehicles interface (which in turn interfaces to the Social Security Administration via AAMVA for voter verification). The selected contractor must provide the NYSVoter II side of this interface. In addition, NYSVoter II must also interface with Department of Motor Vehicles for license surrender information in order to perform list maintenance. Describe the type and method of integration proposed for each of these interfaces with the Department of Motor Vehicles. <Insert Department of Motor Vehicles Interfaces description here>
7.12.3 Interface with Office of Court Administration Requirement
Describe the proposed interface with the Office of Court Administration, including the type and method of integration proposed. <Insert Office of Court Administration Interface description here>
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7.12.4 Interface with Vital Records Requirement
Describe the proposed interfaces with the NYS Department of Health, including the type and method of integration proposed. Proposers are reminded that NYCDOH will provide NYS Department of Health with vital records information. NYS Department of Health will submit all vital record information to NYSVoter II, including those from NYCDOH. <Insert Vital Records Interface description here>
7.12.5 Interface with County VR/EMS Systems Requirement
NYS currently uses voting systems from NTS, Election Systems and Software, nTier and various independent vendors. Describe the proposed ‘near’ real-time interfaces to these voter registration/ election management systems. <Insert county VR/EMS Interface description here>
7.13 Testing Services
7.13.1 Proposed Testing Services Please complete testing table below based on your proposed approach.
Testing Services Hardware and Software Hours Service On-Site Off-Site
Total Testing Services Proposed
7.13.2 Testing — Unit, System, Stress, Reliability, Security and Regression/Audit Requirement
Indicate the proposed toolset for testing. Test plans for Unit, System, Volume/Stress, Reliability, Application Security and Regression/Audit tests. Test data to be developed that will ensure that all possible branches of the program are tested. Sample test scripts for each of the above types of tests that note each specific test action, the expected results of running the data, the actual test results to be compared with the expected results. Plans for updating the Test Data and the test plan as necessary for use throughout the phased implementation and maintenance phase of NYSVoter II. Specify your experience with:
Testing for other implementations
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Hardware load and configuration testing procedures and plans. Actual Test Execution, bug reporting and tracking methodology, and remediation.
<Insert System Test and Performance Test Plans here>
7.13.3 Acceptance Test Plan Requirement
Prior to deployment, an acceptance test shall occur. The acceptance test will include all activities to take place during the actual deployment, as well as a series of mock elections. The System Integrator shall develop an Acceptance Test Plan and execute the acceptance testing effort. <Insert Acceptance Test Plan here>
7.14 Training Services
7.14.1 Training Plan Requirement
The proposal shall include a Training Plan for users (both State and all 62 counties) of NYSVoter II and for IT staff responsible for ongoing NYSVoter II maintenance and support. Washington is providing their training curriculum and materials for the transfer solution as a starting point, specifically using the web interface for county end users. The county VR/EMS vendors will be responsible for training their end-users on any changes to the county systems due to the implementation of NYSVoter II. The proposal shall describe a training plan for the following groups of trainees for NYSVoter II components:
Senior NYSBOE management NYSBOE database management staff NYSBOE development and configuration staff NYSBOE End users County trainers-who will then train the end users
Describe your training approach/methodology. Provide any pertinent details, limitations, exceptions concerning the services offered for training. List how many days of training are proposed for each NYS county <Insert Training Plan here>
7.15 Knowledge Transfer Services Requirement
The proposer shall be responsible for developing a Knowledge Transfer Plan as part of the implementation of NYSVoter II. The Plan shall outline how the proposer intends to involve NYSBOE technical staff in the implementation of NYSVoter II and facilitate knowledge transfer to NYSBOE staff so that they are able to ultimately support NYSVoter II. <Insert NYSVoter II knowledge transfer approach here>
7.16 NYSVoter II Deployment Services Requirement
The proposer shall be responsible for deploying NYSVoter II to all 62 counties and partner state
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agencies by June 1, 2007 in a phased manner. Describe your approach for deploying NYSVoter II and recommendations for expediting the deployment. <Insert NYSVoter II deployment approach here>
7.17 System & Program Documentation Services Requirement
The proposer shall be responsible for updating system and program documentation during the course of the NYSVoter II implementation and support phases. Describe your approach for updating and maintaining system and program documentation. <Insert System & Program Documentation maintenance approach here>
7.18 Summary of Recommended Hardware and Software Products Proposers shall recommend all hardware and software necessary to ensure the successful implementation and on-going operation and modification of NYSVoter II. Proposers shall complete the Recommended Hardware/Software Specifications Template (Attachment B). The recommended hardware and software specifications shall be confirmed during project initiation. It is expected that NYSBOE will acquire the proposed hardware and software off of existing state contracts.
When recommending hardware/software products, the proposer shall take into consideration the technology guidelines provided in Section 12.2 (12.2 NYS Office for Technology/State Data Center and Server Platform Technical Infrastructure Architecture).
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8. Support Requirements
8.1 NYSVoter II Support Requirements Support Requirements for NYSVoter II are contained both in this section and in Attachment A – Requirements Response Template of this RFP. The proposer shall respond to the Support Requirements in both of these Sections. In this Section, the response should be in a narrative form.
The proposer shall indicate which support requirements it agrees to meet in the Requirements Response Template (Attachment A) by noting ‘Y’ in the ‘Agree (Y/N)’ column. The Requirements Response Template identifies mandatory and desired requirements under the ‘Requirement Category’ column.
IMPORTANT NOTE: Bidder’s are required to complete Attachment A. Attachment A includes the support requirements as well as the business, technical and implementation requirements. Refer to Section 1.6.15 to understand how Attachment A is part of the proposal evaluation process.
8.2 Support Services Requirement
Include a Support Plan (e.g., user documentation, planning, post-implementation support). Include: Proposed staffing, user documentation (for all modules or functional subsections of the software), and procedures, on-line, interactive, and context sensitive Help A description of standard, extended and emergency support. A description of third-party support options. The recommended NYSBOE and County technical staff requirements to support the solution in terms of expertise and number of hours/years of experience needed. <Insert Support Plan here>
8.3 Warranty Requirement Requirement
The proposal shall propose warranty services for all system components developed or implemented, covering the full term of the contract. The proposal shall specify its procedures and staffing to rectify problems including your method for identifying, prioritizing, tracking and resolving system bugs and defects identified during the warranty period. Outline your service level agreements for resolving system bugs and defects based on their priority using the following priority categories: critical, high, medium and low. <Insert Warranty Services Description here>
8.3.1 Warranty Services Per the support requirements in Attachment A, the proposer is required to provide a warranty period that commences at system acceptance, lasting for one (1) year. The warranty period will occur concurrently with Year 1 of system support and maintenance. The figure below depicts the system acceptance and warranty steps.
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Figure 5. System Acceptance and Warranty Steps
Refer to Section 2.4.13 for the system acceptance criteria or requirement I-8.2 in Attachment A.
8.4 Maintenance Requirement
8.4.1 Maintenance and Support Services
8.4.1.1 Term of Maintenance and Support Services The proposer shall be awarded one year of system maintenance and support services. NYSBOE shall have the option of selecting the System Integrator for two (2) additional one-year (1) support and maintenance support years.
At least three months prior to the beginning of the optional system maintenance and support term, NYSBOE will notify the System Integrator whether NYSBOE will opt for maintenance and support services for the following year.
8.4.1.2 Instructions Complete the maintenance services form below based on the proposed approach. Refer to the
support requirements in Attachment A when completing this section. NYSBOE has estimated 2,080 hours for support and maintenance services for evaluation purposes.
8.4.1.3 Maintenance Services Form
Vendor Name: _______________________
Response for NYSVoter II Voter Registration Application Software
Response for Other Application Software, If Any
(Specify) Required Maintenance Services (refer to support requirements in Attachment A):
System maintenance (including resolving system bugs and defects) and monthly system documentation updates.
System Maintenance Support Plan (describe your System Maintenance Support Plan here).
Coordination of Hardware and Software Installation for NYSVoter
Acceptance Test
Phased System Deployment
System Acceptance Period
System Acceptance
Warranty Period Ends
Year 1 Support & Maintenance
NYSVoter II Full
Deployment
Warranty Period
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Vendor Name: _______________________
Response for NYSVoter II Voter Registration Application Software
Response for Other Application Software, If Any
(Specify) II.
Coordination of Network Hardware and Software Installation with OFT and Network Vendor.
Transition-Out Plan (describe your Transition-Out Plan here).
NYSVoter II Performance Management Tools and Methodologies.
8.5 Help Desk Support Requirement
Explain what help desk support will be provided for NYSVoter II based on the help desk support requirements outlined in Attachment A. <Insert help desk support description here>
8.6 Software Change Request Requirement
The proposal shall include a procedure for providing support services alterations and/or enhancements requested by NYSBOE. This mechanism would include procedures and a time and materials costing matrix. The procedures shall include the communications pathway for request, review process/impact analysis, implementation, rollout, documentation updating, and any required training. <Insert Software Change Request Procedure Description here>
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9. Glossary of Terms
Term Definition
Type Definition A
AAMVA New York Specific American Association of Motor Vehicle Administrators
Acceptance Technical
The designated period following completion of the design, installation, and operation of the statewide voter registration system by the selected respondent. During the acceptance period, the State will evaluate all features and performance of services required to be provided under the contract.
Acceptance Test Technical
The examination of a voting system and its components by the purchasing election authority (usually in a simulated-use environment) to validate performance of delivered units in accordance with procurement requirements, and to validate that the delivered system is, in fact, the certified or qualified system purchased. Testing to validate performance may be less broad than that involved with qualification testing and successful performance for multiple units (precinct count systems) may be inferred from a sample test.
Acceptance Testing Technical User testing conducted to verify system/component functionality prior to acceptance/payment by customer.
Active Voter Election A person who has registered with the local board of elections; whose eligibility to vote in that jurisdiction has been verified by that board; and whose information is kept current.
Ad hoc Technical Unplanned, impromptu. API Technical Application Programming Interface ASCII Technical American Standard Code for Information Interchange. ASP Technical Application Service Provider.
Authorized User Technical Those persons with authorized system security profiles able to access the system.
Awardee New York Specific The successful offeror selected in response to this RFP.
B Ballot Election Any device used to cast votes for candidates or measures.
Baseline Technical
A product configuration that has been formally submitted for review against the Standards, which thereafter serves as the basis for further development; and can be changed and offered to jurisdictions only through formal change control and re-qualification procedures (and/or re-certification procedures where applicable). (Patterned after IEEE Std. 610.12-1990)
Batch Process Technical The grouping of multiple similar transactions assigned as a batch with a unique batch identifier that is processed as a group.
“Bottom-Up” Architecture
In a “bottom up” voter registration architecture, voter registration information is captured in multiple, different county BOE VR applications and transmitted to a central database, maintained by the State.
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Term Definition
Type Definition C
Canceled Voter Election
Voter whose registration has been terminated by a county voter registration office due to death, disqualification, or request of voter. An inactive voter registration may be canceled after required period of time.
Cancelled Voter Registration Election
A county BOE may cancel the registration of a voter (a) at the request of the elector; (b) upon the death of the elector; (c) if the supervisor receives written evidence that the voter has registered to vote in another county in this state or in another state; (d) if the voter has not responded to a notice and has not voted or updated a registration during period beginning on the date the notice was sent and ending on the day after the date of the second regular general election that occurs after the date the notice was sent.
CASS Technical
Coding Accuracy Support System (CASS) — The process of correcting mailing address list to conform to USPS standards. CASS improves the accuracy of carrier route, five-digit ZIP, ZIP+4, and delivery point codes that appear on mail pieces.
CD Technical Compact Disc CD-ROM Technical Compact Disc — Read Only memory
Certification Testing Technical
The state examination, and possibly testing, of a voting system to determine its compliance with state laws, regulations, and rules and any other state requirements for voting systems.
Chief Elections Officer Election
The person named by the Governor to be the point person in the State for elections matters. Currently, that person is one of Co-Executive Directors of the NYSBOE.
CIO Business Acronym Chief Information Officer
CM Technical Configuration Management.
Commercial Off-the-Shelf (COTS)
Technical
Commercial, readily-available hardware devices (such as card readers, printers, or personal computers) or software products (such as operating systems, programming language compilers, or database management systems). These devices and software are exempted from certain portions of the qualification testing process so long as such products are not modified in any manner for use in the voting system.
Component Technical Individual elements or items that collectively comprise a device. Examples include circuit boards, internal modems, processors, disk drives, computer memory.
Configuration Identification Technical
An element of configuration management, consisting of selecting the configuration items for a system and recording their functional and physical characteristics in technical documentation. (Patterned after IEEE Std. 610.12-1990)
Configuration Item Technical
An aggregation of hardware, software, or both that is designated for configuration management and treated as a single entity in the configuration management process. (Patterned after IEEE Std. 610.12-1990)
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Term Definition
Type Definition
Configuration Management Technical
A discipline applying technical and administrative direction and surveillance to: identify and document functional and physical characteristics of a configuration item, control changes to these characteristics, record and report change processing and implementation status, and verify compliance with specified requirements. (Patterned after IEEE Std. 610.12-1990)
Configuration Status Accounting Technical
An element of configuration management, consisting of the recording and reporting of information needed to manage a configuration effectively. This information includes a listing of the approved configuration identification, the status of proposed changes to the configuration, and the implementation status of approved changes. (Patterned after IEEE Std. 610.12-1990)
Contractor Contract The successful offeror selected in response to this RFP.
County BOE New York Specific
A County Board of Elections has the primary responsibility for the conduct of elections within its jurisdiction. Its responsibilities include the registration of voters, certification of candidates for the ballot, maintenance and set-up of voting machines, appointment and training of Election Inspectors and Voting Machine Custodians, and the canvassing and certifying of all election results.
County VR/EMS System
New York Specific
The Voter Registration/Election Management System is the system used by local boards of elections to register voters and conduct elecions under the Election Law.
D
Data Accuracy Technical The system's ability to process voting data absent internal errors generated by the system. It is distinguished from data integrity, which encompasses errors introduced by an outside source.
Data Integrity Technical
The invulnerability of the system to accidental intervention or deliberate, fraudulent manipulation that would result in errors in the processing of data. It is distinguished from data accuracy that encompasses internal, system-generated errors.
Database Technical A set of related files that is created and managed by a database management system (DBMS).
DBA Technical Database Administrator DBMS Technical Database management system Deceased Election Person that is dead and therefore unable to vote.
Deleted Voter Election A voter who has been logically purged is physically deleted from the county VR/EMS database.
Device Technical A functional unit that performs its assigned tasks as an integrated whole.
DOH New York Specific
Department of Health — The governmental agency that records and provides death records
DL Election Driver's license
DMV New York Specific Department of Motor Vehicles
DOB Election Date of Birth
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Term Definition
Type Definition
DOH New York Specific New York State Department of Health
DR Technical Disaster Recovery Duplicate Registration Election A verified occurrence of two or more voter records in the system
that represent the same registered voter. E EAC Election Election Assistance Commission
ECA New York Specific Election Commissioner’s Association of New York State
Election District New York Specific
A compact geographical area which is the basic political subdivision for purposes of registration and voting. An election district should contain no more than 800 registered voters.
Election Management System
Election
A set of processing functions and databases within a Voting System that define, develop and maintain election data; perform election definition and setup functions; format ballots; count votes; consolidate and report results; and maintain audit trails.
Elections Management/ Administration
Election
Those activities currently performed by NYS counties to register voters, process absentee ballots, track affidavits, manage polling places, manage ballots, process petition and candidate filings, tally votes, distribute voter information, provide elections/voter information to interested parties, geographic mapping, and elections system administration.
EPB Election Electronic Pollbook
ERD Technical Entity Relationship Diagram (a graphic representation of a data model)
Escalation Procedure Contract
If a response is not received within an agreed upon time frame or if satisfactory service isn’t received after elapse of a certain time frame, then the procedure automatically invoked to take it to the next higher level for resolution.
F
Felons Election Persons convicted of a felony, and sentenced to a term of imprisonment, whose terms are not completed, or who have not had their rights restored.
FHD Technical Functional Hierarchy Diagram (a graphic representation of functions, processes, and procedures supported by the application)
FTP Technical File Transfer Protocol — a communication protocol for transferring data between two computers
Functional Test Technical A test performed to verify or validate the accomplishment of a function or a series of functions.
G GAAP Contract Generally Accepted Governmental Accounting Principles GB Technical Billions of Bytes (one byte= one character)
GUI Technical Graphical user interface — a user interface for accessing a program or operating system that is based on graphics (icons and pictures and menus) instead of text
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Term Definition
Type Definition H
HAVA Election
Help America Vote Act (HB 3295) Federal Help America Vote Act of 2002 which requires in Section 303 that states maintain an official, single, uniform database of all registered voters in the state.
HBA Technical Host Bus Adapters I ID Number Election System generated unique identifying number assigned to a voter.
Implementation Technical
The successful design, configuration, development, installation, and operation of the statewide voter registration system as specified in the contract resulting from the system requirements provided under this RFP.
Inactive Voter Election A voter who has failed to respond to residence confirmation notices sent by the local board of elections, and who has not yet been cancelled or restored to active status.
Issuing Office New York Specific
This RFP is being released by the New York State Office of General Services on behalf of the New York State Board of Elections.
Installation Technical The delivery and physical setup of products or services requested in this RFP.
Integration Testing Technical Multi-module and interface testing
Interface Technical Facilities for passing data between systems or sub-components of a system.
IS Technical Information Systems IT Technical Information Technology J
JAD Technical
Joint Application Design. Brings together business area people (users) and IT (Information Technology) professionals in a highly focused workshop. The advantages of JAD include a dramatic shortening of the time it takes to complete a project. It also improves the quality of the final product by focusing on the up-front portion of the development life cycle, thus reducing the likelihood of errors that are expensive to correct later on.
Jurisdiction Election The geographic area of representation for a public office, or responsibility for a board of elections.
K
KDE Technical Key Data Entry — manual input of data into the system by typing at the keyboard.
L
LAN Technical Local Area Network — generally, the network(s) contained within a single building or campus.
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Term Definition
Type Definition
Local or County Board of Elections
New York Specific
Local (County) Boards of Election have the primary responsibility for the conduct of elections within thier jurisdictions. Their responsibilities include the registration of voters, certification of candidates for the ballot, maintenance and set-up of voting machines, appointment and training of Election Inspectors and Voting Machine Custodians, and the canvassing and certifying of all election results.
Logical Correctness Technical A condition signifying that, for a given input, a computer program will satisfy the program specification (produce the required output).
M
Mailing Address Election A voter address other than the residential address used by a registered voter for delivery of ballots and other correspondence.
MB Technical Millions of Bytes (one byte = one character) MDF Technical Master Death File available from the SSA
MHz Technical Mega Hertz (Hertz = a measure of frequency in cycles per second; Mega = million).
MVS Technical Multiple Virtual Storage N
NCOA Technical National Change of Address — a USPS program that tracks mailing address changes
Near Real-Time New York Specific
Pertaining to the timeliness of data transmission that is close to but not necessarily as interactive as “real-time” transmission. This implies the use of queues to momentarily store transactions awaiting transmission awaiting availability to accept transmission by the intended recipient.
NIC Technical Network Interface Card
Nonvolatile Memory Technical Memory in which information can be stored indefinitely with no power applied. ROMs and EPROMs are examples of nonvolatile memory.
NVRA Election
National Voter Registration Act of 1993, also known as the “motor voter” act. Requires states to offer voters the opportunity to register or update their registration at motor vehicle and other designated state agencies that provide services. The act also directs states to “conduct a general program that makes a reasonable effort to remove the names of ineligible voters.”
NYCDOH New York Specific New York City Department of Health
NYeNet New York Specific
The New York State network (NYeNet) is an electronic communications network designed to reach all the major areas within New York State with fiber optic cables running from New York City to Albany, from Albany west to Buffalo and north to Plattsburgh near the Canadian border. Along this "digital backbone" of fiber optic cables, with network access points across the state, information can flow to and from virtually all areas of the state.
NYS HAVA New York Specific
New York State modifications to the state election law to bring it into conformance with the federal Help America Vote Act
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Term Definition
Type Definition
NYSBOE New York Specific
New York State Board of Elections. The State Board of Elections is responsible for administration and enforcement of all laws relating to elections in New York State.
NYSVoter I New York Specific
New York State Voter Registration Database Application I: Interim Statewide Voter Registration Database to store the uniform and official list of registered voters in NYS.
NYSVoter II New York Specific
New York State Voter Registration Database Application II: The replacement system for NYSVoter I, for which this RFP is soliciting bids. In addition to the functions performed by NYSVoter I, NYSVoter II will support near-real-time, background update of the statewide voter registration database while local boards continue to use their existing voter registration systems to process voter registration information.
O
OCA New York Specific Office of Court Administration
ODBC Technical Open Database Connectivity
OFT New York Specific
Office for Technology, a State of New York office which provides several services including server hosting, database replication, storage and back-up and restore functions.
Offeror Contract An entity which submits a proposal in response to this RFP (same as Proposer).
P
Partner State Agency
New York Specific
New York State’s Partner State Agencies include the Social Security Administration (SSA) verification; Department of Motor Vehicles (DMV); Office of the Courts Administration; NYC Department of Health (NYCDOH) and NYS Department of Health (DOH).
PAV Election Permanent Absentee Voter PC Technical Personal Computer PMI Technical Project Management Institute
POB Business Acronym Place of birth
Policy Committee New York Specific
The Policy Committee includes NYSBOE and county BOE representatives who are responsible for identifying and implementing any election policy or standards changes required as a result of HAVA and the statewide voter registration database implementation.
Political Subdivision Election
Any unit of government, such as county, city, town, village, having the authority to hold elections for public office or on ballot questions. Also refers to the governing body of those units.
Polling Location Election The physical address of a polling place. Polling Place Election The area within the polling location where voters cast ballots.
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Term Definition
Type Definition
Primary Election Election
In most cases, an election held to determine which candidate will represent a political party in the general election. During presidential election years, voters in primary elections may also select delegates to presidential nominating conventions. Some states have an “open primary,” while others have a “closed primary.” Sometimes elections for nonpartisan offices and ballot issues are held during primary elections.
Products Contract Tangible goods or manufactured items as specified in this RFP.
Project Manager New York Specific
The person responsible for project organization and management including task and resource scheduling, budget estimates and tracking, project status reporting, oversight of professional service contractors, and monitoring of deliverables completion.
Project Sponsor New York Specific
The Co-Executive Directors of NYSBOE. Approve project scope and changes, project oversight, policy decisions and recommendations to the State Board of Elections.
Project Team New York Specific
The Project Team will be responsible for communicating messages in a timely fashion to participant groups, coordinating daily activities and monitoring the progress for the NYSVoter II Project, as well as identifying and bringing critical issues to the Project Manager for resolution. The Project Team includes IT and Elections program representatives. State Agency Stakeholders will interact directly with Project Team through the Project Manager. The Project Team has the responsibility of electronically reporting project issues and status to all stakeholders on a monthly basis.
Proposal Contract An offer submitted in response to the RFP.
Proposer Contract An entity which submits a proposal in response to this RFP (same as Offeror).
Q QA Technical Quality assurance R RAD Technical Rapid Application Development RAID Technical Redundant Arrays of Inexpensive Disk (storage for servers) Registrant Election Registered voter
Registrar Election Person responsible for the voter registration and elections process at a specified locality; appointed by the local electoral board.
Respondent Contract The offeror responding to the RFP RFP Contract Request For Proposal S SCM Technical Supply Chain Management Scope Creep Technical Change in the requirements
SDC New York Specific State Data Center
SDD Technical Software Design Descriptions SDLC Technical System Development Life Cycle Services Contract Work to be performed as specified in this RFP
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Term Definition
Type Definition SCSI Technical Small Computer System Interface
Simulation Testing Technical Testing using production-like data, production-like volumes of data, production-like volumes of processes, and front to back simulation of business processes and functions.
SSA Business Acronym Social Security Administration
SSN Business Acronym Social Security Number
Stakeholder Business Term
A person or entity that will be impacted by the outcome of the project, either directly or indirectly. Stakeholders may also be business owners.
Standards Committee
New York Specific
The Technical Standards Committee includes NYSBOE, Office for Technology and county BOE and IT representatives. It is responsible for identifying and resolving any technical or operational issues related to HAVA and the statewide voter registration database implementation.
State Agency New York Specific
An office of the Executive Branch of the government of the State of New York.
State Board New York Specific
Decision-making and governing body of NYSBOE consisting of four commissioners; 2 Democratic members and 2 Republican members.
Support Software Technical Software that aids in the development or maintenance of other software, for example compilers, loaders and other utilities. (Patterned after IEEE Std. 610.12-1990)
System Technical A group of related components that interact to perform a task.
System Reports Technical Information generated from predefined or parameterized queries that may be presented as printed documents or viewed online.
System Security Technical The protection of data against unauthorized access.
System Testing Technical Business function testing across multiple modules (system components).
T
Test Cases Technical Sample business data created/selected for specific testing objectives.
Testing Technical Testing to verify satisfaction of system requirements. TPS Technical Transactions per Second
TTA New York Specific Three Tiered Architecture
U UAT Technical User Acceptance Testing UDDI Technical Universal Description, Discovery and Integration
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Term Definition
Type Definition
USPS Business Acronym United States Postal Service
V
Validation Technical The process of evaluating a system or component during or at the end of the development process to determine whether it satisfies specified requirements. (Patterned after IEEE Std. 610.12-1990)
Validation Testing Technical Inspection/verification of system data.
Vendor Technical Any successful respondent selected as a result of the procurement process to deliver the products and services requested by this RFP.
Verification Technical
The process of evaluating a system or component to determine whether the products of a given development phase satisfy the conditions (such as specifications) imposed at the start of that phase. (Patterned after IEEE Std. 610.12-1990)
VRA Election Voting Rights Act W
Washington Transfer Solution Technical
State of Washington statewide voter registration database that fully meets the requirements of HAVA and facilitates common voter registration procedures and practices statewide. Washington transfer software matches New York State’s “bottom-up” statewide voter registration database architecture.
WSDL Technical Web Services Description Language X Y
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10. Terms and Conditions Appendix A — Standard Clauses for New York State Contracts, dated September 2004, attached hereto, is hereby expressly made a part of this bid document as fully as if set forth at length herein.
Appendix B1 — Are the general specifications for Technology Products and Services, dated January 2004, attached hereto, is hereby expressly made a part of this bid document as fully as if set forth at length herein and shall govern any situations not covered by this bid document or Appendix A.
Appendix A and Appendix B1 are separate documents to this RFP and shall be retained for reference by the proposer.
10.1 Examination of Contract Documents 1. Each bidder is under an affirmative duty to inform itself by personal examination of the
specifications of the proposed work and by such other means as it may select, of the character, quality and extent of the work to be performed and the conditions under which the contract is to be executed.
2. Each bidder shall examine specifications and all other data or instruction pertaining to the work. No pleas of ignorance of conditions that may be encountered or of any other matter concerning the work to be performed in the execution of the contract will be accepted by the state as an excuse for any failure or omission on the part of the bidder to fulfill every detail of all the requirements of the documents governing the work. The bidder, if awarded the contract, will not be allowed any extra compensation by reason of any matter or thing concerning which such bidder might have fully informed itself prior to bidding.
3. Any bidder in doubt as to the true meaning of any part of the specification or the proposed contract documents shall submit to Dawn P. Becker, Purchasing Agent, Division of Financial Administration, 40th Floor, Corning Tower Building, Empire State Plaza, Albany, New York 12242 email: [email protected], a written request for an interpretation thereof. If a major change is involved to which all bidders must be informed, such request for interpretation shall be delivered, in writing, no later than May 30, 2006. Any interpretation of the proposed documents will be made only by an addendum duly issued. A copy of such addendum will be emailed via the electronic OGS Procurement Services Group Bidder Notification System (BNS) or by direct email to vendors who have registered an Intent to Bid.
4. Any addendum issued during the time of bid process must be acknowledged by signature, date and be submitted at time of bid opening with four (4) originals and ten (10) exact copies. In awarding a contract any addenda will become a part thereof.
5. Any verbal information obtained from, or statements made by, representatives of the Commissioners of the Office of General Services or State Board of Elections at the time of examination of the documents or site shall not be construed as in any way amending contract documents. Only such corrections or addenda as are issued, in writing, to all bidders shall become a part of the contract.
10.2 General Requirements 1. The prospective contractor agrees to retain all records for a period of six (6) years after final
payment of the contract. In the event of unresolved audits, records must be maintained until a resolution has been reached. In addition, the contractor’s records may be audited at any time during the contract period. The bidder further agrees to make all records available to authorized representatives of the state at any reasonable time during this period.
2. The bidder agrees to adhere to all State and Federal regulations in connection with the contract.
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3. The prospective contractor agrees to notify the Office of General Services of any changes in the legal status or principal ownership of the firm, forty five (45) days in advance of said change.
4. This contract shall be void and of no effect unless the contractor shall secure compensation for the benefit of and keep insured during the life of this contract, such employees engaged thereon as are required to be insured by the provision of the Workers’ Compensation Law.
5. This contract shall be deemed executory only to the extent of the money available for the performance of the terms of this contract and no liability shall be incurred by the Office of General Services and/or the People of the State of New York beyond the money available for such purpose.
6. In the event any claim shall arise under this agreement against the contractor, the Office of General Services or the State Board of Elections shall be entitled to collect all cost of litigation and reasonable attorney fees.
7. The bidder shall be completely responsible for their work, including any damages or breakdowns caused by their failure to take appropriate action.
8. The prospective contractor agrees to defend, indemnify and hold harmless the State of New York against any and all losses, damages, costs and expenses which it may hereafter suffer or pay out by reason of any claims, actions and rights of action in law or equity, valid or invalid, arising out of damage occurring to, suffered by any person or persons, caused in whole or in part, by the contractor, any of its officers, employees, agents or representatives or any person, firm or corporation directly or indirectly employed or engaged by the contractor.
9. The bidder agrees that the resulting contract may not be assigned, transferred, conveyed or the work subcontracted without the prior written consent of the Commissioner of the Office of General Services and/or the State Board of Elections.
10. For reasons of safety and public policy, the use of illegal drugs and/or alcoholic beverages by the contractor or its personnel shall not be permitted while performing any phase of the work herein specified.
11. The State will not be liable for any expense incurred by the contractor for any parking fees or as a consequence of any traffic infraction or parking violations attributable to employees of the contractor. It shall also be understood that travel expenses will not be reimbursed.
12. The Commissioner’s interpretation of specifications shall be final and binding upon the contractor.
13. The Commissioner of the Office of General Services and/or the State Board of Elections will make no allowance or concession to the bidder for any alleged misunderstanding because of quantity, quality, character, location or other conditions.
14. Should it appear that there is a real or apparent discrepancy between different sections of specifications concerning the nature, quality or extent of work to be furnished, it shall be assumed that the vendor has based his bid on the more expensive option. Final decision will rest with the Commissioner of the Office of General Services and/or the State Board of Elections.
15. INSPECTION - The quality of service is subject to inspection and may be made at any reasonable time by the State of New York. Should it be found that quality of services being performed is not satisfactory and that the requirements of the specifications are not being met, the Commissioner of the Office of General Services on behalf of the State Board of Elections may terminate the contract and employ another contractor to fulfill the requirements of the contract. The existing contractor and its surety shall be liable to the State of New York for costs incurred on account thereof.
16. STOP WORK ORDER - The Commissioner of the Office of General Services on behalf the State Board of Elections reserves the right to stop the work covered by this proposal and the contract at any time that it is deemed the successful bidder is unable or incapable of performing the work to the state’s satisfaction. In the event of such stopping, the Office of General Services on behalf of the State Board of Elections shall have the right to arrange for the completion of the work in such
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manner as it may deem advisable and if the cost thereof exceeds the amount of the bid, the successful bidder and its surety shall be liable to the State of New York for any such costs on account thereof. In the event that the Office of General Services on behalf of the State Board of Elections issues a stop order the work as provided herein, the contractor shall have ten (10) working days to respond thereto before any such stop order shall become effective.
10.3 Additional Requirements In addition, the prospective contractor must comply with the following:
1. It is the Contractor's responsibility to maintain the equipment and materials provided for the work consistent with applicable safety and health codes.
2. The Office of General Services on behalf of the State Board of Elections reserves the right to reject and bar from the facility any employee hired by the Contractor.
10.4 Background Checks for Contractors Performing Services For the State of New York
1. Requirements of this clause apply to the successful awardee(s) of the contract that will be performing work for New York State Board of Elections (NYSBOE) under the contract.
2. Definitions. For purposes of this clause, the following definitions apply:
a. Suitability: “Suitability” refers to identifiable character traits and past conduct which are reasonably sufficient to indicate whether a given individual is likely or not likely to be able to perform the requirements of a contract for NYSBOE without undue risk to the interests of the State.
b. Suitability Determination: A “Suitability Determination” is a determination that there are reasonable grounds to believe that an individual will likely be able to perform the contract requirements without undue risk to the interests of the State.
3. Applicability.
a. Contractors shall perform background checks and make suitability determinations on contractor employees before the individual employees can perform contract services for NYSBOE.
b. The Commissioners of the State Board of Elections, or his/her designee (the “Commissioner”), on a case-by-case basis, may, either temporarily or permanently, waive the requirements of this clause, in whole or in part, if they determine in writing that background checks and suitability determinations are not necessary or for a specific individual, in order to protect the State’s interests.
4. Background Check.
a. The Contractor is responsible, at its own expense, for completing background checks and making suitability determinations on its employees prior to the employee beginning work. Compliance with the requirement for performing a background check and making a suitability determination shall not be construed as providing a contractor employee clearance to secured areas. Contractors are required to maintain records of background checks and suitability determinations for the term of the contract, and to make them available to the State when requested.
b. At a minimum, the background check and suitability determination must include an evaluation of:
i. Verification that the individual is not listed on a national watched person database. The following link has information about data available. http://www.treas.gov/offices/enforcement/ofac/sdn/index.html. The following link has
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a PDF file of a list that has SPECIFICALLY DESIGNATED NATIONALS AND BLOCKED PERSONS. http://www.treas.gov/offices/enforcement/ofac/sdn/t11sdn.pdf
ii. Criminal History checks using a national database that contains criminal histories and supplement this search by checks of NYS Office of Court Administration and comparable searches of the states where the person lived, worked or attended school during the past five (5) years or by obtaining the record of convictions from NYSOCA directly and from their equivalents from other states where the person might have lived, worked or attended school during the past five (5) years;
iii. DMV driving records;
iv. Credit report, if the applicable position involves access to cash or property subject to theft;
v. Social Security Number trace;
vi. Verification of U.S. citizenship or legal resident status;
vii. Employment history (past five (5) years), if other than entry level position requiring minimal skills;
viii. Education history (highest degree verified), if other than entry level position requiring minimal skills;
ix. Reference names and phone numbers must be required on employment application and need to be verified if specifically directed by the State.
x. Residence for past three (3) years (should be requested on employment application to compare against data from DMV license and other searches for verification);
xi. Military service discharge notice; and
xii. Professional license and certification, if applicable.
5. Background Check Guidelines.
a. In making a suitability determination, the contractor shall consider the following factors and evaluate them against the work to be performed, the performance location, and the degree of risk to the State:
i. Any loyalty or terrorism issue;
ii. Patterns of conduct (e.g., alcoholism/drug addiction, financial irresponsibility/major liabilities, dishonesty, unemployability for negligence or misconduct, criminal conduct);
iii. Dishonorable military discharge;
iv. Felony and misdemeanor offences;
v. Drug manufacturing/trafficking/sale;
vi. Major honesty issue (e.g., extortion, armed robbery, embezzlement, perjury);
x. Employment related misconduct involving dishonesty, criminal or violent behavior.
b. The contractor shall evaluate any adverse information about an individual by considering the following factors before making a suitability determination:
i. The nature, extent and seriousness of the conduct;
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ii. The circumstance surrounding the conduct;
iii. The frequency and recency of the conduct;
iv. The individual’s age and maturity at the time of the conduct;
v. The presence or absence of rehabilitation and other pertinent behavior changes;
vi. The potential for pressure, coercion, exploitation, or duress;
vii. The likelihood of continuation of the conduct;
viii. How, and if, the conduct bears upon potential job responsibilities; and
ix. The employee’s employment history before and after the conduct.
