new york state office of cyber security & critical

David A. Paterson Governor

New York State Office of Cyber Security & Critical

Infrastructure Coordination

30 South Pearl Street Albany, NY 12207-3425

William F. Pelgrin Director

To all interested parties:

Attached for your review and comment is a draft of the Streets Data Maintenance Request for Proposals (RFP) (No. CSCIC2008-1). As discussed in the draft RFP, the New York State Office of Cyber Security and Critical Infrastructure Coordination (CSCIC) is considering requesting proposals from qualified commercial firms experienced in the development and maintenance of statewide geographic information systems (GIS) spatial streets and addresses databases. The selected firm would provide up to five (5) years of ongoing maintenance of GIS spatial street address databases, specifically a vector-based street data set and a point-based address dataset, and the delivery of other GIS data, including navigation data and vertically integrated Census geography.

New York State (State) has, since 2004, owned and maintained a high-quality, statewide

streets and addresses database. CSCIC is now considering a variety of data maintenance options, including the licensing of data owned by commercial data maintenance providers.

As part of the process of refining this draft RFP, with the ultimate goal of issuing an RFP that results a contract that provides the State with optimal quality, cost and efficiency, CSCIC is inviting comments on the attached draft from all interested parties, even those who do not intend to respond to an RFP that results from the current drafting process or any other RFP in the future. CSCIC will evaluate all comments received and may revise the RFP based on those comments or other information received as a result of the issuance of the draft RFP. Those that comment on the draft RFP will not be precluded from responding to a future RFP for streets data maintenance.

The attached draft RFP outlines proposed requirements for data maintenance during the term of the resulting contract, including monthly deliverables, data accuracy and acceptance, and data ownership and usage. In addition, the draft RFP seeks to encourage bidders to recognize the considerable value of the highly accurate data that would be made available to the bidder by CSCIC, other State agencies, counties, and other local governments in New York State. Such recognition may consist of potential offsets to costs as described in the RFP, but interested parties may also outline other innovative proposals, including those that may generate revenue for the State.

CSCIC will entertain comments regarding all aspects of the draft RFP, including, but not limited to, project management, data collection, processing capacity, terms and conditions, and pricing methodologies. In particular, however, CSCIC wishes to solicit feedback on the required deliverables and the proposed use of data during and after the contract term (see Exhibit A, Project Scope of Work). Although no specific cost information should be submitted in response to this request for comments, interested parties are encouraged to describe potential alternative

means of addressing the State’s data maintenance and usage requirements in a cost-effective manner.

Comments on the draft RFP must be submitted in writing and must be received prior to 12:00 PM on April 7, 2008. Comments may be sent in hard copy via First Class Mail, Hand Delivery or Express Mail Courier Service to the Solicitation Contact at the address identified Section 2.02 (I) of the draft RFP. Comments may also be submitted electronically to the following e-mail address: [email protected]. Electronic submissions must be in Microsoft Word, Excel, Project and Visio 2000, or Adobe Acrobat, as applicable.

In addition, CSCIC notes the following:

• A restricted period for purposes of the provisions of the State Finance Law relating to procurement lobbying is currently in effect with regard to the proposed procurement. Consequently, attempts to influence the procurement, as defined by the State Finance Law, may only be made to the Designated Agency Contact identified in the draft RFP. Please refer to the cover page and Section 2.02 of the draft RFP for more information.

• If interested parties wish to provide comments that include trade secret materials or critical infrastructure information, please follow the procedures outlined in Sections 2.12 and 5.20 of the draft RFP to seek an exemption from disclosure under the Freedom of Information Law for either or both types of information.

• While there is no question and answer period associated with the solicitation of comments on the draft RFP, interested parties are encouraged to use the Question Template form (see RFP, Appendix G) to identify specific questions that they believe would need to be answered prior to the issuance of any future RFP.

• If an interested party wishes to identify specific additional, supplemental, “or equal,” or alternative terms to those found in the draft RFP, CSCIC requests that such terms submitted using the process outlined in Section 2.11 of the draft RFP.

In addition to the notice in the Contract Reporter, the draft RFP has been sent to potential respondents known to CSCIC. Please feel free to share this letter and the draft RFP with anyone you believe may be interested in submitting comments.

CSCIC appreciates your participation in this effort and looks forward to receiving your comments.

mailto:[email protected]

David A. Paterson Governor

New York State Office of Cyber Security & Critical

Infrastructure Coordination

William F. Pelgrin

Director

COMPETITIVE PROCUREMENT ENTITLED: Streets Data Maintenance Request for Proposals

REFERENCE:

Request for Proposals Number CSCIC2008-01

CONTRACTING ENTITY:

New York State Office of Cyber Security and Critical Infrastructure Coordination

William F. Pelgrin, Director

30 South Pearl Street,P2 Floor Albany, New York 12207

IMPORTANT NOTICE: A Restricted Period under the provisions of the State Finance Law relating to procurement lobbying is currently in effect for this Procurement, and will remain in effect until State Comptroller approval of the Contracts resulting from this Request for Proposals (RFP). During the Restricted Period of this Procurement ALL communications must solely be directed, in writing, to either of the following individuals and shall be in compliance with the provisions of the State Finance Law relating to procurement lobbying and all other RFP instructions. Attempts to influence the Procurement, as defined by the State Finance Law, may only be made to the Designated Agency Contact. Other communications relating to the Procurement may be directed to the Solicitation Contact (see State Finance Law, §139-j[3][a]).

