ADDENDUM NO. 1 RFP NO. 3780

MIMS Software Implementation Services

for the

Niagara Frontier Transportation Authority

January 29, 2008 TO ALL CONCERNED: The original contract document for the above is hereby amended in accordance with the following:

Responses to questions are attached.

The addendum shall form a part of the contract documents. Proponents must attach a copy of this addendum to the contract documents submitted with their proposals. Andrea Herald, Manager Procurement Department

RFP 3780 MIMS Upgrade Questions and Answers:

1. Section VI – Technical Background Item C, #3 and #4: Will consideration be given to replacing BEA Tuxedo with IBM Websphere? Will the NFTA be replacing AutoSys with Mincom Batch? ANSWER: Yes, we will consider replacing BEA Tuxedo with IBM Websphere and AutoSys with Mincom Batch.

2. Are there any special requirements for the morning pull out?

ANSWER: No.

REQUEST FOR PROPOSAL

FOR

MIMS SOFTWARE IMPLEMENTATION SERVICES

NFTA RFP NO. 3780 The following items are to be included with the proposal and made part of any agreement entered into pursuant to this RFP. PLEASE SUBMIT 15 COPIES OF PROPOSAL Non-Collusive Proposal Certificate Disclosure of Prior Non-Responsibility Determinations Contractor Certification Form ST-220 Cover Letter Description of products/services Firm, Management and Staff Qualifications Resumes References Itemized Cost Proposal PROPONENTS MUST REGISTER AND DOWNLOAD THIS RFP FROM THE NFTA WEB SITE, WWW.NFTA.COM, IN ORDER TO BE NOTIFIED OF SUBSEQUENT AMENDMENTS TO THIS RFP. ONLY REGISTERED SUPPLIERS WILL RECEIVE NOTIFICATION OF NEW RFP’S AS THEY BECOME AVAILABLE.

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NIAGARA FRONTIER TRANSPORTATION AUTHORITY

REQUEST FOR PROPOSAL NO. 3780 Proposals will be received by the undersigned until Noon, on FEBRUARY 5, 2008 for:

MIMS SOFTWARE IMPLEMENTATION SERVICES in accordance with the attached proposal documents. The Authority reserves the right to reject any or all proposals, or to waive any informality in the proposal. Proposals shall be submitted in a sealed envelope showing Proponent’s name and addressed to:

NIAGARA FRONTIER TRANSPORTATION AUTHORITY Department of Procurement - Fifth Floor

Attention: Andrea Herald 181 Ellicott Street

Buffalo, New York 14203 716-855-7356 phone, 716-855-6676 fax

email Andrea_Herald@NFTA.com www.nfta.com

MARK ON LOWER LEFT HAND CORNER OF ENVELOPE: RFP NO: 3780 DUE DATE: FEBRUARY 5, 2008 FOR: MIMS SOFTWARE IMPLEMENTATION SERVICES NAME OF PROPONENT: PROPOSALS MUST BE RECEIVED AT 181 ELLICOTT STREET, 5TH FLOOR, PROCUREMENT DEPARTMENT, BEFORE THE TIME DESIGNATED FOR OPENING IN ORDER TO BE CONSIDERED. All correspondence, communications and/or contact with the NFTA in regard to any aspect of this proposal shall be with the Procurement Official designated above or her designated representative. Prospective proponents, or their representatives, shall not make contact with or communicate with any representatives of the NFTA, including employees and consultants, other than the designated Procurement Official, in regard to any aspect of this proposal.

Andrea Herald Procurement Manager

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SCOPE OF WORK AND PROJECT REQUIREMENTS A. The NFTA is seeking a consultant to implement the upgrade (including testing,

and associated training) of our Mincom Maintenance Information Management System from version 4.3.1.2 to Ellipse 5.2.3 service pack 7 or Ellipse 6 with the most current service packs available at the time of implementation. NFTA is seeking an experienced consultant to perform this upgrade and to work closely with NFTA's staff to ensure training and understanding of the process. The consultant selected must have experience performing such an upgrade in a Windows / Citrix / IBM AIX environment. The resulting installation, upgrade, and customization must ultimately be performed in such a way that it is fully supported by Mincom.

The NFTA anticipates a project start of March 1, 2008. B. In addition to the upgrade of the core MIMS 4.3.1.2 software, this project scope

will also ensure that all software products ancillary to Ellipse will be updated to the latest versions. These products include, but are not limited, to MicroFocus COBOL Runtime for RS6000 MicroFocus, COBOL Development for RS6000, BEA Tuxedo Transaction Processor for RS6000, AutoSys for RS6000, MIMS Client, LinkOne, Mincom Tools package, and Customized NFTA Scripts. Any RDL's that have been customized for NFTA use must also be modified and tested to work with Ellipse. Interfaces into and out of MIMS must also be reviewed, tested, and modified to ensure that they function properly after the upgrade. The consultant selected will be responsible for outlining the proper combination of Service Packs and patches to all of the Windows 2000, Citrix XP, and IBM RS6000 Model 55A server that will be directly related to our Ellipse installation to ensure interoperability of all the related software pieces. All technical upgrade work will be done by the consultant along with NFTA IT personnel, to facilitate training and knowledge transfer.

C. To address specific functionality needs that NFTA wishes to implement the following Ellipse 6 Bundled Modules (Provide separate price quote if not part of the base package):

1. Work Request/Work Flow Manager 2. Job Dispatch 3. Job Packaging 4. Mincom Ellipse Reporting (MER) 5. Job Estimating 6. Discrepancy Module 7. Document Manager 8. Condition Monitoring 9. New Barcode Solution 10. Fax Software for faxing of Purchase Orders 11. Fluid Inventory tool/software

D. NFTA is looking to implement a tool that will provide the capability to do focused audits and analysis of Ellipse system data related to the following business

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centers: Financials, Maintenance, and Materials. Please describe in as much detail your proposed tool to do so. (Provide separate price quote)

E. NFTA has, in place, working Production and Test instances of MIMS and related software. A review of this configuration is desired and recommendations should be made as to changes that could enhance the process of moving the project through the TEST, and PROD environments. If the consultant makes configuration recommendations that would require additional purchases, the NFTA should be notified as soon as possible so that purchasing and delivery timing do not hold up the project. All additional purchases must be approved by the NFTA. The consultant will be responsible to ensure that all products are moved successfully into NFTA's production environment. No changes will be made to Production until all of the testing and user acceptance has happened in the Test Environment.

F. Proposals should include a project plan and completion time line that outlines benchmarks and resources that are necessary to achieve the goals outlined.

G. Proposals must include a list of customer references for which similar work has been performed in the past two to three years. Include contact names, numbers and email addresses.

H. Proposals must include documentation outlining the previous experience, training, etc. of personnel who will be involved in this project.

I. CONSULTANT REQUIREMENTS A. The consultant must have experience with all technical and functional aspects of

Ellipse 5.2.3 service pack 7 or Ellipse 6 with the most current service packs. B. The consultant must be experienced in implementing the upgrade, testing, and

associated training of our Mincom Maintenance Information Management System from version 4.3.1.2 to Ellipse 5.2.3 service pack 7 or Ellipse 6 with the most current service packs.

C. The consultant will provide technical expertise for the installation of all software updates and patches for all Ellipse related software including but not limited to IBM, Business Objects, Mincom Output Designer, Background Event Connector (EEC), Background Event Scheduler (BES), Ellipse CICS Processor (ECP), Ellipse Client, LinkOne, Mincom Tools package, and Customized NFTA Scripts.

D. The consultant will be responsible for the conversion of all data from our current MIMS 4.3.1.2 Database, to the database layout required by Ellipse. The consultant must verify that all data has been converted without loss of data or data corruption.