6. Employee Removal. Whenever a contractor becomes aware that any employee working at a location or on a system under NYSBOE under a contract becomes an unacceptable risk to the State; the contractor shall immediately remove that employee from the site, notify the Commissioner that such a removal has taken place, and replace them with a qualified substitute. If the approval of the Commissioner was initially required for the removed employee, Commissioner approval is required for the replacement employee.
7. Commissioners’ Notification. Prior to commencement of contract performance, the contractor shall notify the Commissioners that the background checks and suitability determinations required by this clause have been completed for affected individuals.
Each suitability determination should be documented in a narrative. If negative items are mitigated by subsequent passage of time or completion of substance abuse programs this rationale should be included in the narrative. A negative suitability determination must be supported by a finding that the adverse information has a direct bearing on the potential job duties or that it is deemed sufficiently serious to bar the employee from a State site.
10.5 Procurement Rights The State of New York reserves the right to:
1. Reject any and all proposals received in response to this RFP.
2. Disqualify a Bidder from receiving the award if the Bidder, or anyone in the Bidder's employ, has previously failed to perform satisfactorily in connection with public bidding or contracts.
3. Waive or modify minor irregularities in proposals received, after prior notification to the Bidder.
4. Adjust any Bidder's expected costs of the bid price based on a determination of the evaluation committee that the selection of the said Bidder will cause the State to incur additional costs.
5. Utilize any and all ideas submitted in the proposals received.
6. Negotiate with Bidders responding to this RFP within the RFP requirements to serve the best interests of the State.
7. The State may begin contract negotiations with another bidding Contractor(s) in order to serve the best interests of the State of New York should the State of New York be unsuccessful in negotiating a contract with the selected Contractor within 21 days.
8. The State is not liable for any cost incurred by a Bidder in the preparation and production of a proposal or for any work performed prior to the issuance of a contract.
9. Waive any requirement not met by all bidders.
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11. Special Contract Clauses and Requirements
11.1 Procurement Lobbying Requirement It is the policy of OGS to comply with the provisions of the procurement lobbying law, established by Chapter 1 of the Laws of 2005. In pertinent part, Chapter 1 adds two new sections to the State Finance Law effective January 1, 2006: State Finance Law §139-j, Restrictions on Contacts during the Procurement Process, and State Finance Law §139-k, Disclosure of Contacts and Responsibility of Offerers. OGS is also required to develop and maintain a listing on its Web site setting forth those offerers who have been determined to be non-responsible or debarred due to violations of State Finance Law §139-j.
State Finance Law §139-j prohibits lobbying on the governmental procurements of governmental entities (i.e., state agencies, the Legislature, the Unified Court System, and public authorities, including local industrial development agencies and local public benefit corporations). This section provides that OGS in undertaking a governmental procurement shall: (a) designate with regard to each governmental procurement a person to be responsible for communications relative to the procurement who may be contacted by bidders or potential bidders; and (b) undertake the procurement in a manner that is consistent with procurement principles set out in the State Finance Law and free from any conduct violative of Public Officers Law ethics provisions. Further, offerers who contact OGS about procurement shall be required to contact only designated personnel subject to some statutory exceptions.
This section provides that OGS make a determination of responsibility of the proposed awardee of the procurement contract. In the event that OGS finds that a contractor knowingly and willfully violated the new section, OGS shall determine that the contractor is a non-responsible bidder and OGS shall not award the contract to that contractor. Further, any contractor that has violated this section within four years of violating it an initial time would be debarred from governmental procurements for a period of four years. OGS will maintain a listing on its Web site of non-responsible offerers and debarred offerers pursuant to this statute.
State Finance Law §139-k provides for disclosure of contacts between contractors and OGS. Specifically, this section requires contractors to disclose prior findings of non-responsibility and penalizes contractors that fail to disclose prior findings of non responsibility or that provide false and incomplete information by disqualifying them from being awarded the procurement contract. Further, this section requires OGS employees to record in the procurement record certain information about the persons who appear before them on governmental procurements.
Pursuant to §139-j and 139-k of the State Finance Law this solicitation includes and imposes certain procurement lobbying limitations. Bidders/Offerers are restricted from making contacts from issuance of the solicitation through approval of the contract by the Office of the State Comptroller (“restricted period”) to other than designated staff unless it is a contact that is included among certain statutory exceptions (referred to as permissible contacts). Staff identified on the first page of this solicitation are the “designated contacts.” OGS employees are also required to obtain certain information when there are communications during the restricted period that constitute a “contact” as defined in the statute and make a determination of the responsibility of the Bidder/Offerer pursuant to these two statutes. Findings of non-responsibility result in rejection for contract award and in the event of two findings within a four year period, results in a finding of Bidder/Offerer being ineligible to submit a proposal on or be awarded any procurement contract for four years from the date of the second finding of non-responsibility. Further information about these requirements can be found on the OGS Web site: http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html.
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11.2 Executive Order 127 Clause Executive Order Number 127, signed by Governor Pataki on June 16, 2003, requires OGS to collect and record certain information from contractors seeking a procurement contract and to make that information available to the public. Executive Order Number 127 requires OGS to obtain identifying information on every person or organization retained, employed or designated by or on behalf of the contractor to attempt to influence the procurement process. OGS is also obligated to collect information on whether such person or organization has a financial interest in the procurement. A form entitled “Contractor Disclosure of Contacts” is set forth in Attachment C — Forms for your use. OGS must obtain information from a contractor regarding any prior findings of non-responsibility. A form entitled “Contractor Disclosure of Prior Non-Responsibility Findings” is also set forth in Attachment C — Forms for your use. Further, OGS must obtain a certification from a contractor that all information provided to OGS with respect to Executive Order Number 127 is complete, true and accurate and must include a contract clause authorizing termination if it is determined that the certification is found to be intentionally false or intentionally incomplete.
11.3 Contractor Insurance Requirements Prior to the commencement of the work to be performed by the Contractor hereunder, the Contractor shall file with The People of the State of New York Board of Elections (hereinafter referred to as “NYSBOE”), Certificates of Insurance evidencing compliance with all requirements contained in this Contract. Such Certificates shall be of form and substance acceptable to NYSBOE.
Acceptance and/or approval by NYSBOE does not and shall not be construed to relieve Contractor of any obligations, responsibilities or liabilities under the Contract.
All insurance required by the Contract shall be obtained at the sole cost and expense of the Contractor; shall be maintained with insurance carriers licensed to do business in New York State, and acceptable to NYSBOE; shall be primary and non-contributing to any insurance or self insurance maintained by NYSBOE; shall be endorsed to provide written notice be given to New York State Office of General Services (OGS) at least thirty (30) days prior to the cancellation, non-renewal, or material alteration of such policies, which notice, evidenced by return receipt of United States Certified Mail; shall be sent to NYS Office of General Serivces Financial Administration, Purchasing Unit, 40th Floor, Corning Tower, Albany, NY 12242 and shall name The People of the State of New York, its officers, agents, and employees as additional insureds thereunder. The additional insured requirement does not apply to Workers Compensation, Disability or Professional Liability coverage.
The Contractor shall be solely responsible for the payment of all deductibles and self insured retentions to which such policies are subject. Deductibles and self-insured retentions must be approved by NYSBOE. Such approval shall not be unreasonably withheld.
The Contractor shall require that any subcontractors hired, carry insurance with the same limits and provisions provided herein.
Each insurance carrier must be rated at least “A-” Class “VII” in the most recently published Best’s Insurance Report. If, during the term of the policy, a carrier’s rating falls below “A-” Class “VII”, the insurance must be replaced no later than the renewal date of the policy with an insurer acceptable to the Department and rated at least “A-” Class ”VII” in the most recently published Best’s Insurance Report.
The Contractor shall cause all insurance to be in full force and effect as of the commencement date of this Contract and to remain in full force and effect throughout the term of this Contract and as further required by this Contract. The Contractor shall not take any action, or omit to take any action that would suspend or invalidate any of the required coverages during the period of time such coverages are required to be in effect.
Not less than thirty (30) days prior to the expiration date or renewal date, the Contractor shall supply OGS updated replacement Certificates of Insurance, and amendatory endorsements.
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The Contractor, throughout the term of this Contract, or as otherwise required by this Contract, shall obtain and maintain in full force and effect, the following insurance with limits not less than those described below and as required by the terms of this Contract, or as required by law, whichever is greater (limits may be provided through a combination of primary and umbrella/excess policies):
A. Commercial General Liability Insurance with a limit of not less than $1,000,000 each occurrence. Such liability shall be written on the ISO occurrence form CG 00 01, or a substitute form providing equivalent coverages and shall cover liability arising from premises operations, independent contractors, products-completed operations, broad form property damage, personal & advertising injury, cross liability coverage, liability assumed in a contract (including the tort liability of another assumed in a contract) and explosion, collapse & underground coverage.
B. Workers Compensation, Employers Liability, and Disability Benefits as required by New York State. If employees will be working on, near or over navigable waters, US Longshore and Harbor Workers Compensation Act endorsement must be included.
C. Comprehensive Business Automobile Liability Insurance with a limit of not less than $1,000,000 each accident. Such insurance shall cover liability arising out of any automobile including owned, leased, hired and non owned automobiles.
D. If providing professional services, the Contractor shall maintain, or if subcontracting professional services, shall certify that Subcontractor maintain, errors and omissions liability insurance with a limit of not less than $3,000,000 per loss.
1. Such insurance shall apply to professional errors, acts, or omissions arising out of the scope of services covered by this Contract.
2. If coverage is written on a claims-made policy, the Contractor warrants that any applicable retroactive date precedes the effective date of this Contract; and that continuous coverage will be maintained, or an extended discovery period exercised, for a period of not less than 2 years from the time work under this Contract is completed.
Waiver of Subrogation. Contractor shall cause to be included in each of its policies insuring against loss, damage or destruction by fire or other insured casualty a waiver of the insurer’s right of subrogation against NYSBOE, or, if such waiver is unobtainable (i) an express agreement that such policy shall not be invalidated if Contractor waives or has waived before the casualty, the right of recovery against NYSBOE or (ii) any other form of permission for the release of NYSBOE.
11.4 Tax and Finance Clause TAX LAW § 5-A (Attachment C):
Tax Law § 5-a, is effective with all solicitations to purchase issued by covered agencies on or after January 1, 2005. It applies to contracts where (1) the total amount of such persons’ sales delivered into New York State are in excess of $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made, and with respect to any affiliates, subcontractors, or affiliates of subcontractors whose sales delivered into New York State exceeded $300,000 for the four quarterly periods immediately preceding the quarterly period in which the certification is made, and (2) the contracts or agreements with state agencies or public authorities for the sale of commodities or services have a value in excess of $15,000. This law imposes upon certain contractors the obligation to certify whether or not the contractor, its affiliates, its subcontractors and affiliates of the subcontractors are required to register to collect state sales and compensating use tax. Where required to register, the contractor must also certify that it is, in fact, registered with the Department of Taxation and Finance (DTF). The law prohibits the Comptroller, or other approving agency, from approving a contract awarded to a vendor meeting the registration requirements but who is not so registered in accordance with the law.
Contractor certification forms and instructions for completing the forms are attach
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ed to this bid. Proposed contractors should complete and return the with bid submission. Failure to include these forms may render a bidder non-responsive and non-responsible. Bidders shall take the necessary steps to provide properly certified forms, to ensure compliance with the law.
Vendors may call the Tax Department at 1-800- 972-1233 for any and all questions relating to Tax Law § 5-a and relating to a company's registration status with the Tax Department. For additional information and frequently asked questions, please refer to the Department of Tax and Finance Web site: http://www.nystax.gov/sbc/nys_contractors.htm.
NYSBOE reserves the right to terminate this contract in the event it is found that the certification filed by the Contractor in accordance with § 5-a of the Tax Law is not timely filed during the term of the contract or the certification furnished was intentionally false or intentionally incomplete. Upon such finding, NYSBOE may exercise its termination right by providing written notification to the Contractor.
11.5 Minority and Women Owned Enterprise In July of 1988, the New York State Legislature passed Article 15-A of the Executive Law.. This legislation provides specific rules, regulations, and procedures for minority and women-owned enterprise participation in certain State contracts.
The Office of General Services (OGS) is required to implement the provisions of Article 15-A for all of its contracts (1) in excess of $25,000 for labor, services, supplies, equipment, materials, or any combination of the foregoing and (2) for contracts in excess of $100,000 for real property renovation and construction. For purposes of this contract, OGS hereby establishes a goal of 3% for minority owned business (MBE) participation and 2% for woman owned business enterprises (WBE) participation.
In order to be awarded an OGS contract, every Bidder must comply with the requirements, rules, and regulations outlined in Article 15-A.
11.5.1 Policy and Provisions It is the policy of the State of New York to promote equality of economic opportunity for minority and women-owned business enterprises (M/WBEs) in State contracting. In order to comply with the State's objectives, the Contractors shall use "good faith efforts" to provide meaningful participation by M/WBE subcontractors or suppliers in the performance of this contract.
For the purpose of determining a Contractor’s good faith effort to comply with the requirements of Article 15-A or to be entitled to a waiver there from, the contracting agency shall consider:
I. whether the Contractor has advertised in general circulation media, trade association publications, minority-focus and women-focus media. In such event,
II. whether or not certified minority or women-owned businesses which have been solicited by the Contractor exhibited interest in submitting proposals for a particular project by attending a pre-bid conference; and
III. whether certified businesses which have been solicited by the Contractor have responded in a timely fashion to the Contractor’s solicitations for timely competitive bid quotations prior to the contracting agency’s bid date; and
IV. whether there has been written notification to appropriate certified businesses that appear in the Directory of Certified M/WBE prepared pursuant to paragraph (f) of subdivision three of section three hundred eleven of this article; and
V. whether the Contractor can reasonably structure the amount of work to be performed under subcontracts in order to increase the likelihood of participation by certified businesses.
11.5.2 Goals The MBE and WBE participation goals as stated earlier are based on the availability of M/WBEs currently certified by New York State and geographically located to be able to perform the work in the region where
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the project is located. The total dollar value of the contract, scope of work, the supplies, and equipment necessary to perform the project, are also considerations used to determine the percentage goals.
11.5.3 Utilization The Contractor may count as M/WBE participation: subcontracting part of the contract to certified firms or purchasing supplies and equipment used to perform the terms and conditions of the contract from certified firms.
Upon a showing by the Contractor of every good faith effort to achieve the goal for M/WBE participation in the work, the State will waive a Contractor’s failure to achieve the goal for M/WBE participation.
11.5.4 Minority and Women Owned Business Officer The Contractor shall designate an Affirmative Action officer and assign the officer the responsibility and authority to monitor the M/WBE program for this contract. The OGS Office of Minority and Women-owned Business Enterprises’ staff is available to help in identifying certified M/WBEs.
11.5.5 Required Reports The Contractor is required to submit a Utilization Plan (BDC-328) to the NYS Office of General Services within five (5) days after the opening of bids for construction contracts exceeding $100,000 and 14 days after notification of award for commodity and service contracts exceeding $25,000. The Contractor must also submit the MBE/WBE Letter of Intent to Participate (BDC-49). The Letter MBE/WBE of Intent to Participate is a commitment by the Contractor and the subcontractor/supplier that the terms and conditions for M/WBE participation on this contract are agreed to. Any modifications or changes to the agreed participation by certified M/WBEs, over the term of the contract, must be reported on a revised Utilization Plan.
11.5.6 Non-Discrimination The Contractor agrees not to discriminate on the basis of race, creed, color, national origin, gender, age, disability, or marital status, in any respect, against any potential subcontractor, supplier, or other company, firm, or enterprise in any manner relating to the performance of this contract.
11.5.7 Post Award The contractor must submit to the Office of Minority and Women-owned Business Enterprise after notification of award, the following forms, by the 10th day of each month:
1. (BDC-58) Cumulative Monthly Income Statements
2. (BDC-25) Monthly Affirmation of Income Payments
All questions regarding compliance to Article 15-A requirements or copies of the forms should be addressed to:
New York State Office of General Services
Office of Minority and Women-owned Business Enterprises
35th Floor - Room 3580
Corning Tower Building
Empire State Plaza
Albany, New York 12242
The telephone numbers and addresses for the New York State Department of Economic Development are as follows:
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New York State Department of Economic Development
633 Third Avenue
New York, New York 10017
Telephone: (212) 803-2414
New York State Department of Economic Development
Division of Minority and Women’s Business Development
30 South Pearl Street
Albany, New York 12245
Telephone: (518) 292-5250
11.6 New York State Information Security Policy 1. This clause is applicable to all contracts that include information technology resources or services
in which the Contractor must have physical or electronic access to sensitive NYSBOE information. For the purpose of this clause, the term “Sensitive” is defined by the guidance set forth in the NYS Information Security Policy (P03-002), issued by the NYS Office of Cyber Security and Critical Infrastructure Coordination (CSCIC). There is a presumption that all information technology systems contain some sensitive information.
Information technology resources include, but are not limited to, system software, application software, and information (data). Information technology services include, but are not limited to, the management, operation (including input, processing, transmission, and output), maintenance, programming, and system administration of computer systems, networks, and telecommunications systems. The Contractor shall be responsible for implementing sufficient information technology security to reasonably prevent the compromise of NYSBOE IT resources for all of the contractor’s systems that are interconnected with an NYSBOE network, as well as for NYSBOE systems that are operated by the Contractor.
2. All Contractor personnel performing under this contract, and all Contractor equipment used to process or store NYSBOE data or to connect to NYSBOE networks, must comply with the requirements contained in:
The NYS Information Security Policy (P03-002). To obtain a copy, contact CSCIC (http://www.cscic.state.ny.us/contact.htm);
NYS information technology policies, standards and best practice guidelines (http://www.oft.state.ny.us/policy/PolicyByPubDate.htm); and
NYSBOE information security policies, procedures, and standards.
3. For all Contractor-owned systems for which performance of the contract requires interconnection with an NYSBOE network or that NYSBOE data be stored or processed on them, the Contractor shall provide, implement, and maintain an IT Security Plan. This plan shall be submitted to NYSBOE prior to the commencement of any work under the contract. It shall describe the processes and procedures that will be followed to ensure the appropriate security of IT resources that are developed, processed, or used under this contract. The plan shall also describe those parts of the contract to which this clause applies. The plan shall meet IT security requirements in accordance with NYS policies and procedures that include, but are not limited to:
The NYS Information Security Policy (P03-002) To obtain a copy, contact CSCIC (http://www.cscic.state.ny.us/lib/policies/cs_policyp03-002v2.1.pdf);
NYS information technology policies, standards and best practice guidelines (http://www.oft.state.ny.us/policy/PolicyByPubDate.htm); and
Introduction: The office for technology is working with State Data Center (SDC) customers on deployment and migration strategies, in which the customer’s applications can take full advantage of the benefits of the SDC infrastructure. A cornerstone piece of the infrastructure is the multi-Data Center three-tiered architecture (TTA).
Description: OFT’s design for TTA is similar to the designs that are commonly described in white papers and best practices documents available from familiar industry sources. At its most basic level, the design calls for physical separation of the application delivery components into tiers. In this regard, the presentation layer resides in tier 1, the business logic and application serving components in tier 2, and the data and database components in tier 3.
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page 93
As the diagram depicts, a “hard separation” exists between the tiers. Communication movement between the tiers is strictly controlled and protected. High performance and high availability firewall devices, along with intrusion prevention appliances and intrusion detection probes are in place to control and monitor the data as it crosses the tier boundaries.
The principles used in the creation of the design are:
Business logic or non-public data will not reside on Tier 1.
The resources deployed in tier 1, are classified as the most vulnerable. Any data that is resident on a tier one device is considered to be vulnerable to unauthorized access or alteration. For that reason, our design calls for data to be located in a more appropriate location, preferably tier 3, whenever possible.
User does not access business logic or database directly.
Speaking in terms of access from the perspective of communication flows, the design calls for all user sessions to terminate in tier 1. Sessions that do not originate from tier-1 servers will not pass the firewalls separating tier 1 from tier 2. By the same token, sessions that do not originate from tier-2 servers will not pass the firewalls separating tier 2 from tier 3.
Separate and secured access for administration of servers.
Administrative functions will not be enabled on the production network. All the servers in the environment will be connected to a separate administrative network, in which all maintenance, administrative activity, and enterprise systems management and monitoring will occur. User credentials that exist in the production directory structures will not have administrative rights to the servers.
Intrusion prevention at both protocol and content levels
Active scanning will take place on all data flows traversing tiers, in OSI layers one through seven.
Each tier has increasingly stringent security filters.
The firewall rules are strict. Communication between servers will only be enabled on very specific predefined ports. A logic function that calls for a wide array of ports to be open is not acceptable. A function that requires direct communication to workstations, without a proxy/reverse proxy in tier 1 is not acceptable.
NetBIOS traffic will not be enabled.
Simple and proven design decreases vulnerability.
The design is built on industry standard concepts and best practices.
Load balancing at each tier.
Load balancing at tier 1 & 2 will be provided by intelligent network load- balancing devices. No application level load balancing will be accommodated in the TTA.
Load balancing across Data Centers.
Load balancing across Data Centers will be provided via network global site- selection products at above tier 1. Applications requiring this level of availability and which are planned to be implemented in the TTA should be architected to accommodate this.
Standards
Production network 1. All user communication sessions into a three-tier environment terminate on tier 1 NYeNet or tier 1
Internet
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page 94
2. Tier 1 NYeNet or tier 1 Internet servers can communicate only through firewalls to tier application servers, legacy servers, and other tier 1 presentation servers as needed.
3. Tier 2 application servers can communicate only through firewalls to; tier 3 database servers, legacy servers, and tier 2, as needed.
4. Tier 3 database servers can communication only through firewalls to; tier 2 application servers, legacy servers, and tier 2 servers as needed.
5. NYeNet customer can access both NYeNet and Internet tier 1. Internet customers can only access Internet Tier 1.
6. Outbound traffic to the Internet is only granted to/from Internet tier 1.
7. Security is implemented within each tier to block server-to-server traffic, except where required on predefined ports.
8. Network connectivity standards are two-100 megabit copper connections running IP protocols for production network, one-100 megabit copper for admin LAN and one Gigabit copper for IP backup.
9. Each tier will be protected via a combination of a firewall and an intrusion prevention device that in combination provide inspection of protocol and application layers.
10. A separate network for administration of servers and network equipment will be provided at each Data Center. This LAN will be used by server and network administrators as well as by enterprise systems management servers. User access will be via client VPN.
11. Capability to provide a private connection between servers on database tier 3 for database server writes-synchronization between primary sites for high availability application requirements. The capability provided is via layer two or layer three connections as required.
12. SiteMinder (NYSDS) is the preferred method of user authentication and authorization.
13. Server load balancing appliances will be provided in each tier. These load balancers will communicate with Global load balances at each primary Data Center to allow for application load balancing between primary Data Centers and to provide options for disaster recovery.
12.2 NYS Office for Technology/State Data Center and Server Platform Technical Infrastructure Architecture
Purpose The purpose of this document is to establish guidelines for deployment of distributed platforms to be managed within the OFT State Data Center and to assist our customer agencies in selecting and procuring products which can be supported within the OFT Data Centers.
Goals Reliable, available, and secure infrastructure;
Scalable in terms of both capacity and integration with new technology;
Adaptive;
Reduce infrastructure complexity;
Minimize support costs for agencies and maximize Data Center staff expertise and productivity by reducing the proliferation of heterogeneous environments.
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
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SDC Hardware/Software Requirements
Hardware Open Systems Support will work with the customer agency to prepare hardware specifications to meet the user’s requirements as well as the standards required for servers administered by the Data Center. These specifications will be based on generic requirements identified by the customer agency or the vendor working on behalf of the customer agency at the level described below.
Servers
The customer agency should provide OFT with server requirements as follows:
Any special requirements for the processors (number of and minimum speed, cache characteristics and size)
Memory requirement analysis, real and virtual (number of users, characteristics of the software, etc.)
Requirements for storage. Amounts that go beyond 36GB usable internal disk must be identified and will be provided using one of the tiered storage solutions offered in OFT’s Enterprise Storage offering.
Other specific server requirements.
OFT will automatically include the following standards in the specification:
Rack optimized configuration in standard 19 inch racks
Mirrored internal SCSI hard drives, high rotational speed, 36GB or greater.
Redundant fiber HBA cards will be required to support external storage.
Additional fiber HBA cards may be required for backup if the external storage volume is significant.
2 10/100/1000 copper Production Nics for redundancy
1 10/100/1000 copper Backup Nic
1 10/100/1000 copper Administrative Nic
Redundant power and cooling components
Remote Management Module
Predictive hardware failure analysis/alerting which integrates with IBM Director, when applicable, and the OFT Enterprise Systems Management infrastructure.
All production hardware should reside in the Production Three-tier network. At least one pre-production environment (i.e. Staging), which is similar to the production infrastructure, must be hosted by the OFT and will reside in the Quality Assurance (QA) network.
Software This section identifies software currently supported by the OFT Data Center and preferred for all new implementations. Preferred products listed below are identified based on OFT’s current ability to support a product due to product expertise, training and acquired skill level. The OFT Data Center will be able to support any of the preferred products as part of the standard server hosting rates. The customer agency and the vendor working on behalf of the customer agency must work with the OFT Data Center to introduce any new products to the list of preferred products prior to OFT’s agreement to support servers with that product. Selection of any other product will result in an annual surcharge of $400,000 or 20% of the server support costs, whichever is higher
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page 96
Operating System Software
Unix — all applications to be deployed in the Data Center should be architected and certified to run on any Tier 1 Unix platform. OFT will identify the Tier 1 Unix platform that is currently a standard at the time of implementation.
SUSe Linux
Windows Server 2003 Standard or Enterprise Edition for.Net implementations only.
Virtualization Software
Vmware-ESX
Hardware Server Clustering
Server clustering should be accomplished with hardware vendor supplied hardware and software clustering solutions available on the Tier 1 Unix currently identified by the OFT as the standard or on SUSE Linux.
Middleware/Application Server WebSphere Application Server
WebSphere MQ
Microsoft.Net
Web Server
Apache
IBM HTTP Server
Microsoft IIS Web Server 5.0/6.0 for.Net implementations only
Database Management Software
Oracle, current versions
MS SQL current versions for.Net implementations only
Application Architecture Standards
Statewide Directory Services should be used for authentication and authorization. The Statewide Directory uses Netegrity Siteminder to access the NYS Statewide LDAP Directory.
Application must be architected to function in the OFT Three Tier Architecture
Systems Management Standards
IBM Tivoli Monitoring (ITM) license for each production and staging server.
IBM Tivoli Enterprise Console (TEC) license for each server production and staging server.
IBM Tivoli Workload Scheduler for any scheduling requirements (Based on customer requirements).
Performance Reporting is provided through custom reports generated from the Tivoli Data Warehouse and by using HP OpenView Performance Agent.
New York State Office of General Services Systems Integrator Implementation Assistance for NYSVoter II
8 May 2006 Page 97
Network Standards See the Three Tier descriptions for more details.
File Management
All backups will be performed using the OFT Enterprise Backup Solution over the separate and distinct backup network or the SAN.
All disk requirements exceeding 36GB will be accommodated on the Enterprise Storage Area Network (SAN) solution.
New York State Board of Elections - NYSVoter IIRequirements Response Template
Attachment A
Bidder: _____________________________________Instructions: Proposers must complete the requirements worksheets in this attachment and clearly mark 'Yes' or 'No' if they agree to meet each of the requ1. For each of the requirement, the requirement category specifiies if a requirement is Mandatory (M) or Desired (D).2. This attachment must be submitted with the proposer's proposal.3. Any proposer who does not agree to a mandatory requirements may be found non-compliant and their proposal will not be evaluated.
Business, Technical, Implementation and Support RequirementsNYSVoter II
New York State Board of Elections - NYSVoter IIBusiness Requirements
Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
WA Transfer Meets?
Requires County EMS
Remediation? HA
VA
Req
uire
d?
NYS
Law
R
equi
red?
F.1 GENERAL BUSINESS
F.1.1NYSVoter II shall serve as the single statewide voter registration system for storing andmanaging the official list of registered voters throughout the State. M Y Y Y
F.1.1.1
NYSVoter II must accept voter registration data directly from remediated county voter registration/election management systems (VR/EMS) which will serve as “front ends” to NYSVoter II. M Y Y Y
F.1.1.2
NYSVoter II must ensure all voter registration data used for processing and reporting in county VR/EMS Systems is derived subsequently from the official data in NYSVoter II and used unchanged. M Y Y Y Y
F.1.2
NYSVoter II shall maintain one record for each registered voter including the statewideunique identifier, entire history (including voting history, previous names, etc.) andcurrent status of that voter. M Y
F.1.3NYSVoter II shall provide the ability to automatically archive data based on businessrules. M
F.1.3.1 Ability to archive data automatically based on user defined parameters. D TBDF.1.3.2 Ability to restore data from archive. D TBDF.1.3.3 Ability to view on-line meta-data for archived records. D TBD
F.1.5
NYSVoter II shall provide the ability to adjust business policies that govern theacceptance/correctness of data and the ability to change in response to changes in lawand policy. M Y Y
F.1.5.1Whenever possible, business rules must be parameter based and configurable by NYSVoter II Administrators. D Y
F.1.2 Data Normalization and Validation
F.1.2.1 NYSVoter II shall ensure all data complies with the data standards for the database (i.e., proper coding for name suffix, street type, gender, etc.). M Y Y
F.1.2.2 County systems must be remediated so that all data sent to the centralized database meet NYSVoter II standards. M Y Y Y
F.1.2.3 NYSVoter II shall ensure all required fields have appropriate information. M Y Y
F.1.2.4 County systems must be remediated so that all required data is sent to the centralized database. M Y Y Y
F.2 VOTER REGISTRATIONF.2.1
F.2.1.1
Using their remediated VR/EMS as their direct interface to NYSVoter II, County local election officials shall be able to enter all voter registration information into the list on an expedited basis at the time the information is provided to the county official. County VR/EMS systems shall synchronize with NYSVoter II at least every 24 hours.
M Y Y Y
F.2.1.1.1NYSVoter II shall notify county VR/EMS of receipt and status of each registration transaction with appropriate detail.
M Y Y
F.2.1.1.2NYSVoter II shall support an exception processing system that will track and report on such registration transactions awaiting resolution.
M Y Y
F.2.1.2 NYSVoter II shall track, normalize to standards and store voter registrant information provided (current and prior) on the registration applicant including but not limited to: M
F.2.1.2.1 Full Name M YF.2.1.2.2 Residence Address (standard and non-standard) M YF.2.1.2.3 Mailing Address (if any) (standard and non-standard) M YF.2.1.2.4 Birthdate M YF.2.1.2.5 CASS Address M NF.2.1.2.6 Telephone Number (if any) M YF.2.1.2.7 Email Address (for future use) M YF.2.1.2.8 Last 4 Digits of Social Security Number M YF.2.1.2.9 Political Party Affiliation (or lack thereof) M NF.2.1.2.10 Registration Number M YF.2.1.2.11 New York DL# M YF.2.1.2.12 Data Entry Date M YF.2.1.2.13 Application Date (timestamp date) M YF.2.1.2.14 NVRA Tracking Code M NF.2.1.2.15 Last Year Voted M YF.2.1.2.16 Last County Voted In M YF.2.1.2.17 First Time Voter Status Flag M NF.2.1.2.18 ID Requirement Met Flag M Y
F.2.1.2.2NYSVoter II must be able to collect/track the source of registration and summarize/report on registration activity in accordance with NVRA reporting requirements. M Y
F.2.1.3 NYSVoter II shall capture and store a graphic image of the signature on an registration application. M Y Y
F.2.1.3.1 NYSVoter II must receive and store an image of the signature captured and provided by the county VR/EMS. (does not have to be at VR entry time) M Y
F.2.1.3.2Upon request from the county VR/EMS system, NYSVoter II must retrieve and provide the signature image to the requesting county BOE, both individually and as part of a batch. M Y
F.2.1.3.3 Associate Signature Image with VR Record – NYSVoter II shall provide the ability to link and re-link card and signature image data to an existing voter record. M Y
F.2.1.3.4 Signature Images from VR – Signatures will need to be captured from voter registration forms. M Y
F.2.1.3.5
Ease of Signature Comparison – The signatures shall be stored in a way to enhance speed of display. NYSVoter II shall provide functionality to assist data entry operators to visually verify that the captured signature is from the correct voter or applicant’s document before finally associating the signature image to the voter registration/applicant’s database record. M Y
F.2.1.4 Images in Format – The scanned images shall be in a standard, non-proprietary format. M Y Y
Registration Processing
RPF No. 1235 - No. 2.xls 5/10/2006 2
New York State Board of Elections - NYSVoter IIBusiness Requirements
Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
WA Transfer Meets?
Requires County EMS
Remediation? HA
VA
Req
uire
d?
NYS
Law
R
equi
red?
F.2.1.5Capabilities and Restrictions of Image Editing – NYSVoter II shall provide users with the ability to de-skew, rotate by single degrees or more, and de-speckle all scanned signature images. NYSVoter II shall not allow the authorized user to modify the basic characteristics, structure, and recognizable format of the registrant’s signature. M TBD Y
F.2.1.6
NYSVoter II shall track and maintain voter registration statuses of active, inactive, and purged voters. If a county or county VR/EMS vendor uses different codes for these statuses they will either have to standardize to these codes or their EMS system must map to these codes. M Y Y
F.2.1.7 NYSVoter II shall store and track unverified registrations and provide notice to counties of missing/invalid information for their resolution. M Y
F.2.1.8 NYSVoter II shall support eligibility determination of voter registrants. M Y
F.2.1.8.1 NYSVoter II shall verify whether the registrant will be at least 18 by any upcoming election. If so, NYSVoter II will flag registrant as pending until that election. M TBD
F.2.1.8.2
NYSVoter II shall have the ability to process voter registrations entered in County VR/EMS systems for registrants who are not 18 at the time of entry into the County VR/EMS system (i.e. send registration in early and county enters inactive registration) but will be 18 by election day (for inclusion in poll books). M TBD Y
F.2.1.8.3Change of Political Party Enrollment - Allow for voter registration political party future change to be captured and made effective at a future date, but not disclosed until that future date. M N
F.2.1.8.4
NYSVoter II shall have the ability to process a voter registrant transaction for registrants who change party affiliation according to NYS Election Law (i.e. voter cannot vote in a primary after the party affiliation change if they registered after the last day to register in the previous year). M N Y
F.2.1.9
NYSVoter II and remediated county VR/EMS systems shall allow for exception processing of registrations that do not process completely and automatically, allowing county election officials to resolve any issues in order to accept the registration or officially deny it (e.g., missing/invalid information) M Y Y
F.2.1.9.1NYSVoter II will store and track unverified registrations, and provide notice to counties of missing/invalid information for their resolution. M Y Y
F.2.1.10
NYSVoter II shall check ID and if it is determined that voter has no verified ID, county is so notified. If voter is a first time voter with no verified ID, county VR/EMS shall flag voter as requiring ID resolution in order to vote and this flag shall be recorded in NYSVoter II. M Y Y
F.2.1.10.1
When transactions fail, NYSVoter II must respond to the county system, providing notice of the failure and its cause(s). Further, a mechanism for notifying a county VR/EMS when a transaction sent from the county is not received by NYSVoter II shall be implemented and the ability to re-send transactions from the county VR/EMS shall be implemented (ie ACKKNACK). M Y Y
F.2.1.11
NYSVoter II must maintain a transaction history associated with each registrant that is a record of changes made to a registration record. NYSVoter II must maintain a record history for every transaction associated with an applicant, beginning at the point an application is received. This must include each of the changes made and reasons therefore. The transaction history must include a date and time stamp to record the date of change and the ID of the individual and system that updated the record as well as key data elements that were changed. M Y Y
F.2.2 Data Collection from County VR/EMS
F.2.2.1
NYSVoter II must minimize interference with data entry and maintenance activities on county VR/EMS systems by remaining in the background throughout these activities.