Designated Agency Contact Solicitation Contact

Thomas D. Smith 30 South Pearl Street,P2 Floor Albany, New York 12207 Email: [email protected]

Joseph Martucci 30 South Pearl Street,P2 Floor Albany, New York 12207 Email: [email protected]



DRAFT RFP – Streets Data Maintenance 2

TABLE OF CONTENTS

SECTION 1. PROJECT OVERVIEW............................................................................................................................... 3 SECTION 2. INSTRUCTIONS TO BIDDERS ................................................................................................................. 6 SECTION 3. MANDATORY SUBMISSIONS ................................................................................................................ 14 SECTION 4. BID EVALUATION AND AWARD.......................................................................................................... 18 SECTION 5. TERMS AND CONDITIONS..................................................................................................................... 20 EXHIBIT A – PROJECT SCOPE OF WORK ....................................................................................................................... 36 APPENDIX A - STANDARD CLAUSES FOR NYS CONTRACTS .................................................................................... 81 APPENDIX B - NYS ETHICS COMPLIANCE.................................................................................................................. 66 APPENDIX C - ADMINISTRATIVE PROPOSAL............................................................................................................ 67 APPENDIX D - TECHNICAL AND MANAGEMENT PROPOSAL............................................................................... 82 APPENDIX E - FINANCIAL PROPOSAL......................................................................................................................... 89 APPENDIX F - EXTRANEOUS TERMS............................................................................................................................ 91 APPENDIX G - QUESTION TEMPLATE ......................................................................................................................... 93 APPENDIX H - CONSULANT DISCLOSURE FORMS................................................................................................... 94 APPENDIX I - COMPLIANCE WITH NYS WORKERS’ COMPENSATION LAW ...................................................... 97 APPENDIX J - LISTING OF OTHER RFP MATERIALS.................................................................................................. 99


SECTION 1. PROJECT OVERVIEW

§ 1.01 BACKGROUND ************************************************************************************

The Office of Cyber Security and Critical Infrastructure Coordination (CSCIC) is charged with the following responsibilities:

• Leading and coordinating New York State’s (State) efforts regarding cyber readiness and resilience; • Leading and coordinating geographic information technologies, including the New York State Statewide Digital

Orthoimagery Program (DOP), especially in emergencies where CSCIC is the single point-of-contact; • Coordinating the process by which critical infrastructure data is collected and maintained by the State; • Expanding the capabilities of the State’s cyber incident response team; and • Monitoring the State’s networks for malicious cyber activities.

The efforts of CSCIC are built upon cooperation and input from a variety of entities, and focus on building strong relationships between and among the public (federal, state, and local) and the private sectors to best ensure our State’s cyber readiness. CSCIC builds on the foundation already established in the State to help protect, detect, respond and recover from cyber-based incidents that threaten critical public and private assets. All Bidders are encouraged to review CSCIC’s web site at http://www.cscic.state.ny.us and the New York State Geographic Information Systems (NYS GIS) Clearinghouse website at http://www.nysgis.state.ny.us.

§ 1.02 PROJECT SCOPE OF WORK – GENERAL PURPOSE CSCIC is requesting Proposals from qualified commercial firms experienced in the development and maintenance of statewide GIS spatial street address databases. This project includes five (5) years of ongoing maintenance of GIS spatial street address databases, specifically a vector-based street data set and a point-based address data set, along with the delivery of other GIS data including navigation data and vertically integrated Census geography. CSCIC is seeking data maintenance services from a Contractor that is able to leverage its own continuous street and address data maintenance updates from such sources as:

• The Contractor’s own data collection vehicles; • Partnerships with delivery carriers, utilities, and other commercial firms; • US Postal Service address data sets; • Orthoimagery processing; • Address Point data processing; and • Parcel boundary data processing

Under the Contract awarded as a result of this RFP, CSCIC will provide the Contractor with highly accurate data such as:

• CSCIC’s NYS Streets database; • CSCIC’s NYS Address Points data set; • CSCIC’s Statewide Digital Orthoimagery; • CSCIC’s NYS Civil Boundaries data set; • County and local government parcel boundaries; • County and local government address point data; • County and local government-provided street and address edits; • State highway and county route number changes; • NYS DOT as-built plans of major construction projects; • Census boundaries (to the block level); and • CSCIC’s NYS Hydrography data set (1:24,000 scale)

http://www.cscic.state.ny.us/

http://www.nysgis.state.ny.us/


CSCIC will also provide centralized coordination of street and address edits through the data maintenance partnerships CSCIC has developed with the counties and other local governments in New York State. CSCIC will coordinate the submission of street and address edits from these addressing authorities and will review edits for clarity, consistency, and validity prior to submission to the Contractor. Additional details regarding CSCIC’s coordination role are set forth in Exhibit A “Project Scope of Work” of this RFP. Bidders are to submit Proposals that provide data maintenance solutions for continued maintenance of statewide Streets and Address Point data sets. Proposals may include solutions that involve licensing of commercial products to New York State, provided that any solution must include:

• A Statewide Streets file that, at a minimum, includes all public streets in New York State, with geometry alignments that are at least as positionally accurate and complete as in the NYS Streets database;

• A Statewide Streets file with all street names, alternate street names, route numbers and address ranges as contained in the NYS Streets database;

• A Statewide Address Points file with points that are at least as positionally accurate and complete as in the NYS Address Points data set;

• A Statewide Address Points file with all street names and addresses as contained in the NYS Address Points data set; • Edits from the Contractor’s street and address data maintenance updates such as those described above; • At the end of the Term of the Contract, a final data deliverable containing Statewide Streets and Statewide Address

Points that can be used by CSCIC without restriction; • GIS data to support network navigation; • Statewide Census geography (State, County, Tract, Block Group, Block, MCD, Place); and • Street segments from the counties in surrounding states immediately adjacent to New York State.

Details regarding the data deliverables and CSCIC’s data usage requirements are set forth in Exhibit A, “Project Scope of Work” of this RFP. Given the highly accurate data to be provided to the Contractor by CSCIC and the counties and other local governments in New York State, Bidders are encouraged to submit Proposals that recognize the value of that data. Although Bidders may reflect such value in the base cost for the Monthly Deliverable, they may also include Cost Decrease Factors, as described in Appendix E - Part 1 applicable to the Monthly Deliverable. Bidders are advised that successful completion of the Contract does not guarantee nor preclude them from award of subsequent data maintenance contracts. This Contract will be subject to approval by the New York State Office of the Attorney General (AG) and the New York State Office of the Comptroller (OSC). The optional extensions to this Contract will be at the sole discretion of CSCIC and will be subject to approval by the AG and the OSC.

§ 1.03 BIDDER ELIGIBILITY Bidders must meet all of the requirements of this Section 1.03 in order to be eligible to respond to this RFP.

1. Qualifications

a. Bidder, at time of bid submission and throughout the term of the Contract, must be authorized to conduct business in the State, or have filed an application for authority to do business in the State with the Secretary of State at time of bid submission. Such application must have been approved prior to Contract Award. (For details concerning this requirement, refer to: http://www.dos.state.ny.us/cnsl/do_bus.html.) To register with the Secretary of State, contact: http://www.dos.state.ny.us/corp/corpspub.html. Contractor shall notify CSCIC immediately in the event that there is any change in the above corporate status.

b. The Bidder must represent and warrant that it has completed, obtained or performed all registrations, filings,

approvals, authorizations, consents and examinations required by any governmental authority for the provision of Services and that it will, in order to perform said Services during the term of the Contract, comply with any requirements imposed upon it by law.

2. Sufficiency, Capacity, and Experience

http://www.dos.state.ny.us/cnsl/do_bus.html

http://www.dos.state.ny.us/corp/corpspub.html


a. The Bidder must represent and warrant that it possesses adequate staffing resources, financial resources and organization to perform the type, magnitude and quality of work specified in the RFP;

b. Bidder shall submit satisfactory evidence that, in the sole opinion of CSCIC, the Bidder has the experience

specified in Section 3.02, below. If the Bidder proposes that the work specified in the RFP be performed by the Bidder in combination with one or more subcontractors, the Bidder shall submit satisfactory evidence of experience working within such a multiple-firm environment. This information shall be submitted using the forms in Appendix D.

c. At least three (3) client references, as specified in Section 3.02(C), below, shall be provided to support the

experience claims. Contact information shall include company name, contact name, e-mail address, street address, fax number, and telephone number.

d. Bidder shall identify the employee who will be the Project Manager with overall responsibility for managing the

Bidder’s planning, production and delivery and who will be the single point of contact for communication with CSCIC.

e. Bidders are advised that CSCIC’s intent in having the foregoing requirements is to ensure that only qualified and

reliable Bidders perform the required Contract Services. CSCIC reserves the right to require additional information to enable it to make a determination of the Bidder’s qualifications.

Failure to submit in whole or in part any of the above information regarding the Bidder’s qualifications will be considered non-responsive and may result in a rejection of the Proposal of that Bidder.

§ 1.04 BEST VALUE PROCUREMENT – TIERED EVALUATION/SELECTION CSCIC will select a Bidder (Contractor) based on an evaluation of Proposals received in response to the RFP. As described in more detail in Section 4.02, below, the award will be made to the qualified Bidder whose Proposal is determined to provide the “Best Value” to the State, pursuant to Article XI of the State Finance Law. The award shall be based on the objective and quantifiable analysis as set out in Section 4 of the RFP with TBD percent (XX%) of the overall award based on the Bidder’s Financial Proposal and TBD percent (XX%) of the overall award based on the Bidder’s Technical and Management Proposal.