E. The consultant will be responsible for the conversion of all RDL code that has been customized or modified for NFTA's installation to RDL's optimized for MIMS 4.3.1.2.

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F. The consultant will be responsible for reviewing, editing, and testing interfaces into and o0ut of Ellipse such as A Check Recon – From the Bank to Accounts Payable; Payroll and Cash Management from Lawson HR Payroll System to MIMS for General Ledger; Projects from MIMS to Lawson HR Payroll System and Lawson Budget uploads to MIMS.

G. The consultant will be responsible for the successful installation of the most recently released versions of the aforementioned software, and their ultimate migration to the production environment.

H. The consultant will be responsible for documenting, raising, and applying all Mincom work orders that are related to this project.

I. This project will not be considered complete until the consultant resolves all work orders with Mincom related to this project.

J. As part of the installation, the NFTA will use Business Objects as replacement for the CorVu software. CorVu Knowledge Library requires migration to the Business Objects software. The NFTA has not created reports utilizing CorVu.

K. As part of this upgrade process, NFTA wants to gain expertise in applying Mincom service releases for future applications. We want to use this time to also develop a methodology and process for future upgrades. The consultant will work with NFTA to develop that methodology.

L. One consultant with specialized expertise should be provided for each functional area. The same functional consultant can be used as a training consultant in that functional area. It is expected that the consultants will remain the same throughout the course of the project. NFTA reserves the right to request that a consultant be replaced, without cause, at any time.

M. Functional consultants will review all NFTA's existing Test Scripts and update them based upon Ellipse 5.2.3 or higher requirements. Where scripts do not exist, the consultant will create test scripts for those areas. Consultant will deliver all tests scripts that are created/edited to NFTA in Microsoft Word or Excel format.

N. Functional consultants will be responsible for working with NFTA staff on testing data validation, and issue resolution.

O. Functional consultants will be responsible for all work order documentation and testing in their respective areas.

P. The consultant will assist in the review of all user profiles.

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II. FUNCTIONAL CHANGES/CORRECTIONS/SYSTEM CONFIGURATION REQUIRED

(If functionality does not exist in latest release of Ellipse provide separate price quote for each requirement.) A. NOTE: A current work order is open with Mincom to correct the closing routine

for service purchase orders to prevent overpayment of approved amounts. Implementer will work with Mincom to resolve.

B. Provide the ability to apply credits to a purchase order and restore dollars for these credits to a specific purchase order.

C. Provide the ability to delete unused account numbers in standing journal entries when maintenance is performed each beginning of a new fiscal year. (Standing Journal Entry Maintenance Screen)

D. Provide the ability to back date accounts payable transactions to the prior month. If not possible, then automate the posting of month-end accruals from report DKR260A “Invoice Accrual Report.”

E. Modification to DKR906 Report: 1. Sub system totals should be posted to general ledger transactions rather than

each individual transaction. This includes accounts payable checks, asset depreciation, etc.

2. Replace the vendor number with the vendor name on the report. F. Provide a Workable System A/P report instead of the customized report.

Because we use a customized report, we cannot make changes to service PO invoices. If we need to make a correction, the invoice must be deleted, then re-entered.

G. Simplify the accounts payable payment process for paying invoices held for retention.

H. Fix the percentage rounding system error assigned to purchase orders from the Funding File. Purchase orders include 2 decimal places whereas the funding file allows 4 decimals.

I. Provide at least status quo functionality and reporting requirements that have been customized for the NFTA Capital Projects and Funding systems.

J. Fix Lawson Cash Management Interface to provide separate company detail on on-line inquiry screens.

K. We need the ability to import PM forms that have been recreated in Microsoft Word into Ellipse.

L. We need the ability to add information and additional notes on the Schedule Maintenance Form and to retrieve this information.

M. We would like filters to retrieve past PM forms or information by data, PM number, location, date, etc.

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N. Provide for credit card payments. O. We need a standard work flow solution that addresses the following needs:

1. Work request created 2. Work request submitted 3. Work request assigned with drop down screen 4. Work request assigned date and time 5. Work request closed 6. Ability to view all of above 7. Ability to reopen same work order if needed 8. Ability to query to view recurring issues/areas/equipment

P. Review Security setup. Q. Warranty reminders should identify if the equipment or part identified in the WO

is covered under a Manufacturer’s warranty period. R. Fix the dollar amount verbiage on the face of accounts payable checks. It

currently truncates words if the description is too long for the space provided. S. Fix printing of “Invoice Select for Payment” Report. It currently prints 4 or 5 blank

pages before invoice listing appears. T. Fix the “blocking” of account numbers or expense elements on Service Purchase

Orders. U. We are requesting the ability to view project transactions by expense element

without having to run a report. (MSQ660). V. Fix the check remittance stub invoice description for retention payments. It

currently lists several lines with system generated invoice numbers rather than single lines with vendor invoice numbers. Corrected information is required to be manually written.

III. TRAINING A. The consultant will provide training in a classroom format. B. Training is required only on changes to the newer version of Ellipse. Only

employees whose job tasks are affected by the change will require training. C. The consultant selected will provide a listing of the screens and or processes that

have changed from version MIMS 4.3.1.2, to 5.2.3 or greater and the related jobs that will require training because of those changes.

D. Training materials will be provided in both printed and Microsoft Word Format for NFTA use. Ellipse user manuals will also be provided.

E. Required training needs to be identified as soon as possible to facilitate end user availability, training resources, etc.

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F. The consultant shall provide a detailed training plan for each functional area, identifying the subjects to be covered, those who should attend, and the length of time to train on each subject.

G. NFTA has two areas available for training. One area will hold 8 people and the second will hold up to 20 people.

H. All MIS functional and technical staff will receive adequate and appropriate training to support the Ellipse System.

I. Training on all security features of Ellipse is required; this includes user and system security.

IV. FOCUSED TRAINING A. Discrepancy Reporting. B. Stockless inventory. C. Need to understand the return process in MIMS – unable to effectively return

items through the current system. D. Need the ability to track parts (assemblies) that are rebuilt in house. E. Obsolescence Review - need to understand reports in this module. F. Component Tracing - Need additional training to understand the tracing

concepts – NFTA wants to expand the capabilities of this module. G. Production of Standard Job Procedures - Standard jobs have been created and

are being used. Need additional training to set-up and utilize standard jobs for additional functions.

H. Adding information and additional notes on the Schedule Maintenance Form and to retrieve this information.

I. LinkOne training for mechanics to requisition their parts. V. DELIVERABLES

A. Systems life cycle development deliverables shall include at minimum: 1. Data Models/Mappings

1.1. Mapping of AS400 equipment to the MIMS equipment register to asset register.

1.2. Data conversion and data interface processes, design, and testing (including reconciliation’s).

2. Design Specifications which may include:

a. The physical characteristics of the system and a detailed design. b. Detailed logic specifications prepared for each software module.

3. Test Plans with user or appropriate management acceptance sign-off.

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3.1. Test Scripts and Scenarios. 3.2. Technical acceptance testing. 3.3. Functional acceptance testing.

3.3.1 Post-Implementation Review – process in which recommendations may be made to correct errors, improve user satisfaction or improve system performance.