M Y Y
F.2.2.2NYSVoter II shall support near real-time data entry and interfacing between NYSVoter II and county VR/EMS systems. M Y Y Y
F.2.2.2.1Transaction Confirmations - Provide confirming messages on acceptance of every transaction. M Y Y
F.2.2.3
Flag VR Records - NYSVoter II shall allow authorized county users to enter an indicator showing that research on a record is being performed and the record being searched may not be valid. M Y
F.2.3 DMV/SSA Verification
F.2.3.1NYSVoter II shall provide the ability to check by driver license or non-driver number for a previously existing voter registration record in NYSVoter II. M Y Y Y
F.2.3.2NYSVoter II shall provide the ability to check by driver license or non-driver number or SSN4 in the DMV records for ID verification. M Y Y Y
F.2.4 Voter Registration FinalizationF.2.4.1 NYSVoter II shall assign a unique identifier to every registered voter. M Y Y Y Y
F.2.4.1.1 NYSVoter II shall the ability to assign a unique identifier that will remain with the voter for their voting life. M TBD Y
F.2.4.2 NYSVoter II shall store the registrant's home political subdivision(s). M Y Y Y
F.2.4.2.1 NYSVoter II will accept district assignments provided by counties with county-entered registrations. M Y Y Y
F.2.4.3NYSVoter II will electronically notify the county VR/EMS with a response that includes confirmation of the transaction, an assigned unique identifier and registration status in NYSVoter II. M Y Y
F.2.4.4 NYSVoter II shall notify the "to" county and "from" county if a voter may have moved his/her registration between the counties. M Y Y Y
F.2.4.4.1For registration changes involving a move from one county to another, the transaction will be handled as an exception with appropriate notices sent to each county involved for final resolution. M Y Y
RPF No. 1235 - No. 2.xls 5/10/2006 3
New York State Board of Elections - NYSVoter IIBusiness Requirements
Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
WA Transfer Meets?
Requires County EMS
Remediation? HA
VA
Req
uire
d?
NYS
Law
R
equi
red?
F.2.4.4.2
In the case of an apparent duplicate, NYSVoter II shall flag the records and notify the counties of a possible move. The affected counties will determine if a move has occurred between counties. Where both counties definitively determine that a move has occurred between counties, based upon a match of an applicant's name, date of birth, signature and either the state or federal ID number or matching of the previous address of the voter, the "from county" will cancel their voter record and the "to county" will activate a new record and transfer the unique identifier. In all other cases of an apparent duplicate, the "from county" will inactivate their voter record and the "to county"will activate a new record. M Y Y
F.3 Voter Registration List MaintenanceF.3.1 Voter Status and Classification Updates (Active, Inactive, Canceled, etc.)
F.3.1.1NYSVoter II shall provide the ability to identify and track all registered voters regardless of status per HAVA, NYS law and NYSBOE rules and regulations. M Y Y
F.3.1.2NYSVoter II shall have the capability to store status codes and reason codes from county VR/EMS systems into the NYSVoter II. (see requirement F.2.1.6) M Y Y
F.3.1.2.1
NYSVoter II shall allow a county election official to designate a voter as inactive, noting the reason for the designation, such as "election material mailed to registrant returned as undeliverable" or "moved with an out of county forwarding address", "affidavit ballots". M N Y
F.3.1.2.2 NYSVoter II shall have the ability to record and track NCOA activities such as identification of new address and provide notification to the appropriate county. M N Y
F.3.1.2.3 NYSVoter II shall allow a county election official to reactivate an inactive voter and record the reason for doing so. M Y Y
F.3.1.2.4 NYSVoter II shall create a table of acceptable reason codes for County VR/EMS systems to map to when sending reason codes to NYSVoter II. M Y
F.3.1.3
NYSVoter II shall allow a county election official to cancel a voter registration based upon specific NYS Election Law and county BOE business rules and NYSVoter II shall capture reasons for cancellation. M Y Y
F.3.1.4NYSVoter II shall have the capability to track 'first time' voters based on information from County VR/EMS system and whether or not a voter showed an ID at their polling place. M TBD
F.3.1.5 NYSVoter II shall have the capability to track 'inactive' voters and facilitate list maintenance by county BOEs in timely fashion M
NYSVoter II shall have the ability to receive death notification from DOH and NYCDOH. Upon full implementation, NYSVoter II shall be matched against the SSA Master Death Index. Notification shall be sent to the appropriate county for determination. M Y Y Y Y
F.3.2.2NYSVoter II shall have the ability to receive felon and mentally incompetent notification from OCA. Notification shall be sent to the appropriate county for determination. M Y Y Y Y
F.3.2.3NYSVoter II may receive data from DMV regarding license surrenders. Notification shall be sent to the appropriate county for determination. D TBD Y Y Y
F.3.2.4NYSVoter II shall track and flag potential felon, mentally incompetent or deceased voters to allow NYSBOE to monitor county resolution of these voters. M TBD Y
F.3.3 Duplicate Checking
F.3.3.1NYSVoter II shall perform a near real time duplicate check to identify existing records at or near the time of data entry for new registration transactions. M Y Y Y
F.3.3.2
Ability to perform ad-hoc duplicate checks on demand based on a variety of user defined criteria sets, including phonetic, transposition and like spelling matches. Such checks may be statewide or customized for specific regions (multi-county), and must be conducted weekly. M Y
F.3.3.3NYSVoter II shall have the ability to perform duplicate checking on voters that were inactivated in a county and later activated by that county. M
F.3.4 Coding Accuracy Support NYSVoter II (CASS) Standardization
F.3.4.1
NYSVoter II shall provide the ability to ensure that the registrant address used for mailing voter materials conforms to USPS standards for optimum mailing rates. (USPS certifies that the list has been cleaned via NCOA process and therefore gets CASS certification.) M TBD Y
F.3.4.1.1NYSVoter II should have the capability to process registrant addresses against USPS CASS to determine standardized address for optimal mailing rates. M TBD Y
F.3.4.1.2
NYSVoter II should separately store the CASS (or other USPS) optimized address for mailing purposes (in addition to the registrant’s designated residence and mailing addresses.) M TBD Y
F.3.4.1.3Counties should have the capability to access/download/retrieve these USPS standardized addresses. M TBD Y
F.3.4.2
NYSVoter II shall provide the ability to ensure that in rural areas where USPS standards are not sufficient, a registrant address conforms to a standard acceptable to the county. M TBD Y
F.3.5 Bulk Record Updates
F.3.5.1
NYSVoter II shall provide the ability to process bulk voter registration record updates from counties (e.g., reprecincting, street name changes, area code and zip code changes) and update the State official voter registration records accordingly. M Y Y
F.3.6 Districting
F.3.6.1NYSVoter II shall have the ability to track and keep up to date official district information maintained in county VR/EMS systems. M Y Y
F.4 ELECTION PROCESSINGF.4.2 Voter History Updating
F.4.2.1NYSVoter II shall store whether a voter voted in an election (State, federal, and local elections) after it is captured in the County VR/EMS systems. M Y Y
F.5 REPORTSF.5.1 Data Analysis and Management Reporting
F.5.1.1NYSVoter II shall provide the ability to generate pre-defined and ad-hoc queries and reports in formats as needed M TBD
RPF No. 1235 - No. 2.xls 5/10/2006 4
New York State Board of Elections - NYSVoter IIBusiness Requirements
Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
WA Transfer Meets?
Requires County EMS
Remediation? HA
VA
Req
uire
d?
NYS
Law
R
equi
red?
F.5.1.1.1NYSVoter II shall provide a 3rd party reporting tool (e.g. query by example) for ad hoc reporting requests M TBD
F.5.1.1.2Local election officials shall be able to query all records in the database, regardless of county. M Y
F.5.1.2NYSVoter II shall provide standard reports that can be easily selected from NYSVoter II menu by authorized users D Y
F.5.1.3NYSVoter II shall provide the ability to filter reports based on key data fields contained in the output such as date, county, etc. M Y
F.5.1.4
NYSVoter II shall provide the ability to generate a computerized statewide voter registration list that is single, uniform, official, centralized, interactive, defined, maintained and administered at the State level, and contains the name and registration information of every legally registered voter in the State. M Y Y Y
F.5.1.5NYSVoter II shall generate the official voter registration list for the conduct of all federal, State and local elections in the State. M Y Y Y
F.5.1.6NYSVoter II shall allow state and county users to conduct user-defined searches of the new NYSVoter II database. M Y Y
F.5.1.7NYSVoter II shall allow voter registration staff to establish data views, registrant status information, and statistical calculations to inform the decision-making process. M
F.5.1.7.1The NYSVoter II must provide the county VR/EMS System access to its data for generation of reports by the county system M Y Y
F.5.1.8
NYSVoter II shall provide the ability to sort voter registrant data by district/county, birth date, and other information (e.g., last name, first name, voter registration number, address order). M Y
F.5.1.9
NYSVoter II shall provide the ability to compile and report on voter registration changes by registration source in compliance with National Voter Registration Act (NVRA) requirements. M Y
F.5.1.10
NYSVoter II shall provide the ability to compile and report on voter registration statistics by party and political district at specific times in compliance with NYS Election Law. M Y Y
F.5.1.11NYSVoter II shall provide the ability to compile and report on registration data for redistricting purposes. M Y Y
F.5.1.12NYSVoter II shall provide the ability to compile and report registration data to judicial districts for use in compiling jury pools according to user defined parameters. M Y
F.5.1.13NYSVoter II shall notify the county of all new or updated registrations processed by the state database on a given day (e.g. query by function). M Y Y
F.5.1.14NYSVoter II shall sync with county VR/EMS systems prior to county printing of pollbooks. M Y Y
F.5.1.15
NYSVoter II shall have the ability to produce a report to monitor county file maintenance and resolution of duplicate, felon, mentally incompetent or deceased voters (refer to business requirement F.3.2.4). M TBD
F.5.2 Public Service Requests (PSR) Response
F.5.2.1
NYSVoter II shall provide the ability to compile and provide extracts of voter registration data in a variety of formats to qualified users in compliance with NYS Election Law. These may include all or part of the registrant data as appropriate and legally qualified. (For instance, a candidate for a district is only entitled to the registrants within that district.) M Y
F.5.2.1.1 NYSVoter II shall provide the ability to compile and provide electronic extracts of registrant data as requested by the purchaser. M Y
F.5.2.1.2 NYSVoter II shall provide the ability to compile and provide extracts of registrants sorted by address (e.g., for District Walking Lists). M N
F.5.2.1.3 NYSVoter II shall provide the ability to compile and provide extracts of registrant data formatted for mailing labels. M Y
F.5.3 Registrant Inquiries
F.5.3.1NYSVoter II should allow individuals to access to the following information about themselves, including but not limited to: M Y
F.5.3.1.2 Registration status M YF.5.3.1.3 Party affiliation M NF.5.3.1.4 Assigned district M Y YF.5.3.1.5 Assigned polling place M N Y
F.5.3.2 Access must be restricted in such a way that only the individual voter can access their own data. M N
Requirement Category: M - Mandatory, D - Desired
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New York State Board of Elections - NYSVoter IITechnical Requirements
Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
T-1 GENERAL TECHNICALT-1.1 System Accessibility
T-1.1.1 NYSVoter II shall provide concurrent, multi-user access to all modules/functions within NYSVoter II MT-1.1.2 NYSVoter II shall provide direct, secure access by any site connected to the NYSVoter II network MT-1.1.3 NYSVoter II shall provide the ability for remote, secure access by authorized staff in the counties. M
T-1.1.4 NYSVoter II shall provide the ability for Internet-based secure access by the public to limited views of the data MT-1.1.5 NYSVoter II shall comply with ADA Section 508 requirements for all web-based modules M
T-1.1.6NYSVoter II shall be capable of providing direct access to a future telephone inquiry system (Interactive Voice Response System (IVR). M
T-1.2 System Flexibility
T-1.2.1 NYSVoter II shall allow authorized staff to create and/or modify edits and business rules which determine the acceptance/correctness of data. M
T-1.2.2 NYSVoter II shall provide the ability to maintain the integrity of the data during implementation of changes M
T-1.2.3 NYSVoter II shall be supportable and maintainable by trained in-house programmers and database administration after the term of the maintenance contract M
T-1.2.4 NYSVoter II shall be compliant with industry accepted open standards MT-1.3 System Availability
T-1.3.1 NYSVoter II must operate on a 24x7 basis except during required maintenance periods MT-1.3.2 NYSVoter II shall accommodate background (batch) jobs concurrently with online updates M
T-1.3.3 NYSVoter II must adhere to necessary disaster recovery/ business continuity requirements ensuring business is not significantly impacted due to system failure (e.g., system must be accessible during election periods) M
T-1.4 System Usability
T-1.4.1 NYSVoter II shall provide industry-standard graphical user interfaces (GUI) that adheres to de facto standards for desktop, screen and window behavior M
T-1.4.2 NYSVoter II shall provide a user interface that is easy to learn, easy to use and minimizes user re-trainingM
T-1.4.3NYSVoter II shall provide a browser-based user interface for all system applications and modules used by external users (e.g., public, county and local staff) M
T-1.5 System Scalability
T-1.5.1 NYSVoter II shall be scalable and adaptable to meet growth and expansion needs (e.g., registrant searches from polling places) without requiring a new development effort. M
T-1.5.2 NYSVoter II shall support the initial data, transaction, and user requirements plus an allowance of 20% growth per year over 5 years in regards to data, transaction, and user growth. M
T-1.6 Help FunctionalityT-1.6.1 NYSVoter II shall provide online, context sensitive help at the module, function/screen, and field level. M
T-1.6.2 NYSVoter II shall provide online help that displays data field definitions and acceptable values for all user entered data fields. M
T-1.6.3 NYSVoter II shall provide online user documentation that is indexed and searchable. MT-1.7 Compliance with Government Regulations
T-1.7.1 NYSVoter II shall comply with all applicable State and Federal regulations. M
T-1.7.2The System Integrator shall comply with the State of New York enterprise architecture standards. (See NYS CIO website) M
T-2 DATABASE MANAGEMENT T-2.1 System Database
T-2.1.1NYSVoter II shall use a relational database management system (RDBMS) that complies with NYS Enterprise Architecture standards to store all NYSVoter II data. M
T-2.1.1.1 NYSVoter II shall use Oracle relational database management system (RDBMS) to store all NYSVoter II data. D
T-2.1.2 NYSVoter II shall support a data dictionary that describes and maintains information on each data element including: data element name and type, description of the data element, and the format of each data element. M
T-2.1.3NYSVoter II shall support multiple database environments for application development, testing, training, and production. M
T-2.1.4The System Integrator shall develop a database recovery plan with complete start, stop, backup, and recovery procedures for any and all NYSVoter II components. M
T-2.1.5NYSVoter II shall recommend the database backup and recovery tools required to support the NYSVoter II database recovery plan and procedures. M
T-2.1.6 NYSVoter II shall use appropriate database rules and constraints to enforce and maintain referential integrity. M
T-2.1.7NYSVoter II shall use naming conventions and standards for data elements, entities and tables, programs, report names, etc. M
T-3 HARDWARE, SOFTWARE, AND NETWORKT-3.1 General
T-3.1.1The System Integrator shall provide all workstations, servers, and software for the development environment which must be in the continental USA. The development environment shall comply with NYS enterprise architecture standards. M
T-3.1.2The System Integrator shall provide the necessary network equipment (e.g., switches, routers) to isolate the development environment from other NYSBOE production environments. M
T-3.1.3NYSVoter II production environment shall operate on a platform which provides reliability, extensibility, and scalability. M
T-3.1.4The System Integrator shall relocate the development environment and all related materials to a NYS site within six months after system acceptance. M
T-3.2 NYS BOE User Workstation
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Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
T-3.2.1NYSVoter II shall provide the ability to execute NYSBOE user applications on an Intel Pentium-based (or equivalent) workstation with a minimum of 1GB of main memory and 40 GB of disk storage. M
T-3.2.2NYSVoter II shall provide the ability to execute NYSBOE user applications on a Windows XP (or later) desktop environment. M
T-3.2.3NYSVoter II shall support standard Windows XP (or later) print functions and support for both laser or inkjet printers for all system generated output. M
T-3.2.4NYSVoter II shall support Microsoft Internet Explorer, version 6.0 (or higher), FireFox version 1.5 (or higher) and Netscape version 6.0 (or higher). M
T-3.3 External User Workstation
T-3.3.1NYSVoter II shall provide the ability to execute external user applications on a workstation with a minimum of 256 MB of main memory, running either Microsoft Internet Explorer 6.0 (or higher), FireFox 1.5 (or higher) or Netscape Navigator 6.0 (or higher). M
T-3.4 SoftwareT-3.4.1 NYSVoter II shall provide capabilities to store, print and view voter registration signatures. M
T-3.4.2NYSVoter II client application (if utilized) shall not impact any existing standard package software on the target desktop environment. M
T-3.4.3 NYSVoter II shall allow both on-line and bulk (batch-loaded) county or state agency interface entry. MT-3.4.4 The application software shall support industry standard version control software. M
T-3.4.5NYSVoter II shall allow mass changes or deletes to be accomplished without record-by-record input (i.e. CASS alternate address mass update for county consideration). M
T-3.4.6The System Integrator shall provide system administration utilities and tools through system support, including but not limited to the functions listed below: M
T-3.4.6.1 Source code and version control MT-3.4.6.2 Disk and tape management MT-3.4.6.3 Storage archival and retrieval MT-3.4.6.4 Sorting MT-3.4.6.5 Job scheduling and execution MT-3.4.6.6 Performance monitoring MT-3.4.6.7 Debugging tools MT-3.4.6.8 Transaction monitoring MT-3.4.6.9 Resource utilization M
T-3.4.6.10 Programming tools (e.g. compilers, text editors, library products, code generators, scripts) MT-3.4.6.11 Reporting tools M
T-3.5 Network
T-3.5.1 NYSVoter II shall operate within the existing New York NYeNet network and also over the public Internet for some counties using a secure method (i.e Virtual Private Network (VPN) or Secure Socket Layer (SSL). M
T-3.5.2 NYSVoter II shall use TCP/IP as the network and transport protocols MT-3.5.3 NYSVoter II shall provide the ability for remote administration using a secured browser-based interface M
T-3.6 Performance
T-3.6.1NYSVoter II shall ensure that reporting functionality shall not degrade performance of NYSVoter II transaction functionality M
T-3.6.2NYS requires high performance connectivity to county VR/EMS systems, partner state agencies and NYSVoter II especially at peak transaction periods. The System Integrator shall work with the Network Vendor and OFT to adequately test the connectivity of NYSVoter II to the county VR/EMS systems and partner state agencies. M
T-3.7 Alternative Site
T-3.7.1 NYSVoter II shall have an alternative disaster recovery site at least 25 miles from the primary site. The System Integrator shall assist OFT and the NYSBOE with the identification and set-up of an alternative site. M
T-3.7.2 The alternative site shall be connected to the NYeNet backbone. MT-4 APPLICATION ARCHITECTURE
T-4.1 Application Integration
T-4.1.1 NYSVoter II shall integrate with the Department of Motor Vehicles to validate voter registration records against current DL/ID and SSN data M
T-4.1.2 NYSVoter II shall integrate with county VR/EMS system applications, as well as send official voter data to county VR/EMS applications and databases M
T-4.1.3The County VR/EMS system provider (vendor or county IT) shall remediate each county VR/EMS system to: - interact directly with the NYSVoter II system for adds, updates, and deletes of all voter information - ensure that any voter registration information used by the county VR/EMS system is derived from the NYSVoter II database and used unchanged M
T-4.1.4 NYSVoter II shall support asynchronous, connectionless, real-time transactions using appropriate and proven middleware M
T-4.1.5NYSVoter II shall utilize industry-standard Application Programming Interfaces (API), adapters, web services standards and technologies, adapter development kits, and similar technologies, where possible, to facilitate application-to-application data transmission and component-based functionality M
T-4.1.6 NYSVoter II shall ensure data integrity between NYSVoter II and county VR/EMS databases MT-4.2 Application Architecture and Customization
T-4.2.1 NYSVoter II shall be developed using a component based model MT-4.2.2 NYSVoter II shall support near real-time online updates via direct user input MT-4.2.3 NYSVoter II shall accommodate background (batch) jobs concurrently with online updates M
T-4.2.4NYSVoter II shall provide web-based or graphical user interfaces for all system applications and modules used by NYS BOE staff with a preference for web-based interface. M
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Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
T-4.2.5 NYSVoter II shall provide the ability for configuration and customization of field labels on forms and menus, so that they are consistent with NYSBOE terminology M
T-4.2.6NYSVoter II shall provide a web-based user interface for all system applications and modules used by county VR/EMS users and for future external authorized users) M
T-4.2.7NYSVoter II shall provide the ability to perform both field and transaction level edit for errors and provide immediate user feedback, including error messages and possible corrective actions M
T-4.2.7.1This requirement is applicable either to NYSVoter II or to the functionality county VR/EMS systems provide M
T-4.2.8 NYSVoter II shall provide user authentication MT-4.2.9 NYSVoter II shall support drop down lists (e.g. menus, lists of values) for appropriate fields M
T-4.2.10NYSVoter II shall use reusable software components for common functions such as sign-on, validations, retrievals, and updates, etc. M
T-4.2.11NYSVoter II shall be implemented using table driven logic, business rules, and user definable parameters to provide a flexible application to meet business process changes M
T-4.3 Application and System Integration
T-4.3.1NYSVoter II shall not interfere with other applications that may co-exist in an environment that includes multiple applications, both off-the-shelf and custom. M
T-4.3.2NYSVoter II shall provide interoperability with third-party applications for email notification, reporting and office productivity suites. M
T-4.3.3NYSVoter II shall provide support for industry standard methods of inter-application communication, including but not limited to the following: M
T-4.3.3.1 Attachment of standard object types MT-4.3.3.2 Cut and paste capability from data fields and screens to other applications M
T-5 SECURITY AND AUDITT-5.1 Security
T-5.1.1 General Security
T-5.1.1.1NYSVoter II shall be implemented with an established security infrastructure (i.e., type and level of hardware, network, database, and software security) and tools for the protection of NYSVoter II programs, interfaces and data from intentional unauthorized access attempts as well as security breaches due to accidental causes M
T-5.1.1.2NYSVoter II must ensure all electronic communications and data exchanges between the NYSVoter II system and county users or other agencies must be secure and free from eavesdropping or alteration M
T-5.1.1.3 NYSVoter II shall provide multiple levels of security to include database, network, and application M
T-5.1.1.4 County BOE shall only be able to modify their own counties data via the NYSVoter II web interface (for potential duplicates and transfers) or through interfaces to NYSVoter II from their county VR/EMS systems. M
T-5.1.2 Authentication
T-5.1.2.1NYSVoter II shall have the ability to conform to NYS standard user configuration environment structures including user IDs, passwords, user names, and printer designation and assignments (including NYS identity and access management standards and guidelines) M
T-5.1.2.2 NYSVoter II shall provide the ability to create and assign user IDs and passwords MT-5.1.2.3 NYSVoter II shall provide expiration dates for passwords M
T-5.1.2.4 NYSVoter II shall automatically notify users and force them to change passwords on a pre-defined frequency M
T-5.1.2.5 NYSVoter II shall provide lock-out capability after a pre-defined number of unsuccessful user sign-on attempts M
T-5.1.2.6NYSVoter II shall provide automatic logout of users when there has been no activity for a pre-defined period, maintaining transaction integrity M
T-5.1.2.7NYSVoter II shall utilize two-way authentication of County VR/EMS system and NYSBOE system to ensure authenticated transmission to all transactions. M
T-5.1.2.8NYSVoter II shall provide a single sign-on to enter all NYSVoter II modules for which the user is allowed access M
T-5.1.2.9Authentication and profiles utilized by county VR/EMS users should comply with the NYSVoter II system environment M
T-5.1.2.10 NYSVoter II shall provide summarized and detailed reports on user access, usage logs, etc. MT-5.1.3 Profiles
T-5.1.3.1 NYSVoter II shall provide an efficient, flexible way to control and administer multiple levels of user accessM
T-5.1.3.2The System Integrator shall develop and implement an application audit and security schema for all components of NYSVoter II to grant users access to various application functions and data M
T-5.1.3.3NYSVoter II shall provide the ability to define organizational or functional security profiles for groups of NYSVoter II users M
T-5.1.3.4 NYSVoter II shall allow any appropriate function to be performed on any appropriate workstation, subject to roles-based access privileges of the logged on user. M
T-5.1.5 ApplicationT-5.1.5.1 NYSVoter II shall provide application level security at the menu, module, transaction, and field level MT-5.1.5.2 NYSVoter II shall provide database level security at the table, record, and field level MT-5.1.5.3 NYSVoter II shall encrypt application access passwords to prevent unauthorized logon to database M
T-5.1.5.4NYSVoter II shall automatically lock a record when it is being updated by a user so that another user is unable to perform a simultaneous update of that record M
T-5.1.5.5 NYSVoter II shall utilize encryption methods necessary to ensure the secure electronic transfer of information MT-5.2 Audit
T-5.2.1NYSVoter II shall provide the ability to generate an audit record for record changes & access, including information received via county VR/EMS with the ability to enable and disable based upon performance requirements. This should include, but is not limited to, the following values: M
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New York State Board of Elections - NYSVoter IITechnical Requirements
Attachment A
Requirement # RequirementRequirement
Category (M or D)
Agree (Y/N)?
T-5.2.2 User ID MT-5.2.3 Update date/timestamp MT-5.2.4 Old field value/New field value MT-5.2.5 NYSVoter II shall provide the ability to generate an audit report of NYSVoter II data M
T-5.2.6NYSVoter II shall not permit audit records to be physically deleted or altered, except as part of a system administration archival process M
T-5.2.7NYSVoter II shall provide customizable audit-tracking reports (and report preview capability) for user access, usage logs, and key NYSVoter II data structures M
T-5.2.8 NYSVoter II shall provide audit setup capabilities for NYSVoter II administrator MT-5.2.9 NYSVoter II shall provide the capability to archive and restore audit logs M
T-6 DATA CONVERSION AND INTERFACET-6.1 Data Conversion
T-6.1.1 The System Integrator shall conduct at least 3 Mock Conversions to test the conversion process end-to-end M
T-6.1.2The System Integrator shall provide all services needed to extract voter information from the 62 counties, and transform, integrate and load this data into NYSVoter II database in order to establish an official statewide voter registration database suitable for live NYSVoter II operations M
T-6.1.3 The System Integrator shall provide a mechanism for NYSBOE and county representatives to review, reconcile and accept converted data before production deployment of new functionality M
T-6.2 Data Interface and ExportT-6.2.1 NYSVoter II shall provide data import functionality to receive standard format data from external parties M
T-6.2.2
NYSVoter II shall provide the ability to share data between the NYSBOE and state agencies for the maintenance of voter records, including the Department of Motor Vehicles (DMV), Department of Health (DOH), and the Office of Court Administration. (see specific interface requirements in business requirements)
M
T-6.2.3NYSVoter II shall provide data export functionality that creates common export file format (e.g., comma delimited, tab delimited, space delimited) to external stakeholders (e.g., DMV, law enforcement and other public entities) in electronic format. M
T-6.2.4NYSVoter II shall provide the ability to export and import voter address data for processing by US Postal Service NCOA system. Approach must be configurable to accommodate future changes in NCOA formats.
M
T-6.2.5 NYSVoter II should be able to provide a secure Internet interface for election officials to verify individual registrant status from polling places (e.g., electronic poll books) D
T-6.2.6 Use XML technologies and XML Data Type Definitions (DTDs) to describe data elements commonly used for voter registration.