SECTION 2. INSTRUCTIONS TO BIDDERS

This Procurement is being conducted in accordance with, and is subject to, the competitive bidding laws of the State of New York (New York State Finance Law, Article XI) and the New York State ethics laws (New York State Public Officers Law, §§ 73 and 74).

§ 2.01 PROCUREMENT TIMETABLE Following is the Timetable of Key Events for this RFP:

EVENT

DAY

DATE

1. Release of RFP

Wednesday

X/X/2008

2. Final Written Questions Due from Bidders

4:30 p.m. ET

Friday

X/X/2008

3. Official Response to Bidders' Questions

Friday

X/X/2008

4. Closing Date for Receipt of Bids / Bid Opening Date

2:00 p.m. ET

Thursday

X/X/2008

5. Notify selected bidder and non-selected bidders

Friday

X/X/2008

6. Contract Finalization with selected Bidder

Thursday

X/X/2008

7. Contract Award (Approval by the Office of the State Comptroller)

Approximately 4-6

weeks from Event 6

THERE WILL BE NO PRE-BID CONFERENCE FOR THIS PROCUREMENT

NOTE: This is a tentative timetable, which may be modified ONLY to address the State’s needs.

§ 2.02 PROCUREMENT LOBBYING- CSCIC SOLICITATION CONTACT AND DESIGNATED AGENCY CONTACT

All Bidders are required to comply with the provisions of sections 139-j and 139-k of the State Finance Law, as well as Article 1-A of the Legislative Law. For procurements within the scope of sections 139-j and 139-k of the State Finance Law, CSCIC is required to establish a “Restricted Period” during which certain types of communications may only be made to the CSCIC Designated Agency Contact, while certain other types of communications are permitted to be made to the CSCIC Solicitation Contact. Bidders and persons acting on their behalf should consult Advisory Council on Procurement Lobbying (see http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html) and the New York Temporary State Commission on Lobbying (see http://www.nylobby.state.ny.us) for further guidance on the nature of the

http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html

http://www.nylobby.state.ny.us/


communications which may be made to the CSCIC Designated Agency Contact and the CSCIC Solicitation Contact. Additional information concerning these communications appears in Section 2.14, below.

I. CSCIC Solicitation Contact: The individual in the table below is designated as the CSCIC Solicitation Contact for this Procurement. Except for those communications which are required to be made to the CSCIC Designated Agency Contact, all inquiries, questions, filings and submission of Proposals must solely be directed, in writing, to the CSCIC Solicitation Contact. Any inquiries, questions, filings or submission of Proposals that are submitted to any other individual or physical address shall not be considered as official, binding or as having been received by CSCIC.

Means of Delivery Appropriate Address Parcel Post/Overnight, and Hand Delivery Address and United States Postal Service Regular Mail Address

Joseph Martucci Assistant Counsel 30 South Pearl Street, P2 Floor Albany, New York 12207 Telephone:518-474-0865

Facsimile * (518) 402-3799 E-mail * [email protected] * Proposals must be submitted in hard copy to the above address by First Class Mail, Hand Delivery

or Express Mail Courier Service, and may not be submitted by phone, e-mail or facsimile. The above individual is the sole authorized contact person for CSCIC for this RFP. Any inquiries, questions, filings or submission of Proposals that are submitted to any other individual or physical address shall not be considered as official, binding or as having been received by CSCIC.

II. Designated Agency Contact: The following individual is designated as the CSCIC Designated Agency Contact for this Procurement.

CSCIC Designated Agency Contact

Thomas D. Smith Counsel 30 South Pearl Street, P2 Floor Albany, New York 12207 E-mail: [email protected]

During the Restricted Period for this RFP, ALL communications must be directed, in writing, solely to either the CSCIC Designated Agency Contact or the CSCIC Solicitation Contact, as applicable, and shall be in compliance with the Procurement Lobbying Law and the instructions in this RFP.

§ 2.03 PRE-BID CONFERENCE

There will be NO Pre-Bid Conference for this Procurement.

§ 2.04 SUBMISSION OF QUESTIONS

Written questions relating to the content of this RFP must be directed, in writing, to the CSCIC Solicitation Contact at the address set forth in Section 2.02 of the RFP. Only those questions received prior to the Deadline for Submission of Bidder Questions as set forth in Section 2.01 of the RFP will be accepted. Each question must cite the particular RFP page number, section and sub-section to which it refers. To expedite its responses, CSCIC has provided a Question Template form (see RFP, Appendix G) which Bidders are requested to use in submitting questions regarding the RFP.



§ 2.05 OFFICIAL RESPONSES TO QUESTIONS

Written copies of questions accepted and answered will be sent to all potential Bidders who submitted questions, unless the potential Bidder submitting the question claims that the question is proprietary in nature and such claim is upheld by CSCIC, on or before the Official Written Response to Questions Release Date as set forth in Section 2.01 of the RFP. CSCIC will not respond to questions regarding proprietary processes of incumbent contractors, if any. In addition, questions accepted and answered, as well as addendums to the RFP, will be posted on the NYS GIS Clearinghouse at http://www.nysgis.state.ny.us.