3.3.2. Documentation a) Documentation on the set-up of batch processing for each

module. b) Documentation on the housekeeping job process for each

module. c) Detailed description of what these processes do. d) End user training manuals. e) Thorough documentation of all of the above systems life cycle

development methodologies. B. Project management deliverables shall include, at minimum:

1. Project Charter Essential project document that outlines the project in its entirety. It should include sections on Project Scope, Mission, Project Objectives, Project Deliverables, Timeline and Key Milestones, Project Management and Organization, Cost Justification and Change Management, Project Assumptions, and Risk Assessment. 2. Project Plan Detailed outline of project tasks to be completed throughout the course of the project. A timeline will be assigned to each task according to the goals and requirements set forth by the project team. This will be delivered once at the onset of the project, and anytime a change is made thereafter. 3. Status Reports Status reports will be provided to NFTA on a weekly basis, via e-mail. Information will include previous accomplishments, upcoming goals, issues/concerns, as well as actual performance against established project budgets and timeline. 4. Scope Change Document This is a document detailing a change to the scope of the project as it is stated in the document. All scope changes are documented along with their cost and impact on timelines. Niagara Frontier Transportation Authority must approve these prior to any work being started. 5. Readiness Assessment

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This is an evaluation of the project prior to going live on the new system. This is used to verify that all tasks have been completed and all project team members agree that NFTA is prepared for the live cutover. 6. Project History Book This is a compilation of all deliverables along with all supporting documents. This will be delivered at the conclusion of the project. 7. Technical System Management Procedures Technical system management procedures must be in place and documented. 8. Other

1. The production server environment must be established and documented.

2. Systems interfaces must be completed, tested, auditable, reconcilable and documented.

VI. TECHNICAL BACKGROUND

A. The technical MIMS environment includes the following: Hardware: IBM RS6000 Enterprise Server- 7025 Model F80 Operating System: AIX 4.3.3 – UNIX Database: ORACLE 8i Disk Storage: 12x 9.1GB RAID SSA Hot Swap Disks (108GB Total) MIMS Database Size: Approx. 40 GB Number Concurrent of Users: 60-80

B. The NFTA has purchased the complete MIMS software application version 4.3.1.2, and is utilizing the following modules: 1. Materials Base Module 2. Management Package 3. Operations and Maintenance Module Base Package 4. Monitoring Package 5. Equipment Package 6. Financial Modules and Capital Project Management 7. Establishment 8. Labor Costing 9. Fixed Assets 10. Accounts Receivables

C. Additional operating system support software in use with MIMS: 1. MicroFocus COBOL Runtime for RS6000 2. MicroFocus COBOL Development for RS6000 3. BEA Tuxedo Transaction Processor for RS6000 4. AutoSys for RS6000.

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D. Additional software in use with MIMS is as follows: 1. LinkOne GTI 2. MIMSVu Base Package 3. Barcode

E. Potential additional modules to be implemented with the upgrade to Ellipse (separate price quote is required): 1. Work Request/Work Flow Manager 2. Job Dispatch 3. Job Packaging 4. Mincom Ellipse Reporting (MER) 5. Job Estimating 6. Discrepancy Module 7. Document Manager 8. Condition Monitoring 9. New Barcode Solution 10. Fax Software for faxing of Purchase Orders 11. Fluid Inventory tool/software

F. Interfaces with other Software Applications: Accounts Payable Check Reconciliation – bank table file is updated to MIMS,

second table file is created in the format of the MST270, and this file is exported to the work directory. This process is run monthly.

Payroll general ledger transactions transferred from Lawson HR Payroll System

to MIMS for General Ledger. Projects from MIMS to Lawson HR Payroll System. Sentinel software and Zebra printers for barcoding (provide a separate price for a

new barcode solution.

G. Future Technical Implementations prior to or in conjunction with upgrade 1. Citrix - As part of the upgrade process the NFTA intends to implement a thin

client environment utilizing a Citrix Presentation Server solution. The NFTA will contract with a separate vendor for this implementation.

2. Lease a new IBM 55A, 4way x 1.9GHz = 22.26 (AIX v5.3), 17.12 (AIX v5.2) Server.

3. Fax Software for the direct faxing of purchase orders.

VII. CUSTOMIZED REPORTS UTILIZED The reports listed below are utilized by the NFTA. Some reports are calls to other reports. In the event that these reports must be re-written with. Business Objects, the NFTA will require assistance and training. We have indicated the reports that may be required to be re-written, if necessary, listed under NFTA Those requiring consultant assistance are listed under Consultant.

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A. Accounting Department – Consultant 1. A/P Checks 2. A/R - Custom Invoices 3. A/R - Customer Statements 4. DKG68G – Fixed Assets Report by Project Selection 5. DKR170 – Bar Code Printing Extract 6. DKR260 – Invoice Accrual Report 7. DKR26A – QTY Mismatch Report 8. DKR26B – Price Mismatch 9. DKR26R – Invoice Edit Report 10. DKR270 – Manual Check Edit report 11. DKR271 – Un-presented Check Report 12. DKR272 – Presented Check Report 13. DKR27V – Voided Check Report 14. DKR283 – Check Control report 15. DKR286 – Check Allocation Report 16. DKR503 – Customer Detail by Customer Report 17. DKR55A – A/R Invoices generated report 18. DKR561 – A/R Line item with Applied Amounts 19. DKR562 – A/R Line item with Applied Amounts 20. DKR563 – PR Fund Report for Applications 21. DKR565 – A/R Prints Statement 22. DKR566 – A/R Print Invoices 23. DKR567 – A/R Collection Report 24. DKR568 – Periodic Instalment Invoice Listing 25. DKR569 – A/R Aged Trial Balance report 26. DKR56B – Invoices generated Report 27. DKR58T – Create Budget Work File for transfer 28. DKR59T – Create file for YTD Actual transfer 29. DKR621 – Print Work Orders 30. DKR62A – Extract Task data for Work Order – Sentinel Bar Code 31. DKR62B – Extract for WO Bar Code – (Stock Code & Qty) 32. DKR62C – Extract Bin Location for Work Order 33. DKR62D – Extract for WO Bar Code – (Bin Location) 34. DKR660 - Negative left to spend for Projects Summary 35. DKR661 – Default Project costing error report 36. DKR662 – Project Costs for Month report 37. DKR663 – Total Cost for Default Projects 38. DKR664 – Capital Project Cost to Date 39. DKR665 – Project Account Detail 40. DKR666 – Project Cost Transactions 41. DKR667 – Project Costing report 42. DKR668 – Grant Details report Journal holding 43. DKR66A – Grant Information by Line Item 44. DKR66X – Project Costs Transactions 45. DKR687 – Disposed Assets Reports

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46. DKR688 – (Summary) Master - Fixed Asset Report 47. DKR689 – (Detailed) Master- Fixed Asset Report 48. DKR68A - Summary Fixed Asset Report –Para-transit (only) 49. DKR68B - Summary Fixed Asset Report – Bus (only) 50. DKR68C - Summary Fixed Asset Report – Rail (only) 51. DKR68D - Asset Number Generated Report 52. DKR68E – Fixed Asset Report by Asset No. 53. DKR68F – Asset Inventory Report 54. DKR68H – F/A report by CWIP or Vendor name 55. DKR68I – F/A Master report output file 56. DKR68J – F/A Output file for Disposal 57. DKR70B – Grant Expense Percent Error Report 58. DKR850 – Airline charges report 59. DKR87B – Position Incumbent Report 60. DKR906 – Journal Holding Account Details Report 61. DKR908 – MIMS Interface Transaction 62. DKR90A – Account Detail by Transaction Date 63. DKR90L – FMD Charge Back report 64. DKR912 – Journal Entry Edit Report 65. DKR961 – G/L Trial balance Report 66. DKR96D – Prime by mode report – period and YTD 67. DKR96M – Posting Accounts 68. DKR96T – Create output file for JH accounts detail report 69. DKRCS1 – Daily Cash Position & Investments 70. DKRG50 – Account Trial Balance 71. DKRG51 – Prime Trial Balance Detail 72. DKRG52 – Full Account Trial Balance Detail 73. DKRG58 – Cost Center Statement 74. DKRG59 – Cost Center Statement 75. DKRG60 - Prime Report 76. DKRG61 – Accounts Payable Liability Listing 77. DKRG66 - Combined Division Statement – (GEN566) 78. DKRG68 – Combined Division Statement – (GEN568) 79. DKRG70 – Combined Company Statement – (GEN570) 80. DKRG71 - Combined Company Statement – (GEN571) 81. DKRP07 – Open PO’s 82. DKRPOP – Purchasing Form 83. MSB260 – Select Invoices for Payment 84. MSB265 – Batch Job to Route Invoices for Approval 85. MSB267 – Batch Match 86. MSB919 – Create Journal Holding Recs from Interface 87. MSH969 – Reopen fiscal Year 88. MSR262 – Invoices by Supplier 89. MSR26P/DKR26P – Invoices Under Retention 90. MSR560 – Outstanding Invoices by Customer 91. MSR561 – Customer Aged Trail Balance Due Date