M
T-6.2.7 Leverage existing and emerging web-services technologies and standards. M
Requirement Category - D - Desired, M - Mandatory
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New York State Board of Elections - NYSVoter IIImplementation Requirements
I-1.1.1 The Proposal shall include a Project Organization overview that describes the System Integrator Project Teamstructure, external interfaces, and the roles and responsibilities of project team members. M
I-1.2 Project Work Plan
I-1.2.1The System Integrator shall use a formal project management methodology, in accordance with State of NewYork's project management standards. M
I-1.2.2The System Integrator shall maintain a current (within 5 business days) project schedule to include tasks,durations, deliverables, responsible parties, dependencies, start and end dates, schedule variance to baseline,and completion status in MS Project 2000 or higher that illustrates the work breakdown structure (WBS). M
I-1.2.3The System Integrator shall identify specific needs for information, materials, and decisions from NYS BOE forimplementation prior to the start of each phase of work and request such information in writing. M
I-1.2.4The System Integrator shall clearly define (by name) staff and Sub-System Integrators who will be responsiblefor each phase of the project. The System Integrator must submit the staff's resume to the NYSBOE forapproval prior to the start date for such personnel. M
I-1.3 Quality Assurance
I-1.3.1
The System Integrator shall be compliant with one of the following quality standards throughout the NYSVoter II system Project: - Software Engineering Institute (SEI) Capability Maturity Model (CMM) - International Standards Organization (ISO) 9000, 9001, 9002 - QA Institute - ANSI/IEEE Software Engineering Standards - Other Comparable QAP upon approval by NYS BOE M
I-1.3.2The System Integrator shall provide metrics and a process for evaluating product quality and analyzing andresolving problems with products. M
I-1.3.3The System Integrator shall designate a Quality Assurance (QA) Team or individual to liaison with NYS BOEand other stakeholders to resolve any emerging problems or areas of concern. M
I-1.3.4The System Integrator's QA plan shall describe the QA Team organization, its functions and responsibilities,its schedule for periodic meetings, and the methodologies for identifying defects or deficiencies and solutionsfor corrective action. M
I-1.3.5 The System Integrator shall submit its QA plan within 30 days of project initiation. MI-1.4 Change Control
I-1.4.1 The System Integrator and NYSBOE shall designate a change control board (CCB) to be comprised of SystemIntegrator and NYS BOE staff that will have the responsibility of reviewing and accepting all changes. M
I-1.4.2NYSBOE will detail changes with the System Integrator when a change becomes necessary through use of arequest for change form. M
I-1.4.3The System Integrator shall provide justifiable estimates of the cost, hours, task components, staff, andschedule necessary to complete any change (positive or negative). M
I-1.4.4All changes shall have the appropriate System Integrator, NYSBOE management approvals before making thechange. M
I-1.4.5All changes shall have the appropriate System Integrator and NYSBOE management level approvals beforeimplementing the change into production. M
I-1.4.6The System Integrator shall track and document all changes that are accepted and update the developmentprocess and system configuration. M
I-1.4.7 The System Integrator shall submit a change control plan within 15 days of project initiation. MI-1.5 Communications
I-1.5.1
The System Integrator shall assist NYSBOE project management in the revision and enhancement of theNYSVoter II System Communications Plan that identifies necessary project communication of all participantsthroughout the project lifecycle. The System Integrator shall adhere to its responsibilities identified in theapproved plan. M
I-1.5.2The System Integrator shall maintain and provide to NYSBOE an up-to-date (per week) organization chart andcontact list providing name, title, phone, pager, and e-mail information for all System Integrator personnelassigned to the project. M
I-1.5.3The System Integrator shall attend project meetings for the NYSVoter II System project as mutually agreed by the System Integrator and NYSBOE, including but not limited to: M
I-1.5.3.1 Kickoff Meeting - Within two weeks of contract execution, a kickoff meeting will be held at NYS BOE to discuss start-up procedures. M
I-1.5.3.2 Project Development Meetings - meetings related to project development and implementation as defined in the project communication plan and project schedule. M
I-1.5.3.3 QA Meetings - quality assurance and review meetings as specified in the vendor's Quality Assurance Plan. M
I-1.5.3.4Status Meetings - There shall be weekly project status meetings with NYSBOE to review the progress and status of the tasks, problem areas, work to be accomplished, and other relevant items. Other ad-hoc or periodic status meetings may be scheduled for specific communications needs. M
I-1.5.3.5Project Steering Committee Meetings – There shall be monthly Steering Committee meetings held at the NYSBOE to provide executive staff and stakeholders with project status and accomplishments to date, and to resolve escalated issues. M
I-1.6 Issue Resolution
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The System Integrator shall track all Project issues using an automated issue-tracking process. The issue tracking process shall facilitate documentation of the following: - issue description - issue priority - issue status (e.g. open, pending, under investigation, resolved) - plan for resolution - individual responsible for action - targeted and actual resolution dates - resolution action M
I-1.6.2Issue tracking shall include escalation procedures and a mechanism for reporting high priority problemsimmediately to NYSBOE for resolution through closure. M
I-1.6.3 The System Integrator shall track issue status and report issues to NYSBOE on at least a weekly basis. M
I-1.6.4 Issue reports generated by the issue tracking system shall become part of System Integrator's Status Reports. M
I-1.6.5The System Integrator shall provide, at a minimum, read-only access to the issue tracking system to keyNYSBOE staff as designated by NYSBOE. M
I-1.6.6 The System Integrator shall submit its Issue Resolution Plan within 15 days of project initiation. MI-1.7 Performance Reporting
I-1.7.1The System Integrator shall provide bi-weekly written status reports to document current status of project tasksand milestones, key performance measures, issues, accomplishments, etc. M
I-1.7.2The vendor shall develop a list of key performance measures and problem indicators jointly with NYSBOEproject management. M
I-1.8 Risk Management
I-1.8.1 The System Integrator shall provide project Risk Management Plan upon project initiation which identifiesproject risks, their probability, impact, and potential mitigations. M
I-1.9 Project Oversight / IV&V
I-1.9.1
The NYSVoter II System Project may use a Project Oversight vendor to provide project oversight includingtasks such as review and evaluation of project management and project development processes, review andevaluation of System Integrator deliverables and other work products (including major project milestones suchas preliminary and final designs), risk identification and resolution, and reporting to NYSBOE. The SystemIntegrator shall work cooperatively with the NYSBOE's Project Oversight vendor, providing the vendor with allinformation and deliverables required by the NYSBOE Project Team. M
I-1.10 Work Standards
I-1.10.1
The System Integrator shall use the standard project management, word processing, presentation andspreadsheet products used by the NYSBOE (Microsoft Office), at the version levels specified by the NYSBOE(currently MS Office 2003), in the preparation of all Project correspondence and deliverables. The SystemIntegrator shall upgrade internal software versions at no cost to NYSBOE to remain compatible with NYSBOEstandards. M
I-1.10.2Documents shall be presented to NYSBOE in the format specified by NYSBOE in deliverables specificationsheets. M
I-1.10.3The System Integrator shall make available all project deliverables in electronic format and supply hard copiesof each deliverable if requested. M
I-1.10.4The System Integrator shall maintain Project Workbooks to store work papers not related to specificdeliverables. All Project Work Papers and Workbooks developed in connection with the NYSVoter II SystemProject shall be the property of the NYSBOE. M
I-1.10.6 System Integrator staff shall perform all work (e.g., design, configuration, development, testing andimplementation) at facilities in the continental USA and shall permit periodic site inspection by NYSBOE staff. M
I-1.11 Standards for NYS BOE Acceptance of DeliverablesI-1.11.1 All System Integrator project deliverables shall be subject to NYSBOE review and approval. M
I-1.11.2Upon project initiation, NYSBOE and the System Integrator shall mutually agree in writing to the durations forreview and finalization of each System Integrator deliverables. M
I-1.11.3Each project deliverable shall be submitted to the NYSBOE for review and acceptance with an approveddeliverable specification sheet. M
I-1.11.4The System Integrator shall ensure that, for deliverables that contain software, NYSBOE's deliverable reviewprocess may incorporate acceptance testing as detailed in the approved Acceptance Test Plan. M
I-1.11.5The System Integrator shall certify in the cover letter for each deliverable that the System Integrator's internaldeliverable review process was followed for the deliverable. The System Integrator shall not receive partialpayment for incomplete deliverables. M
I-2 DEPLOYMENT
I-2.1
The System Integrator shall provide a detailed plan to address the deployment of NYSVoter II within NYS BOE and throughout the counties. The Deployment Plan shall include, but is not limited to: - Deployment of the solution by phases (i.e., functions) and/or pilot implementation - A detailed schedule that clearly defines key milestones, deliverables, tasks and responsibilities - Incorporation of hardware, software, network, and data conversion activities and sequencing - Coordination with a State Data Center that includes a clear definition of data center responsibilities and tasks - Input to a future NYSBOE Business Continuity/ Disaster Recovery plan and impact to existing operations M
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The System Integrator shall provide an organizational change management plan that provides the NYSBOE with necessary planning guidance to effectively transition the NYSBOE and county organizations to the NYSVoter II System environment. The organizational change management plan will include, but not be limited to: - Key management roles, responsibilities and tasks - An organizational transition schedule that clearly defines key milestones, deliverables, tasks and responsibilities M
I-2.3The System Integrator shall submit the final Deployment Plan at least 45 days prior to NYSVoter II Systemdeployment. M
I-2.4The System Integrator shall submit the final organizational change management plan at least 45 days prior toNYSVoter II System deployment. M
I-3 TRAINING
I-3.1The System Integrator shall provide end user training for up to ten (10) NYSBOE staff that includes curriculumand training for the team that will be charged with the responsibility for NYSVoter II. M
I-3.2 The System Integrator shall provide training to NYSBOE technical staff, including but not limited to: MI-3.2.1 The NYSVoter II database structure and design MI-3.2.2 System and Application Architecture MI-3.2.3 Query development MI-3.2.4 Reports development MI-3.2.5 System administration M
I-3.3The System Integrator shall recommend upon project initiation a formal training curriculum for NYSBOE thatwill enable NYSBOE technical staff to acquire (at NYSBOE expense) the skills necessary to supportapplication modifications and enhancements to NYSVoter II following the contracted support period . M
I-3.4
The System Integrator shall develop and administer a skills gap analysis to identified NYSBOE technical staffwho will be responsible for application support at the end of the contracted period. The gap analysis willreview skills needed to support and maintain NYSVoter II. NYSBOE may ask the System Integrator to providestaff training if necessary to close the gap. M
I-3.5The System Integrator shall provide all training materials and training equipment necessary to conduct SystemIntegrator training sessions. M
I-3.6The System Integrator shall provide train the trainer curriculum and training to end user training teamresponsible for county and internal user training (estimated at 62 staff). M
I-3.7 The System Integrator shall provide a copy of the training syllabus (subject to the approval of NYSBOE) andtraining objectives for any training to be delivered at least 10 business days prior to any training session. M
I-3.8
The System Integrator shall be responsible for providing trainers who have expertise and extensive knowledgein the topics to be covered. Trainer effectiveness shall be evaluated by NYSBOE trainees on a scale of 1-10where "10" is "excellent", for accomplishment of training objectives. If the training does not meet averagetrainee satisfaction of at least "7", the System Integrator shall provide additional training to accomplish thetraining objectives. M
I-3.9The System Integrator shall submit training curriculum and training materials to NYSBOE in a form and formatthat shall be acceptable to NYSBOE and as described in a deliverables specification sheet, at least 15 daysprior to the training event. The curriculum shall be subject to approval of NYSBOE. M
I-4 KNOWLEDGE TRANSFER
I-4.1The System Integrator shall submit a Knowledge Transfer Plan to NYSBOE within 30 days of project initiation.The plan shall be subject to approval by NYSBOE. M
I-4.2The System Integrator shall provide opportunity for NYSBOE technical staff to work collaboratively withSystem Integrator staff during the design, configuration, and development of NYSVoter II to facilitateknowledge transfer from System Integrator to NYSBOE staff. M
I-5 TESTING
I-5.1The System Integrator shall use an industry standard software development and testing methodology, toinclude unit, system, integration and acceptance testing (functional, performance and reliability). M
I-5.1.1The System Integrator shall develop a system test plan outlining the testing methodology and testing approachand timeline. M
I-5.1.2The System Integrator shall develop county VR/EMS interface test cases and test condition for counties to testtheir portion of interfaces to NYSVoter II. M
I-5.2
The System Integrator shall provide and maintain at least five (5) separate physical system environments: 1)development, 2) test, 3) training/conversion, 4) production 1 and 5) production 2 (alternative site). Allapplication changes shall move from development to test, from test to training, from training to productionunder a rigorous change management and acceptance testing process. M
I-5.3The System Integrator shall use approved quality control (QC) measures and practices that shall beimplemented to ensure that all systems, network services, and applications are rigorously tested prior toimplementation in production and are continuously monitored following implementation. M
I-5.4The System Integrator shall provide an Acceptance Test Plan (ATP) 30 days prior to the start of initialacceptance testing. M
I-5.5 The System Integrator shall provide training on the testing procedures to NYSBOE's testing staff. M
I-5.6Formal written Acceptance of NYSVoter II by NYS BOE will be contingent upon, but not limited to, successfulcompletion of the Acceptance Test Plan, which includes reliability, performance and functional testing metricsand standards. M
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The System Integrator shall provide reliability testing for a period of 30 consecutive days from commencementof reliability testing, with a minimum of 99% availability during the reliability test period (not including regularlyscheduled maintenance or down time). Availability will include equipment availability and availability ofapplication software based upon availability calculations proposed by the System Integrator and approved bythe State. In total, the cumulative duration of loss of any mission essential function caused by either hardwareor software failures shall not exceed the specified value (e.g., 1% of total elapsed time). A mission essentialfunction is any function or feature whose loss requires unscheduled maintenance or intervention (e.g.,server/workstation reboot) in order to continue normal operations. Failures attributed to operator error, usermaintenance errors, abuse, or secondary failures will not be considered relevant for the purposes of reliabilitytesting. All major systems and subsystems will be included in the reliability testing phase. M
I-5.8The System Integrator shall provide comprehensive performance testing, prior to deployment, thatdemonstrate the processing and response times of mission critical functions and transactions underoperational conditions (e.g., scenario scripts and system load and stress) in the production environment. M
I-5.8.1The System Integrator shall develop a performance test plan outlining the testing methodology and testingapproach and timeline. M
I-5.9 The System Integrator shall assist NYSBOE in the development of test data. M
I-5.10The System Integrator shall provide, with NYSBOE participation, functional testing of, and traceability to, eachfunctional requirement identified in the RFP, verifiable through inspection, demonstration, analysis or test (priorto deployment). M
I-5.11The System Integrator shall provide a classification and tracking method for system or application errorsduring acceptance testing that describes the severity of deficiency, and determination based upon severity, ofwhether that error must be corrected prior to System Acceptance. M
I-5.12The System Integrator shall acquire and use an industry standard testing tool(s) for all required testing, subjectto approval by NYSBOE. M
I-5.13 The System Integrator shall license testing tools for use by NYSBOE. M
I-5.14System Integrator shall conduct network analysis and identify likely network deficiencies to NYSBOE within 45 days after project initiation. State shall resolve all identified network deficiencies and confirm such resolutions to System Integrator. System Integrator shall then conduct end-to-end performance testing of NYSVoter II. M
I-6 DESIGN AND DEVELOPMENT METHODOLOGYI-6.1 Software Development Process
I-6.1.1The System Integrator shall provide a system development methodology to support the software lifecycle thatshall include the use of commercially available system design and development tools. M
I-6.1.2 The System Integrator shall provide a Software Development Plan for the NYSVoter II Project prior tocommencement of design or development of the NYSVoter II solution. M
I-6.1.3 The NYSVoter II software development process shall support the intent to develop a system that ismanageable, flexible and responsive to technology and program changes. M
I-6.1.4The System Integrator shall use industry recognized software development processes as defined by IEEE,CMM, ISO 9000 series, or similar software development processes. M
I-6.1.5The System Integrator shall produce general and detailed design documentation for all modifications to theWA transfer solution required to meet NYS business and technical requirements. M
I-6.2 Configuration Management
I-6.2.1
The System Integrator shall provide a structured Configuration Management Plan within 15 days of projectinitiation that describes the System Integrator's configuration management approach and plan for theNYSVoter II Project that includes, but is not limited to, development of specifications, general design, detaileddesign, testing and implementation. M
I-6.2.2The System Integrator shall document and perform change control processes in support of the ConfigurationManagement Plan. M
I-6.2.3 The System Integrator shall provide any necessary configuration management tools.
I-6.2.4The System Integrator shall perform configuration management throughout the term of the Agreement andaccording to the configuration management documents approved by NYSBOE. M
I-6.3 Measurement
I-6.3.1The System Integrator shall provide in its bi-weekly status reports the status of design and developmentmetrics, including but not limited to: M
I-6.3.1.1 Requirements Status MI-6.3.1.2 Design Status MI-6.3.1.3 Development Status MI-6.3.1.4 Data Conversion Status MI-6.3.1.5 Test Status M
I-6.3.2The System Integrator shall recommend specific metrics for design and development activities prior tocommencement of design or development activities. M
I-6.4 Verification and Validation
I-6.4.1The System Integrator shall be responsible for establishing and enforcing an internal verification process thataddresses the design, coding, and integration of the NYSVoter II solution, which shall be approved byNYSBOE prior to commencement of design or development activities. M
I-6.4.2The System Integrator shall be responsible for validating software components of the NYSVoter II solutionthrough testing and demonstration of system during the Acceptance Test procedure. M
I-6.5 County VR/System Assessment
I-6.5.1 The System Integrator shall be responsible for establishing county VR/EMS integration complianceassessment criteria to determine if the various county VR/EMS systems can integrate with NYSVoter II. M
I-6.5.2The System Integrator shall be responsible for performing an integration assessment of the county VR/EMSsystems to determine which county VR/EMS systems are not compliant with the integration assessmentcriteria and must be upgraded to a compliant VR/EMS system. M
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I-6.6.1The System Integrator shall be responsible for creating detailed hardware and software specifications forNYSVoter II and required county hardware and software specifications. M
I-6.6.2The System Integrator shall be responsible for sizing the required database and hardware requirements forNYSVoter II. M
I-6.6.3 The System Integrator shall assist NYSBOE with the installation of required hardware and software as needed. MI-6.7 Design, Development and Test Site
I-6.7.1The System Integrator shall provide a secure design, development and testing (unit, integration, system) worksite, within the continental USA that has back-up and recovery capabilities for the development,conversion/training and testing environments. Testing requiring NYSBOE or county end users, including butnot limited to Acceptance Test, shall be performed on-site in New York or the County BOE. M
I-7 DATA CONVERSION
I-7.1
The System Integrator shall develop a detailed Conversion Plan outlining the data conversion methodologyand approach for reconciling converted data from the various county VR/EMS systems. The Conversion Planshall also include proposed timelines and include an approach for conducting mock conversions prior to theactual data conversion. M
I-7.1.1The System Integrator shall perform data-mapping activities to map data elements from the county VR/EMSsystems to the NYSVoter II data structure. M
I-7.1.2The System Integrator shall design and develop any conversion data load routines and associated conversiondata reconciliation reports/queries. M
I-8 SYSTEM ACCEPTANCE
I-8.1
The System Integrator shall be responsible for resolving any system issues related to NYSVoter II during thesystem acceptance period. The System Integrator shall assist NYSBOE with identifying issues that need to beresolved by the network vendor, OFT or the county VR/EMS system vendors and coordinate thier resolution.The system acceptance period shall commence when NYSVoter II is deployed to all NYS counties and endwhen NYSBOE determines that all system acceptance criteria have been met. M
I-8.2
The system acceptance criteria for NYSVoter II include:-Full deployment of NYSVoter II is completed.-The delivered source software is installed on appropriately configured hardware, with no errors and nowarnings for at least 30 days after the final version has been installed.-The system passes acceptance test as agreed to by the System Integrator and NYSBOE.-The documentation, source code and training manuals are accepted to NYSBOE.-All project deliverables completed by full NYSVoter II deployment have passed technical and quality reviews.-All business, technical and implementation requirements of this RFP have been met. M
Requirement Category - D - Desired, M - Mandatory
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SS-1.1The System Integrator shall provide telephone, email and Web-based Help Desk support for problemresolution and troubleshooting for the duration of system deployment, the system acceptance period and themaintenance period, per terms of the approved Help Desk Support Plan. M
SS-1.2 The System Integrator Help Desk support shall be staffed 8-5 Mon to Friday except through Election Time(define this) during which it shall be 24-hour by seven days per week. M
SS-1.3The System Integrator shall provide appropriate software (selection of which shall be approved by NYS BOE)to log, manage, escalate, and resolve help desk problems, requested changes, system issues, etc., identifiedby NYSVoter II users, including NYS BOE staff and county users and vendors. M
SS-1.4 The System Integrator shall develop, provide and maintain documented help desk procedures for theNYSVoter II system and application environment, including help desk procedures. M
SS-1.5 The System Integrator shall provide application training to all NYS BOE Help Desk personnel (8-12) on the useof NYSVoter II and any System Integrator Help Desk software. M
SS-1.6 The System Integrator shall develop and provide written Help Desk troubleshooting procedures for theNYSVoter II system and application environment. M
SS-1.7The System Integrator shall be responsible for Tier III (and above) Help Desk support. (NYSBOE will beresponsible for Tier I and Tier II support of the application). M
SS-1.8 The System Integrator shall acknowledge initial problem receipt and problem resolution to NYSBOE HelpDesk. M
SS-1.9The System Integrator shall provide monthly status reporting including, but not limited to, Help Desk staffing,call volumes, call duration (average and peak), call times, peak usage, call types, quality issues, andrecommendations. M
SS-1.10The System Integrator shall supply information to the NYSBOE Help Desk on problems or events, includingbut not limited to, problem description, start and end dates/times, actual or potential cause(s), corrective actiontaken, and future action required. M
SS-1.11The System Integrator shall develop and provide standard help desk reports, including monthly operationalstatistics reports and weekly incident reports to ensure the System Integrator has met appropriate Help Deskservice level agreements. M
SS-2 SYSTEM MAINTENANCE AND OPERATIONSSS-2.1 System Warranty
SS-2.1.1The System Integrator shall provide a warranty period that covers one year after system acceptance byNYSBOE. This warranty will ensure that the NYSVoter II application functions in a stable and dependablemanner according to the design specifications. M
SS-2.1.2The System Integrator shall provide maintenance of all NYSVoter II software provided by System Integratorduring the warranty period. M
SS-2.2 System Maintenance and Operations Documentation
SS-2.2.1 The System Integrator shall update the system documentation monthly through the maintenance period.M
SS-2.3 Server Hardware and Software
SS-2.3.1 The System Integrator shall provide specifications for the installation, upgrade, maintenance, and licensing ofall server hardware and storage components. M
SS-2.3.2 The System Integrator shall monitor server hardware and storage service and quality as per the approvedSystem Maintenance Plan. M
SS-2.4 Network Connectivity
SS-2.4.1The System Integrator shall manage and coordinate the installation, upgrade, and maintenance of networkhardware and software required for NYSVoter II connectivity, excluding the NYSBOE LAN. M
SS-2.5 System Software
SS-2.5.1The System Integrator shall manage and coordinate the installation, upgrade, and maintenance of systemsoftware required for NYSVoter II operations. M
SS-2.5.2
The System Integrator shall maintain the following system software elements as per the approved SystemMaintenance Plan: System Software Standard Configuration (software settings, releases, customization) System Software Maintenance and Administration System Software Upgrades System Software Procedures and Documentation M
SS-2.5.3 The System Integrator shall coordinate system software backup activities as per approved Backup andRecovery Plan. M
SS-2.5.4 The System Integrator shall maintain system software in good operating condition as defined by NYSBOE.M
SS-2.6 Database Software
SS-2.6.1The System Integrator shall manage and coordinate the installation, upgrade, and maintenance of databasesoftware required for NYSVoter II operations. M
SS-2.6.2
The System Integrator shall maintain the following database software elements as per the approved SystemMaintenance Plan: Database Software Standard Configuration (settings and parameters, versions/releases) Database Software Maintenance and Administration Database Capacity Planning and Monitoring Database Performance Tuning Database Software Upgrades Database Software Procedures and Documentation M
SS-2.6.3 The System Integrator shall assist in database backup activities as per approved Backup and Recovery Plan. M
SS-2.7 Application Software
SS-2.7.1The System Integrator shall manage and coordinate the installation, upgrade, and maintenance of applicationsoftware required for NYSVoter II operations for NYSBOE. M
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SS-2.7.2The System Integrator shall provide technical service regarding application processes and tools and resolveapplication problems. M
SS-2.7.3 The System Integrator shall provide ongoing management, escalation, resolution, and reporting of applicationproblems, integrated with Help Desk activities. M
SS-2.7.4 The System Integrator shall define and maintain all version control methods and tools used to control therelease of software versions and source code to the Data Centers. M
SS-2.8 Backup and Recovery
SS-2.8.1The System Integrator shall provide recommendations for the protection of the NYSVoter II system using tools,equipment and procedures, including, but not limited to, backup and recovery from the consequences ofsystem failure. M
SS-2.9 Transition-Out Services
SS-2.9.1The System Integrator shall provide a Transition-Out Plan within the warranty period. The Plan must containtransition task descriptions, an organization chart, and job descriptions for the support staff. M
SS-2.9.2The System Integrator shall agree to continue normal NYSVoter II maintenance and operations activities untilcompletion of Transition-Out Plan activities. M
SS-2.9.3
The System Integrator shall provide to State staff and/or the State designee the following: technical and functional overviews of the system: System and technical training to State staff and/or designee Current copies of all NYSVoter II application software and source code for transfer to the State Current copies of all system and user documentation in electronic and hard-copy format Copies of the data dictionary, data relationships and business rules in electronic format
Detailed documentation of all NYSVoter II application modifications, including all changes in progress, inelectronic formatOverviews of all procedures, tools and administrative services provided under the contract listings and details
regarding all known system defects status of all current work orders, invoices, billings, etc. M
SS-2.9.4The System Integrator shall assist NYSBOE in the setup and installation of a development environment atNYSBOE within the first year of maintenance and support. M
SS-3 APPLICATION MODIFICATION AND UPGRADESS-3.1 General
SS-3.1.1The System Integrator shall ensure that all software modifications and upgrades are deployed using theconfiguration management, documentation, and integration, regression, and acceptance testing requirementsas per the approved Application Modification and Upgrade Document M
SS-3.1.2The System Integrator shall provide the appropriate technical resources to modify or enhance the NYSVoter IIapplication to ensure that NYSVoter II continues to support State and federal legislative or regulatoryrequirements thorough the maintenance period. M
SS-3.1.3The System Integrator shall provide justifiable resource and timeframe estimates for software design,development, testing, and deployment of all application modifications and upgrade requests within the timeframe established in the Contract. M
SS-3.1.4 The System Integrator shall begin and end each application modification and upgrade effort within thetimeframe established in the Contract. M
SS-3.2 Application Maintenance
SS-3.2.1 The System Integrator shall perform application maintenance for the NYSVoter II solution as part of themaintenance contract. M
SS-3.2.2 The maintenance contract shall include the following services: M
SS-3.2.2.1 Performing preventive maintenance such as source code restructuring, database reorganizations, application tuning and the recoding of application modules. M
SS-3.2.2.2 Repairing and testing of application defects that prevent the application from processing accurately or producing correct results or causes the application to have an abnormal end prior to job completion. M
SS-3.2.2.3 Modifying applications to meet regulatory changes (e.g., changes in election law), unless the modification exceeds the definition of maintenance (e.g., requires more workdays) M
SS-3.2.2.4 Providing cosmetic changes and presentation of data. MSS-3.3 Application Enhancements
SS-3.3.1The System Integrator and State shall define an enhancement as being outside of the maintenance contract, ifthe change request is not described in Application Maintenance, SS-3.2 (above), and the change requires 1FTE (full-time equivalent) more than five work days (40 hours) to complete. M
SS-3.3.2 Enhancements not currently included in the maintenance contract may include the following services, asrequested by NYS BOE: M
SS-3.3.3 End-user requests regarding existing applications for new features MSS-3.3.4 Customization of third-party application software MSS-3.3.5 New modified and ad hoc reports M
SS-3.3.6
The System Integrator shall provide, as a scoping estimate, 1,000 hours during each maintenance year thatmay be utilized by NYSBOE to conduct application enhancements or other technical support (e.g. transition outservices, etc.). In addition:
System Integrator shall provide justifiable estimates for work authorizations (reviewable by third party ifrequested by NYSBOE) M
SS-3.4 Software Change Management Procedures
SS-3.4.1The System Integrator shall develop a software change management procedure as part of the ApplicationModification and Upgrade Procedures. M
SS-3.4.2
The software change management procedures provided by the System Integrator shall include, but are notlimited to: Acceptance process that includes testing, NYSBOE acceptance, and deployment procedures Processes for deployment of NYSVoter II application changes M
SS-4 PERFORMANCE MANAGEMENT
SS-4.1The System Integrator shall provide NYSBOE with methodologies and tools to demonstrate NYSVoter II abilityto meet the performance requirements in both the Development and Production environments as stated in theContract. M
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SS-4.2The System Integrator shall develop procedures and tools for performance measurements including, but notlimited to, the following: M
SS-4.2.1 System availability MSS-4.2.2 CPU utilization MSS-4.2.3 I/O utilization MSS-4.2.4 System Memory MSS-4.2.5 Disk utilization MSS-4.2.6 Transaction volumes MSS-4.2.7 Response time M
SS-4.3The System Integrator shall work with the State Data Center and county operated VR/EMS systems tomeasure system performance, utilization, and availability on an ongoing basis during the warranty period.
M
SS-4.4 The System Integrator shall provide NYSBOE with a strategy for performance testing appropriate tobenchmark end-to-end processing. M
Instructions: Bidders must use this sheet to list HW/SW required for the NYSVoter II solution. 1. For each of the required environments, define the baseline software and hardware needed, per environment, to support the solution. 2. For lengthy responses, provide a cross reference to the Footnotes worksheet to supply sufficient detail.3. For software "license type", specify the type of license using P=Product, N=Named Seat, U=Number of Concurrent Users, E=Enterprise, O=Other (describe).
EnvironmentFoot Note
#Product Name Product
Description VendorProduct
no, version
License Type
Length ofWarranty
Install & config desc
Description of Maint Agreement Qty
Development Insert rows as neededTesting Insert rows as neededTraining/Conversion Insert rows as neededProduction Insert rows as neededProduction 2 (Alternative Site) Insert rows as needed
PAGE 1 OF 2
Footnotes to Hardware and Software SpecificationsNYSVoter II
Attachment B
Bidder NameInstructions: Bidders may use this worksheet to list footnotes to the Hardware and Software specification worksheet. DO NOT USE THIS WORKSHEET FOR FOOTNOTES TO ANY OTHER PRICE SHEET(S).
PAGE 2 OF 2
A Request for Proposal (RFP) for the
New York State Board of Elections
System Integrator Implementation Assistance for NYSVOTER II
Required Forms
Attachment C
8 May 2006
New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Table of Contents 1. REQUIRED FORMS................................................................................................................... 1
Signature Page ..................................................................................................................................... 2 INDIVIDUAL, CORPORATION, PARTNERSHIP, OR LLC ACKNOWLEDGMENT............................. 3 New York State Standard Vendor Responsibility Questionnaire.......................................................... 4 Offerer’s Affirmation of Understanding of and Agreement pursuant to New York State Finance
Law §139-j (3) and §139-j (6) (b) .............................................................................................. 10 Offerer Disclosure of Prior Non-Responsibility Determinations.......................................................... 11 Offerer’s Certification of Compliance with State Finance Law §139-k(5) ........................................... 13 Executive Order No. 127 Forms ......................................................................................................... 14 ST-220 — Taxation and Finance Certification.................................................................................... 18 MacBride Fair Employment Principles................................................................................................ 25 Non-Collusive Bidding Certification .................................................................................................... 25 Security/Confidentiality ....................................................................................................................... 26
8 May 2006 Page i
New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
1. Required Forms The following required forms are to be submitted with the proposer’s proposal. The forms include:
Signature Page;
Corporate Acknowledgement (must be notarized);
Standard Vendor Responsibility Questionnaire;
Offerer’s Affirmation of Understanding of and Agreement pursuant to New York State Finance Law;
Offerer Disclosure of Prior Non-Responsibility Determinations;
Offerer’s Certification of Compliance with State Finance Law §139-k(5);
Executive Order 127 Forms;
ST-220 — Taxation and Finance Certification;
MacBride Principles;
Security/Confidentiality Form (required upon award)
8 May 2006 Page 1
New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Signature Page CONTRACT NO. (To be completed by Agency)
AGENCY CERTIFICATION (In addition to the acceptance of this contract, I also certify that original copies of this signature page will be attached to all other exact copies of this contract.)
AGENCY: CONTRACTOR:
Signature Signature
Date Print Name and Title
Company
Address
City State Zip
Telephone Number
Federal I.D. Number
ATTORNEY GENERAL: COMPTROLLER:
Signature Signature
Date Date
8 May 2006 Page 2
New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
INDIVIDUAL, CORPORATION, PARTNERSHIP, OR LLC ACKNOWLEDGMENT
STATE OF }
: ss.:
COUNTY OF }
On the day of in the year 20 , before me personally appeared: , known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that _he resides at .
Town of , County of , State of , and further that:
[Check One]
( If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf.
( If a corporation): _he is the of , the corporation described in said instrument; that, by authority of the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation.
( If a partnership): _he is the of , the partnership described in said instrument; that, by the terms of said partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said partnership as the act and deed of said partnership.
( If a limited liability company): _he is a duly authorized member of , LLC, the limited liability company described in said instrument; that _he is authorized to execute the foregoing instrument on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liability company.
Notary Public Registration No.
8 May 2006 Page 3
New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
New York State Standard Vendor Responsibility Questionnaire (Use the Uniform Contracting Questionnaire CCA-1, for all construction contracts)
Each Contracting Agency conducts a review of prospective contractors (“vendors”) to provide reasonable assurances that the vendor is responsible. This questionnaire is used for all non-construction contracts with a contract value of $100,000.00 or more and is designed to provide information to assess a vendor’s authorization to do business in New York State, as well as your business integrity, financial and organizational capacity, and performance history. (Review of construction contractors will be based upon the Uniform Contracting Questionnaire developed by the Council of Contracting Agencies.)
Each vendor must answer every question contained in this questionnaire. Where a response requires additional information, the vendor must attach a written response that adequately details the requested information. Please number each response to match the question number. The completed questionnaire and attached responses will become part of the procurement record.
In order to expedite the required review, when providing additional information for a “YES” answer to Questions 14 a-s, or any other response which requires additional explanation, your information and responses should address the relationship of the issue to the proposed contract. Be brief, concise and to the point. Discuss as appropriate the following:
Provide a description of the issue and identify the actions taken or currently being implemented to ensure that the issue will not occur again.
State whether the staff and/or organizational component involved in the identified issue(s) will work on the proposed contract. If so, provide information to assure the agency that the issue will not be repeated.
Identify the relationship (or lack thereof) between the product/services involved in the issue and the type of product/services proposed for this contract.
State whether the issue will affect your financial or organizational ability to perform under the proposed contract.
Provide copies of relevant documents or any other information that would assist the agency in its vendor responsibility evaluation.
It is imperative that the person completing the vendor responsibility questionnaire be knowledgeable about the proposing vendor’s business and operations, as an owner or officer of the vendor must attest to the questionnaire information. Please be advised that at the end of this questionnaire, you must certify, under oath, all responses given.
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1. LEGAL BUSINESS NAME:
2. FEDERAL EMPLOYER ID NO. (FEIN):
3. D/B/A — Doing Business As (if applicable):
COUNTY FILED:
4. WEBSITE ADDRESS (if applicable):
5. PRINCIPAL PLACE OF BUSINESS ADDRESS:
6. TELEPHONE NUMBER: 7. FAX NUMBER:
8. AUTHORIZED CONTACT FOR THIS QUESTIONNAIRE:
Name:
Title:
Telephone Number:
Fax Number:
E-mail:
9. TYPE OF BUSINESS: (please check appropriate box and provide additional information)
e) Limited Liability Company (LLC) Jurisdiction filed:
f) Limited Partnership State/County filed in
g) Other — Specify: Jurisdiction Filed (if applicable) 10. If not incorporated or formed in New York State, please provide a current certificate of good
standing from your state or applicable local jurisdiction. 11. List name and title of each principal, owner, officer, major stockholder (10% or more of the voting
shares for publicly traded companies, 25% or more of the shares for all other companies), director and member, as applicable:
a)
b)
c)
d)
e)
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
f)
g)
h)
12. AUTHORIZED CONTACT FOR THE PROPOSED CONTRACT:
Name:
Title:
Telephone Number:
Fax Number:
E-mail:
Vendor FEIN
13. DOES THE VENDOR USE, OR HAS IT USED IN THE PAST FIVE (5) YEARS, ANY OTHER BUSINESS NAME, FEIN, OR D/B/A OTHER THAN WHAT IS LISTED IN QUESTIONS 1-3 ABOVE?
Yes No
If yes, provide the name(s), FEIN(s) and d/b/a(s) and the address for each such company and d/b/a on a separate piece of paper and attach to this response.
14. WITHIN THE PAST FIVE (5) YEARS, HAS THE VENDOR, ANY PRINCIPAL, OWNER, OFFICER, MAJOR STOCKHOLDER (10% OR MORE OF THE VOTING SHARES FOR PUBLICLY TRADED COMPANIES, 25% OR MORE OF THE SHARES FOR ALL OTHER COMPANIES), AFFILIATE1 OR ANY PERSON INVOLVED IN THE BIDDING, CONTRACTING OR LEASING PROCESS BEEN THE SUBJECT OF ANY OF THE FOLLOWING:
Yes No
a) a judgment or conviction for any business related conduct constituting a crime under federal, state or local government law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing or bid collusion or any crime related to truthfulness and/or business conduct?
Yes No
b) a criminal investigation or indictment for any business related conduct constituting a crime under federal, state or local government law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing or bid collusion or any crime related to truthfulness and/or business conduct?
Yes No
c) an unsatisfied judgment, injunction or lien for any business related conduct obtained by any federal, state or local government agency including, but not limited to, judgments based on taxes owed and fines and penalties assessed by any federal, state or local government agency?
Yes No
d) an investigation for a civil or criminal violation for any business related conduct by any federal, state or local agency?
Yes No
1 "Affiliate" meaning: (a) any entity in which the vendor owns more than 50% of the voting stock; (b) any individual, entity or group of principal owners or officers who own more than 50% of the voting stock of the vendor; or (c) any entity whose voting stock is more than 50% owned by the same individual, entity or group described in clause (b). In addition, if a vendor owns less than 50% of the voting stock of another entity, but directs or has the right to direct such entity’s daily operations, that entity will be an “affiliate” for purposes of this questionnaire.
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e) a grant of immunity for any business-related conduct constituting a crime under federal, state or local governmental law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing, bid collusion or any crime related to truthfulness and/or business conduct?
Yes No
f) a federal, state or local government suspension or debarment from the contracting process?
Yes No
g) a federal, state or local government contract suspension or termination for cause prior to the completion of the term of a contract?
Yes No
h) a federal, state or local government denial of a lease or contract award for non-responsibility?
Yes No
i) an administrative proceeding or civil action seeking specific performance or restitution in connection with any federal, state or local contract or lease?
Yes No
1"Affiliate"meaning: (a) any entity in which the vendor owns more than 50% of the voting stock; (b) any individual, entity or group of principal owners or officers who own more than 50% of the voting stock of the vendor; or (c) any entity whose voting stock is more than 50% owned by the same individual, entity or group described in clause (b). In addition, if a vendor owns less than 50% of the voting stock of another entity, but directs or has the right to direct such entity’s daily operations, that entity will be an “affiliate” for purposes of this questionnaire.
j) a federal, state or local determination of a willful violation of any public works or labor law or regulation?
Yes No
k) a sanction imposed as a result of judicial or administrative proceedings relative to any business or professional license?
Yes No
l) a consent order with the New York State Department of Environmental Conservation, or a federal, state or local government enforcement determination involving a violation of federal, state or local laws?
Yes No
m) an Occupational Safety and Health Act citation and Notification of Penalty containing a violation classified as serious or willful?
Yes No
n) a rejection of a bid on a New York State contract or a lease with the State for failure to comply with the MacBride Fair Employment Principles?
Yes No
o) a citation, violation order, pending administrative hearing or proceeding or determination issued by a federal, state or local government for violations of:
Yes No
health laws, rules or regulations Yes No unemployment insurance or workers’ compensation coverage or
claim requirements Yes No
ERISA (Employee Retirement Income Security Act) Yes No human rights laws Yes No federal U.S. Citizenship and Immigration Services laws Yes No Sherman Act or other federal anti-trust laws Yes No
p) entered into an agreement to a voluntary exclusion from contracting with a federal, state or local governmental entity?
Yes No
q) a denial, decertification, revocation or forfeiture of Women’s Business Enterprise, Minority Business Enterprise or Disadvantaged Business Enterprise status?
Yes No
r) a rejection of a low bid on a federal, state or local contract for failure to meet statutory affirmative action or Minority or Women's Business Enterprise or Disadvantaged Business Enterprise status requirements on a previously held contract?
Yes No
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s) a finding of non-responsibility by an agency or authority due to the intentional provision of false or incomplete information as required by Executive Order 127?
Yes No
FOR EACH YES ANSWER TO QUESTIONS 14 a-s, PROVIDE DETAILS ON ADDITIONAL SHEETS REGARDING THE FINDING, INCLUDING BUT NOT LIMITED TO CAUSE, CURRENT STATUS, RESOLUTION, ETC.
15. DURING THE PAST THREE YEARS, HAS THE VENDOR FAILED TO: a) FILE RETURNS OR PAY ANY APPLICABLE FEDERAL, STATE OR
LOCAL GOVERNMENT TAXES? Yes No
If yes, identify the taxing jurisdiction, type of tax, liability year(s) and tax liability amount the company failed to file/pay and the current status of the liability:
b) FILE RETURNS OR PAY NEW YORK STATE UNEMPLOYMENT INSURANCE?
Yes No
If yes, indicate the years the company failed to file/pay the insurance and the current status of the liability:
16. HAVE ANY BANKRUPTCY PROCEEDINGS BEEN INITIATED BY OR AGAINST
THE VENDOR OR ITS AFFILIATES WITHIN THE PAST SEVEN YEARS (WHETHER OR NOT CLOSED) OR IS ANY BANKRUPTCY PROCEEDING PENDING BY OR AGAINST THE VENDOR OR ITS AFFILIATES, REGARDLESS OF THE DATE OF FILING?