§ 2.06 SUBMISSION OF PROPOSALS

Bidder’s Proposal must satisfy all of the submission requirements of this RFP. Bidders are solely responsible for timely delivery of their Proposal to CSCIC prior to the stated Proposal Due Date and Time as set forth in Section 2.01 of the RFP. Delays in United States Postal Service deliveries or any other means of transmittal, including couriers or agents of the State, shall not excuse late Proposal submissions. Phone, facsimile, and e-mail submission of Proposals will not be accepted for this RFP. Proposals accepted in response to this RFP will be subject to separate administrative, technical, and financial evaluations and will not be opened publicly. Any Proposal received at the specified location, set forth in Section 2.01 of the RFP, after the Proposal Due Date and Time as set forth in Section 2.01 of the RFP, will be considered a late Proposal. A late Proposal shall not be considered for award and may be returned, unopened to the sender. CSCIC reserves, at its sole discretion, the right, at any time, to postpone or cancel the scheduled time for receipt of Proposals.

§ 2.07 FIRM OFFER (PROPOSAL EFFECTIVE PERIOD)

Each Bidder must hold its offer firm and binding for a period of at least three hundred sixty-five (365) days from the Proposal Due Date and Time as set forth in Section 2.01 of the RFP. In the event that a contract is not approved by OSC within the three hundred sixty-five (365) day period, Bidder offers shall remain firm and binding until a contract is approved by OSC, unless the Bidder delivers to CSCIC written notice of withdrawal of its Proposal.

§ 2.08 PROPOSAL PACKAGING

The Proposal should be sent in a single shipping carton, but must be organized in three (3) parts: (1) Administrative Proposal; (2) Technical and Management Proposal and (3) Financial Proposal. Therefore, each part must be bound and packaged in separate, sealed envelopes/containers. Electronic copies of the corresponding Bidder’s Administrative Proposal, Technical Proposal, and Financial Proposal (collectively, Submissions) must accompany each hard copy submission. To facilitate the evaluation process, six (6) original hard copies and one (1) electronic copy (Disk or CD) of each Submission must be submitted. Packages containing each Submission must be bound separately and clearly identified as to contents. Electronic submissions must be in Microsoft Word, Excel, Project and Visio 2000 and/or Adobe Acrobat, as applicable. Each package (i.e., Administrative Proposal, Technical and Management Proposal, and Financial Proposal) must have a label on the outside of the package or shipping container outlining the following information:

Proposal Address Label: CSCIC RFP No. CSCIC2008-01

BIDDER NAME BIDDER ADDRESS

Indicate package contents, as applicable: ADMINISTRATIVE, TECHNICAL AND MANAGEMENT or FINANCIAL PROPOSAL


Bidder assumes all risk of late delivery associated with the Submissions not being identified, packaged or labeled in accordance with the foregoing requirements. In the event that the Bidder fails to provide such information on the cover of the sealed packages, CSCIC reserves the right to open the package to determine its contents. Bidder shall have no claim against the State arising from such opening and such opening shall not affect the validity of the Procurement. Notwithstanding CSCIC’s right to open the package to ascertain the contents, Bidder assumes all risk of late delivery associated with the Submissions not being identified, packaged or labeled in accordance with the foregoing requirements.

§ 2.09 PROPOSAL FORMAT

Submissions must be complete and legible. Information required by the RFP must be supplied by the Bidder on the forms or in the format specified in the RFP. Bidders are cautioned to verify their Proposals before submission, as amendments to Proposals or requests for withdrawal of Proposals received by CSCIC after the Proposal Due Date and Time, may not, in the sole discretion of CSCIC, be considered.

A Language/Currency All offers (tenders), and all Submissions provided in response to this RFP shall be written in the English language with quantities expressed using Arabic numerals. All prices shall be expressed, and all payments shall be made, in United States Dollars ($ US). Any Proposal received which does not meet the above criteria may be rejected.

B Table of Contents

Each Submission must include a “Table of Contents” that follows the headers set forth in Section 3 of the RFP.

C Index Tabs

Each major section of the Submission must be labeled with an index tab that identifies the title of the major section/part as it is named in the “Table of Contents.”

D Page Numbering

Each page of each Submission must be dated and numbered consecutively from the beginning of the Submission through all appended material.

§ 2.10 TAXES

Unless otherwise specified in the RFP, the quoted rates shall include all taxes applicable to the transaction. Purchases made by the State of New York 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, invoices issued by the Contractor pursuant to the Contract must reference the Contract in order to be considered sufficient evidence that the sale by Contractor was made to the State, an exempt organization under Section 1116 (a) (1) of the Tax Law. 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 Contractor.