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92. MSR564 – Year End Period Balance Rollover 93. MSR571A – Cash Receipt Summary Report 94. MSR930 Listing of Expense Elements 95. MSR940 – Listing of General Ledger Codes 96. MSR969 – General Ledger Year End Update 97. MSR96D – Income Statement – enter AIS from MSO011 table to produce

report 98. MSR96I – Balance Sheet – enter ‘ABS” from MSO011 table to produce report

B. Metro Stores - NFTA 1. DKR141 – Print Picking Slip 2. DKR150 – Report Review 3. DKR160 – Stock Report by Class 4. DKR 171 - Daily Receipts - receiving listing. 5. DKR172 – Negative Stock on Hand Valuation 6. DKR173 - Garage Daily Stock Adjustments listing. 7. DKR174 - Cold Spring Storeroom Daily Stock Adjustments listing. 8. DKR175 - Daily Issues - Storeroom - 42 - listing. 9. DKR176 - Garage Daily Stock Adj. listing selection by To/From dates. 10. DKR17H – Stock Take Count – Extract 11. DKR180 – Stock codes with No Stack Takes 12. DKR181 – Recommended Warehouse Transfer Report 13. DKR185 – Warehouse Transfer Issue Exception report 14. DKR186 – Inventory Report by Stock Code 15. DKR187 – Inventory Report by Part Number 16. DKR200 – Supplier Listing 17. DKR201 – Supplier Listing – output file creation 18. DKR25H – Request for Quotation 19. DKR263 – Price Mismatch 20. DKR26A – QTY Mismatch Report 21. DKRSC1 – Stores Catalog 22. MSB108 – Change Unit of Issue 23. MSB17EA – Cycle Stake Acquittal 24. MSB25R – FPA RFQ Printing Update 25. MSR182 – WH xfer Non Action Report/DKR182 – Warehouse Transfer –

Non-action report 26. MSR184 – WH xfer Receiving Exception/DKR184 – Warehouse Transfer

Receiving Exception Report 27. MSR241A – Storage Recommended Order Report

C. Bus Maintenance - NFTA 1. DKR31A – Daily Fuel/Oil Entries 2. DKR31B - Monthly Fuel/Oil Summary 3. DKR31C – Fuel Error Checking Report 4. DKR31D – High Oil Usage Report 5. DKR31E – Monthly Fuel/Oil Summary

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6. DKR32A – Daily Scheduling report 7. DKR32B – Scheduling Report File creation 8. DKR32F – create last MST Statistics for DKR32A 9. DKR32G – MST Statistics Report by Mileage 10. DKR32H – Daily Scheduling by mileage due 11. DKR32M – Daily Scheduling by miles since last P/M 12. DKR400 – Equipment Stat Initialisation for fuelling application 13. DKR401 - Equipment Stats by Productive unit 14. DKR402 – Equipment Statistics by Class & Location 15. DKR403 – Mileage Report by Date Range for Equipment 16. DKR404 – Equipment Statistics by Series or Location 17. DKR600 – Equipment Register with Van, Plate & Transponder # 18. DKR60A – Alternate reference file listing 19. DKR62Q – Equipment Backlog Report 20. DKR62R – Open Work Orders for Equipment 21. DKR62W – Work Group Backlog Report 22. DKR62X – Work Order Report for Parts & Labor, Subsystem, 23. DKR62Y – Create output file for DKR62X 24. DKR658 – Engine & Transmission (Fitted Equipment History) 25. DKR659 – Tire Report (Fitted Tires on Buses) 26. DKR65A - Spare Tires by Bus Numerical Order 27. DKR65C - Spare Tires Only 28. DKR65D - Scrap Tires 29. DKR70A – Maintenance schedule Summary Report 30. DKR70B – Maintenance Schedule Summary Report by Location 31. DKR70C – 8000 Series MST Report 32. DKR70D - Maintenance Schedule Report with Intervals 33. DKR741 – Maintenance Schedule Summary – Long Form 34. DKR74A - Maintenance Schedule Summary – BMD 35. DKR74C – Create output file for Maintenance Schedules 36. DKR74D - Maintenance Schedule Summary – Locations

D. Procurement Department - NFTA 1. DKR201 – Supplier Report – address info file 2. DKR260 - 1099 Suppliers without EIN – report 3. DKR264 – Invoice by supplier with PO’s 4. DKR265 – PO Selection report 5. DKR266 – Invoice Approval Report 6. DKR268 – Receiving Payment Template 7. DKR26C – List of approved invoices 8. DKR26D – Matched Invoices 9. DKRPO1 – Open P.O. Report 10. DKRPO2 – Open P.O. Report 11. DKRPO3 – P.O.’s Over a Specific $ amount 12. DKRPO4 – P.O. Report for FTA/NYS 13. DKRPO5 – P.O. Report for FTA/NYS

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E. Other MIMS Reports Utilized - Consultant 1. MSB900 – Transaction Posting Update Control Report 2. MSB901 – Updates error corrections 3. MSR14F – Warehouse Requisition Report 4. MSR169 – Inventory Report 5. MSR172 – Negative Stock on Hand Valuation 6. MSR179 – Monthly Supply Management Reports 7. MSR17B – Stock Take Count Transaction Report 8. MSR17H – Stock Take Count Sheet for Multi Warehouse Districts 9. MSR17Z – Archive Inventory Selection 10. MSR266 – Invoices Needing Approval 11. MSR26A – Quantity Mismatch Report 12. MSR26B – Price Mismatch Report 13. MSR26C – Report of all Approval Invoices 14. MSR26D – Invoices Approved in a Specific Run 15. MSR620 – Work Order Analysis Report 16. MSR902 – Transaction Costing Errors & Costing

VIII. COST PROPOSAL Provide a fixed price proposal to deliver all services required, itemizing all costs. List any anticipated costs not included in the fixed price. Include a proposed procedure for pricing change orders. Progress payments may be tied to mutually agreed upon measurable project milestones and deliverables.

IX. OTHER Describe the critical success factors for the proposed upgrade in the proposal. X. SUMMARY

A. NFTA currently has a functioning, Mincom supportable MIMS system running version 4.3.1.2. When this project is completed, NFTA wants to ensure at least the same functionality and usability and Mincom supportability with version 5.2.3 or greater. The goal of this project is to not only upgrade all of our Mincom related software to the latest supported releases, but to also train our IT staff to perform routine patches and upgrades in the future.

B. Post-Implementation Support - As the system is brought into operation, post-implementation support is required. During this stage, technical issues will be identified and rectified, questions answered, and any necessary configurations changed.