Yes No
If yes, indicate if this is applicable to the submitting vendor or one of its affiliates:
If it is an affiliate, include the affiliate’s name and FEIN:
Provide the court name, address and docket number:
Indicate if the proceedings have been initiated, remain pending or have been closed:
If closed, provide the date closed:
17. DOES VENDOR HAVE THE FINANCIAL RESOURCES NECESSARY TO FULFILL THE REQUIREMENTS OF THE PROPOSED CONTRACT?
Yes No
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Vendor FEIN
STATE OF }
: ss.:
COUNTY OF }
Certification:
The undersigned, personally and on behalf of the vendor identified in questions 1-3 above, does hereby state and certify to the New York State Office of General Services that the information given above is true, accurate and complete. It is further acknowledged that the State of New York and the Office of General Services will rely upon the information contained herein and in any attached pages for purposes of evaluating our company for vendor's responsibility for contract award and the State may, in its discretion, by means which it may choose, verify the truth and accuracy of all statements made herein. It is further acknowledged that intentional submission of false or misleading information may constitute a felony under Penal Law Section 175.35 or may constitute a misdemeanor under Penal Law Sections 175.30, 210.35 or 210.45, and may also be punishable by a fine and/or imprisonment of up to five years under 18 USC Section 1001 and may result in contract termination.
Name of Business Signature of Officer
Address Typed Copy of Signature
City, State, Zip Title
Sworn to before me this day of 20 .
Notary Public (Signature):
Notary Public (Typed Name):
Registration No:
State:
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Offerer’s Affirmation of Understanding of and Agreement pursuant to New York State Finance Law §139-j (3) and §139-j (6) (b) New York State Finance Law §139-j(6)(b) provides that:
Every Governmental Entity shall seek written affirmations from all Offerers as to the Offerer’s understanding of and agreement to comply with the Governmental Entity’s procedures relating to permissible contacts during a Governmental Procurement pursuant to subdivision three of this section.
Offerer affirms that it understands and agrees to comply with the procedures of the Government Entity relative to permissible contacts as required by New York State Finance Law §139-j (3) and §139-j (6) (b).
By Date
Name
Title
Contractor Name
Contractor Address
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Offerer Disclosure of Prior Non-Responsibility Determinations
Background
New York State Finance Law §139-k(2) obligates a Governmental Entity to obtain specific information regarding prior non-responsibility determinations with respect to State Finance Law §139-j. This information must be collected in addition to the information that is separately obtained pursuant to State Finance Law §163(9). In accordance with State Finance Law §139-k, an Offerer must be asked to disclose whether there has been a finding of non-responsibility made within the previous four (4) years by any Governmental Entity due to: (a) a violation of State Finance Law §139-j or (b) the intentional provision of false or incomplete information to a Governmental Entity. The terms “Offerer” and “Governmental Entity” are defined in State Finance Law § 139-k(1). State Finance Law §139-j sets forth detailed requirements about the restrictions on Contacts during the procurement process. A violation of State Finance Law
§139-j includes, but is not limited to, an impermissible Contact during the restricted period (for example, contacting a person or entity other than the designated contact person, when such contact does not fall within one of the exemptions).
As part of its responsibility determination, State Finance Law §139-k(3) mandates consideration of whether an Offerer fails to timely disclose accurate or complete information regarding the above non-responsibility determination. In accordance with law, no Procurement Contract shall be awarded to any Offerer that fails to timely disclose accurate or complete information under this section, unless a finding is made that the award of the Procurement Contract to the Offerer is necessary to protect public property or public health safety, and that the Offerer is the only source capable of supplying the required Article of Procurement within the necessary timeframe. See State Finance Law §§139-j (10)(b) and 139-k(3).
Instructions
A Governmental Entity must include a disclosure request regarding prior non-responsibility determinations in accordance with State Finance Law §139-k in its solicitation of proposals or bid documents or specifications or contract documents, as applicable, for procurement contracts. The attached form is to be completed and submitted by the individual or entity seeking to enter into a Procurement Contract. It shall be submitted to the Governmental Entity conducting the Governmental Procurement.
Name of Individual or Entity Seeking to Enter into the Procurement Contract
Address
Name and Title of Person Submitting this Form
Contract Procurement Number
Date
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1. Has any Governmental Entity made a finding of non-responsibility regarding the individual or entity seeking to enter into the Procurement Contract in the previous four years? (Please check):
No Yes
If yes, please answer the next questions:
2. Was the basis for the finding of non-responsibility due to a violation of State Finance Law §139-j (Please circle):
No Yes
3. Was the basis for the finding of non-responsibility due to the intentional provision of false or incomplete information to a Governmental Entity? (Please check):
No Yes
4. If you answered yes to any of the above questions, please provide details regarding the finding of non-responsibility below.
Governmental Entity:
Date of Finding of Non-responsibility:
Basis of Finding of Non-Responsibility:
(Add additional pages as necessary)
5. Has any Governmental Entity or other governmental agency terminated or withheld a Procurement Contract with the above-named individual or entity due to the intentional provision of false or incomplete information? (Please check):
No Yes
6. If yes, please provide details below.
Governmental Entity:
Date of Termination or Withholding of Contract:
Basis of Termination or Withholding:
(Add additional pages as necessary)
Offerer certifies that all information provided to the Governmental Entity with respect to State Finance Law §139-k is complete, true and accurate.
By Date
Signature
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Offerer’s Certification of Compliance with State Finance Law §139-k(5) New York State Finance Law §139-k(5) requires that every Procurement Contract award subject to the provisions of State Finance Law §§139-k or 139-j shall contain a certification by the Offerer that all information provided to the Office of General Services with respect to State Finance Law §139-k is complete, true and accurate.
Offerer Certification:
I certify that all information provided to the Office of General Services with respect to State Finance Law §139-k is complete, true and accurate.
By Date
Name
Title
Contractor Name
Contractor Address
Procurement Lobbying Termination
The Office of General Services reserves the right to terminate this contract in the event it is found that the certification filed by the Offerer in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, the Office of General Services may exercise its termination right by providing written notification to the Offerer in accordance with the written notification terms of this contract.
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Executive Order No. 127 Forms
Contractor Disclosure of Contacts Form
This form shall be completed and submitted with your proposal in accordance with Executive Order Number 127 (EO 127). Failure to complete and submit this form shall result in a determination of non-responsiveness and disqualification of the bid, proposal or offer. If at the time of submission of this form, the specific name of a person authorized to attempt to influence a decision on your behalf is unknown, you agree to provide the specific person’s information when it is available. You also agree to update this information during the negotiation or evaluation process of this procurement, and throughout the term of any contract awarded to your company pursuant to this bid/proposal or offer. Please use as many sheets as are necessary to submit this information.
Name of Contractor
Address
Name and Title of Person Submitting this Form
Is this an initial filing in accordance with Section II, paragraph 1 of EO 127 or an updated filing in accordance with Section II, paragraph 2 of EO 127? (Please circle):
Initial filing Updated filing
The following person or organization was retained, employed or designated by or on behalf of the Contractor to attempt to influence the procurement process:
Name
Address
Telephone Number
Place of Principal Employment
Occupation
Does the above named person or organization have a financial interest in the procurement? (Please circle)
No Yes
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Contractor Disclosure of Prior Non-Responsibility Determinations
Name of Contractor
Address
Name and Title of Person Submitting this Form
Has any covered agency or authority made a finding of non-responsibility regarding the Contractor in the last five years? (Please circle):
No Yes
If yes was the basis for the finding of the Contractor’s non-responsibility due to the intentional provision of false or incomplete information required by Executive Order Number 127? (Please circle):
No Yes
If yes, please provide details regarding the finding of non-responsibility below.
Covered Agency or Authority:
Year of Finding of Non-Responsibility:
Basis of Finding of Non-Responsibility:
Has any covered agency or authority terminated a procurement contract with the Contractor due to the intentional provision of false or incomplete information required by Executive Order Number 127? (Please circle):
No Yes
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Contractor certifies that all information provided to the Agency with respect to Executive Order Number 127 is complete, true and accurate.
Contract Number
Agency Certification:
In addition to the acceptance of this contract, I also certify that original copies of this signature page will be attached to all other exact copies of this contract.
By Date
Name
Title
Contractor Certification:
By Date
Name
Title
Contractor
Address
Attorney General’s Signature
Approved Alan G. Hevesi Comptroller
By Date
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Contract Termination Provision
The Agency/Authority reserves the right to terminate this contract in the event it is found that the certification filed by the Contractor in accordance with New York State Executive Order Number 127, signed by Governor Pataki on June 16, 2003, was intentionally false or intentionally incomplete. Upon such finding, the Agency/Authority may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms of the contract.
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
ST-220 — Taxation and Finance Certification
New York State Department of Taxation and Finance
Contractor Certification (1/05)
(Pursuant to Section 5-a of the Tax Law)
For more information, see Publication 222, Question and Answers Concerning Tax Law Section 5-a.
Contractor name
For office use only Contract number
Contractor’s principal place of business City State ZIP code
Mailing address (if different than above)
Estimated contract value
Contractor's federal employer identification number (EIN)
Contractor's sales tax ID number (if different from contractor's EIN)
$
Contractor's telephone number
Contracting state agency
I, , hereby affirm, under penalty of perjury, that I am (name) (title) of the above-named contractor, that I am authorized to make this certification on behalf of such contractor, and that:
Part I. Contract services that are not services for purposes of Tax Law section 5-a (Mark an X in the box if this statement is applicable. If you mark this box, you do not have to complete Parts II through V.)
The requirements of Tax Law section 5-a do not apply because the subject matter of the contract concerns the performance of services which are not services within the meaning of Tax Law section 5-a.
(If you did not mark the box next to the statement in Part l, mark an X next to the applicable statement in Parts II through V.)
Part II. Contractor registration status
The contractor has made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made, and is registered for New York State and local sales and compensating use tax purposes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law.
As of the date of this certification, the contractor has not made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made.
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Part III. Affiliate registration status
As of the date of this certification, the contractor does not have any affiliates.
To the best of the contractor's knowledge, the contractor has one or more affiliates having made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made, and each affiliate exceeding the $300,000 sales threshold during such periods is registered for New York State and local sales and compensating use tax purposes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The contractor has listed on Schedule A of this certification the name, address, and identification number of each affiliate exceeding the $300,000 sales threshold during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made.
To the best of the contractor's knowledge, the contractor has one or more affiliates and, as of the date of this certification, each affiliate has not made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made.
Part IV. Subcontractor registration status
As of the date of this certification, the contractor does not have any subcontractors.
The contractor has one or more subcontractors, and each subcontractor has informed the contractor of whether or not, as of the date of this certification, it has made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made. Each subcontractor informing the contractor that it has made sales in excess of the $300,000 threshold during such periods has further informed the contractor that it is registered for New York State and local sales and compensating use tax purposes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The contractor has listed on Schedule A of this certification the name, address and identification number of each subcontractor exceeding the $300 000 sales threshold during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made.
The contractor has one or more subcontractors, and each subcontractor has informed the contractor that, as of the date of this certification, it has not made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made.
Part V. Subcontractor affiliate registration status
The contractor has one or more subcontractors, and each subcontractor has informed the contractor that, as of the date of this certification, it does not have any affiliates
The contractor has one or more subcontractors, and each subcontractor has informed the contractor of whether or not, as of the date of this certification it has any affiliates having made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August and November which immediately precede the quarterly period in which this certification is made. Each subcontractor informing the
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
contractor that it has one or more affiliates having made sales in excess of the $300,000 threshold during such periods has further informed the contractor that each such affiliate is registered for New York State and local sales and compensating use tax purposes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The contractor has listed on Schedule A of this certification the name, address and identification number of each affiliate exceeding the $300,000 sales threshold during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made.
The contractor has one or more subcontractors, and each subcontractor has informed the contractor that, as of the date of this certification, it has no affiliate having made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made.
Sworn to this day of , 20
(signature) (title)
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Individual, Corporation, Partnership, or LLC Acknowledgment
STATE OF }
: ss.:
COUNTY OF }
On the day of in the year 20 , before me personally appeared known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that _he resides at ,
Town of ,
County of ,
State of ; and further that:
[Mark an X in the appropriate box and complete the accompanying statement.]
(If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf.
(If a corporation): he is the of , the corporation described in said instrument; that, by authority of the Board of Directors of said corporation, he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation.
(If a partnership): he is the of , the partnership described in said instrument; that, by the terms of said partnership, he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said partnership as the act and deed of said partnership.
(If a limited liability company): he is a duly authorized member of LLC, the limited liability company described in said instrument; that he is authorized to execute the foregoing instrument on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, he executed the foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liability company.
Notary Public Registration No.
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Schedule A — List of affiliates, subcontractors, and affiliates of subcontractors
A Relationship to
Contractor B
Name C
Address
D ID
Number
E Sales Tax ID
Number
F Proof of
Registration
Column A — Enter C if the contractor; do not complete columns C, D, and E. Enter A if an affiliate of the contractor; S if a subcontractor; or SA if an affiliate of a subcontractor, and complete columns B through F.
Column B Name — If person is a corporation or limited liability company, enter the exact legal name as registered with the NY Department of State. If person is a partnership or sole proprietor, enter the name of the partnership and each partner's given name, or the given name(s) of the owner(s), as applicable. If person has a different DBA (doing business as) name, enter that name as well.
Column C Address — Enter the street address of person's principal place of business. Do not enter a PO box.
Column D ID number — Enter the federal identification number assigned to the person or person's business, as applicable.
Column E Sales tax ID number — Enter only if different from federal ID number in column D.
Column F Enter CA if a paper copy of the certificate of authority is attached; or RC if person is registered with DTF and has confirmed this status with DTF.
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Privacy notification The Commissioner of Taxation and Finance may collect and maintain personal information pursuant to the New York State Tax Law, including but not limited to, sections 5-a, 171, 171-a, 287, 308, 429, 475, 505, 697, 1096, 1142, and 1415 of that Law, and may require disclosure of social security numbers pursuant to 42 USC 405(c)(2)(C)(i).
This information will be used to determine and administer tax liabilities and, when authorized by law, for certain tax offset and exchange of tax information programs as well as for any other lawful purpose.
Information concerning quarterly wages paid to employees is provided to certain state agencies for purposes of fraud prevention, support enforcement, evaluation of the effectiveness of certain employment and training programs and other purposes authorized by law.
Failure to provide the required information may subject you to civil or criminal penalties, or both, under the Tax Law.
This information is maintained by the Director of Records Management and Data Entry, NYS Tax Department, W A Harriman Campus, Albany NY 12227; telephone 1 800 225-5829. From areas outside the United States and outside Canada, call (518) 485-6800.
Instructions General information
On August 20, 2004, New York State enacted section 5-a of the Tax Law requiring persons awarded contracts valued at more than $15,000 with state agencies, public authorities or public benefit corporations to certify that they, their affiliates, their subcontractors, and the affiliates of their subcontractors have a valid certificate of authority to collect New York State and local sales and compensating use taxes. A contractor, affiliate, subcontractor or affiliate of a subcontractor must be certified as having a valid certificate of authority if such person makes, or has made, aggregate sales delivered within New York State of more than $300,000 during the four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterly period in which this certification is made. A contractor must use Form ST-220, Contractor Certification, to make this certification before the contract may be approved by the Office of the State Comptroller (OSC), or other contract approver if OSC is not required to approve the contract.
This statute applies to contracts resulting from solicitations to purchase issued by governmental entities on or after January 1, 2005. In the case of contracts resulting from issuance of an invitation for bid (IFB) or a request for proposal (RFP), the statute would apply if the IFB or RFP was first issued on or after January 1, 2005. The statute would not apply if the bid document was first issued before January 1, 2005, even if the bid document was amended, or the resulting contract was awarded, approved, amended, or extended after January 1, 2005.
The statute does not apply to purchases from preferred sources. For additional information, please see Publication 222, Questions and Answers Concerning Tax Law Section 5-a.
Definition of terms associated with section 5-a
The following is a partial list. Please see Publication 222 for additional information.
A contractor is defined as a person awarded a contract by a covered agency.
The term person is defined as any entity in business for either profit or not-for-profit purposes and can refer to an individual, partnership, limited liability company, society, association, joint stock company, or corporation.
A covered agency is defined as New York State or any department, board, bureau, commission, division, office, council or agency of New York State; public authorities and public benefit corporations. The State Legislature, the judiciary, Department of Law, Office of State Comptroller, State Education Department, State University of New York and the senior colleges of City University of New York are included in this definition.
An affiliate is an entity which, through stock ownership or any other affiliation, directly, indirectly or constructively, controls another entity, is controlled by another entity, or is, along with another entity, under the control of a common parent company.
A subcontractor is an entity specifically engaged by a contractor or another subcontractor to provide commodities or perform services necessary to allow a contractor to fulfill a particular contract with a covered agency.
Commodities means, other than with respect to contracts for State printing, material goods, supplies, products, construction items or other standard articles of commerce other than technology which are the subject of any purchase or other exchange.
Tangible personal property means physical personal property, of any nature, that has a material existence and is perceptible to the human senses. Tangible personal property includes, without limitation: (1) raw materials, such as wood, metal, rubber and minerals; (2) manufactured items, such as gasoline, oil, diesel motor fuel and kero-jet fuel, chemicals, jewelry, furniture, machinery and equipment, parts, tools, supplies, computers, clothing, motor vehicles, boats, yachts, appliances, lighting fixtures, building materials; (3) pre-written off-the-shelf software; (4) artistic items such as sketches, paintings, photographs, moving picture films and recordings; (5) animals, trees, shrubs, plants and seeds; (6) bottled water, soda and beer; (7) candy and confections; (8) cigarettes and tobacco products; (9) cosmetics and toiletries; (10) coins and other numismatic items, when purchased for purposes other than for use as a medium of exchange; (11) postage stamps, when purchased for purposes other than mailing; and (12) precious metals in the form of bullion, ingots, wafers and other forms.
Completing Form ST-220 Identification information
Contractor name: Enter the exact legal name of the person or entity who is contracting to provide commodities or services to
8 May 2006 Page 23
New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
a covered agency of New York State. This is the name registered with the New York Department of State.
Contractor's principal place of business: Enter a street address, not a PO box number.
Mailing address: Enter the address where contractor receives mail, if different than the principal place of business.
Contracting state agency: Enter the state agency awarding the contract to the contractor.
Certification statement: If the contractor is a corporation, the statement must be completed by the president, vice president, treasurer, assistant treasurer, chief accounting officer, or other officer authorized by the corporation. If the contractor is a partnership, the statement must be completed by a partner or person authorized by the partnership. If the contractor is a limited liability company, the statement must be completed by a member of the LLC and be authorized by the LLC.
Part I — Contract services not pursuant to Tax Law section 5-a
If the services to be performed under the contract are not services within the meaning of Tax Law section 5-a, mark an X. You do not have to complete Parts II through V. You must sign and have the certification acknowledged.
For procurement law purposes, services means, other than with respect to contracts for State printing, the performance of a task or tasks and may include a material good or a quantity of material goods, and which is the subject of any purchase or other exchange. For procurement law purposes, technology is a service. The term services for procurement law purposes does not apply to contracts for architectural, engineering or surveying services, or to contracts with not-for-profit organizations approved in accordance with Article eleven-B of the State Finance Law.
The term taxable services for New York State and local sales and compensating use tax law purposes includes, but is not limited to: 1) providing information by printed, mimeographed or multigraphed matter or by duplicating written or printed manner in any other manner; 2) processing, assembling, fabricating, printing or imprinting tangible personal property furnished by a customer who did not purchase the tangible personal property for resale;3) installing, maintaining, servicing, or repairing tangible personal property that is not held for sale by the purchaser of the service in the regular course of business (for example, servicing automobiles, installing appliances, and repairing radio and television sets); 4) storing tangible personal property that is not being held for sale; 5) renting safe deposit boxes, vaults, and similar storage facilities; 6) maintaining, servicing, or repairing real property both inside and outside buildings (for example, cleaning, painting, gardening, snow plowing, trash removal, and general repairs); 7) providing
parking, garaging, or storing services for motor vehicles; 8) interior decorating and designing; 9) protective or detective services; and 10) entertainment or information services provided by means of telephony or telegraphy.
Parts II through V
If the contract is covered under Tax Law section 5-a, you must mark an X in one box in each of these parts. You must also sign and have the certification acknowledged, and complete Schedule A.
Schedule A
Column A — Relationship to the contractor
The contractor should enter a C. It is not necessary for the contractor to complete columns C through E since this information has been provided on page 1.
If the person listed in column B is an affiliate of the contractor, enter an A; if a subcontractor, enter an S, if an affiliate of a subcontractor, enter SA.
Column B — Name
Enter the exact legal name as registered with the New York Department of State of each corporation or limited liability company. If the person is a partnership or sole proprietor, enter each partner's or the owner's given name. If the person uses a different name or DBA (doing business as), enter that name as well.
Column C — Address
Enter the street address of the person's principal place of business. Do not enter a PO box.
Column D — ID number
If the person listed in column B is an individual, enter the social security number of that person. Otherwise enter the employer identification number (EIN) assigned to the person.
Column E — Sales tax ID number
Enter the sales tax identification number, if different from the federal identification.
Column F — Proof of registration
Enter CA and attach a copy of the certificate of authority for the person.
If the certificate of authority is not readily available and if the person is registered with the Department of Taxation and Finance and has confirmed this status with the DTP, enter RC.
Return a signed and acknowledged original Form ST-220, and a copy, with the contract to the procuring state agency.
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Bidder is required to sign both sections on this page
MacBride Fair Employment Principles NONDISCRIMINATION IN EMPLOYMENT IN NORTHERN IRELAND:
MACBRIDE FAIR EMPLOYMENT PRINCIPLES
In accordance with Chapter 807 of the Laws of 1992 the bidder, by submission of this bid, certifies that it or any individual or legal entity in which the bidder holds a 10% or greater ownership interest, or any individual or legal entity that holds a 10% or greater ownership interest in the bidder, either: (answer yes or no to one or both of the following, as applicable:
1. Have business operations in Northern Ireland,
Yes No
If yes:
2. Shall take lawful steps in good faith to conduct any business operations they have in Northern Ireland in accordance with the MacBride Fair Employment Principles relating to nondiscrimination in employment and freedom of workplace opportunity regarding such operations in Northern Ireland, and shall permit independent monitoring of their compliance with such Principles.
Yes No
(Contractor’s Signature) (Name of Business)
Non-Collusive Bidding Certification By submission of this bid, each bidder and each person signing on behalf of any bidder certifies, and in the case of a joint bid each party thereto certifies as to its own organization, under penalty of perjury, that to the best of his knowledge and belief) The prices in this bid have been arrived at independently without collusion, consultation, communication, or agreement, for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor) Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly be disclosed by the bidder prior to opening, directly or indirectly, to any other bidder or to any competitor; an) No attempt has been made or will be made by the bidder to induce any other person, partnership or corporation to submit or not to submit a bid for the purpose of restricting competition.
(Contractor’s Signature) (Name of Business)
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New York State Board of Elections System Integrator Implementation Assistance for NYSVOTER II — Attachment C
Security/Confidentiality
Contractor warrants, covenants and represents that it will fully comply with all security procedures of the State in performance of the Contract.
Contractor further warrants, covenants and represents that any confidential information obtained by Contractor, its agents, subcontractors, officers, or employees in the course of performing its obligations, including without limitation, security procedures, passwords, business operations information, or other third party commercial proprietary information, records or data which is accessed or made accessible to Contractor as necessary for Contractor to complete work under the Contract ("confidential information"), will not be divulged during the Contract term or for a period of five (5) years thereafter in any manner to any party by Contractor, its agents, subcontractors, officers, or employees. Contractor further warrants and represents that all confidential information obtained by Contractor, its agents, subcontractors, officers, or employees during the engagement, wherever located, will be immediately destroyed, deleted or otherwise erased or removed, as applicable, upon completion or termination of the work so that Contractor, its agents, subcontractors, officers, or employees will no longer have any ability to access such information. This warranty shall survive termination of this Contract for a period of five (5) years. Contractor further agrees to take appropriate steps to instruct its personnel, agents, officers and any subcontractors regarding the obligations arising under this clause to insure such confidentiality.
Prior to performing any work on, or having access to the NYSVoterII project as described in RFP No.1235, each employee of the contractor or subcontractor(s) shall certify by signature below their acknowledgement and acceptance of the above Security/ Confidentiality requirements as well as the Information Security Policy stated in Section 12.5 of the RFP.
Additionally, by signature and submission of this document by an authorized company official, the contractor certifies compliance with these clauses as well as the Background Check requirements as stated in Section 11.4 of the RFP.
Employee
Printed Name: Job Title assigned for this Project:
Signature
Date:
Authorized Company Official
Printed Name:
Title:
Signature
Date:
Completed form must be submitted to:
New York State Board of Elections
40 Steuben Street
Albany, NY 12207-2109
Attention: George Stanton
8 May 2006 Page 26
A Request for Proposal (RFP) for the
New York State Board of Elections
Attachment D - Cost Proposal
8 May 2006
New York State Board of Elections Attachment D - Cost Proposal
Table of Contents 1. PROPOSAL COST .................................................................................................................... 2
1.2.1 One-time Cost for Implementation Services.................................................................... 4 1.2.2 Annual Cost of Support and Maintenance Services........................................................ 6
1.3 Supplemental Form A - Cost of Subcontractors ......................................................................... 8
8 May 2006 Page i
New York State Board of Elections Attachment D - Cost Proposal
RFP No. 1325 - No. 5.doc Page 2
1. Proposal Cost 1.1 Cost Signature Page
For New York State Board of Elections (SBOE) RFP Response
Attached is our official Proposal Response to the New York State Board of Elections Request for Proposal (RFP) dated __/__/__.
As the authorized responder for: I acknowledge receipt of, and have reviewed, the following documents:
1. SBOE NYSVOTER II Request for Proposal Dated: __/__/__
2. Addendum # 1: Dated: __/__/__
3. Addendum # 2: Dated: __/__/__
4. Addendum # 3: Dated: __/__/__
I hereby submit the attached proposal to enter into a contract with the New York State pursuant to the requirements and terms and conditions of the New York State RFP.
/ / (Signature of Authorized Representative)
Dated
(Printed Name of Authorized Representative) (Title of Authorized Representative)
Official Corporation or Company Name:
FEIN:
Mailing Address:
City, State, ZIP:
Telephone Number:
Fax number:
E-mail Address:
New York State Board of Elections Attachment D - Cost Proposal
RFP No. 1325 - No. 5.doc Page 3
1.2 Cost Proposal The New York State Board of Elections, with the assistance of the New York State Office of General Services and Division of Budget, is responsible for HAVA funds. The New York State Board of Elections will be responsible for paying for the statewide voter registration system implementation and support services.
The Total Cost to be evaluated as Proposer Cost Score consists of:
Total One-time Cost of Implementation Services (Section 1.2.1) plus;
Total Cost of Maintenance and Support Services (section 1.2.2) comprised of:
o Year 1 Total Support and Maintenance Services Cost plus;
o Optional Year 2 Total Support and Maintenance Services Cost plus;
o Optional Year 3 Total Support and Maintenance Services Cost;
New York State Board of Elections Attachment D - Cost Proposal
1.2.1 One-time Cost for Implementation Services NOTE: The one-time cost for Implementation Services must include any related expenses and travel costs incurred by the proposer and any subcontractors. NYSBOE will not reimburse separately for proposer and subcontractor expenses and travel costs. Invoices for completed and accepted deliverables shall be submitted to NYSBOE on a monthly basis.
INSTRUCTIONS:
1. For each deliverable listed in the table below, provide your firm fixed-fee cost for the deliverable;
2. The sum of all deliverables in the table below shall be the Grand Total One-time Cost for Implementation Services.
ID Major Deliverable Cost D-01 Systems Integrator Organization Chart D-02 Systems Integrator Schedule and Work Plan D-03 Quality Assurance Plan D-04 Change Control Plan and Process D-05 Revised Communication Plan D-06 Project Kick-Off Meeting D-07 Project Development Meetings D-08 Project Status Meetings D-09 Project Steering Committee Meetings D-10 Project Issue Tracking and Process Tool D-11 Issue Resolution Plan D-12 Bi-Weekly Written Project Status Report D-13 Risk Management Plan D-14 County VR/EMS Systems Integration Compliance Criteria D-15 County VR/EMS Systems Integration Compliance Assessment D-16 Draft and Final System Deployment Plan D-17 Organizational Change Management Plan D-18 End User Training, Curriculum and Materials D-19 End User Training D-20 Technical Skills Gap Analysis and Assessment D-21 Knowledge Transfer Plan D-22 Five System Environments (Development, Training/Conversion, Test,
Production 1, Production 2)
D-23 Acceptance Test Plan D-24 Reliability Testing and Test Results D-25 Performance Testing and Test Results D-26 Functional Testing and Test Results D-27 Testing Defect Log D-28 Network Analysis D-29 Software Development Plan
RFP No. 1325 - No. 5.doc Page 4
New York State Board of Elections Attachment D - Cost Proposal
ID Major Deliverable Cost D-30 General and Detailed Design Documentation for Software Modifications,
Interfaces and Reports
D-31 Configuration Management Plan D-32 Help Desk Support Procedures D-33 NYSVoter II Help Desk Resource Training D-34 Updated System Documentation D-35 Transition-Out Plan D-36 Software Change Management Procedures D-37 Performance Measurement Tools D-38 Hardware/Software Specifications D-39 Hardware/Software Sizing Estimates D-40 System Test Plan D-41 Performance Test Plan D-42 County VR/EMS Interface Certification Test Cases and Conditions D-43 Conversion Plan D-44 Conversion Data Mapping D-45 Conversion Load Programs and Reconciliation Reports D-46 Mock Conversions D-47 Data Conversion Results D-48 Full System Deployment D-49 System Maintenance Plan D-50 Database Recovery Plan D-51 Acceptance Testing and Test Results D-52 System Acceptance D-53 Proposed, Draft and Final NYSVoter II Rules and Regulations
Grand Total One-Time Cost for Implementation Services
Proposer Company Name Proposer Authorized Representative Signature
_________________
Date
RFP No. 1325 - No. 5.doc Page 5
New York State Board of Elections Attachment D - Cost Proposal
1.2.2 Annual Cost of Support and Maintenance Services NYSBOE will award one year of Support and Maintenance Services with the option of selecting the System Integrator for up to two (2) additional Support and Maintenance year options, each option being one (1) year in duration. System Enhancements and System Support and Maintenance Services costs shall be on an hourly basis. The System Integrator shall be paid for System Enhancements and System Support and Maintenance Services costs on a monthly basis based on the actual hours worked. The proposer is required to provide pricing for year 1 and optional years 2 and 3.
Annual Help Desk Support Services costs shall be on a fixed fee basis. The System Integrator shall be paid for Annual Help Desk Support Services on a monthly basis based on the total cost for Annual Help Desk Support Services (total cost/12 months equals monthly cost). The proposer shall provide an annual cost in the tables below for Annual Help Desk Support Services.
Help Desk Support Services costs during the system deployment and system acceptance period shall be on a fixed fee basis. For Help Desk Support Services during the system deployment and system acceptance period, the System Integrator shall be paid on a monthly basis based on the total number of months of system deployment and system acceptance period (total cost/# months of system deployment and system acceptance period). The proposer shall provide this cost in the Year 1 table below for Annual Help Desk Support Services during system deployment and system acceptance period.
NOTE: All costs must include any related expenses and travel costs incurred by the proposer and any subcontractors. NYSBOE will not reimburse separately for proposer and subcontractor expenses and travel costs.
INSTRUCTIONS:
1. For purposes of evaluating cost proposals, NYSBOE has estimated System Enhancement hours of 1,000 hours and System Maintenance and Support hours of 2,080 hours. These hours are estimates and may change based on the needs of NYSBOE.
2. For System Enhancements, provide an hourly blended rate multiplied by the 1,000 hours (per requirement S.S-3.3.6) for the System Enhancements cost;
3. For System Maintenance and Support, provide an hourly blended rate multiplied by 2,080 hours for the System Maintenance and Support cost;
4. For Annual Help Desk Support Services, enter an Annual Help Desk Support Services cost to meet the help desk support requirements outlined in section SS-1 of Attachment A - Requirements Response Template. In the services for year 1, also include a fixed fee cost for Help Desk Support Services during system deployment and the system acceptance period.
5. Complete the tables for year 1 and the optional years 2 and 3.
Services (Year 1) Estimated # of Hours
Blended Rate Annual Cost
System Enhancements (Hourly) 1,000
System Maintenance and Support (Hourly) 2,080
Help Desk Support Services (Fixed Fee) – System Deployment and System Acceptance Period
Annual Help Desk Support Services (Fixed Fee)
Year 1 Total Support and Maintenance Services Cost
RFP No. 1325 - No. 5.doc Page 6
New York State Board of Elections Attachment D - Cost Proposal
Services (Optional Year 2) Estimated # of Hours
Blended Rate Annual Cost
System Enhancements (Hourly) 1,000
System Maintenance and Support (Hourly) 2,080
Annual Help Desk Support Services (Fixed Fee)
Optional Year 2 Total Support and Maintenance Services Cost
Services (Optional Year 3) Estimated # of Hours
Blended Rate Annual Cost
System Enhancements (Hourly) 1,000
System Maintenance and Support (Hourly) 2,080
Annual Help Desk Support Services (Fixed Fee)
Optional Year 3 Total Support and Maintenance Services Cost
Proposer Company Name Proposer Authorized Representative Signature
_________________
Date
RFP No. 1325 - No. 5.doc Page 7
New York State Board of Elections Attachment D - Cost Proposal
1.3 Supplemental Form A - Cost of Subcontractors In the table below please list the subcontractors you expect to utilize.
Name of Subcontractor
Address and Federal Id Number
Dollar Value Expected to be
Paid to Subcontractor
Type of Service or Product to be Provided by
Subcontractor
Describe Any Affiliation or Connection Between Your
Organization and the Subcontractor
Proposer Company Name Proposer Authorized Representative Signature
RFP No. 1325 - No. 5.doc Page 8
NEW YORK STATE OFFICE OF GENERAL SERVICES PROCUREMENT SERVICES GROUP
September, 2004
APPENDIX A
STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS
PLEASE RETAIN THIS DOCUMENT FOR FUTURE REFERENCE.
STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A
September, 2004
TABLE OF CONTENTS
1. Executory Clause
2. Non-Assignment Clause
3. Comptroller’s Approval
4. Workers’ Compensation Benefits
5. Non-Discrimination Requirements
6. Wage and Hours Provisions
7. Non-Collusive Bidding Certification
8. International Boycott Prohibition
9. Set-Off Rights
10. Records
11. Identifying Information and Privacy Notification
12. Equal Employment Opportunities For Minorities and Women
13. Conflicting Terms
14. Governing Law
15. Late Payment
16. No Arbitration
17. Service of Process
18. Prohibition on Purchase of Tropical Hardwoods
19. MacBride Fair Employment Principles
20. Omnibus Procurement Act of 1992
21. Reciprocity and Sanctions Provisions
22. Purchases of Apparel
STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A
Page 1 September, 2004
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 previous consent, in writing, of the State and any attempts to assign the contract without the State's written consent are null and void. The Contractor may, however, assign its right to receive payment 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 $15,000 (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 $30,000 (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. 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
STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A
Page 2 September, 2004
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) FEDERAL EMPLOYER IDENTIFICATION NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All invoices or New York State standard vouchers submitted for payment for the sale of goods or services or the lease of real or personal property to a New York State agency must include the payee's identification number, i.e., the seller's or lessor's identification number. The number is either the payee's Federal employer identification number or Federal social security number, or both such numbers when the payee has both such numbers. Failure to include this number or numbers may delay payment. Where the payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, 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 New York State's Central Accounting System by the Director of Accounting Operations, 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, 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: (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, 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; or (iii) banking services, insurance policies or the sale of securities. 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 Governor's Office 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.
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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 State Finance Law §165. (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
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 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. PURCHASES OF APPAREL. In accordance with State Finance Law 162 (4-a), the State shall not purchase any apparel from any vendor unable or unwilling to certify that: (i) such apparel was manufactured in compliance with all applicable labor and occupational safety laws, including, but not limited to, child labor laws, wage and hours laws and workplace safety laws, and (ii) vendor will supply, with its bid (or, if not a bid situation, prior to or at the time of signing a contract with the State), if known, the names and addresses of each subcontractor and a list of all manufacturing plants to be utilized by the bidder.
STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A
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NEW YORK STATE OFFICE OF GENERAL SERVICES PROCUREMENT SERVICES GROUP
January, 2004
APPENDIX B-1
GENERAL SPECIFICATIONS
(Technology Products and Services)
GENERAL SPECIFICATIONS (TECHNOLOGY PRODUCTS AND SERVICES) APPENDIX B-1
January, 2004
TABLE OF CONTENTS
GENERAL 1. Applicability 2. Governing Law 3. Appendix A 4. Ethics Compliance 5. Conflict of Terms 6. Definitions BID SUBMISSION 7. International Bidding 8. Bid Opening 9. Bid Submission 10. Facsimile Submissions 11. Authentication of Facsimile Bids 12. Late Bids 13. Bid Contents 14. Extraneous Terms 15. Record Disclosure/Confidentiality of Proprietary Records 16. Prevailing Wage Rates 17. Taxes 18. Expenses Prior to Contract Execution 19. Advertising Bid Results 20. Product References 21. Recycled or Recovered Materials 22. Products Manufactured In Public Institutions 23. Pricing 24. Drawings 25. Site Inspection 26. Procurement Card 27. Samples BID EVALUATION 28. Bid Evaluation 29. Conditional Bid 30. Clarification/Revisions 31. Prompt Payment Discounts 32. Equivalent or Identical Bids 33. Performance Qualifications 34. Disqualification for Past Performance 35. Quantity Changes Prior To Award 36. Release of Bid Evaluation Materials 37. Timeframe for Offers 38. Contract Creation/Execution 39. Participation in Centralized Contracts
TERMS & CONDITIONS 40. Modification of Contract Terms 41. Scope Changes 42. Estimated/Specific Quantity Contracts 43. Best Pricing Offer 44. Purchase Orders 45. Product Delivery 46. Weekend and Holiday Deliveries 47. Shipping/Receipt of Product 48. Risk of Loss 49. (Reserved) 50. Product Substitution 51. Rejected Product 52. Installation 53. Repaired or Replaced Parts/Components 54. On-Site Storage 55. Employees/Subcontractors/Agents 56. Assignment/Subcontractors 57. Performance/Bid Bond 58. Suspension of Work 59. Termination 60. Savings/Force Majeure 61. Contract Billings 62. Default - Authorized User 63. Interest on Late Payments 64. Remedies for Breach 65. Assignment of Claim 66. Toxic Substances 67. Independent Contractor 68. Security/Confidentiality 69. Cooperation With Third Parties 70. Contract Term - Renewal 71. Warranties & Guarantees 72. Software License Grant 73. Product Acceptance 74. Audit of Licensed Product Usage 75. Ownership/Title to Custom Products 76. Proof of License 77. Migration to Centralized Contract 78. Product Version 79. Changes to Product or Service Offerings 80. No Hardstop/ Passive License Monitoring 81. Source Code Escrow for Licensed Product 82. Indemnification & Limitation of Liability
GENERAL SPECIFICATIONS (TECHNOLOGY PRODUCTS AND SERVICES) APPENDIX B-1
January, 2004 1
GENERAL 1. APPLICABILITY The terms and conditions set forth in this Appendix B-1 are expressly incorporated in and applicable to all procurements and resulting procurement contracts let by the Office of General Services Procurement Services Group, or let by any other Issuing Entity where incorporated by reference in its Bid Documents. Appendix B-1 shall govern such procurements or contracts unless expressly modified or amended by the terms of a Bid Specification, or a negotiated Contract/Clarification document, if any. Captions are intended as descriptive and are not intended to limit or otherwise restrict the terms and conditions set forth herein. 2 GOVERNING LAW This procurement, the resulting Contract and any purchase orders issued hereunder shall be governed by the laws of the State of New York except where the Federal supremacy clause requires otherwise, and actions or proceedings arising from the Contract shall be heard in a court of competent jurisdiction in the State of New York. 3. APPENDIX A The terms of Appendix A (Standard Clauses for New York State Contracts) are expressly incorporated herein. 4. ETHICS COMPLIANCE All Bidders/Contractors and their employees must comply with the requirements of Sections 73 and 74 of the Public Officers Law, and other State codes, rules and regulations establishing ethical standards for the conduct of business with New York State. In signing the bid, Bidder certifies full compliance with those provisions for any present or future dealings, transactions, sales, contracts, services, offers, relationships, etc., involving New York State and/or its employees. Failure to comply with those provisions may result in disqualification from the bidding process, termination of Contract, and/or other civil or criminal proceedings as required by law. 5. CONFLICT OF TERMS Conflicts between procurement or Contract documents shall be resolved in the following order of precedence: a. Appendix A (Standard Clauses for NYS Contracts) b. Contract/Clarification Documents
Writing(s) setting forth the final agreements, clarifications, terms, statement of work and/or modifications between the Bid Documents and Contractor’s Bid or Mini-bid.
c. Mini-Bid Project Definition (If any) d. Bid Documents (Other than Appendix A) i. Bid Specifications prepared by the Issuing Entity ii. Appendix B-1 (General Specifications) e. Contractor’s Bid or Mini-Bid Proposal 6. DEFINITIONS Terms used in this Appendix B-1 shall have the following meanings: AGENCY OR AGENCIES The State of New York, acting by or through one or more departments, boards, commissions, offices or institutions of the State of New York. ATTORNEY GENERAL Attorney General of the State of New York. AUTHORIZED USER(S) Agencies, or any other entity authorized by the laws of the State of New York to participate in NYS centralized contracts (including but not limited to political subdivisions, public authorities, public benefit corporations and certain other entities set forth in law), or the State of New York acting on behalf of one or more such Agencies or other entities, provided that each such Agency or other entity shall be held solely responsible for liabilities or payments due as a result of its participation.
BID OR BID PROPOSAL An offer or proposal submitted by a Bidder to furnish a described product or a solution or means of achieving a practical end, at a stated price for the stated Contract term. BIDDER Any individual or other legal entity, (including but not limited to partnership, firm or corporation) which submits a bid in response to a Bid Solicitation. The term Bidder shall also include “offeror.” In the case of negotiated contracts, “Bidder” shall refer to the “Contractor”. BID DOCUMENTS Writings setting forth the scope, terms, conditions and technical specifications for a procurement of Product. Such writings typically include, but are not limited to: Invitation for Bids (IFB), Request for Quotation (RFQ), Request for Proposals (RFP), addenda or amendments thereto, and terms and conditions which are incorporated by reference, e.g. Appendix A (Standard Clauses for NYS Contracts), Appendix B-1, (General Specifications). Where these General Specifications are incorporated in negotiated contracts which have not been competitively bid, the term “Bid Documents” shall be deemed to refer to the terms and conditions set forth in the negotiated contract. BID SOLICITATION The notice or advertisement of an intent to purchase a specified Product by or on behalf of Authorized User(s). BID SPECIFICATION A written description drafted by the Issuing Entity setting forth the specific terms of the intended procurement, which may include: physical or functional characteristics, the nature of a commodity or construction item, any description of the work to be performed, Products to be provided, the necessary qualifications of the Bidder, the capacity and capability of the Bidder to successfully carry out the proposed contract, or the process for achieving specific results and/or anticipated outcomes or any other requirement necessary to perform work. Where these General Specifications are incorporated in negotiated contracts which have not been competitively bid, the term “Bid Specifications” shall be deemed to refer to the terms and conditions set forth in the negotiated contract. CERTIFICATES OF PARTICIPATION (COPS) Certificates issued pursuant to Article 5-A of the State Finance Law which represent the right to receive a proportionate share in lease, installment or other periodic payments to be made by any state department, agency or the City University of New York. COMMISSIONER Commissioner of OGS, or in the case of Bid Specifications issued by an Issuing Entity, the head of such Issuing Entity or their authorized representative. COMPTROLLER Comptroller of the State of New York. CONTRACT The writing(s) which contain the agreement of the Commissioner and the Bidder/Contractor setting forth the total legal obligation between the parties as determined by applicable rules of law, and which most typically include the following classifications of public procurements: a. Agency Specific Contracts Contracts where the specifications for a Product or a particular scope of work are described and defined to meet the needs of one or more Authorized User(s). b. Centralized Contracts Single or multiple award contracts where the specifications for a Product or general scope of work are described and defined by the Office of General Services to meet the needs of Authorized Users. Centralized Contracts may be awarded on a sole source, single source, emergency or competitive basis. Once established, procurements may be made from the selected Contractor(s) without further competition or mini-bid unless otherwise required by the Bid Specifications or Contract Award Notification.
GENERAL SPECIFICATIONS (TECHNOLOGY PRODUCTS AND SERVICES) APPENDIX B-1
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c. Back-Drop Contracts Multiple award centralized contracts where the Office of General Services defines the specifications for a Product or general scope of work to meet the needs of Authorized Users. Bids may be submitted either at a date and time certain or may be accepted on a continuous recruitment basis, as set forth in the Bid Specifications. Selection of a Contractor from among back-drop contract holders for an actual Product, project or particular scope of work may subsequently be made on a single or sole source basis, or on the basis of a mini-bid among qualified back-drop contract holders, or such other method as set forth in the Bid Document. d. Piggyback Contract A contract let by any department, agency or instrumentality of the United States government, or any department, agency, office, political subdivision or instrumentality of any state or state(s) which is adopted and extended for use in accordance with the requirements of the State Finance Law. CONTRACT AWARD NOTIFICATION An announcement to Authorized Users that a contract has been established. CONTRACTOR Any successful Bidder(s) to whom a contract has been awarded by the Commissioner. DOCUMENTATION The complete set of manuals (e.g., user, installation, instruction or diagnostic manuals) in either hard or electronic copy, which are necessary to enable an Authorized User to properly test, install, operate and enjoy full use of the Product. EMERGENCY An urgent and unexpected requirement where health and public safety or the conservation of public resources is at risk. ENTERPRISE The total business operations in the United States of Authorized User (s) without regard to geographic location where such operations are performed or the entity actually performing such operations on behalf of Authorized User. ENTERPRISE LICENSE A license grant made in accordance with the terms of this Contract of unlimited rights to deploy, access, use and execute Product anywhere within the Enterprise up to the maximum capacity stated on the Purchase Order. ERROR CORRECTIONS Machine executable software code furnished by Contractor which corrects the Product so as to conform to the applicable warranties, performance standards and/or obligations of the Contractor. GROUP A classification of Product (services or technology) which is designated by OGS. INVITATION FOR BIDS (IFB) A type of Bid Document which is most typically used where requirements can be stated and award will be made to the lowest responsive and responsible Bidder(s). ISSUING ENTITY The Office of General Services or the Authorized User who issues the Bid Documents for a procurement. LATE BID For purposes of bid openings held and conducted by OGS, a bid not received in such place as may be designated in the Bid Specifications or in the OGS Mailroom located in the Empire State Plaza, Albany, New York 12242, at or before the date and time established in the Bid Specifications for the bid opening. For purposes of bid openings held and conducted by Issuing Entities other than OGS, the term late bid is defined as a bid not received in the location established in the Bid Specifications at or before the date and time specified for the bid opening. LETTER OF ACCEPTANCE A letter to the successful Bidder(s) indicating acceptance of its bid in response to a solicitation. Unless otherwise specified, the issuance of a Letter of Acceptance forms a contract but is not an order for Product, and Contractor should not take
any action with respect to actual Contract deliveries except on the basis of Purchase Orders sent from Authorized User(s). LICENSED SOFTWARE Software transferred upon the terms and conditions set forth in the Contract. “Licensed Software” includes error corrections, upgrades, enhancements or new releases, and any deliverables due under a maintenance or service contract (e.g. patches, fixes, PTFs, programs, code or data conversion, or custom programming). LICENSEE One or more Authorized Users who acquire Product from Contractor by issuing a Purchase Order in accordance with the terms and conditions of the Contract; provided that, for purposes of compliance with an individual license, the term “Licensee” shall be deemed to refer separately to the individual Authorized User(s) who took receipt of and who is executing the Product, and who shall be solely responsible for performance and liabilities incurred. In the case of acquisitions by State Agencies, the Licensee shall be the State of New York. LICENSE EFFECTIVE DATE The date Product is delivered to an Authorized User. Where a License involves Licensee’s right to copy a previously licensed and delivered Master Copy of a Program, the license effective date for additional copies shall be deemed to be the date on which the Purchase Order is executed. LICENSOR A Contractor who transfers rights in proprietary Product to Authorized Users in accordance with the rights and obligations specified in the Contract. LOGICAL PARTITION A subset of the processing power within a machine which has been divided through hardware and/or software means (i.e., Processor Resources/System Manager [PR/SM]) so as to limit the total processing power which is accessible by an operating system image by individual Authorized Users or individual software products. MINI-BID PROJECT DEFINITION A Bid Document containing project specific bid specifications developed by or for an Authorized User which solicits bids from Contractors previously qualified under a Back-Drop Contract. MULTIPLE AWARD A determination and award of a contract in the discretion of the Commissioner to more than one responsive and responsible Bidder who meets the requirements of a specification, where the multiple award is made on the grounds set forth in the Bid Document in order to satisfy multiple factors and needs of Authorized Users (e.g., complexity of items, various manufacturers, differences in performance required to accomplish or produce required end results, production and distribution facilities, price, compliance with delivery requirements, geographic location or other pertinent factors). NEW PRODUCT RELEASES (Product Revisions) Any commercially released revisions to the version of a Product as may be generally offered and available to Authorized Users. New releases involve a substantial revision of functionality from a previously released version of the Product. OBJECT CODE The machine executable code that can be directly executed by a computer’s central processing unit(s). OGS The New York State Office of General Services PHYSICAL PARTITION A subset of the processing power within a central electronic complex which has been derived through hardware means so as to limit the total processing power accessible by an operating system image by individual users or individual Products. PROCUREMENT RECORD Documentation by the Issuing Entity of the decisions made and approach taken during the procurement process.
GENERAL SPECIFICATIONS (TECHNOLOGY PRODUCTS AND SERVICES) APPENDIX B-1
January, 2004 3
PRODUCT A deliverable under any Bid or Contract which may include commodities, services and/or technology. The term “Product” includes Licensed Software. PRODUCT RELEASES - NEW (Product Revisions) Any commercially released revisions to the licensed version of a Product as may be generally offered and available to Authorized Users. New releases involve a substantial revision of functionality from a previously released version of the Product. PROPRIETARY - Protected by secrecy, patent, copyright or trademark against commercial competition PURCHASE ORDER The Authorized User’s fiscal form or format which is used when making a purchase (e.g., formal written Purchase Order, Procurement Card, electronic Purchase Order, or other authorized instrument). REQUEST FOR PROPOSALS (RFP) A type of Bid Document which is used for procurements where factors in addition to cost are considered and weighted in awarding the contract and where the method of award is “best value”, as defined by the State Finance Law. REQUEST FOR QUOTATION (RFQ) A type of Bid Document which can be used when a formal bid opening is not required (e.g. discretionary, sole source, single source or emergency purchases). RESPONSIBLE BIDDER A Bidder that is determined to have skill, judgment and integrity, and that is found to be competent, reliable, experienced and qualified financially, as determined by the Commissioner. RESPONSIVE BIDDER A Bidder meeting the specifications or requirements prescribed in the Bid Document or solicitation, as determined by the Commissioner. SINGLE SOURCE A procurement where two or more offerors can supply the required Product, and the Commissioner may award the contract to one Bidder over the other. SITE The location (street address) where Product will be executed or services delivered. SOLE SOURCE A procurement where only one offeror is capable of supplying the required Product. SOURCE CODE The programming statements or instructions written and expressed in any language understandable by a human being skilled in the art which are translated by a language compiler to produce executable machine Object Code. STATE State of New York TERMS OF LICENSE The terms and conditions set forth in the Contract which are in effect and applicable to a Purchase Order at the time of order placement. VIRUS Any computer code, whether or not written or conceived by Contractor, which disrupts, disables, harms, or otherwise impedes in any manner the operation of the Product, or any other associated software, firmware, hardware, or computer system (such as local area or wide-area networks), including aesthetic disruptions or distortions, but does not include security keys or other such devices installed by Product manufacturer.
BID SUBMISSION 7. INTERNATIONAL BIDDING All offers (tenders), and all information and Product required by the solicitation or provided as explanation thereof, shall be submitted in English. All prices shall be expressed, and all payments shall be made, in United States Dollars ($ US). Any offers (tenders) submitted which do not meet the above criteria will be rejected. 8. BID OPENING Bids may, as applicable, be opened publicly. The Commissioner reserves the right at any time to postpone or cancel a scheduled bid opening. 9. BID SUBMISSION All bids are to be packaged, sealed and submitted to the location stated in the Bid Specifications. Bidders are solely responsible for timely delivery of their bids to the location set forth in the Bid Specifications prior to the stated bid opening date/time. A bid return envelope, if provided with the Bid Specifications, should be used with the bid sealed inside. If the bid response does not fit into the envelope, the bid envelope should be taped onto the outside of the sealed box or package with the bid inside. If using a commercial delivery company which requires use of their shipping package or envelope, Bidder’s sealed bid, labeled as detailed below, should be placed within the shipper’s sealed envelope to ensure that the bid is not prematurely opened. All bids must have a label on the outside of the package or shipping container outlining the following information: “BID ENCLOSED (bold print, all capitals)
Group Number IFB or RFP Number Bid Submission date and time”
In the event that a Bidder fails to provide such information on the return bid envelope or shipping material, the receiving entity reserves the right to open the shipping package or envelope to determine the proper bid number or Product group, and the date and time of bid opening. Bidder shall have no claim against the receiving entity arising from such opening and such opening shall not affect the validity of the bid or the procurement. Notwithstanding the receiving agency’s right to open a bid to ascertain the foregoing information, Bidder assumes all risk of late delivery associated with the bid not being identified, packaged or labeled in accordance with the foregoing requirements. 10. FACSIMILE SUBMISSIONS Unless specifically prohibited by the terms of the Bid Specifications, facsimile bids may be SUBMITTED AT THE SOLE OPTION AND RISK OF THE BIDDER. Only the FAX number(s) indicated in the Bid Specifications may be used. Access to the facsimile machine(s) is on a “first come, first serve” basis, and the Commissioner bears no liability or responsibility and makes no guarantee whatsoever with respect to the Bidder’s access to such equipment at any specific time. Bidders are solely responsible for submission and receipt of the entire facsimile bid by the Issuing Entity prior to bid opening and must include on the first page of the transmission the total number of pages transmitted in the facsimile, including the cover page. Incomplete, ambiguous or unreadable transmissions in whole or in part may be rejected at the sole discretion of the Commissioner. Facsimile bids are fully governed by all conditions outlined in the Bid Documents and must be submitted on forms or in the format required in the Bid Specifications, including the executed signature page and acknowledgment. 11. AUTHENTICATION OF FACSIMILE BIDS The act of submitting a bid by facsimile transmission, including an executed
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signature page, shall be deemed a confirming act by Bidder which authenticates the signing of the bid. 12. LATE BIDS Any bid received at the specified location after the time specified will be considered a late bid. A late bid shall not be considered for award unless i) no timely bids meeting the requirements of the Bid Documents are received or, ii) in the case of a multiple award, an insufficient number of timely bids were received to satisfy the multiple award; and acceptance of the late bid is in the best interests of the Issuing Entity. Delays in United States mail deliveries or any other means of transmittal, including couriers or agents of the Issuing Entity, shall not excuse late bid submissions. 13. BID CONTENTS Bids must be complete and legible. All bids must be signed. All information required by the Bid Specifications must be supplied by the Bidder on the forms or in the format specified. No alteration, erasure or addition is to be made to the Bid Documents. Changes may be ignored by the Commissioner or may be grounds for rejection of the bid. Changes, corrections and/or use of white-out in the bid or Bidder’s response portion of the Bid Document must be initialed by an authorized representative of the Bidder. Bidders are cautioned to verify their bids before submission, as amendments to bids or requests for withdrawal of bids received by the Commissioner after the time specified for the bid opening, may not be considered. 14. EXTRANEOUS TERMS Bids must conform to the terms set forth in the Bid Documents, as extraneous terms or material deviations (including additional, inconsistent, conflicting or alternative terms) may render the bid non-responsive and may result in rejection. Only those extraneous terms which meet all the following requirements will be considered as having been submitted as part of the Bid: a. Each proposed extraneous term (addition, counter-offer, deviation, or modification) must be specifically enumerated in a writing which is not part of a pre-printed form; and b. The writing must identify the particular specification requirement (if any) which Bidder rejects or proposes to modify by inclusion of the extraneous term; and c. The Bidder shall enumerate the proposed addition, counter offer, modification or deviation from the Bid Document, and the reasons therefore. Extraneous term(s) submitted on standard, pre-printed forms (including but not limited to: product literature, order forms, license agreements, contracts or other documents), whether or not deemed “material”, which are attached or referenced with submissions and which do not meet the above requirements will not be considered part of the bid or resulting Contract, but rather will be deemed to have been included for informational or promotional purposes only. Acceptance and/or processing of the Bid shall not constitute such written acceptance of Extraneous Term(s) or a waiver of the State's rights set forth above. 15. RECORD DISCLOSURE/CONFIDENTIALITY OF PROPRIETARY RECORDS Contractor may preserve proprietary rights as to other confidential or business process information in accordance with procedures established under NYS Public Officers Law, § 89, provided that: (i) Contractor shall inform the Authorized User upon submission of its bid, in writing, that such records are going to be furnished, are proprietary and are not to be disclosed; and (ii) said records shall be sufficiently identified; and (iii) Contractor shall state the reasons why the information should be exempted from disclosure; and (iv) designation of said records as exempt from disclosure is reasonable and accepted by the Authorized User. Acceptance of the claimed materials does not constitute a determination on the exemption request, which determination will be made in accordance with statutory
procedures. 16. PREVAILING WAGE RATES - PUBLIC WORKS AND BUILDING SERVICES CONTRACTS If any portion of work being bid is subject to the prevailing wage rate provisions of the Labor Law, the following shall apply: a. “Public Works” and “Building Services” - Definitions
i. Public Works Labor Law Article 8 applies to contracts for public improvement in which laborers, workers or mechanics are employed on a “public works” project (distinguished from public “procurement” or “service” contracts). The State, a public benefit corporation, a municipal corporation (including a school district), or a commission appointed by law must be a party to the Contract. The wage and hours provision applies to any work performed by Contractor or subcontractors. ii. Building Services Labor Law Article 9 applies to contracts for building service work over $1,500 with a public agency, which 1) involve the care or maintenance of an existing building, or 2) involve the transportation of office furniture or equipment to or from such building, or 3) involve the transportation and delivery of fossil fuel to such building, and 4) the principal purpose of which is to furnish services through use of building service employees.
b. Prevailing Wage Rate Applicable to Bid Submissions A copy of the applicable prevailing wage rates to be paid or provided are attached to the solicitation. Bidders must submit bids which are based upon the prevailing hourly wages, and supplements in cash or equivalent benefits (i.e., fringe benefits and any cash or non-cash compensation which are not wages, as defined by law) that equal or exceed the applicable prevailing wage rate(s) for the location where the work is to be performed. Where the Bid Documents require the Bidder to enumerate hourly wage rates in the bid, Bidders may not submit bids based upon hourly wage rates and supplements below the applicable prevailing wage rates as established by the New York State Department of Labor. Bids which fail to comply with this requirement will be disqualified. c. Wage Rate Payments / Changes During Contract Term The wages to be paid under any resulting Contract shall not be less than the prevailing rate of wages and supplements as set forth by law. It is required that the Contractor keep informed of all changes in the Prevailing Wage Rates during the Contract term that apply to the classes of individuals supplied by the Contractor on any projects which result from this Contract which are subject to the provisions of the Labor Law. Contractor is solely liable for and must pay such required prevailing wage adjustments during the Contract term as required by law. d. Public Posting & Certified Payroll Records In compliance with Article 8, Section 220 of the Labor Law, as amended by Chapter 565 of the Laws of 1997:
i. Posting The Contractor must publicly post on the work site, in a prominent and accessible place, a legible schedule of the prevailing wage rates and supplements. ii. Payroll Records Contractors and sub-contractors must keep original payrolls or transcripts subscribed and affirmed as true under the penalties of perjury as required by law. For public works contracts over $25,000 where the Contractor maintains no regular place of business in New York State, such records must be kept at the work site. For building services contracts, such records must be kept at the work site while work is being performed. iii. Submission of Certified Payroll Transcripts for Public Works Contracts Only Contractors and sub-contractors on public
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works projects must submit monthly payroll transcripts to the issuing entity which has prepared or directs the preparation of the plans and specifications for a public works project, as set forth in the Bid Specifications. For mini-bid solicitations, the payroll records must be submitted to the entity preparing the agency mini-bid project specification. For “agency specific” bids, the payroll records should be submitted to the entity issuing the purchase order. For all other OGS centralized contracts, such records should be submitted to the individual agency issuing the purchase order(s) for the work. Upon mutual agreement of the Contractor and the issuing entity, the form of submission may be submitted in a specified disk format acceptable to the Department of Labor provided: 1) the Contractor/subcontractor retains the original records; and, (2) an original signed letter by a duly authorized individual of the Contractor or subcontractor attesting to the truth and accuracy of the records accompanies the disk. This provision does not apply to building services contracts. iv. Records Retention Contractors and subcontractors must preserve such certified transcripts for a period of three years from the date of completion of work on the awarded Contract.
e. Day’s Labor - Defined for Article 8, Public Works (For Purposes of Article 8 of the Labor Law) No laborer, worker or mechanic in the employ of the Contractor, subcontractor or other person doing or contracting to do all or part of the work contemplated by the Contract shall be permitted or required to work more than eight hours in any one calendar day or more than five days in any one week except in cases of extraordinary emergency including fire, flood or danger to life or property. “Extraordinary emergency” shall be deemed to include situations in which sufficient laborers, workers and mechanics cannot be employed to carry on public work expeditiously as a result of such restrictions upon the number of hours and days of labor and the immediate commencement or prosecution or completion without undue delay of the public work is necessary in the judgment of the NYS Commissioner of Labor for the preservation of the Contract site or for the protection of the life and limb of the persons using the Contract site. 17. TAXES a. Unless otherwise specified in the Bid Specifications, the quoted bid price includes all taxes applicable to the transaction. b. Purchases made by the State of New York and certain non-State Authorized Users are exempt from New York State and local sales taxes and, with certain exceptions, federal excise taxes. To satisfy the requirements of the New York State Sales tax exemption, either the Purchase Order issued by a State Agency or the invoice forwarded to authorize payment for such purchases will be sufficient evidence that the sale by the Contractor was made to the State, an exempt organization under Section 1116 (a) (1) of the Tax Law. Non-State Authorized Users must offer their own proof of exemption where required. No person, firm or corporation is, however, exempt from paying the State Truck Mileage and Unemployment Insurance or Federal Social Security taxes, which remain the sole responsibility of the Bidder/Contractor. c. Purchases by Authorized Users other than the State of New York may be subject to such taxes, and in those instances the tax should be computed based on the Contract price and added to the invoice submitted to such entity for payment. 18. EXPENSES PRIOR TO CONTRACT EXECUTION The Issuing Entity is not liable for any costs incurred by a Bidder in the preparation and production of a bid or for any work performed prior to Contract execution. 19. ADVERTISING BID RESULTS A Bidder in submitting a bid agrees not to use the results therefrom as a part of any commercial advertising without the prior written approval of the Commissioner.
20. PRODUCT REFERENCES a. “Or Equal” In all Bid Specifications the words “or equal” are understood to apply where a copyright brand name, trade name, catalog reference, or patented Product is referenced. References to such specific Product are intended as descriptive, not restrictive, unless otherwise stated. Comparable Product will be considered if proof of compatibility is provided, including appropriate catalog excerpts, descriptive literature, specifications and test data, etc. The Commissioner’s decision as to acceptance of the Product as equal shall be final. b. Discrepancies in References In the event of a discrepancy between the model number referenced in the Bid Specifications and the written description of the Products therein which cannot be reconciled, with respect to such discrepancy, then the written description shall prevail. 21. RECYCLED OR RECOVERED MATERIALS Upon the conditions specified in the Bid Specifications and in accordance with the laws of the State of New York, Contractors are encouraged to use recycled or recovered materials in the manufacture of Products and packaging to the maximum extent practicable without jeopardizing the performance or intended end use of the Product or packaging unless such use is precluded due to health, welfare, safety requirements or in the Bid Specifications. Where such use is not practical, suitable, or permitted by the Bid Specifications, Contractor shall deliver new materials in accordance with the “Warranties" set forth below. Refurbished or remanufactured components or items may only be accepted at the discretion of the Commissioner, or upon the conditions set forth in the Bid Specifications. Items with recycled, recovered, refurbished or remanufactured content must be identified in the bid or will be deemed new Product. 22. PRODUCTS MANUFACTURED IN PUBLIC INSTITUTIONS Bids offering Products which are manufactured or produced in public institutions will be rejected. 23. PRICING a. Unit Pricing If required by the Bid Specifications, the Bidder should insert the price per unit specified and the price extensions in decimals, not to exceed four places for each item, in the bid. In the event of a discrepancy between the unit price and the extension, the unit price shall govern unless, in the sole judgment of the Commissioner, such unit pricing is obviously erroneous. b. Net Pricing Unless otherwise required by the Bid Specifications, prices shall be net, including transportation, customs, tariff, delivery, and other charges fully prepaid by the Contractor to the destination(s) indicated in the Bid Specifications, subject to the cash discount. c. “No Charge” Bid When bids are requested on a number of Products as a group or Lot, a Bidder desiring to bid “no charge” on a Product in the grouping or Lot must clearly indicate such. Otherwise, such bid may be considered incomplete and be rejected, in whole or in part, at the discretion of the Commissioner. d. Educational Pricing All Products to be supplied for educational purposes that are subject to educational discounts shall be identified in the bid and such discounts shall be made available to qualifying institutions. e. COPS or Third Party Financing If Product acquisitions are financed through Certificates of Participation (COPS) or any other third party financing, Contractor may be required as a condition of Contract award to agree to the terms and conditions of a “Consent & Acknowledgment Agreement” in a form acceptable to the Commissioner.
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24. DRAWINGS a. Drawings Submitted With Bid When the Bid Specifications require the Bidder to furnish drawings and/or plans, such drawings and/or plans shall conform to the mandates of the Bid Documents and shall, when approved by the Commissioner, be considered a part of the bid and of any resulting Contract. All symbols and other representations appearing on the drawings shall be considered a part of the drawing. b. Drawings Submitted During the Contract Term Where required to develop, maintain and deliver diagrams or other technical schematics regarding the scope of work, Contractor shall do so on an ongoing basis at no additional charge, and must as a condition of payment update drawings and plans during the Contract term to reflect additions, alterations, and deletions, as a condition of payment. Such drawings and diagrams shall be delivered to the Authorized User’s representative. c. Accuracy of Drawings Submitted All drawings shall be neat and professional in manner and shall be clearly labeled as to locations and type of product, connections and components. Drawings and diagrams are to be in compliance with accepted drafting standards. Acceptance or approval of such plans shall not relieve the Contractor from responsibility for design or other errors of any sort in the drawings or plans, or from its responsibility for performing as required, furnishing product, services or installation, or carrying out any other requirements of the intended scope of work. 25. SITE INSPECTION Where a site inspection is required by the Bid Specifications or Project Definition, Bidder shall be required to inspect the site, including environmental or other conditions or pre-existing deficiencies in the installed product, equipment or environment, which may affect Bidder’s ability to properly deliver, install or otherwise provide the required Product. All inquiries regarding such conditions shall be made in writing. Bidder shall be deemed to have knowledge of any deficiencies or conditions which such inspection or inquiry might have disclosed. Bidder must provide with its bid a detailed explanation if additional work is required under this clause in order to properly complete the delivery and installation of the required Product. 26. PROCUREMENT CARD The State of New York has entered into agreements for purchasing and travel card services. The Purchasing Card enables Authorized Users to make authorized purchases directly from a Contractor without processing the Purchase Orders or Purchase Authorizations currently required. Purchasing Cards are issued to selected employees authorized to purchase for the Authorized User and having direct contact with Contractors. Cardholders can make purchases directly from any Contractor that accepts the Purchasing Card. The Contractor shall not process a transaction for payment through the credit card clearinghouse until the purchased Products have been shipped or services performed. Unless the cardholder requests correction or replacement of a unsatisfactory, defective or faulty Product in accordance with other contract requirements, the Contractor shall immediately credit a cardholder’s account for Products deemed unsatisfactory, defective or faulty. 27. SAMPLES
a. Standard Samples Bid Specifications may indicate that the Product to be purchased must be equal to a standard sample on display in a place designated by the Commissioner and such sample will be made available to the Bidder for examination prior to the opening date. Failure by the Bidder to examine such sample shall not entitle the Bidder to any relief from the conditions imposed by the Bid Documents.
b. Bidder Supplied Samples The Commissioner reserves the right to request from the Bidder/Contractor a representative sample(s) of the Product offered at any time prior to or after award of a Contract. Unless otherwise instructed, samples shall be furnished within the time specified in the request. Untimely submission of a sample may constitute grounds for rejection of bid or cancellation of the Contract. Samples must be submitted free of charge and be accompanied by the Bidder’s name and address, any descriptive literature relating to the Product and a statement indicating how and where the sample is to be returned. Where applicable, samples must be properly labeled with the appropriate bid or NYS contract reference. A sample may be held by the Commissioner during the entire term of the Contract and for a reasonable period thereafter for comparison with deliveries. At the conclusion of the holding period the sample, where feasible, will be returned as instructed by the Bidder, at the Bidder’s expense and risk. Where the Bidder has failed to fully instruct the Commissioner as to the return of the sample (i.e. mode and place of return, etc.) or refuses to bear the cost of its return, the sample shall become the sole property of the receiving entity at the conclusion of the holding period. c. Enhanced Samples When an approved sample exceeds the minimum specifications, all Product delivered must be of the same enhanced quality and identity as the sample. Thereafter, in the event of a Contractor’s default, the Commissioner may procure a commodity substantially equal to the enhanced sample from other sources, charging the Contractor for any additional costs incurred. d. Conformance with Sample(s) Submission of a sample (whether or not such sample is tested by, or for, the Commissioner) and approval thereof shall not relieve the Contractor from full compliance with all conditions and terms, performance related and otherwise, specified in the Bid Documents. If in the judgment of the Commissioner the sample or product submitted is not in accordance with the specifications or testing requirements prescribed in the Bid Documents, the Commissioner may reject the bid. If an award has been made, the Commissioner may cancel the Contract at the expense of the Contractor. e. Testing All samples are subject to tests in the manner and place designated by the Commissioner, either prior to or after Contract award. Unless otherwise stated in the Bid Specifications, Bidder Samples consumed or rendered useless by testing will not be returned to the Bidder. f. Requests For Samples By Authorized Users Requests for samples by Authorized Users require the consent of the Contractor. Where Contractor refuses to furnish a sample, Authorized User may, in its sole discretion, make a determination on the performance capability of the Product or on the issue in question.