§ 2.11 EXTRANEOUS TERMS

State law prohibits the State from awarding a contract based upon material deviations from the specifications, terms, and conditions set forth in this RFP. Therefore, extraneous terms and conditions are proposed solely at the Bidder’s risk as they may be deemed material deviations by CSCIC and may render the Proposal non-responsive, resulting in its rejection. Proposed additional, supplemental, “or equal” or alternative terms (Extraneous Term[s]) may only be considered by CSCIC to the extent that such Extraneous Term(s) constitute non-material deviations from the requirements set forth in the RFP. If the Bidder proposes to include Extraneous Terms in its official Proposal, the Bidder must meet all of the following requirements:


A Each proposed Extraneous Term must be specifically enumerated in a separate section of the applicable submission (Administrative, Technical and Management, or Financial) labeled “Additional/Extraneous Terms,” using the format set forth in RFP, Appendix F; B The “Extraneous Terms” section must be a writing prepared by Bidder and may not include any pre-printed literature or vendor forms; C The writing must identify by part, section and title the particular RFP requirement (if any) affected by the Extraneous Term; and D The Bidder shall specify the proposed Extraneous Term and the reasons therefore.

Only those terms meeting the above requirements (A) through (D) shall be considered as having been submitted as part of the Bidder’s Proposal. Extraneous Term(s) submitted on standard, pre-printed forms (including but not limited to: product literature, order forms, manufacturer’s license agreements, standard contracts or other pre-printed documents), which are physically attached or summarily referenced in the Proposal, or that, in CSCIC’s sole judgment, have not been submitted in compliance with the above requirements (A) through (D), will not be considered as having been submitted with or intended to be incorporated as part of the official offer contained in the Proposal, but rather will be deemed by CSCIC to have been included by Bidder for informational or promotional purposes only. Absent CSCIC’s express written acceptance and incorporation of an Extraneous Term, acceptance and/or processing of the Proposal shall not constitute CSCIC’s acceptance of Extraneous Term(s) or be deemed a waiver of CSCIC’s rights set forth in this section.

§ 2.12 TRADE SECRET MATERIALS AND CRITICAL INFRASTRUCTURE INFORMATION

NOTICE TO EACH BIDDER’S LEGAL COUNSEL: Proposals submitted to CSCIC in response to this RFP are subject to the Freedom of Information Law (Public Officers Law, Article 6; hereinafter FOIL). Pursuant to section 87(2)(d) of FOIL, records or portions thereof that “are trade secrets or are submitted to an agency by a commercial enterprise or derived from information from a commercial enterprise and which if disclosed would cause substantial injury to the competitive position of the subject enterprise” may be exempt from disclosure. In addition, pursuant to section 89(5)(a)(1-a) of FOIL, records or portions thereof that contain critical infrastructure information may be exempt from disclosure (“Critical infrastructure” is defined in §86[5] of FOIL). A Bidder must follow the procedures in Section 5.20(D) of the RFP, if it intends to seek an exemption from disclosure under FOIL of either or both types of material. Where such claimed material is embedded in the Proposal, it shall be the responsibility of the Bidder, at its sole cost and expense, to submit redacted versions of the Proposal within ten (10) days of a request by CSCIC.

§ 2.13 COMMITMENT TO FAIR, OPEN, AND COMPETITIVE PROCESS

CSCIC strives to assure a fair, open and competitive process to all potential Bidders qualified to respond to this RFP. In the event that any prospective Bidder has a complaint or objection to the RFP requirements, the procurement process or any matter affecting the submission of a Proposal, the Bidder is encouraged to contact the Designated Agency Contact listed in Section 2.02 of the RFP immediately to resolve the matter.

§ 2.14 ETHICS COMPLIANCE

Bidders/Contractors, their officers, employees, agents and subcontractors, must comply with the requirements of sections 73 and 74 of the Public Officers Law, establishing ethical standards for the conduct of business with the State. See RFP, Appendix B, NYS Ethics Compliance. In signing its Proposal, Bidder certifies full compliance with these provisions and certifies that for transactions, sales, contracts, services, offers, etc., involving the State and/or its employees under this RFP or the Contract, Bidder/Contractor, its officers, employees, and subcontractors, will comply with such provisions. Failure to comply with these provisions may result in disqualification from the procurement process, termination of the Contract, and/or other civil or criminal proceedings as required by law.


§ 2.15 PROCUREMENT LOBBYING

As noted in Section 2.02, above, sections 139-j and 139-k of the State Finance Law impose certain restrictions on communications between the State and a vendor during the procurement process. Vendors are restricted from making oral, written or electronic contacts with New York State employees until Office of the State Comptroller (OSC) task order approval other than to the point of contact as identified above. Statutory exceptions to vendor contact with other than the designated point of contact are listed below:

• Submission of a written proposal in response to this procurement; • Submission of written questions prior to the proposal due date; • Complaints filed by a vendor stating that the designated point of contact has failed to respond in a

timely manner; • Negotiations following task order award; • Debriefings to vendors that were not award recipients; and • Filing of an appeal or protest.

New York State employees other than the designated point of contact who are contacted by a vendor are required to obtain and record certain information when contacted that could result in a finding of non-responsibility against the vendor. Such a finding can result in a rejection of a task order award and in the event of two findings within a four (4) year period, the vendor would become debarred from obtaining New York State contracts. Further information about these requirements can be found at: http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html. The State Finance Law also requires that every procurement over $15,000 include a certification by the vendor that all information provided to the agency is complete, true, and accurate with regard to prior non-responsibility determinations within the past four years based on (i) impermissible contacts or other violations of State Finance Law Section 139-j, or (ii) the intentional provision of false or incomplete information to a governmental entity. See the attachments for the certification form. The State reserves the right to terminate the award resulting from this procurement in the event it is found that the certification filed by the Offeror in accordance with section 139-k of the State Finance Law was intentionally false or intentionally incomplete. Upon such finding, the State may exercise its termination right by providing written notification to the award recipient.