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C. When preparing staffing proposals, the consulting firms should take into consideration the following minimum anticipated staffing needs and resource requirements by the NFTA:

1. Project Manager 2. Environment and Database Expert 3. Technical Lead 4. Analyst-Programmer

INSURANCE REQUIREMENTS The Contractor agrees to procure and maintain at its expense during the term of the Agreement insurance of the kinds and in the amounts hereafter required, with insurance companies authorized to do business in New York State, covering all operations under this Agreement whether performed by it or its sub-contractors. The insurance companies affording coverage must be deemed acceptable to the Authority throughout the term of this contract. If any insurance company is deemed unacceptable to the Authority the Contractor agrees to procure and maintain at its expense coverage with an acceptable insurer as soon as notified by the Authority. The policies shall provide for a 30 day notice to the Authority prior to termination, cancellation or change.

Prior to the execution of the Agreement, the Contractor shall supply the Authority by delivering to the Procurement Manager, 181 Ellicott St., Buffalo, NY 14203, a certificate(s) of insurance providing evidence of insurance coverage for the Contractor for the following coverages:

• Commercial General Liability Insurance including coverage for property damage, bodily injury, personal injury and products/completed operations with a single limit of at least $1,000,000 per occurrence and $2,000,000 aggregate. The certificate shall name the Authority as an additional insured.

• Auto Liability Insurance covering bodily injury and property damage with minimum combined single limit of $1,000,000. The certificate shall name the Authority as an additional insured.

• Workers’ Compensation and Employer’s Liability in accordance with the applicable laws of the State of New York.

• Excess Liability/Umbrella Form $1,000,000 per occurrence and aggregate. The certificate shall name the Authority as an additional insured.

The Authority and the Contractor agree to waive all rights against each other for damages to the extent covered by the insurance, except for such rights they may have to the proceeds of such insurance held by the Authority as trustee. The Contractor shall require similar reciprocal waivers by all sub-contractors and sub-sub-contractors. This policy shall recognize such waivers of recovery by an appropriate Waiver of Subrogation Clause Endorsement, excluding any subrogation rights granted under New York Law to the contrary notwithstanding. Above needed insurance coverages should be provided on a primary and non-contributory basis.

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Copies of any required policies shall be provided to the Authority upon request.

PROPOSAL EVALUATION An NFTA Selection Team will evaluate proposals. The team will select the proponent whose proposal is most advantageous to the NFTA, considering the evaluation criteria. Selection Procedure

1. The selection team will evaluate and score all proposals received. 2. Proposals not meeting minimum requirements and those, which are not

responsive, will not be given further consideration. 3. Proposals in the competitive range will be determined. These proponents may

be asked to present their proposal to the selection team. 4. When presentations, demonstrations, discussions and negotiations are

concluded, NFTA may request revised proposals and /or best and final offers from responsible proponents in the competitive range.

5. Proposals will be re-evaluated and scored. The selection team will recommend that the proponent with the highest overall score be awarded the contract. The recommendation must be approved by the NFTA Board of Commissioners prior to the execution of a contract.

NOTE: NFTA reserves the right to make the award based upon the initial proposals submitted, without presentations or discussions. Evaluation Criteria (Listed in order of importance) 1. Cost 2. Qualifications and experience of consultant and staff assigned to the project. 3. Project approach - project plan, training, schedule.

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PROPOSAL INSTRUCTIONS 1. INTRODUCTION This Request for Proposal ("RFP") invites proposals for MIMS SOFTWARE IMPLEMENTATION SERVICES as set forth herein. These services may be modified during contract negotiations between the Proponent and the NFTA. The Proponent is encouraged to use its previous knowledge and experience to develop a proposal to meet the NFTA’s needs and a time schedule for completion within the constraints set forth in the project description and technical requirements. This RFP does not commit the NFTA to negotiate a contract, nor does it obligate the NFTA to pay for any costs incurred in preparation and submission of proposals or costs incurred prior to entering into a formal agreement. Proposals will be accepted until 3:30 P.M. FEBRUARY 5, 2008 at the Office of the Manager, Procurement, Fifth Floor, Metropolitan Transportation Center, 181 Ellicott Street, Buffalo, New York 14203. Proposals should be submitted in an opaque, sealed envelope. The lower left-hand corner should be marked as follows: RFP 3780, MIMS SOFTWARE IMPLEMENTATION SERVICES. Proposals received after the date and time specified above shall be considered late proposals and, therefore, shall not be opened nor considered for award. 2. PROPONENT QUALIFICATIONS To be considered qualified, the Proponent must demonstrate in its proposal that it has the background, experience, and the technical and management resources required to organize and conduct the services outlined in this RFP. The Proponent shall furnish information documenting its ability to provide and perform all work related to its implementation and ongoing effectiveness of the project, in a timetable acceptable by the NFTA. The NFTA reserves the right to investigate the qualifications of firms under consideration to confirm any part of the information furnished by the Proponent. Anything less than satisfactory performance on a prior NFTA contract may lead to the NFTA concluding that the Proponent is not qualified. 2.1 Joint Venture: Proposals submitted by a joint venture shall not be considered unless the contractual responsibilities of the parties to the joint venture are clearly and specifically identified. 2.2 Validity Period: The proposal shall be considered valid for the period of time it takes to negotiate a contract with the successful Proponent. This may involve a period of up to 90 days following submittal. If a proposal is not valid for this time period, notification of the valid time period must be made in the letter of transmittal.

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2.3 Disclosure of Proposal Data: The proposal submitted in response to this request may contain data, which the Proponent does not want disclosed for any purpose other than evaluation of the proposal. The use and disclosure of any such data will be restricted if authorized by law, provided the Proponent identifies the pages of the proposal which are to be restricted. 2.4 Agreement: The Proponent awarded the contract will be required to execute an Agreement in a form acceptable to the Authority. 3. RFP AMENDMENTS/QUESTIONS This RFP represents a written statement on the part of the NFTA explaining the requirements, terms, and conditions for submissions of proposals. The RFP covers this material as comprehensively and completely as it can at this time and thus contains all representations of the NFTA with respect to this matter. Any information or understandings, verbal or written, which are not contained within this RFP, or in later written addenda to this RFP, if issued, will be excluded from consideration in evaluating proposals. Any questions, objections or requests for revisions which Proponents may have should be submitted in writing to Andrea Herald via e-mail and received no later than January 23, 2008. If questions submitted to the NFTA make issuance of addenda to this RFP necessary, such addenda will be distributed to all prospective Proponents. However, it is the responsibility of the Proponent to determine whether addenda have been issued and to acknowledge their receipt in its proposal. 4. PROPOSAL PROTEST PROCEDURES 4.1 Pre-Submittal Opening Protests: If a Proponent can demonstrate that the Contract Documents issued by the NFTA are unduly exclusionary and restrictive or that federal, state or local laws or regulations have been violated during the course of the procurement, then the Proponent may seek a review by the Executive Director or his appointed representative, at 181 Ellicott Street, Buffalo, New York 14203. Protests shall be clearly identified as Protests and submitted in writing as early as possible but no later than five (5) business days before the date specified for proposal submittal. Within four (4) business days after receipt of a pre-submittal protest, the Executive Director shall make one of the determinations listed in paragraph 4.4 4.2 Post-Submittal Protests: A protest to the acceptance or rejection of any or of all proposals for a contract, or to the award thereof, or to any such action proposed or intended by the NFTA, must be received in writing by the Executive Director no later than five (5) business days after the protesting party first learned, or reasonably ought to have learned, of the action or the proposed or intended action to which he/she protests.