BID EVALUATION 28. BID EVALUATION The Commissioner reserves the right to accept or reject any and all bids, or separable portions of offers, and waive technicalities, irregularities, and omissions if the Commissioner determines the best interests of the State will be served. The Commissioner, in his/her sole discretion, may accept or reject illegible, incomplete or vague bids and his/her decision shall be final. A conditional or revocable bid which clearly communicates the terms or limitations of acceptance may be considered and Contract award may be made in compliance with the Bidder’s conditional or revocable terms in the offer. 29. CONDITIONAL BID Unless the Bid Specifications provides otherwise, a bid is not rendered non-responsive if the Bidder specifies that the award will be accepted only on all or a specified group of items
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or Product included in the specification. It is understood that nothing herein shall be deemed to change or alter the method of award contained in the Bid Documents. 30. CLARIFICATIONS / REVISIONS Prior to award, the Commissioner reserves the right to seek clarifications, request bid revisions, or to request any information deemed necessary for proper evaluation of bids from all Bidders deemed to be eligible for contract award. Failure to provide requested information may result in rejection of the bid. 31. PROMPT PAYMENT DISCOUNTS While prompt payment discounts will not be considered in determining the low bid, the Commissioner may consider any prompt payment discount in resolving bids which are otherwise tied. However, any notation indicating that the price is net, (e.g. net 30 days), shall be understood to mean only that no prompt payment discount is offered by the Bidder. The imposition of service, interest, or other charges, except pursuant to the provisions of Article 11-A of the State Finance Law, which are applicable in any case, may render the bid non-responsive and may be cause for its rejection. 32. EQUIVALENT OR IDENTICAL BIDS In the event two offers are found to be substantially equivalent, price shall be the basis for determining the award recipient. If two or more Bidders submit substantially equivalent bids as to pricing or other factors, the decision of the Commissioner to award a contract to one or more of such Bidders shall be final. 33. PERFORMANCE QUALIFICATIONS The Commissioner reserves the right to investigate or inspect at any time whether or not the Product, qualifications or facilities offered by the Bidder/Contractor meet the requirements set forth in the Contract. Contractor shall at all times during the Contract term remain responsible and responsive. A Bidder/Contractor must be prepared, if requested by the Commissioner, to present evidence of experience, ability and financial standing, as well as a statement as to plant, machinery and capacity of the manufacturer for the production, distribution and servicing of the Product offered/bid. If the Commissioner determines that the conditions and terms of the Bid Documents or Contract are not complied with, or that items or Product proposed to be furnished do not meet the specified requirements, or that the qualifications, financial standing or facilities are not satisfactory, or that performance is untimely, the Commissioner may reject such bid or terminate the Contract. Nothing in the foregoing shall mean or imply that it is obligatory upon the Commissioner to make an investigation either before or after award of a Contract, but should such investigation be made, it in no way relieves the Bidder/Contractor from fulfilling all requirements and conditions of the Contract. 34. DISQUALIFICATION FOR PAST PERFORMANCE Bidder may be disqualified from receiving awards if Bidder, or anyone in Bidder’s employment, has previously failed to perform satisfactorily in connection with public bidding or contracts. 35. QUANTITY CHANGES PRIOR TO AWARD The Commissioner reserves the right, at any time prior to the award of a specific quantity contract, to alter in good faith the quantities listed in the Bid Specifications to conform with requirements. In the event such right is exercised, the lowest responsible Bidder meeting specifications will be advised of the revised requirements and afforded an opportunity to extend or reduce its bid price in relation to the changed quantities. Refusal by the low Bidder to so extend or reduce its bid price may result in the rejection of its bid and the award of such contract to the lowest responsible Bidder who accepts the revised requirements. 36. RELEASE OF BID EVALUATION MATERIALS Requests concerning the evaluation of bids may be submitted under the Freedom of Information Law. Information, other than the Bid Tabulation, shall be
released as required by law after Contract award. Written requests should be directed to the Commissioner. 37. TIMEFRAME FOR OFFERS The Commissioner reserves the right to make awards within sixty (60) days after the date of the bid opening, during which period, bids must remain firm and cannot be withdrawn. If, however, an award is not made within the sixty (60) day period, bids shall remain firm until such later time as either a Contract is awarded or the Bidder delivers to the Commissioner written notice of the withdrawal of its bid. Any bid which expressly states therein that acceptance must be made within a shorter specified time, may at the sole discretion of the Commissioner, be accepted or rejected.
TERMS & CONDITIONS 38. CONTRACT CREATION / EXECUTION Except for contracts governed by Article 11-B of the State Finance Law, upon receipt of all required approvals a Contract shall be deemed executed and created upon the Commissioner’s mailing or electronic communication to the address on the bid of: i) a Letter of Acceptance; ii) a fully executed Contract; or iii) a Purchase Order authorized by the Commissioner. 39. PARTICIPATION IN CENTRALIZED CONTRACTS The following shall not limit or inhibit the OGS Commissioner’s authority under State Finance Law, Section 163 (10) (e) (Piggybacking): a. Agencies All State Agencies may utilize and purchase under any state centralized contract let by the Office of General Services Procurement Services Group, unless the Bid Specifications limit purchases to specific State Agencies. b. Non-State Agency Authorized Users Authorized Users other than state agencies are permitted to make purchases through state centralized contracts where permitted by law, the Contract or the OGS Commissioner. c. Voluntary Extension Purchase Orders issued against a State centralized contract by any Authorized User not provided for in the Bid Specifications shall be honored by the Contractor at its discretion and only with the approval of the OGS Commissioner and any other approvals required by law. Contractors are encouraged to voluntarily extend service contracts to those additional entities authorized to utilize commodity contracts under Section 163 (3) (a) (iv) of the State Finance Law, which would comprise all entities authorized under prior laws. d. Responsibility for Performance Participation in New York State centralized contracts by Authorized Users is permitted upon the following conditions: a) the responsibility with regard to performance of any contractual obligation, covenant, condition or term thereunder by any Authorized User other than State Agencies shall be borne and is expressly assumed by such Authorized User and not by the State; b) a breach of the Contract by any particular Authorized User shall neither constitute nor be deemed a breach of the Contract as a whole which shall remain in full force and effect, and shall not affect the validity of the Contract nor the obligations of the Contractor thereunder respecting non-breaching Authorized Users, whether State or otherwise; c) for a breach by an Authorized User other than a State Agency, the State specifically and expressly disclaims any and all liability for such breach; and d) each non-state agency Authorized User and Contractor guarantee to save the State, its officers, agents and employees harmless from any liability that may be or is imposed by their failure to perform in accordance with its obligations under the Contract. 40. MODIFICATION OF CONTRACT TERMS The terms and conditions set forth in the Contract govern all transactions by Authorized User(s) under this Contract. The Contract may only be
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modified or amended upon mutual written agreement of the Commissioner and Contractor. For individual orders, however, the Contractor may offer Authorized User(s) more advantageous pricing, payment, or other terms and conditions than those set forth in the Contract. In such event, Contractor shall furnish a copy of such better offer to the Commissioner upon request. Other than where terms are more advantageous for the Authorized User(s) than those set forth in the Contract, no alteration or modification of the terms of the Contract, including substitution of Product, shall be valid or binding against Authorized User(s) unless authorized by the Commissioner or specified in the Contract Award Notification. Contractor may not unilaterally modify the terms of the Contract by affixing additional terms to Product upon delivery (e.g., attachment or inclusion of standard pre-printed order forms, product literature, “shrink wrap” terms accompanying or affixed to Product) or by incorporating such terms onto Contractor’s order or fiscal forms or other documents forwarded by the Contractor for payment. Acceptance of Product or processing of such documentation on forms furnished by the Contractor for approval or payment does not constitute acceptance of the proposed modification to terms and conditions. 41. SCOPE CHANGES The Commissioner reserves the right, unilaterally, to require, by written order, changes altering, adding to or deducting from the Contract specifications, such changes to be within the general scope of the Contract. The Commissioner may make an equitable adjustment in the Contract price or delivery date if the change affects the cost or time of performance. Such equitable adjustments require the consent of the Contractor, which consent shall not be unreasonably withheld. 42. ESTIMATED / SPECIFIC QUANTITY CONTRACTS Estimated quantity contracts are expressly agreed and understood to be made for only the quantities, if any, actually ordered during the Contract term. No guarantee of any estimated quantity(s) is implied or given. Unless otherwise set forth in the Bid Specifications, contracts for services and technology are completely voluntary as to use, and therefore no quantities are guaranteed. With respect to any specific quantity stated in the Contract, the Commissioner reserves the right after award to order up to 20% more or less (rounded to the next highest whole number) than the specific quantities called for in the Contract. Notwithstanding the foregoing, the Commissioner may purchase greater or lesser percentages of Contract quantities should the Commissioner and Contractor so agree. Such agreement may include an equitable price adjustment. 43. BEST PRICING OFFER During the Contract term, if substantially the same or a smaller quantity of a Product is sold by the Contractor outside of this Contract vehicle upon the same or similar terms and conditions as that of this Contract at a lower price, the price under this Contract, at the discretion of the Commissioner, shall be immediately reduced to the lower price. 44. PURCHASE ORDERS Unless otherwise authorized in writing by the Commissioner, no Products are to be delivered or furnished by Contractor until transmittal of an official Purchase Order from the Authorized User. Unless terminated or canceled pursuant to the authority vested in the Commissioner, Purchase Orders shall be effective and binding upon the Contractor when placed in the mail or electronically transmitted prior to the termination of the Contract period, addressed to the Contractor at the address for receipt of orders set forth in the Contract or in the Contract Award Notification. All Purchase Orders issued pursuant to contracts let by the Commissioner must bear the appropriate contract number and, if necessary, required State approvals. Unless otherwise specified, all Purchase Orders against centralized contracts will be placed by
Authorized Users directly with the Contractor and shall be deemed to incorporate the terms and conditions set forth in this Contract by reference. Any discrepancy between the terms stated on the Contractor’s order form, confirmation or acknowledgment, and the Contract terms shall be resolved in favor of the terms most favorable to the Authorized User. The Purchase Order shall indicate the address for delivery of the Product. Authorized User shall confirm pricing, supported hardware platforms and model availability with Contractor prior to placement of orders. Contractor’s order form shall, at a minimum, contain the NYS Product reference number, license type, price, and must separately itemize quantities for software, documentation, and services. The State reserves the right to require any other information from the Contractor which the State deems necessary in order to verify any Purchase Order placed under the Contract. If, with respect to an agency specific contract let by the OGS Commissioner, a Purchase Order is not received within two weeks after the issuance of a Contract Award Notification, it is the responsibility of the Contractor to request in writing that the appropriate Authorized User forward a Purchase Order. If, thereafter, a Purchase Order is not received within a reasonable period of time, the Contractor shall promptly notify the appropriate purchasing officer in OGS. Failure to timely notify such officer may, in the discretion of the OGS Commissioner and without cost to the State, result in the canceling of such requirement by the OGS Commissioner with, at the OGS Commissioner’s discretion, a corresponding reduction in the Contract quantity and price. 45. PRODUCT DELIVERY Delivery must be made as ordered to the address specified on the Purchase Order and in accordance with the terms of the Contract. Unless otherwise specified in the Bid Specifications, delivery shall be made within thirty calendar days after receipt of a purchase order by the Contractor. The decision of the Commissioner as to compliance with delivery terms shall be final. The burden of proof for delay in receipt of Purchase Order shall rest with the Contractor. In all instances of a potential or actual delay in delivery, the Contractor shall immediately notify the Commissioner and the Authorized User, and confirm in writing the explanation of the delay, and take appropriate action to avoid any subsequent late deliveries. Any extension of the time for delivery must be requested in writing by the Contractor and approved in writing by the Commissioner. Failure to meet such time schedule may be grounds for cancellation of the order or, in the Commissioner’s discretion, the Contract. 46. WEEKEND AND HOLIDAY DELIVERIES Unless otherwise specified in the Bid Specifications or by an Authorized User, deliveries will not be scheduled for Saturdays, Sundays or legal holidays observed by the State of New York except of Product for daily consumption or where an emergency exists or the delivery is a replacement or is late, in which event the convenience of the Authorized User shall govern. 47. SHIPPING / RECEIPT OF PRODUCT a. Packaging Tangible Product shall be securely and properly packed for shipment, storage and stocking in appropriate, clearly labeled shipping containers and according to accepted commercial practice, without extra charge for packing materials, cases or other types of containers. The container shall become and remain the property of the receiving entity. b. Shipping Charges Unless otherwise stated in the Bid Specifications, all deliveries shall be deemed to be FOB destination to the delivery address specified on the Purchase Order. Even where the specifications permit Product to be purchased at a price FOB shipping point plus transportation charges, it is understood not to relieve the Contractor from responsibility for safe and proper delivery. Contractor
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shall be responsible for insuring that the Bill of Lading states “charges prepaid” for all shipments. c. Receipt of Product The Contractor shall be solely responsible for assuring that deliveries are made to personnel authorized to accept delivery on behalf of the Authorized User. Any losses resulting from the Contractor’s failure to deliver Product to authorized personnel shall be borne exclusively by the Contractor. 48. RISK OF LOSS Notwithstanding the form of shipment, risk of loss shall not pass from the Contractor to the Authorized User until the Products have been received, inspected and accepted by the receiving entity. Acceptance shall occur within the acceptance period specified in this Appendix B-1, or such other period of time mutually agreed to by Authorized User and Contractor. Mere acknowledgment by Authorized User personnel of the delivery or receipt of goods (e.g. signed bill of lading) shall not be deemed or construed as acceptance of the Products. Any delivery of Product which is substandard or does not comply with the Contract terms, may be rejected or accepted on an adjusted price basis, as determined by the Commissioner. 49. (RESERVED) 50. PRODUCT SUBSTITUTION In the event a specified manufacturer’s Product listed in the Contract becomes unavailable or cannot be supplied by the Contractor for any reason (except as provided for in the Savings/Force Majeure Clause below) a Product deemed by the Commissioner to be equal to or better than that specified must be substituted by the Contractor at no additional cost or expense to the Authorized User, subject to the Contractor’s approval, which shall not unreasonably be withheld. Unless otherwise specified, any substitution of Product prior to the Commissioner’s approval may be cause for cancellation of Contract. 51. REJECTED PRODUCT When Product is rejected, it must be removed by the Contractor from the premises of the receiving entity within ten calendar days of notification of rejection by Authorized User. Upon rejection notification, risk of loss of rejected or non-conforming Product shall remain with Contractor. Rejected items not removed by the Contractor within ten calendar days of notification shall be regarded as abandoned by the Contractor, and the Authorized User shall have the right to dispose of the items as its own property. The Contractor shall promptly reimburse the Authorized User for any and all costs and expenses incurred in storage or effecting removal or disposition. 52. INSTALLATION Where installation is required, Bidder shall be responsible for placing and installing the equipment in the required locations. All materials used in the installation shall be of good quality and shall be free from any and all defects which would mar the appearance of the equipment or render it structurally unsound. Installation includes the furnishing of any equipment, rigging and materials required to install or replace the Product in the proper location. The Contractor shall protect the site from damage for all its work and shall repair damages or injury of any kind caused by the Contractor, its employees, officers or agents. If any alteration, dismantling or excavation, etc. is required to effect installation, the Contractor shall thereafter promptly restore the structure or site to its original condition. Work shall be performed so as to cause the least inconvenience to the Authorized User(s) and with proper consideration for the rights of other Contractors or workers. The Contractor shall promptly perform its work and shall coordinate its activities with those of other Contractors. The Contractor shall clean up and remove all debris and rubbish from its work as required or directed. Upon completion of the work, the building and surrounding area of work shall be left clean and in a neat, unobstructed condition, and everything in satisfactory repair and order. 53. REPAIRED OR REPLACED PARTS / COMPONENTS Where the Contractor is required to repair, replace or substitute parts
components under the Contract, the repaired, replaced or substituted products shall be subject to all terms and conditions for new parts and components set forth in the Contract. Replaced or repaired components, or parts shall be new and shall, if available, be replaced by the original manufacturer’s component or part. Remanufactured parts or components meeting new product standards may be permitted by the Commissioner or Authorized User. All proposed substitutes for the original manufacturer’s installed parts or components must be approved by the Authorized User before installation. The part or component shall be equal to or of better quality than the original part or component being replaced. 54. ON-SITE STORAGE Materials, equipment or supplies may be stored at the Authorized User’s site at the Contractor’s sole risk and only with the approval of the Authorized User. 55. EMPLOYEES / SUBCONTRACTORS / AGENTS All employees, subcontractors or agents performing work under the Contract must be trained technicians who meet or exceed the technical and training qualifications set forth in the Bid Specifications or the Bid, whichever is better, and must comply with all security and administrative requirements of the Authorized User. The Commissioner reserves the right to conduct a security background check or otherwise approve any employee or agent furnished by Contractor and to refuse access to or require replacement of any personnel for cause, including but not limited to, technical or training qualifications, quality of work or change in security status or non-compliance with Authorized User’s security or other requirements. Such approval shall not relieve the Contractor of the obligation to perform all work in compliance with the Contract terms. The Commissioner reserves the right to reject and/or bar from the facility for cause any employee, subcontractor, or agents of the Contractor. 56. ASSIGNMENT / SUBCONTRACTORS Contractor shall not assign, transfer, convey, sublet, or otherwise dispose of the Contract or its right, title or interest therein, or its power to execute such Contract to any other person, company, firm or corporation in performance of the Contract, other than the assignment of the right to receive money due, without the prior written consent of the Issuing Entity. Prior to an assignment of the right to receive money becoming effective, Contractor shall file a written notice of such assignment simultaneously with the NYS Comptroller, the Commissioner, and participating Authorized User(s). The Commissioner reserves the right to reject any proposed subcontractor, assignee or supplier for bona fide business reasons, which may include, but are not limited to: that the proposed transferee is on the Department of Labor’s list of companies with which New York State cannot do business; the Commissioner determines that the company is not qualified; unsatisfactory contract performance or service has been previously provided; or attempts were not made to solicit minority and women’s business enterprises (M/WBE) bidders for the subcontract. 57. PERFORMANCE / BID BOND The Issuing Entity reserves the right to require the Bidder/Contractor to furnish without additional cost, a performance, payment or bid bond or negotiable irrevocable letter of credit or other form of security for the faithful performance of the Contract. Where required, such bond or other security shall be in the form prescribed by the Commissioner. 58. SUSPENSION OF WORK The Commissioner, in his/her sole discretion, reserves the right to suspend any or all activities under this Contract, at any time, in the best interests of the State or Issuing Entity. In the event of such suspension, the Contractor will be given a formal written notice outlining the particulars of such suspension. Examples of the reason for such suspension include, but are not limited to, a budget freeze on State spending, declaration of emergency, or other such circumstances. Upon issuance of such notice, the Contractor is not to accept any purchase orders, and shall comply with the suspension order.
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Activity may resume at such time as the Commissioner issues a formal written notice authorizing a resumption of work. 59. TERMINATION a. For Cause: For a material breach that remains uncured for more than thirty (30) days after written notice to the Contractor, the Contract or Purchase Order may be terminated by the Commissioner or Authorized User at the Contractor’s expense where Contractor becomes unable or incapable of performing, or meeting any requirements or qualifications set forth in the Contract, or for non-performance, or upon a determination that Contractor is non-responsible. In such event, the Commissioner or Authorized User may complete the contractual requirements in any manner as it may deem advisable and pursue available legal or equitable remedies for breach. If the annual volume of business done by the Contractor is less than the minimum annual volume criteria established for the Contract for two consecutive contract years, the Contract may be terminated for cause. For purposes of this paragraph, contract year is defined as the first full four quarters reported after award, in accordance with the Reporting/Monitoring Contract Performance clause included in the Contract, and each of the same four quarterly periods thereafter until contract termination. b. For Convenience: This Contract may be terminated at any time by the State for convenience upon sixty (60) days written notice without penalty or other early termination charges due. Such termination shall not affect the validity of Purchase Orders placed prior to termination. Such termination of the Contract shall not affect any project or Purchase Order which has been issued under the Contract prior to the date of such termination. c. For Violation of Executive Order Number 127: The State reserves the right to terminate this contract in the event it is found that the certification filed by the Contractor in accordance with New York State Executive Order Number 127, signed by Governor Pataki on June 16, 2003, was intentionally false or intentionally incomplete. Upon such finding, the State may exercise its termination right by providing written notification to the Contractor in accordance with the written notification terms in the contract. 60. SAVINGS / FORCE MAJEURE The Contractor shall not be responsible for delay resulting from its failure to perform if neither the fault nor negligence of the Contractor, its officers, employees or agents contributed to such delay and the delay is due directly to acts of God, wars, acts of public enemies, strikes, fires or floods, or other similar cause beyond the control of the Contractor, or for any of the foregoing which affect subcontractors or suppliers and no alternate source of supply is available to the Contractor. In such event, Contractor shall notify the Commissioner, by certified or registered mail, of the delay or potential delay and the cause(s) thereof either (a) within ten (10) calendar days after the cause which creates or will create the delay first arose if the Contractor could reasonably foresee that a delay could occur by reason thereof, or (b) if delay is not reasonably foreseeable, within five (5) calendar days after the date the Contractor first had reason to believe a delay could result. The foregoing shall constitute the Contractor’s sole remedy or excuse with respect to such delay. In the event performance is suspended or delayed, in whole or in part, by reason of any of the aforesaid causes or occurrences and proper notification is given the Commissioner, any performance so suspended or delayed shall be performed by the Contractor at no increased cost, promptly after such disabilities have ceased to exist unless it is determined in the sole discretion of the Commissioner that the delay will significantly impair the value of the Contract to the State or to Authorized Users, whereupon the Commissioner may:
a. Accept allocated performance or deliveries from the Contractor. The Contractor, however, hereby agrees to grant preferential treatment to State Agencies with respect to Product subjected to allocation; and/or b. Purchase from other sources (without recourse to and by the Contractor for the costs and expenses thereof) to replace all or part of the Products which are the subject of the delay, which purchases may be deducted from the Contract quantity; or c. Terminate the Contract or the portion thereof which is subject to delivery delays, and thereby discharge any unexecuted portion of the Contract or the relative part thereof. In addition, the Commissioner reserves the right, in his/her sole discretion, to make an equitable adjustment in the Contract terms and/or pricing should extreme and unforeseen volatility in the marketplace affect pricing or the availability of supply. "Extreme and unforeseen volatility in the marketplace" is defined as market circumstances which meet the following criteria: (1) the volatility is due to causes outside the control of Contractor; (2) the volatility affects the marketplace or industry, not just the particular contract source of supply; (3) the effect on pricing or availability of supply is substantial; and (4) the volatility so affects Contractor's performance that continued performance of the Contract would result in a substantial loss. 61. CONTRACT BILLINGS Contractor and the distributors/resellers designated by the Contractor, if any, shall provide complete and accurate billing invoices to each Authorized User in order to receive payment. Billings for Agencies must contain all information required by the Comptroller. The Comptroller shall render payment for Agency purchases, and such payment shall be made in accordance with ordinary State procedures and practices. Payment of Contract purchases made by Authorized Users other than Agencies shall be billed directly by Contractor on invoices/vouchers, together with complete and accurate supporting documentation as required by the Authorized User. Submission of an invoice and payment thereof shall not preclude the Commissioner from reimbursement or demanding a price adjustment in any case where the Product delivered is found to deviate from the terms and conditions of the Contract. 62. DEFAULT - AUTHORIZED USER An Authorized User’s breach shall not be deemed a breach of the centralized Contract. In the event a participating Authorized User fails to make payment to the Contractor for Products delivered, accepted and properly invoiced, within 60 days of such delivery and acceptance, the Contractor may, upon 10 days advance written notice to both the Commissioner and the Authorized User’s purchasing official, suspend additional shipments of Product or provision of services to such entity until such time as reasonable arrangements have been made and assurances given by such entity for current and future Contract payments. Notwithstanding the foregoing, the Contractor shall, at least 10 days prior to declaring a breach of contract by any Authorized User, by certified or registered mail, notify both the Commissioner and the purchasing official of the breaching Authorized User of the specific facts, circumstances and grounds upon which a breach will be declared. It is understood, however, that if the Contractor’s basis for declaring a breach is insufficient, the Contractor’s declaration of breach and failure to service an Authorized User shall constitute a breach of its Contract and the State or Authorized User may thereafter utilize any remedy available at law or equity. 63. INTEREST ON LATE PAYMENTS a. State Agencies The payment of interest on certain payments due and owed by a State agency may be made in accordance with Article 11-A of the State Finance Law and Title 2 of the New York Code of Rules
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and Regulations, Part 18 (Implementation of Prompt Payment Legislation). b. By Non-State Agencies The terms of Article 11-A apply only to procurements by and the consequent payment obligations of State Agencies. Neither expressly nor by any implication is the statute applicable to non-State Authorized Users. Neither is the Office of General Services nor the Office of the State Comptroller responsible for payments on any purchases made by a Non-State Agency Authorized User. c. By Contractor Should the Contractor be liable for any payments to the State hereunder, interest, late payment charges and collection fee charges will be determined and assessed pursuant to Section 18 of the State Finance Law. 64. REMEDIES FOR BREACH It is understood and agreed that all rights and remedies afforded below shall be in addition to all remedies or actions otherwise authorized or permitted by law: a. Cover / Substitute Performance In the event of Contractor's material breach, the Commissioner may, with or without formally bidding same:
i. Purchase from other sources; or ii. If, after making reasonable attempts, under the circumstances then existing, to timely obtain acceptable service or acquire replacement product of equal or comparable quality, the Commissioner is unsuccessful, the Commissioner may acquire acceptable replacement product or service of lesser or greater quality.
Such purchases may, in the discretion of the Commissioner, be deducted from the Contract quantity and payments due Contractor. b. Withholding of Payment(s) In any case where a question of non-performance by Contractor arises, payment may be withheld in whole or in part at the discretion of the Commissioner. Should the amount withheld be finally paid, a cash discount originally offered may be taken as if no delay in payment had occurred. c. Reimbursement of Costs Incurred The Contractor agrees to reimburse the State and/or Authorized User promptly for any and all additional costs and expenses incurred for acquiring acceptable services, and/or replacement Product. Should the cost of cover be less than the Contract price, the Contractor shall have no claim to the difference. The Contractor covenants and agrees that in the event suit is successfully prosecuted for any default on the part of the Contractor, all costs and expenses expended or incurred by the State or Authorized User in connection therewith, including reasonable attorney’s fees, shall be paid by the Contractor. Where the Contractor fails to timely deliver pursuant to the guaranteed delivery terms of the Contract, the Commissioner may authorize an ordering Authorized User to rent substitute equipment temporarily. Any sums expended for such rental shall, upon demand, be reimbursed to the Authorized User promptly by the Contractor or deducted by the Authorized User from payments due or to become due the Contractor on the same or another transaction. d. Deduction / Credit Sums due as a result of these remedies may be deducted or offset by the State or Authorized User from payments due, or to become due, the Contractor on the same or another transaction. If no deduction or only a partial deduction is made in such fashion the Contractor shall pay to the State or Authorized User the amount of such claim or portion of the claim still outstanding, on demand. The Commissioner reserves the right to determine the
disposition of any rebates, settlements, restitution, liquidated damages, etc., which arise from the administration of the Contract. e. Fee Refund In the event that a Purchase Order is cancelled for breach, Authorized User shall be entitled to a refund of any fees paid by Authorized User for usage or services prospectively from the date of breach. 65. ASSIGNMENT OF CLAIM Contractor hereby assigns to the State any and all its claims for overcharges associated with this Contract which may arise under the antitrust laws of the United States, 15 U.S.C. Section 1, et seq. and the antitrust laws of the State of New York, G.B.L. Section 340, et seq. 66. TOXIC SUBSTANCES Each Contractor furnishing a toxic substance as defined by Section 875 of the Labor Law, shall provide such Authorized User with not less than two copies of a material safety data sheet, which sheet shall include for each such substance the information outlined in Section 876 of the Labor Law. Before any chemical product is used or applied on or in any building, a copy of the product label and Material Safety Data Sheet must be provided to and approved by the user agency representative. 67. INDEPENDENT CONTRACTOR It is understood and agreed that the legal status of the Contractor, its agents, distributors, resellers, officers and employees under this Contract is that of an independent Contractor, and in no manner shall they be deemed employees of the State or Authorized User, and therefore are not entitled to any of the benefits associated with such employment. The Contractor agrees, during the term of this Contract, to maintain at Contractor’s expense those benefits to which its employees would otherwise be entitled by law, including health benefits, and all necessary insurance for its employees, including worker’s compensation, disability and unemployment insurance, and to provide the Authorized User with certification of such insurance upon request. The Contractor remains responsible for all applicable federal, state and local taxes, and all FICA contributions. 68. SECURITY / CONFIDENTIALITY Contractor warrants, covenants and represents that it will comply fully with all security procedures of the State and any Authorized User(s) in performance of the Contract. Contractor further warrants, covenants and represents that any confidential information obtained by Contractor, its agents, distributors, resellers subcontractors, officers, or employees in the course of performing its obligations, including without limitation, security procedures, business operations information, or commercial proprietary information in the possession of the State or any Authorized User hereunder or received from another third party, will not be divulged to any third parties. Contractor shall not be required to keep confidential any such confidential material which is publicly available through no fault of Contractor, independently developed by Contractor without reliance on confidential information of the State or Authorized User, or otherwise obtained under the Freedom of Information Act or other applicable New York State Laws and Regulations. This warranty shall survive termination of this Contract. Contractor further agrees to take appropriate steps as to its personnel, agents, officers and any subcontractors regarding the obligations arising under this clause to insure such confidentiality. 69. COOPERATION WITH THIRD PARTIES The Contractor shall be responsible for fully cooperating with any third party, including but not limited to subcontractors of the Authorized User, relating to delivery of product or coordination of services. 70. CONTRACT TERM - RENEWAL In addition to any stated renewal periods in the Contract, any contract or unit portion thereof let
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by the Commissioner may be extended by the Commissioner for an additional period(s) of up to one year (cumulatively) with the written concurrence of the Contractor. 71. WARRANTIES & GUARANTEES Where Contractor or Product manufacturer/developer generally offers additional or more advantageous warranties than set forth below, Contractor shall offer or pass through any such warranties to Authorized Users. Contractor hereby warrants and represents: a. Product Performance Products delivered pursuant to this Contract conform to the specifications, performance standards and documentation, and the documentation fully describes the proper procedure for using the Products. b. Title and Ownership Warranty Full ownership, clear title free of all liens, and/or that Contractor has obtained on behalf of Authorized User perpetual license rights to use the Product for the purposes of this Bid or individual Purchase Order. Contractor shall be solely liable for any costs of acquisition associated therewith. Contractor fully indemnifies the State and Authorized User for any loss, damages or actions arising from a breach of said warranty without limitation. Authorized User may require Contractor to furnish appropriate written documentation establishing the above rights and interests as a condition of payment. Authorized User’s request or failure to request such documentation shall not relieve Contractor of liability under this warranty. c. Contractor Compliance To pay, at its sole expense, all applicable permits, licenses, tariffs, tolls and fees and give all notices and comply with all laws, ordinances, rules and regulations of any governmental entity in conjunction with the performance of obligations under the Contract. Prior to award and during the Contract term and any renewals thereof, Contractor must establish to the satisfaction of the Commissioner that it meets or exceeds all requirements of the bid/ Contract and any applicable laws, including but not limited to, permits, insurance coverage, licensing, proof of coverage for workman’s compensation, and shall provide such proof as required by the Commissioner. Failure to do so may constitute grounds for the Commissioner to cancel or suspend this Contract, in whole or in part, or to take any other action deemed necessary by the Commissioner. d. Product Warranty Unless recycled or recovered materials are available in accordance with the “Recycled or Recovered Materials” clause, Product offered shall be standard new equipment, current model or most recent release of regular stock product with all parts regularly used with the type of equipment offered; and no attachment or part has been substituted or applied contrary to the manufacturer’s recommendations and standard practice. Contractor further warrants and represents that components or deliverables specified and furnished by or through Contractor shall individually, and where specified and furnished as a system, be substantially uninterrupted or error-free in operation and guaranteed against faulty material and workmanship for the warranty period, or for a minimum of one (1) year from the date of acceptance, whichever is longer (“Project warranty period”). During the Project warranty period, defects in the materials or workmanship of components or deliverables specified and furnished by or through Contractor shall be repaired or replaced by Contractor at no cost or expense to the Authorized User. Contractor shall extend the Project warranty period for individual component(s), or for the System as a whole, as applicable, by the cumulative period(s) of time, after notification, during which an individual component or the System requires servicing or replacement (down time) or is in the possession of the Contractor, its agents, officers, subcontractors, distributors, resellers or employees (“extended warranty”).
Where Contractor, the Independent Software Vendor “ISV”, or other third party manufacturer markets any Project Deliverable delivered by or through Contractor with a standard commercial warranty, such standard warranty shall be in addition to, and not relieve the Contractor from, Contractor’s warranty obligations during the Project warranty and extended warranty period(s). Where such standard commercial warranty covers all or some of the Project warranty or extended warranty period(s), Contractor shall be responsible for the coordination during the Project warranty or extended warranty period(s) with ISV or other third party manufacturer(s) for warranty repair or replacement of ISV or other third party manufacturer’s Product. Where Contractor, ISV or other third party manufacturer markets any Project Deliverable with a standard commercial warranty which goes beyond the Project warranty or extended warranty period(s), Contractor shall notify the Authorized User and pass through the manufacturer’s standard commercial warranty to Authorized User at no additional charge; provided, however, that Contractor shall not be responsible for coordinating services under the third party extended warranty after expiration of the Project warranty and extended warranty period(s). e. Replacement Parts Warranty If during the regular or extended warranty periods faults develop, the Contractor shall promptly repair or, upon demand, replace the defective unit or component part affected. All costs for labor and material and transportation incurred to repair or replace defective Product during the warranty period shall be borne solely by the Contractor, and the State or Authorized User shall in no event be liable or responsible therefor. Any part of component replaced by the Contractor under the Contract warranty shall be replaced at no cost to the Authorized User and guaranteed for the greater of: a) the warranty period under paragraph(d) above; or b) if a separate warranty for that part or component is generally offered by the manufacturer, the standard commercial warranty period offered by the manufacturer for the individual part or component. f. Virus Warranty Licensed Software contains no known viruses. Contractor is not responsible for viruses introduced at Licensee’s site. g. Date/Time Warranty Contractor warrants that Product(s) furnished pursuant to this Contract shall, when used in accordance with the Product documentation, be able to accurately process date/time data (including, but not limited to, calculating, comparing, and sequencing) transitions, including leap year calculations. Where a Contractor proposes or an acquisition requires that specific Products must perform as a package or system, this warranty shall apply to the Products as a system. Where Contractor is providing ongoing services, including but not limited to: i) consulting, integration, code or data conversion, ii) maintenance or support services, iii) data entry or processing, or iv) contract administration services (e.g. billing, invoicing, claim processing), Contractor warrants that services shall be provided in an accurate and timely manner without interruption, failure or error due to the inaccuracy of Contractor’s business operations in processing date/time data (including, but not limited to, calculating, comparing, and sequencing) various date/time transitions, including leap year calculations. Contractor shall be responsible for damages resulting from any delays, errors or untimely performance resulting therefrom, including but not limited to the failure or untimely performance of such services. This Date/Time Warranty shall survive beyond termination or expiration of this contract through: a) ninety (90) days or b) the Contractor’s or Product manufacturer/developer’s stated date/time warranty term, whichever is longer. Nothing in this warranty statement shall be construed to limit any rights or remedies otherwise available under this Contract for breach of warranty.