§ 2.16 AFFIRMATIVE ACTION – MINORITY AND WOMEN OWNED BUSINESS ENTERPRISE PARTICIPATION

1. The Contract is awarded as a result of this RFP will be subject to all applicable State and Federal regulations, laws, executive orders and policies regarding affirmative action and equal employment opportunities, including, but not limited to, the Federal Equal Employment Opportunities Act (EEO), and the Contractor agrees to comply with all applicable Federal and State nondiscrimination statutes.

2. CSCIC is in full accord with the aims and effort of the State of New York to promote equal

opportunity for all persons and to promote equality of economic opportunity for minority group members and women who own business enterprises, and to ensure there are no barriers, through active programs, that unreasonably impair access by Minority and Women-Owned Business Enterprises (M/WBE) to State contracting opportunities.

3. Bidders acknowledge that the RFP and the Contract awarded pursuant thereto are subject to the

provisions of Article 15-A of the Executive Law and regulations issued thereunder. Contractor and its subcontractors shall undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age disability, marital status, military status, sexual orientation and genetic predisposition or carrier status. For these purposes, affirmative action shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation.

4. For purposes of this RFP, CSCIC has goals for subcontracting with and purchasing from M/WBEs.

CSCIC’s goal for subcontracting and purchasing is 1% of the total dollars expended from any contract

http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html


for subcontracts or for the purchase of supplies, equipment or printing. The MBE and WBE participation goals are based on the availability of M/WBEs currently certified by New York State and geographically located to be able to perform the work where 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. The Bidder shall acknowledge these goals and its obligation use “good faith efforts” to provide meaningful participation by M/WBE subcontractors or suppliers in the performance of the Contract awarded pursuant to this RFP by completing the form, Contractor’s Requirement under Article 15-A, attached hereto as Appendix C –Part 5.

5. Contractor and its subcontractors shall undertake or continue existing programs of affirmative action

to ensure that minority group members and women are afforded equal employment opportunities without discrimination because of race, creed, color, national origin, sex, age, disability or marital status. For these purposes, affirmative action shall apply in the areas of recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation.

6. Consistent with the provisions of 5 NYCRR Section 142.1(d)(3), the Bidder must demonstrate its

compliance with the EEO by completing the certification attached hereto as Appendix C –Part 6. During the performance of the Contract, the Contractor shall agree to comply with such EEO Policy Statement.

7. Within ten (10) days of the notice of award, the Contractor shall submit to CSCIC a staffing plan of

the anticipated work force to be utilized on the Contract or, where required, information on the Contractor's total work force, including apprentices, broken down by specified ethnic background, gender, and Federal Occupational Categories or other appropriate categories specified by CSCIC. The form of the staffing plan shall be supplied by CSCIC.

8. After an award of the Contract, the Contractor shall, on a periodic schedule to be provided by CSCIC,

submit a work force utilization report, in a form and manner required by CSCIC, of the work force actually utilized on Contract, broken down by specified ethnic background, gender, and Federal Occupational Categories or other appropriate categories specified by CSCIC.

9. In the event that the Contractor is found through an administrative or legal action, whether brought in

conjunction with this contract or any other activity engaged in by the Contractor, to have violated any of the laws recited herein in relation to the Contractor's duty to ensure equal employment to protected class members, CSCIC may, in its discretion, determine that the Contractor has breached this Contract.

10. The Contractor may be required to submit reports as required by CSCIC concerning the Contractor's

compliance with the above provisions, relating to the procurement of services, equipment and or commodities, subcontracting, staffing plans and for achievement of employment goals. The format of such reports is to be determined. The Contractor agrees to make available, upon request, the information and data used in compiling such reports.

§ 2.17 USE OF BIDDER SUBMISSIONS

All materials submitted by the Bidder become the property of the State and may be returned at its sole discretion. CSCIC is not liable for any cost incurred by a Bidder in the preparation and production of any Proposal, or for any work performed prior to the execution and approval of the Contract. To the extent permitted by law, the contents of Proposals shall not be disclosed, except for purposes of evaluation, prior to approval of the Contract by OSC. Selection or rejection of any Proposal does not affect these rights.


§ 2.18 NOTIFICATION OF INTENT TO AWARD

The successful Bidder will be advised of selection by CSCIC through the issuance of a formal written correspondence indicating proposed award. All Bidders shall be notified of the selection or rejection of their Proposals. After contract award, written requests for release of Procurement related materials should be directed to:

New York State Office of Cyber Security and Critical Infrastructure Coordination ATTENTION – Records Access Officer

30 South Pearl Street Albany, New York 12207-3425

Bidder debriefings will be scheduled after contract award at CSCIC’s convenience upon request. Such sessions will be limited to discussions of evaluation results as they apply to the Bidder receiving the debriefing.