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4.3 Decision-Makers: In the event the protester alleges that the Executive Director or the representative appointed by the Executive Director to serve as Decision-Maker for the particular protest, engaged in improper conduct during the subject procurement, the General Counsel shall serve as the Decision-Maker. In the event it has been alleged that the General Counsel has engaged in improper conduct during the subject procurement, either the Executive Director or the Chief Financial Officer shall serve as the Decision-Maker. 4.4 Rulings on Protests: Within four (4) business days, the Executive Director shall render one of the following determinations:

(a) Protest is overruled. (b) Protest is substantiated. Executive Director shall issue instructions to remedy

issues relating to the protest. (c) Procurement activity is suspended until written notification by the Executive

Director. The determination shall be in writing and shall provide at a minimum a general response to each material issue raised in the protest. All documents submitted by the Protester and/or Authority Staff and reviewed by the Decision-Maker in the reaching of a determination shall form and be retained by the Authority as the formal record of the dispute resolution process. The issuance of the foregoing determination is the NFTA's final decision of the dispute. All interested parties shall be notified of any protests that are filed. The NFTA shall refrain from awarding a contract within five (5) business days of the date of a decision rendered by the Executive Director regarding a protest, unless the NFTA determines that:

(a) The items to be procured are urgently required. (b) Delivery or performance will be unduly delayed by failure to make a prompt

award. (c) Failure to make a prompt award will otherwise cause undue harm to the NFTA,

state government or the federal government. 4.5 Protester’s Appeal to Federal or State Agencies: In the event that the NFTA fails to have written protest procedures or fails to abide by the protest procedures set forth above, and federal or state funds are participating in the procurement, then the protester may seek a review by the appropriate funding agency. Protesters shall file such a protest in accordance with the requirements set forth below, not later than five (5) business days after a final decision is rendered under the NFTA's protest procedure. In instances where the protester alleges that the NFTA failed to make a final determination on the protest, protesters shall file a protest with the appropriate agency not later than five (5) business days after the protester knew or should have known of the NFTA's failure to render a final determination on the protest.

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5. PROPOSAL The Proponent shall submit 15 copies of their proposal. 5.1 Format: The proposal must be in compliance with the format described herein. The proposal shall be prepared on 8-1/2" x 11" paper bound on the long side. All pages are to be sequentially numbered. Unnecessarily elaborate proposals are not desired. Proposals should be concise, particularly with respect to past experience on other projects and the resumes of key personnel. Related experience is essential. Be specific on past and current assignments. Define the firm's involvement and responsibilities in each project. The Proponent's technical proposal shall be prepared using the following format to facilitate evaluation. If a Proponent fails to provide the information requested in one or more sections, the proposal may be considered non-responsive. 5.2 Content: The proposal shall contain the following items:

Cover Letter Project Implementation Project Organization Key Personnel Related Projects Background Experience Proposal forms completed as appropriate with supplemental data.

5.2.1 Cover Letter: The proposal shall be submitted with a cover letter summarizing key points in the proposal. Any introductory remarks may also be placed in the cover letter. The cover letter should not exceed three pages in length. 5.2.2 Project Implementation: The Proponent shall describe its plans to provide the requested services. This section should include a narrative description of the proposed methodology to accomplish the required tasks, as well as any innovations used on similar projects which may be applicable to the project. 5.2.3 Project Organization: This section of the proposal should be used to provide information on the Proponent’s organization and staffing of the project. It should briefly describe the Proponent’s personnel and pertinent qualifications. 5.2.4 Key Personnel: A list of key personnel for this project must be submitted along with a resume for each person. 5.2.5 Related Projects: A list of other contracts entered into by your firm that are similar to this project should be provided. Each should include the degree of involvement by your firm.

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5.2.6 Background Experience: This section should contain a brief history of your firm, names of principals, concise description of the types of work accomplished, indication of current staff size and location and other relevant background information. This section should also contain information demonstrating that your firm has a good working relationship with its clients, including a list of references (include contact names, addresses, phone numbers) copies of letters of commendation and a discussion of how problems arising during the course of project are addressed. 5.2.7 Project Cost Proposal: Please submit an Itemized Cost Proposal. 5.2.8 Proposal Forms: All forms requiring Proponent responses must be completed and submitted with the proposal. 6. EXECUTORY CLAUSE The Contractor specifically agrees that this contract shall be deemed executory only to the extent of monies available and no liability shall be incurred by the NFTA beyond the monies available for this contract. 7. PERMITS AND COMPLIANCE WITH LAWS The NFTA, in the construction, installation and operation of transportation facilities, is not required to obtain licenses or permits from any municipal or political subdivision of the State of New York. The Contractor, therefore, will not be required to obtain licenses or permits from any county, city, town or village agency or department. The Contractor shall, however, secure and pay for all permits, fees and licenses necessary to comply with applicable federal or state laws. Except as provided above, the Contractor shall comply with all federal, state, county and municipal laws, codes and regulations in connection with the prosecution of the work. The Contractor shall protect, indemnify and hold harmless the NFTA and all of their officers, agents and employees against any and all claims and liabilities arising from or based on the violation of any such requirement or law whether by the Contractor, its employees, agents or subcontractors. 8. DISADVANTAGED BUSINESS ENTERPRISE POLICY STATEMENT In accordance with the requirements of 49 CFR, Part 26, dated March 4, 1999 entitled, “Participation by Disadvantaged Business Enterprises in Department of Transportation Programs,” the Niagara Frontier Transportation Authority (NFTA), is committed to the development and implementation of an effective Disadvantaged Business Enterprise (DBE) Program.

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The NFTA has received Federal financial assistance from the Department of Transportation, and as a condition of receiving this assistance, the NFTA has signed an assurance that it will comply with 49 CFR Part 26. It is the policy of the NFTA to ensure that DBEs, as defined in Part 26, have an equal opportunity to receive and participate in DOT-assisted contracts. It is also the policy of the NFTA: 1. To ensure nondiscrimination in the award and administration of DOT-assisted

contracts; 2. To create a level playing field on which DBEs can compete fairly for DOT assisted

contracts; 3. To ensure that the DBE Program is narrowly tailored in accordance with applicable

law; 4. To ensure that only firms that fully meet 49 CFR, Part 26 eligibility standards are

permitted to participate as DBEs; 5. To help remove barriers to the participation of DBEs in DOT-assisted contracts; and 6. To assist the development of firms that can compete successfully in the market

place outside the DBE program. The Director of Equal Opportunity/Diversity Development has been delegated as the DBE Liaison Officer. In that capacity, the Director of Equal Opportunity/Diversity Development is responsible for implementing all aspects of the DBE Program. Implementation of the DBE program is accorded the same priority as compliance with all other legal obligations incurred by the NFTA in its financial assistance agreements with the Department of Transportation. The NFTA has disseminated this policy statement to the Board of Commissioners and all the components of our organization. We have distributed this statement to DBE and non-DBE business communities that perform work for the NFTA on DOT-assisted contracts by inclusion in bid specifications, Requests for Qualifications and Requests for Proposals. 9. NEW YORK STATE SUBCONTRACTORS AND SUPPLIERS 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 Empire State Development, Procurement Assistance Unit, Phone: (518) 292-5220, or email to esd_smallbus@empire.state.ny.us. A directory of certified minority and women-owned business enterprises is available from Empire State Development, Minority and Women's Business Development,

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30 South Pearl St., Albany, NY 12245, Phone: (518) 292-5250, Fax: (518) 292-5803. Bidders located in foreign countries are hereby notified that New York State may seek to obtain and assign or otherwise transfer offset credits created by this procurement contract to third parties located in New York State. The successful contractor shall agree to cooperate with the State in efforts to get foreign countries to recognize offset credits created by the procurement contract. The Omnibus Procurement Act requires that by signing this bid proposal, contractors certify that whenever the total bid amount is greater than $1 million: 1. The successful contractor shall document efforts to encourage the participation of

New York State Business Enterprises as suppliers and subcontractors on this project, and has retained the documentation of these efforts to be provided upon request to the State.