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h. Workmanship Warranty Contract warrants that all components or deliverables specified and furnished by or through Contractor under the Project Definition/Work Order meet the completion criteria set forth in the Project Definition/Work Order and any subsequent statement(s) of work, and that services will be provided in a workmanlike manner in accordance with industry standards. i. Survival of Warranties All warranties contained in this Contract shall survive the termination of this Contract. THE WARRANTIES SET FORTH IN THE CONTRACT ARE IN LIEU OF ALL OTHER WARRANTIES, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTIBILITY AND FITNESS FOR A PARTICULAR PURPOSE. Misuse, accident, unsuitable physical or operating environment, modification or operation inconsistent with standard industry practice, or failure caused by a product for which Contractor is not responsible may void the warranties. 72. SOFTWARE LICENSE GRANT Where Product is acquired on a licensed basis the following shall constitute the license grant: a. License Scope Licensee is granted a non-exclusive, perpetual license to use, execute, reproduce, display, perform, or merge the Product within its business enterprise in the United States up to the maximum licensed capacity stated on the Purchase Order. Product may be accessed, used, executed, reproduced, displayed or performed up to the capacity measured by the applicable licensing unit stated on the Purchase Order (i.e., payroll size, number of employees, CPU, MIPS, MSU, concurrent user, workstation). Licensee shall have the right to use and distribute modifications or customizations of the Product to and for use by any Authorized Users otherwise licensed to use the Product, provided that any modifications, however extensive, shall not diminish Licensor’s proprietary title or interest. No license, right or interest in any trademark, trade name, or service mark is granted hereunder. b. License Term The license term shall commence upon the License Effective Date, provided, however, that where an acceptance period applies to the Product, the License Term shall be extended by the time period for testing and acceptance. c. Licensed Documentation If commercially available, Licensee shall have the option to require the Contractor to deliver, at Contractor’s expense: a) one (1) hard copy and one (1) master electronic copy of the Documentation in diskette or CD-ROM format; or b) hard copies of the Product Documentation by type of license in the following amounts, unless otherwise mutually agreed:
• Individual/Named User License - 1 copy per License • Concurrent Users - 10 copies per site • Processing Capacity - 10 copies per site
Software media must be in a format specified by the Authorized User, without requiring any type of conversion (e.g., if unit has a 3½” disk drive, software must be provided on 3½” diskettes). Contractor hereby grants to Licensee a perpetual license right to make, reproduce (including downloading electronic copies of the Product) and distribute, either electronically or otherwise, copies of Product Documentation as necessary to enjoy full use of the Product in accordance with the terms of license. d. Product Technical Support & Maintenance Licensee shall have the option of electing the Product technical support and maintenance (“maintenance”) set forth in the Contract by giving written notice to Contractor any time during the Centralized Contract term. Maintenance term(s) and any renewal(s) thereof are independent of the expiration of the centralized Contract term and will not automatically renew.
Maintenance shall include, at a minimum, (1) the provision of error corrections, updates, revisions, fixes, upgrade and new releases to Licensee, and (2) Help Desk assistance with locally accessible “800” or toll free, local telephone service, or alternatively on-line Help Desk accessibility. Contractor shall maintain the Products so as to provide Licensee with the ability to utilize the Products in accordance with the Product documentation without significant functional downtime to its ongoing business operations during the maintenance term. Authorized User shall not be required to purchase maintenance for use of Product, and may discontinue maintenance at the end of any current maintenance term upon notice to Contractor. In the event that Authorized User does not initially acquire or discontinues maintenance of licensed Product, it may, at any time thereafter, reinstate maintenance for Product without any additional penalties or other charges, by paying Contractor the amount which would have been due under the Contract for the period of time that such maintenance had lapsed, or for twelve months, whichever is less, at then-current NYS net maintenance rates. e. Permitted License Transfers As Licensee’s business operations may be altered, expanded or diminished, licenses granted hereunder may be transferred or combined for use at an alternative or consolidated site not originally specified in the license, including transfers between Agencies (“permitted license transfers”). Licensee(s) do not have to obtain the approval of Contractor for permitted license transfers, but must give thirty (30) days prior written notice to Contractor of such move(s) and certify in writing that the Product is not in use at the prior site. There shall be no additional license or other transfer fees due Contractor, provided that: i) the maximum capacity of the consolidated machine is equal to the combined individual license capacity of all licenses running at the consolidated or transferred site (e.g., named users, seats, or MIPS) ; or ii) if the maximum capacity of the consolidated machine is greater than the individual license capacity being transferred, a logical or physical partition or other means of restricting access will be maintained within the computer system so as to restrict use and access to the Product to that unit of licensed capacity solely dedicated to beneficial use for Licensee. In the event that the maximum capacity of the consolidated machine is greater than the combined individual license capacity of all licenses running at the consolidated or transferred site, and a logical or physical partition or other means of restricting use is not available, the fees due Contractor shall not exceed the fees otherwise payable for a single license for the upgrade capacity.
f. Restricted Use By Outsourcers / Facilities Management, Service Bureaus / or Other Third Parties Outsourcers, facilities management or service bureaus retained by Licensee shall have the right to use the Product to maintain Licensee’s business operations, including data processing, for the time period that they are engaged in such activities, provided that: 1) Licensee gives notice to Contractor of such party, site of intended use of the Product, and means of access; and 2) such party has executed, or agrees to execute, the Product manufacturer’s standard nondisclosure or restricted use agreement which executed agreement shall be accepted by the Contractor (“Non-Disclosure Agreement”); and 3) if such party is engaged in the business of facility management, outsourcing, service bureau or other services, such third party will maintain a logical or physical partition within its computer system so as to restrict use and access to the program to that portion solely dedicated to beneficial use for Licensee. In no event shall Licensee assume any liability for third party’s compliance with the terms of the Non-Disclosure Agreement, nor shall the Non-Disclosure Agreement create or impose any liabilities on the State or Licensee. Any third party with whom a Licensee has a relationship for a state function or business operation, shall have the temporary right to use
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Product (e.g., JAVA Applets), provided that such use shall be limited to the time period during which the third party is using the Product for the function or business activity. g. Archival Back-Up and Disaster Recovery Licensee may use and copy the Product and related Documentation in connection with: 1) reproducing a reasonable number of copies of the Product for archival backup and disaster recovery procedures in the event of destruction or corruption of the Product or disasters or emergencies which require Licensee to restore backup(s) or to initiate disaster recovery procedures for its platform or operating systems; 2) reproducing a reasonable number of copies of the Product and related documentation for cold site storage. “Cold Site” storage shall be defined as a restorable back-up copy of the Product not to be installed until and after the declaration by the Licensee of a disaster; 3) reproducing a back-up copy of the Product to run for a reasonable period of time in conjunction with a documented consolidation or transfer otherwise allowed under this section #73. “Disaster Recovery” shall be defined as the installation and storage of Product in ready-to-execute, back-up computer systems prior to disaster or breakdown which is not used for active production or development. h. Confidentiality Restrictions The Product is a trade secret, copyrighted and proprietary product. Licensee and its employees will keep the Product strictly confidential, and Licensee will not disclose or otherwise distribute or reproduce any Product to anyone other than as authorized under the terms of Contract. Licensee will not remove or destroy any proprietary markings of Contractor. i. Restricted Use by Licensee Except as expressly authorized by the terms of license, Licensee shall not:
i. Copy the Product; ii. Cause or permit reverse compilation or reverse assembly
of all or any portion of the Product; iii. Export the Licensed Software in violation of any U.S.
Department of Commerce export administration regulations.
73. PRODUCT ACCEPTANCE Unless otherwise provided by mutual agreement of the Authorized User and the Contractor, Authorized User(s) shall have sixty (60) days from the date of delivery to accept Product unless the Contractor is responsible for installation, in which case the sixty day period shall run from completion of installation. Failure to provide notice of acceptance or rejection by the end of the period provided for under this clause constitutes acceptance by the Authorized User(s) as of the expiration of that period. The License Term shall be extended by the time periods allowed for testing and acceptance. Unless otherwise provided by mutual agreement of the Authorized User and the Contractor, Authorized User shall have the option to run testing on the Product prior to acceptance, such tests and data sets to be specified by User. Where using its own data or tests, Authorized User must have the tests or representative set of data available upon delivery. This demonstration will take the form of a documented installation test, capable of observation by the Authorized User, and shall be made part of the Contractor’s standard documentation. The test data shall remain accessible to the Authorized User after completion of the test. In the event that the documented installation test cannot be completed successfully within the specified acceptance period, and the Contractor or Product is responsible for the delay, Authorized User shall have the option to cancel the order in whole or in part, or to extend the testing period for another sixty (60) day increment. Authorized User shall notify Contractor of acceptance upon successful completion of the documented installation test. Such cancellation shall not give rise to any cause of action against the State or Authorized User for damages, loss of profits, expenses, or other remuneration of any kind.
Costs and liabilities associated with a failure of the Product to perform in accordance with the functionality tests or product specifications during the acceptance period shall be borne fully by Contractor to the extent that said costs or liabilities shall not have been caused by negligent or willful acts or omissions of the Authorized User’s agents or employees. Said costs shall be limited to fees paid to Contractor, if any, or any liability for costs incurred at the direction or recommendation of Contractor. 74. AUDIT OF LICENSED PRODUCT USAGE Contractor shall have the right to periodically audit, no more than annually, at Contractor’s expense, use of licensed Product at any site where a copy of the Product resides provided that: i) Contractor gives Licensee(s) at least thirty (30) days advance written notice, ii) such audit is conducted during such party’s normal business hours, iii) the audit is conducted by an independent auditor chosen on mutual agreement of the parties. Contractor shall recommend a minimum of three (3) auditing/accounting firms from which the Licensee will select one (1). In no case shall the Business Software Alliance (BSA), Software Publishers Association (SPA) or Federation Against Software Theft (FAST) be used directly or indirectly to conduct audits, or recommended by Contractor; iv) Contractor and Licensee are each entitled to designate a representative who shall be entitled to participate, and who shall mutually agree on audit format, and simultaneously review all information obtained by the audit. Such representatives also shall be entitled to copies of all reports, data or information obtained from the audit; and v) if the audit shows that such party is not in compliance, License shall be required to purchase additional licenses or capacities necessary to bring it into compliance and shall pay for the unlicensed capacity at the NYS Net Price in effect at time of audit, or if none, then at the Contractor’s U.S. Commercial list price. Once such additional licenses or capacities are purchased, Licensee shall be deemed to have been in compliance retroactively, and Licensee shall have no further liability of any kind for the unauthorized use of the software.
75. OWNERSHIP / TITLE TO PROJECT DELIVERABLES a. Definitions i. “Products” - A deliverable furnished under this Contract
by or through Contractor, including existing and custom Products, including, but not limited to: a) components of the hardware environment, b) printed materials (including but not limited to training manuals, system and user documentation, reports, drawings), c) third party software, d) modifications, customizations, custom programs, program listings, programming tools, data, modules, components, and e) any properties embodied therein, whether in tangible or intangible form (including but not limited to utilities, interfaces, templates, subroutines, algorithms, formulas, source code, object code).
ii. “Existing Products” - Tangible Products and intangible licensed Products which exist prior to the commencement of work under the Contract. Contractor retains the burden of proving that a particular product was existing before commencement of the Project. .
iii. “Custom Products” - Products, preliminary, final or otherwise, which are created or developed by Contractor, its subcontractors, partners, employees or agents for Authorized User under the Contract.
b. Title to Project Deliverables Contractor acknowledges that it is commissioned by the Authorized User to perform services detailed in the Purchase Order. Unless otherwise specified in writing in the Bid or Purchase Order, the Authorized User shall have ownership and/or license rights as follows: i. Existing Products: 1) Hardware - Title and ownership of Existing
GENERAL SPECIFICATIONS (TECHNOLOGY PRODUCTS AND SERVICES) APPENDIX B-1
January, 2004 15
Hardware Product shall pass to Authorized User upon acceptance . 2) Software - Title and ownership to Existing Software Product(s) delivered by Contractor under the Contract which is normally commercially distributed on a license basis by the Contractor or other independent software vendor proprietary owner (“Existing Licensed Product”), whether or not embedded in, delivered or operating in conjunction with hardware or Custom Products, shall remain with Contractor or other independent software vendor proprietary owner (“ISV”). Effective upon acceptance, such Product shall be licensed to Authorized User in accordance with the Contractor or ISV owner’s standard license agreement, provided, however, that such standard license, must, at a minimum: (a) grant Authorized User a non-exclusive, perpetual license to use, execute, reproduce, display, perform, adapt (unless Contractor advises Authorized User as part of Contractor’s proposal that adaptation will violate existing agreements or statutes and Contractor demonstrates such to the Authorized User’s satisfaction) and distribute Existing Licensed Product to the Authorized User up to the license capacity stated in the work order with all license rights necessary to fully effect the general business purpose(s) stated in the Bid or Authorized User’s work order, including the financing assignment rights set forth in paragraph (c) below; and (b) recognize the State of New York as the licensee where the Authorized User is a state agency, department, board, commission, office or institution. Where these rights are not otherwise covered by the ISV’s standard license agreement, the Contractor shall be responsible for obtaining these rights at its sole cost and expense. The Authorized User shall reproduce all copyright notices and any other legend of ownership on any copies authorized under this paragraph. ii. Custom Products: Effective upon creation of Custom Products, Contractor hereby conveys, assigns and transfers to Authorized User the sole and exclusive rights, title and interest in Custom Product(s), whether preliminary, final or otherwise, including all trademark and copyrights. Contractor hereby agrees to take all necessary and appropriate steps to ensure that the Custom Products are protected against unauthorized copying, reproduction and marketing by or through Contractor, its agents, employees, or subcontractors. Nothing herein shall preclude the Contractor from otherwise using the related or underlying general knowledge, skills, ideas, concepts, techniques and experience developed under a project definition/work order in the course of Contractor’s business. Where a scope of work does not involve COPS or other third party financing, the Authorized User may, by providing written notice thereof to the Contractor, elect in the alternative to take a non-exclusive perpetual license to Custom Products in lieu of Authorized User taking exclusive ownership and title to such Products. In such case, Licensee on behalf of all Authorized Users shall be granted a non-exclusive perpetual license to use, execute, reproduce, display, perform, adapt and distribute Custom Product as necessary to fully effect the general business purpose(s) as stated in paragraph (b)(i)(2), above. c. Transfers or Assignments to a Third Party Financing Agent It is understood and agreed by the parties that a condition precedent to the consummation of the purchase (s) under the Contract may be the obtaining of acceptable third party financing by the Authorized User. The Authorized User shall make the sole determination of the acceptability of any financing proposal. The Authorized User will make all reasonable efforts to obtain such financing, but makes no representation that such financing has been obtained as of the date of bid receipt. Where financing is used, Authorized User may assign or transfer its rights in Licensed Products (existing or custom) to a third party financing entity or trustee (“Trustee”) as collateral where required by the terms of the financing agreement. Trustee’s sole rights with respect to transferability or use of Licensed Products shall be to exclusively sublicense to Authorized User all of Lessor’s rights under the terms and conditions of the License Agreement; provided, further, however, in the
event of any termination or expiration of such sublicense by reason of payment in full, all of Trustee’s rights in such Licensed Product shall terminate immediately and Authorized User’s prior rights to such Existing Licensed Product shall be revived. d. Sale or License of Custom Products Involving Tax-Exempt Financing (i.e., Certificates of Participation (COPS) The Authorized User’s sale or other transfer of Custom Products which were acquired by the Authorized User using third party, tax-exempt financing may not occur until such Custom Products are, or become, useable. In the event that the Contractor wishes to obtain ownership rights to Custom Product(s), the sale or other transfer shall be at fair market value determined at the time of such sale or other transfer, and must be pursuant to a separate written agreement in a form acceptable to the Authorized User which complies with the terms of this paragraph. e. Contractor’s Obligation with Regard to ISV (Third Party) Product Where Contractor furnishes Existing Licensed Product(s) as a Project Deliverable, and sufficient rights necessary to effect the purposes of this section 76.0 are not otherwise provided in the Contractor or ISV’s standard license agreement, Contractor shall be responsible for obtaining from the ISV third party proprietary owner/developer the rights set forth herein to the benefit of the Authorized User at Contractor’s sole cost and expense. 76. PROOF OF LICENSE The Contractor must provide to each Licensee who places a Purchase Order either: a) the Product developer’s certified License Confirmation Certificates in the name of such Licensee; or b) a written confirmation from the proprietary owner accepting Product invoice as proof of license. Contractor shall submit a sample certificate, or alternatively such written confirmation from the proprietary developer. Such certificates must be in a form acceptable to the Licensee. 77. MIGRATION TO CENTRALIZED CONTRACT Authorized User may obtain additional Product authorized under this Contract, (e.g., licensed capacity upgrades, new releases, documentation, maintenance, consulting or training) whether or not Product was initially obtained independently of this Contract. The Authorized User’s election to obtain additional Product shall not operate to diminish, alter or extinguish rights previously granted. 78. PRODUCT VERSION Purchase Orders shall be deemed to reference Manufacturer’s most recently released model or version of the Product at time of order, unless an earlier model or version is specifically requested in writing by Authorized User and Contractor is willing to provide such version. 79. CHANGES TO PRODUCT OR SERVICE OFFERINGS a. Product or Service Discontinuance Where Contractor is the Product Manufacturer/Developer, and Contractor publicly announces to all U.S. customers (“date of notice”) that a Product is being withdrawn from the U.S. market or that maintenance service or technical support provided by Contractor (“withdrawn support”) is no longer going to be offered, Contractor shall be required to: (1) notify the Commissioner, each Licensee and each Authorized User then under contract for maintenance or technical support in writing of the intended discontinuance; and (2) continue to offer Product or withdrawn support upon the Contract terms previously offered for the greater of: a) the best terms offered by Contractor to any other customer, or b) not less than twelve (12) months from the date of notice; and (3) at Authorized User’s option, provided that the Authorized User is under contract for maintenance on the date of notice, either: a) provide the Authorized User with either a Product replacement or migration path with at least equivalent functionality at no additional charge, or b) provide Authorized User with the source code for Licensed Product at no
GENERAL SPECIFICATIONS (TECHNOLOGY PRODUCTS AND SERVICES) APPENDIX B-1
January, 2004 16
additional charge to enable Authorized User to continue use and maintenance of the Product. In the event that the Contractor is not the Product Manufacturer, Contractor shall be required to: (1) provide the notice required under (1), above, to the entities described within five (5) business days of Contractor receiving notice from the Product Manufacturer, and (2) include in such notice the period of time from the date of notice that the Product Manufacturer will continue to provide Product or withdrawn support. The provisions of this paragraph (a) shall not apply or eliminate Contractor’s obligations where withdrawn support is being provided by an independent subcontractor. In the event that such subcontractor ceases to provide service, Contractor shall be responsible for subcontracting such service, subject to state approval, to an alternate subcontractor. b. Product or Service Re-Bundling* In the event that Contractor is the Product manufacturer and publicly announces to all U.S. customers (“date of notice”) that a Product or maintenance or technical support offering is being re-bundled in a different manner from the structure or licensing model of the prior U.S. commercial offering, Contractor shall be required to: (1) notify the State and each Authorized User in writing of the intended change; (2) continue to provide Product or withdrawn support upon the same terms and conditions as previously offered on the then-current NYS Contract for the greater of: a) the best terms offered by Contractor to any other customer, or b) not less than twelve (12) months from the date of notice; and (3) shall submit the proposed rebundling change to the Commissioner for approval prior to its becoming effective for the remainder of the Contract term. *The provisions of this section do not apply if the Contractor is not the Product manufacturer. 80. NO HARDSTOP / PASSIVE LICENSE MONITORING Unless an Authorized User is otherwise specifically advised to the contrary in writing at the time order and prior to purchase, Contractor hereby warrants and represents that the Product and all Upgrades do not and will not contain any computer code that would disable the Product or Upgrades or impair in any way its operation based on the elapsing of a period of time, exceeding an authorized number of copies, advancement to a particular date or other numeral, or other similar self-destruct mechanisms (sometimes referred to as “time bombs”, “time locks”, or “drop dead” devices) or that would permit Contractor to access the Product to cause such disablement or impairment (sometimes referred to as a “trap door” device). Contractor agrees that in the event of a breach or alleged breach of this provision that Authorized User shall not have an adequate remedy at law, including monetary damages, and that Authorized User shall consequently be entitled to seek a temporary restraining order, injunction, or other form of equitable relief against the continuance of such breach, in addition to any and all remedies to which Authorized User shall be entitled. 81. SOURCE CODE ESCROW FOR LICENSED PRODUCT If source code or source code escrow is offered by either Contractor or Product manufacturer/developer to any other commercial customers, Contractor shall either: i) provide Licensee with the Source Code for the Product; or ii) place the Source Code in a third party escrow arrangement with a designated escrow agent who shall be named and identified to the State, and who shall be directed to release the deposited Source Code in accordance with a standard escrow agreement acceptable to the State; or iii) will certify to the State that the Product manufacturer/developer has named the State, acting by and through the Office of General Services, and the Licensee, as a named beneficiary of an established escrow arrangement with its designated escrow agent who shall be named and identified to the State and Licensee, and who shall be directed to release the deposited Source Code in accordance with the
terms of escrow. Source Code, as well as any corrections or enhancements to such source code, shall be updated for each new release of the Product in the same manner as provided above and such updating of escrow shall be certified to the State in writing. Contractor shall identify the escrow agent upon commencement of the Contract term and shall certify annually that the escrow remains in effect in compliance with the terms of this paragraph. The State may release the Source Code to Licensees under this Contract who have licensed Product or obtained services, who may use such copy of the Source Code to maintain the Product.
82. INDEMNIFICATION & LIMITATION OF LIABILITY Neither party shall be liable for any delay or failure in performance beyond its control resulting from acts of God or force majeure. The parties shall use reasonable efforts to eliminate or minimize the effect of such events upon performance of their respective duties under Contract. Contractor shall be fully liable for the actions of its agents, employees, partners or subcontractors and shall fully indemnify and save harmless the State and Authorized User from suits, actions, damages and costs of every name and description relating to personal injury and damage to real or personal tangible property caused by Contractor, its agents, employees, partners or subcontractors, without limitation; provided, however, that the Contractor shall not indemnify for that portion of any claim, loss or damage arising hereunder due to the negligent act or failure to act of the State. Contractor will indemnify, defend and hold the State and its Authorized Users harmless, without limitation, from and against any and all damages, expenses (including reasonable attorneys' fees), claims, judgments, liabilities and costs which may be finally assessed against the State in any action for infringement of a United States Letter Patent with respect to the Products furnished, or of any copyright, trademark, trade secret or intellectual property right, provided that the State shall give the Contractor: (i) prompt written notice of any action, claim or threat of infringement suit, or other suit, (ii) the opportunity to take over, settle or defend such action, claim or suit at Contractor's sole expense, and (iii) assistance in the defense of any such action at the expense of Contractor. Where a dispute or claim arises relative to a real or anticipated infringement, the State or Authorized User may require Contractor, at its sole expense, to submit such information and documentation, including formal patent attorney opinions, as the Commissioner shall require. The Contractor shall not be obligated to indemnify that portion of a claim or dispute based upon: i) Authorized User’s unauthorized modification or alteration of a Product; ii) Authorized User’s use of the Product in combination with other products not furnished by Contractor; iii) Authorized User’s use in other than the specified operating conditions and environment. In addition to the foregoing, if the use of any item(s) or part(s) thereof shall be enjoined for any reason or if Contractor believes that it may be enjoined, Contractor shall have the right, at its own expense and sole discretion as the Authorized User’s exclusive remedy to take action in the following order of precedence: (i) to procure for the State the right to continue using such item(s) or part (s) thereof, as applicable; (ii) to modify the component so that it becomes non-infringing equipment of at least equal quality and performance; or (iii) to replace said item(s) or part(s) thereof, as applicable, with non-infringing components of at least equal quality and performance, or (iv) if none of the foregoing is commercially reasonable, then provide monetary compensation to the State up to the dollar amount of the Project Award.
GENERAL SPECIFICATIONS (TECHNOLOGY PRODUCTS AND SERVICES) APPENDIX B-1
January, 2004 17
For all other claims against the Contractor under any individual Purchase Order where liability is not otherwise set forth in the Contract as being “without limitation”, and regardless of the basis on which the claim is made, Contractor’s liability under a Purchase Order for direct damages shall be the greater of $100,000, the dollar amount of the Contract, or two (2) times the charges rendered by the Contractor under the Contract. Unless otherwise specifically enumerated herein or in the work order mutually agreed between the parties, neither party shall be liable to the other for special, indirect or consequential damages, including lost data or records (unless the Contractor is required to back-up the data or records as part of the work plan), even if the party has been advised of the possibility of such damages. Neither party shall be liable for lost profits, lost revenue or lost institutional operating savings. The State and Authorized User may, in addition to other remedies available to them at law or equity and upon notice to the Contractor, retain such monies from amounts due Contractor, or may proceed against the performance and payment bond, if any, as may be necessary to satisfy any claim for damages, penalties, costs and the like asserted by or against them.
APPENDIX C CHANGE ORDER PROCESS FORM
Systems Integrator Implementation Assistance For NYSVoter II
(A Statewide Voter Registration System)
Contract Number: _____________________________ Date: _______ Effective Date: _____________________________ Requested by: _____________________________ Contact person _____________________________ Title ____________________________ Agency _____________________________ Address _____________________________ _____________________________ Telephone Number _____________________________ Email address Nature and Description of Change Order Requested: Briefly describe the nature of the change order desired. The price quoted must include all costs associated with the provision of the change order requested. (Attach additional sheets if necessary.) ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Requested Implementation Date: _______________________________________________________ Send completed form to: Contractor Name Attn: Street address City/State/Zip Email address Phone Fax
- Continued -
Contractor, in accordance with the terms and conditions of the Agreement, shall promptly reply with a written proposal indicating whether or not the change order can be accomplished, the start and end date of the change order service, the number of working hours, the rates per hour as well as the total cost of the change order. The Parties agree that the change order rates shall not exceed the rates listed below as established in the contract award. The NYSBOE and OGS shall indicate in writing whether or not the proposal is acceptable.
Contract Not to Exceed Rates
Year 1 and 2 of Contract Agreement Hourly Rate (Insert Awardee rate) First optional year of Contract Agreement Hourly Rate (Insert Awardee rate) Second optional year of Contract Agreement Hourly Rate (Insert Awardee rate)
For NYSVoter II (a Statewide Voter Registration System)
_____________________________________________
THIS AGREEMENT, made this day of, 2006 by and between the
People of the State of New York, acting by and through ________________, the
State Board of Elections, whose office is 40 Steuben Street, Albany, New York
12207 (hereinafter "NYSBOE" or "State"), and
__________________________________ (hereinafter "__________" or
"Contractor"), with an office at
_________________________________________.
W I T N E S S E T H:
WHEREAS, NYSBOE is responsible for the development of a replacement
statewide voter registration database to be called the New York State Voter II
(NYSVoter II), and in fulfilling its responsibility deems it necessary to secure the
services of a qualified company to provide system integrator assistance related
to the State of New York’s democratic voting processes, and
WHEREAS, NYSBOE has determined after having solicited proposals from
proposers willing to supply these services, that the Contractor submitted the
proposal affording the State the best value for such services and that the
Contractor possesses the necessary capacity, experience and expertise for
provision of the needed consulting services, and that Contractor is ready, willing
and able to perform such services on the terms hereinafter set forth.
NOW THEREFORE, in consideration of the mutual covenants herein contained,
the parties do hereby agree as follows:
1. CONSIDERATION
A. OGS, on behalf of NYSBOE shall pay the Contractor, or cause to be paid
to it, and the Contractor shall accept, compensation at the deliverable
rates and hourly rates put forth below as full compensation for all services
rendered by the Contractor under this Agreement and for all costs and
expenses incurred by Contractor in connection therewith.
One-time Cost for Implementation Services ID Major Deliverable Cost
D-01 Systems Integrator Organization Chart D-02 Systems Integrator Schedule and Work Plan D-03 Quality Assurance Plan D-04 Change Control Plan and Process D-05 Revised Communication Plan D-06 Project Kick-Off Meeting D-07 Project Development Meetings D-08 Project Status Meetings D-09 Project Steering Committee Meetings D-10 Project Issue Tracking and Process Tool D-11 Issue Resolution Plan D-12 Bi-Weekly Written Project Status Report D-13 Risk Management Plan D-14 County VR/EMS Systems Integration Compliance Criteria D-15 County VR/EMS Systems Integration Compliance Assessment D-16 Draft and Final System Deployment Plan D-17 Organizational Change Management Plan D-18 End User Training, Curriculum and Materials D-19 End User Training D-20 Technical Skills Gap Analysis and Assessment D-21 Knowledge Transfer Plan
ID Major Deliverable Cost D-22 Five System Environments (Development, Training/Conversion, Test,
Production 1, Production 2)
D-23 Acceptance Test Plan D-24 Reliability Testing and Test Results D-25 Performance Testing and Test Results D-26 Functional Testing and Test Results D-27 Testing Defect Log D-28 Network Analysis D-29 Software Development Plan D-30 General and Detailed Design Documentation for Software
Modifications, Interfaces and Reports
D-31 Configuration Management Plan D-32 Help Desk Support Procedures D-33 NYSVoter II Help Desk Resource Training D-34 Updated System Documentation D-35 Transition-Out Plan D-36 Software Change Management Procedures D-37 Performance Measurement Tools D-38 Hardware/Software Specifications D-39 Hardware/Software Sizing Estimates D-40 System Test Plan D-41 Performance Test Plan D-42 County VR/EMS Interface Certification Test Cases and Conditions D-43 Conversion Plan D-44 Conversion Data Mapping D-45 Conversion Load Programs and Reconciliation Reports D-46 Mock Conversions D-47 Data Conversion Results D-48 Full System Deployment D-49 System Maintenance Plan D-50 Database Recovery Plan D-51 Acceptance Testing and Test Results D-52 System Acceptance D-53 Proposed, Draft and Final NYSVoter II Rules and Regulations
Grand Total One-Time Cost for Implementation Services
Annual Cost of Support and Maintenance Services
Services (Year 1) Estimated # of Hours
Blended Rate Annual Cost
System Enhancements (Hourly) 1,000 System Maintenance and Support (Hourly) 2,080 Help Desk Support Services (Fixed Fee) – System Deployment and System Acceptance Period
Annual Help Desk Support Services (Fixed Fee) Year 1 Total Support and Maintenance Services Cost
Services (Optional Year 2) Estimated # of Hours
Blended Rate Annual Cost
System Enhancements (Hourly) 1,000 System Maintenance and Support (Hourly) 2,080 Annual Help Desk Support Services (Fixed Fee) Optional Year 2 Total Support and Maintenance Services Cost
Services (Optional Year 3) Estimated # of Hours
Blended Rate Annual Cost
System Enhancements (Hourly) 1,000 System Maintenance and Support (Hourly) 2,080 Annual Help Desk Support Services (Fixed Fee) Optional Year 3 Total Support and Maintenance Services Cost B. Contractor will only be compensated for deliverables or hours performed
during the contract term that are specifically requested and /or approved by the
State in writing following the submission of a schedule of work and estimate of
hours by the Contractor.
A. Payments shall be made in accordance with the provisions of Section
1.6.6 Method of Payment hereof.
2. TERM
This Agreement shall commence approximately on October 1, 2006 upon
approval by the State Comptroller and shall be in effect for two (2) years to
include one (1) year of implementation services and one (1) year of
support and maintenance, unless sooner terminated as provided in
Appendix B hereto. Thereafter, this Agreement may be extended twice for
a period up to two (2) additional one (1) year periods at the discretion of
the State at the same terms and conditions. Pricing for the optional
support and maintenance services are included in the cost proposal as
optional support years 2 and 3. Any renewal hereof shall be effectuated by
written amendment hereto executed by both parties and approved by the
State Comptroller.
3. SERVICES
The Contractor agrees to perform this Agreement and to furnish the
services, labor, equipment, facilities and materials required in connection
therewith in accordance with all the specifications, terms, conditions,
covenants and representations contained in the Request for Proposal No.
1235 dated May 8, 2006 (the "RFP") and the Contractor’s Proposal
annexed hereto, except as such have been modified by the terms of this
Agreement. RFP and Contractor’s Proposal are hereby incorporated by
reference herein and made a part hereof with the same force and effect as
if herein set forth at length herein.
4. TERMINATION
This Agreement may be terminated in accordance with the termination
provisions set forth in RFP No. 1235 and Appendix B-1 General
Specifications (Technical Products and Services) attached hereto.
5. RECORDS
The Contractor will maintain accurate records and accounts of services
performed and moneys expended under this Agreement. Such records
will be maintained for six (6) years following the close of the State fiscal
year to which they pertain and will be made available to representatives of
NYSBOE, OGS or the New York State Comptroller, as may be necessary
for auditing purposes, upon request.
6. TAXES
Purchases by the State of New York are not subject to any sales or
federal excise taxes. Exemption certificates will be furnished upon
request. There is no exemption however for Social Security,
unemployment insurance and like taxes.
7. INDEPENDENT CONTRACTOR
It is understood and agreed that the legal status of the Contractor, its
subcontractors, agents, officers and employees is that of an independent
contractor and in no manner shall they be deemed employees of the State
of New York and, therefore, are not entitled to any of the benefits
associated with such employment.
8. APPENDIX A
Appendix A, Standard Clauses for New York State Contracts, attached
hereto, is hereby expressly made a part of this Agreement as fully as if set
forth at length herein.
9. ASSIGNMENT
Contractor agrees that it will not assign this Agreement, or any interest
therein, without the prior written consent of the Board, which consent may
be unreasonably withheld.
10. LAW
This Agreement shall be governed by the laws of the State of New York.
11. CONDITIONS PRECEDENT
This Agreement shall not be deemed executed, valid or binding unless
and until approved in writing by the Attorney General and the State
Comptroller.
12. ENTIRE AGREEMENT
This Agreement constitutes the entire Agreement between the parties
hereto and no statement, promise, condition, understanding, inducement
or representation, oral or written, expressed or implied, which is not
contained herein shall be binding or valid and this Agreement shall not be
changed, modified or altered in any manner except by an instrument in
writing executed by both parties hereto.
13. EXECUTORY CLAUSE
This Agreement shall be deemed executory only to the extent of money
available to the State for performance of the terms hereof and no liability
on account thereof shall be incurred by the State of New York beyond
moneys available for purposes thereof.
14. INCONSISTENCIES
A. In the event of any discrepancy, disagreement or ambiguity
between this contract agreement and RFP No. 1235 and Contractor’s
Proposal, or between any Appendices, the documents shall be given
preference in the following order to interpret and to resolve such
discrepancy, disagreement or ambiguity:
(i) Appendix A
(ii) This contract agreement
(iii) RFP No. 1235 (including Appendix B-1 & all other
Appendices
(iv) Contractor’s - Proposal
The parties understand and agree that any and all deviations or
exceptions taken by Contractor to the State's Request for Proposal are
hereby withdrawn except only to the extent that such exceptions or
deviations have been explicitly incorporated into this contract agreement.
IN WITNESS WHEREOF, the parties hereto have executed this
Agreement as of the day and year first above written.
Contract No. ____________ Agency Certification "In
addition to the acceptance of this Contract, I also certify that original copies of this signature page will be attached to all other exact copies of this contract." THE PEOPLE OF THE STATE OF NEW YORK
Insert Contractor’s Name BY___________________ By___________________________ Name: Name: Title: Title: Federal I.D. No.: Date: Date: APPROVED AS TO FORM APPROVED ELIOT SPITZER Alan G. Hevesi Attorney General State Comptroller
INDIVIDUAL, CORPORATION, PARTNERSHIP, OR LLC ACKNOWLEDGMENT
STATE OF }
: ss.:
COUNTY OF } On the day of in the year 20 , before me personally appeared: , known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that _he resides at . Town of , County of , State of , and further that: [Check One] ( If an individual): _he executed the foregoing instrument in his/her name and on his/her own behalf. ( If a corporation): _he is the of , the corporation described in said instrument; that, by
authority of the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said corporation as the act and deed of said corporation.
( If a partnership): _he is the of , the partnership described in said instrument; that, by the
terms of said partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said partnership as the act and deed of said partnership.
( If a limited liability company): _he is a duly authorized member of , LLC, the limited liability
company described in said instrument; that _he is authorized to execute the foregoing instrument on behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liability company.