2. Documented efforts by a successful contractor shall consist of and be limited to

showing that such contractor has:

a. Solicited bids, in a timely and adequate manner, from New York State business enterprises including certified minority and women-owned businesses, or

b. Contracted the Empire State Development to obtain listings of New York State business enterprises, or

c. Placed notices for subcontractors and suppliers in newspapers, journals and other trade publications distributed in New York State, or

d. Participated in bidder outreach conferences. e. If the Contractor determines that New York State business enterprises are not

available to participate on the contract as subcontractors or suppliers, the Contractor shall provide a statement indicating the method by which such determination was made.

f. If the Contractor does not intend to use subcontractors on the contract, the Contractor shall provide a statement verifying such intent.

3. The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L.

92-261) as amended;

4. 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 Community Services 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.

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10. SUSPENSION AND DEBARMENT This Article applies to contracts for amounts in excess of $25,000.00. The Contractor certifies by execution of this Agreement that neither the Contractor nor its principals or affiliates are excluded or disqualified as defined at 49 CFR Part 29. The Contractor also agrees to include these requirements in each subcontract exceeding $25,000.00. 11. STATE FINANCE LAW 139-K Proponent certifies that all information provided to the NFTA with respect to section 139-k of the State Finance Law is complete, true and accurate. The NFTA reserves the right to terminate this Agreement in the event it is found that the information provided by Proponent in accordance with section 139-k of the State Finance Law was intentionally false or intentionally incomplete. Upon such finding, the NFTA may exercise its termination right by provided written notification to Contractor in accordance with the Termination for Default article of this Agreement. 12. LOBBYING Permissible contacts during the procurement process are governed by section 139-j of the State Finance Law. Submission of a proposal in response to this Request for Proposals constitutes the proponent’s written affirmation that the proponent understands and agrees to comply with section 139-j of the State Finance Law.

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NON-COLLUSIVE PROPOSAL CERTIFICATION By submission of this proposal, each Proponent and each person signing on behalf of any Proponent certifies, and in the case of a joint proposal each party thereto certifies as to his or her own organization, under penalty of perjury, that to the best of his or her knowledge and belief:

a) The prices in this proposal 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 Proponent or with any competitor;

b) Unless otherwise required by law, the prices which have been quoted in this proposal have not been knowingly disclosed by the Proponent and will not knowingly be disclosed by the Proponent prior to opening, directly or indirectly, to any other Proponent or to any competitor, and

c) No attempt has been made or will be made by the Proponent to induce any other person, partnership or corporation to submit or not to submit a proposal for the purpose of restricting competition.

SUBMITTAL OF PROPOSAL The undersigned submits the following proposal, which is in complete conformity with the intent of the proposal documents. The Proponent agrees that should it be awarded a contract on the proposal through the issuance of a contract or purchase order from the Niagara Frontier Transportation Authority, it will provide the materials, supplies, equipment or services in strict compliance with the contract documents for the compensation stipulated herein. The Proponent agrees that its proposal shall remain effective for a period of 90 days from the formal proposal receipt date.

___________________________________ Proponent ____________________________________ Name ____________________________________ Signature ____________________________________ Title ____________________________________ Date

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Disclosure of Prior Non-Responsibility Determinations

Name of Contractor:__________________________________________________

Address:___________________________________________________________

Name and Title of Person Submitting this Form: ____________________________

___________________________________________________________________

Has any governmental entity∗ 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 (Please circle):

No Yes

If yes, please provide details regarding the finding of non-responsibility below.

Governmental Entity: _______________________________________________ Year of Finding of Non-responsibility: __________________________________ Basis of Finding of Non-Responsibility:__________________________________

_________________________________________________________________

_________________________________________________________________

_________________________________________________________________

_________________________________________________________________

∗ As defined in section 139-k of the New York State Finance Law.

New York State Department of Taxation and Finance

Contractor Certification(Pursuant to Section 5-a of the Tax Law)

ST-220(1/05)

Contractor name

Contractor’s principal place of business City State ZIP code

Mailing address (if different than above)

Contractor’s federal employer Identification number (EIN) Contractor’s sales tax ID number (if different from contractor’s EIN)

Contractor’s telephone number 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 - V.)

G The requirements of Tax Law section 5-a do not apply because the subject matter of the contract concerns the performance of serviceswhich 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 I, mark an X next to the applicable statement in Parts II through V.)

Part II. Contractor registration status

G The contractor has made sales delivered by any means to locations within New York State of tangible personal property or taxableservices 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 YorkState and local sales and compensating use tax purposes with the Commissioner of Taxation and Finance pursuant to sections 1134and 1253 of the Tax Law.

G As of the date of this certification, the contractor has not made sales delivered by any means to locations within New York State oftangible personal property or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods endingon the last day of February, May, August, and November which immediately precede the quarterly period in which this certification ismade.

Part III. Affiliate registration status

G As of the date of this certification, the contractor does not have any affiliates.

G To the best of the contractor’s knowledge, the contractor has one or more affiliates having made sales delivered by any means tolocations within New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 duringthe four quarterly periods ending on the last day of February, May, August, and November which immediately precede the quarterlyperiod in which this certification is made, and each affiliate exceeding the $300,000 sales threshold during such periods is registered forNew York State and local sales and compensating use tax purposes with the Commissioner of Taxation and Finance pursuant tosections 1134 and 1253 of the Tax Law. The contractor has listed on Schedule A of this certification the name, address, andidentification number of each affiliate exceeding the $300,000 sales threshold during the four quarterly periods ending on the last day ofFebruary, May, August, and November which immediately precede the quarterly period in which this certification is made.

G To the best of the contractor’s knowledge, the contractor has one or more affiliates and, as of the date of this certification, each affiliatehas not made sales delivered by any means to locations within New York State of tangible personal property or taxable services havinga cumulative value in excess of $300,000 during the four quarterly periods ending on the last day of February, May, August, andNovember which immediately precede the quarterly period in which this certification is made.

For office use only

Contract number

Estimated contract value

$

For more information, see Publication 222, Question and Answers Concerning Section 5-a.

Page 2 of 6 ST-220 (1/05)

Part IV. Subcontractor registration status

G As of the date of this certification, the contractor does not have any subcontractors.

G The contractor has one or more subcontractors, and each subcontractor has informed the contractor of whether or not, as of the date ofthis certification, it has made sales delivered by any means to locations within New York State of tangible personal property or taxableservices 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 informingthe contractor that it has made sales in excess of the $300,000 threshold during such periods has further informed the contractor that itis registered for New York State and local sales and compensating use tax purposes with the Commissioner of Taxation and Financepursuant to sections 1134 and 1253 of the Tax Law. The contractor has listed on Schedule A of this certification the name, address andidentification number of each subcontractor exceeding the $300,000 sales threshold during the four quarterly periods ending on the lastday of February, May, August, and November which immediately precede the quarterly period in which this certification is made.

G The contractor has one or more subcontractors, and each subcontractor has informed the contractor that, as of the date of thiscertification, it has not made sales delivered by any means to locations within New York State of tangible personal property or taxableservices 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

G The contractor has one or more subcontractors, and each subcontractor has informed the contractor that, as of the date of thiscertification, it does not have any affiliates.

G The contractor has one or more subcontractors, and each subcontractor has informed the contractor of whether or not, as of the date ofthis certification, it has any affiliates having made sales delivered by any means to locations within New York State of tangible personalproperty or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day ofFebruary, May, August, and November which immediately precede the quarterly period in which this certification is made. Eachsubcontractor informing the contractor that it has one or more affiliates having made sales in excess of the $300,000 threshold duringsuch periods has further informed the contractor that each such affiliate is registered for New York State and local sales andcompensating 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 whichimmediately precede the quarterly period in which this certification is made.

G The contractor has one or more subcontractors, and each subcontractor has informed the contractor that, as of the date of thiscertification, it has no affiliate having made sales delivered by any means to locations within New York State of tangible personalproperty or taxable services having a cumulative value in excess of $300,000 during the four quarterly periods ending on the last day ofFebruary, May, August, and November which immediately precede the quarterly period in which this certification is made.

Sworn to this day of , 20

(signature) (title)

Individual, Corporation, Partnership, or LLC Acknowledgment

STATE OF } : SS.:

COUNTY OF }

On the day of in the year 20 , before me personally appeared ,

known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that

he resides at ,

Town of ,

County of ,

State of ; and further that:

[Mark an X in the appropriate box and complete the accompanying statement.]

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

G (If a corporation): _he is the

of , the corporation described in said instrument; that, by authority of the Board ofDirectors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for purposesset forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on behalf ofsaid corporation as the act and deed of said corporation.

G (If a partnership): _he is the

of , the partnership described in said instrument; that, by the terms of saidpartnership, _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 partnershipas the act and deed of said partnership.

G (If a limited liability company): _he is a duly authorized member of,LLC, the limited liability company described in said instrument; that _he is authorized to execute the foregoing instrument onbehalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed theforegoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited liabilitycompany.

Notary Public

Registration No.

ST-220 (1/05) Page 3 of 6

ARelationship

toContractor

BName

CAddress

DID Number

ESales Tax ID Number

FProof 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; orSA 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 Departmentof State. If person is a partnership or sole proprietor, enter the name of the partnership and each partner’s given name, or thegiven 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 thisstatus with DTF.

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 limitedto, 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 pursuantto 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 informationprograms 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.

Schedule A — List of affiliates, subcontractors, and affiliates of subcontractors

Page 4 of 6 ST-220 (1/05)

General informationOn August 20, 2004, New York State enacted section 5-a of the TaxLaw requiring persons awarded contracts valued at more than$15,000 with state agencies, public authorities or public benefitcorporations to certify that they, their affiliates, their subcontractors,and the affiliates of their subcontractors have a valid certificate ofauthority to collect New York State and local sales andcompensating use taxes. A contractor, affiliate, subcontractor oraffiliate of a subcontractor must be certified as having a validcertificate 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 dayof February, May, August, and November which immediatelyprecede the quarterly period in which this certification is made. Acontractor must use Form ST-220, Contractor Certification, to makethis certification before the contract may be approved by the Officeof the State Comptroller (OSC), or other contract approver if OSCis not required to approve the contract.

This statute applies to contracts resulting from solicitations topurchase issued by governmental entities on or after January 1,2005. In the case of contracts resulting from issuance of aninvitation for bid (IFB) or a request for proposal (RFP), the statutewould apply if the IFB or RFP was first issued on or afterJanuary 1, 2005. The statute would not apply if the bid documentwas first issued before January 1, 2005, even if the bid documentwas 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, Questionsand Answers Concerning Tax Law Section 5-a.

Definition of terms associated with section 5-aThe following is a partial list. Please see Publication 222 foradditional information.

A contractor is defined as a person awarded a contract by acovered agency.

The term person is defined as any entity in business for either profitor not-for-profit purposes and can refer to an individual,partnership, limited liability company, society, association, jointstock company, or corporation.

A covered agency is defined as New York State or any department,board, bureau, commission, division, office, council or agency ofNew York State; public authorities and public benefit corporations.The State Legislature, the judiciary, Department of Law, Office ofState Comptroller, State Education Department, State University ofNew York and the senior colleges of City University of New York areincluded in this definition.

An affiliate is an entity which, through stock ownership or any otheraffiliation, directly, indirectly or constructively, controls anotherentity, 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 oranother subcontractor to provide commodities or perform servicesnecessary to allow a contractor to fulfill a particular contract with acovered agency.

Commodities means, other than with respect to contracts for Stateprinting, material goods, supplies, products, construction items orother standard articles of commerce other than technology whichare the subject of any purchase or other exchange.

Instructions

Tangible personal property means physical personal property, ofany nature, that has a material existence and is perceptible to thehuman senses. Tangible personal property includes, withoutlimitation: (1) raw materials, such as wood, metal, rubber andminerals; (2) manufactured items, such as gasoline, oil, dieselmotor 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) artisticitems such as sketches, paintings, photographs, moving picturefilms 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 forpurposes other than for use as a medium of exchange;(11) postage stamps, when purchased for purposes other thanmailing; and (12) precious metals in the form of bullion, ingots,wafers and other forms.

Completing Form ST-220Identification informationContractor name: Enter the exact legal name of the person orentity who is contracting to provide commodities or services to acovered agency of New York State. This is the name registeredwith 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 receivesmail, if different than the principal place of business.

Contracting state agency: Enter the state agency awarding thecontract to the contractor.

Certification statement: If the contractor is a corporation, thestatement must be completed by the president, vice president,treasurer, assistant treasurer, chief accounting officer, or otherofficer authorized by the corporation. If the contractor is apartnership, the statement must be completed by a partner orperson authorized by the partnership. If the contractor is a limitedliability company, the statement must be completed by a member ofthe LLC and be authorized by the LLC.

Part I – Contract services not pursuant to Tax Lawsection 5-aIf the services to be performed under the contract are not serviceswithin the meaning of Tax Law section 5-a, mark an X. You do nothave to complete Parts II through V. You must sign and have thecertification acknowledged.

For procurement law purposes, services means, other than withrespect to contracts for State printing, the performance of a task ortasks and may include a material good or a quantity of materialgoods, and which is the subject of any purchase or other exchange.For procurement law purposes, technology is a service. The termservices for procurement law purposes does not apply to contractsfor architectural, engineering or surveying services, or to contractswith not-for-profit organizations approved in accordance withArticle eleven-B of the State Finance Law.

The term taxable services for New York State and local sales andcompensating use tax law purposes includes, but is not limited to:1) providing information by printed, mimeographed or multigraphedmatter or by duplicating written or printed manner in any other

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manner; 2) processing, assembling, fabricating, printing orimprinting tangible personal property furnished by a customer whodid not purchase the tangible personal property for resale;3) installing, maintaining, servicing, or repairing tangible personalproperty that is not held for sale by the purchaser of the service inthe 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 andoutside buildings (for example, cleaning, painting, gardening, snowplowing, trash removal, and general repairs); 7) providing parking,garaging, or storing services for motor vehicles; 8) interiordecorating and designing; 9) protective or detective services; and10) entertainment or information services provided by means oftelephony or telegraphy.

Parts II through VIf the contract is covered under Tax Law section 5-a, you must markan X in one box in each of these parts. You must also sign andhave the certification acknowledged, and complete Schedule A.

Schedule A

Column A – Relationship to the contractorThe contractor should enter a C. It is not necessary for thecontractor to complete columns C through E since this informationhas been provided on page 1.

If the person listed in column B is an affiliate of the contractor, enteran A; if a subcontractor, enter an S; if an affiliate of a subcontractor,enter SA.

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Column B – NameEnter the exact legal name as registered with the New YorkDepartment of State of each corporation or limited liabilitycompany. If the person is a partnership or sole proprietor, entereach partner’s or the owner’s given name. If the person uses adifferent name or DBA (doing business as), enter that name aswell.

Column C – AddressEnter the street address of the person’s principal place of business.Do not enter a PO box.

Column D – ID numberIf the person listed in column B is an individual, enter the socialsecurity number of that person. Otherwise enter the employeridentification number (EIN) assigned to the person.

Column E – Sales tax ID numberEnter the sales tax identification number, if different from thefederal identification.

Column F – Proof of registrationEnter CA and attach a copy of the certificate of authority for theperson.

If the certificate of authority is not readily available and if theperson is registered with the Department of Taxation and Financeand has confirmed this status with the DTF, enter RC.

Return a signed and acknowledged original Form ST-220, anda copy, with the contract to the procuring state agency.