§ 2.19 PRESS RELEASES

Press releases by Bidders relating to this RFP, selection or rejection, or the Contract are subject to the provisions of Section 5.20(C), below.


SECTION 3. MANDATORY SUBMISSIONS

BIDDER NOTICE

Each Bidder is under an affirmative duty to inform itself by personal examination of the specifications 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. 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 work will be accepted by the CSCIC as an excuse for any failure or omission to fulfill every detail of all the requirements of the documents governing the work. Any Bidder in doubt as to the true meaning of any part of the specification or the proposed contract documents shall submit to the CSCIC Solicitation Contact referenced in Section 2.02 of the RFP, a written request for an interpretation thereof. If a major change is involved on which all Bidders must be informed, such request for interpretation shall be delivered, in writing, by the Deadline for Submission of Bidder’s Questions stated in Section 2.01 of the RFP. Any interpretation of the proposed documents will be made only by an addendum duly issued. A copy of such addendum will be mailed or delivered to each Bidder. Any addendum issued during the time of competitive procurement shall be included in the RFP and in closing a contract will become a part thereof. Any verbal information obtained from or statements made by representatives of CSCIC 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 Contractors shall become a part of the contract. CSCIC shall not be responsible for verbal instructions. This RFP is comprised of pages numbered sequentially. If it is determined that a page(s) is missing or otherwise defective, the Bidder must contact CSCIC immediately so that a corrected copy can be issued to the Bidder. Incomplete Proposals which may be a result of a defective or incomplete RFP will be subject to disqualification. It is the Bidder’s responsibility to ensure that all pages have been included in the RFP received.

THE SUBMISSIONS REQUIRED IN THIS SECTION 3 AS SET FORTH BELOW ARE MANDATORY. Proposals must be submitted in hard copy in accordance with the instructions in RFP and may not be submitted by phone, e-mail or facsimile. The Proposal must contain three (3) distinct submissions:

Administrative Proposal (RFP § 3.01, below) Technical and Management Proposal (RFP § 3.02, below) Financial Proposal (RFP § 3.03, below)

§ 3.01 ADMINISTRATIVE PROPOSAL

**DO NOT INCLUDE ANY COST DATA IN THE ADMINISTRATIVE PROPOSAL**

SUBMISSION INSTRUCTIONS:

The Bidder must respond to all mandatory sections of the Administrative Proposal in the specified format set forth in RFP, Appendix C. The Administrative Proposal must be furnished in hard copy, with electronic version in Microsoft Word and/or Adobe Acrobat, as applicable. In the event of a discrepancy, the hard copy shall govern. The Administrative Proposal must contain the following information, in the order enumerated below: A Formal Offer Letter


At this part of its Administrative Proposal, the Bidder must submit a formal offer in the form of the Formal Offer Letter as set forth in RFP, Appendix C, Part 1. The Formal Offer Letter must be signed and executed by an individual with the capacity and legal authority to bind the Bidder in its offer to the State. The Bidder must accept substantially the terms and conditions as set forth in Section 5 of the RFP, and Standard Clauses for New York State Contracts in RFP, Appendix A and agree to enter into a contractual agreement containing, at a minimum, the terms and conditions identified therein. (Note: Any exceptions to said terms and conditions must be identified as Extraneous Terms pursuant to RFP, § 2.10) If a Bidder's Proposal includes the services of a subcontractor(s), the Bidder shall be required to assume responsibility for those services as “Prime Contractor.” CSCIC will consider only the Prime Contractor in regard to contractual matters.

B Bidder Qualification Certification At this part of its Administrative Proposal, the Bidder must submit an executed Bidder Qualification Certification in the form set forth in RFP, Appendix C, Part 2, demonstrating that it meets or exceeds the criteria for eligibility to bid. A person legally authorized to bind the entity submitting the Proposal must execute this certification.

C Bidder Responsibility Certification and Questionnaire At this part of its Administrative Proposal, the Bidder must submit an executed Bidder Responsibility Certification and Questionnaire in the form set forth in RFP, Appendix C, Part 3, demonstrating that it is a responsible bidder. A person legally authorized to bind the entity submitting the Proposal must execute this certification. Notwithstanding the fact that the Bidder remains responsible for the services to be provided by subcontractors, the Bidder must also submit an executed Bidder Responsibility Certification and Questionnaire for any subcontractor who will perform work on this project where the subcontract will equal or exceed $100,000 over the life of the Contract.

D Conflict of Interest At this part of its Administrative Proposal, the Bidder shall include a Conflicts of Interest statement in the form set forth in RFP, Appendix C, Part 4, affirmatively stating that, at the time the Proposal is submitted, Bidder knows of no factors existing at time of Proposal submission or which are anticipated to arise thereafter, which would constitute a potential conflict of interest in successfully meeting the contractual obligations set forth herein, including but not limited to: 1. No potential for conflict of interest on the part of the Bidder due to prior, current, or proposed contracts, engagements, or affiliations; and 2. No potential conflicts in the sequence or timing of the proposed award under this RFP relative to the timeframe for service delivery, or personnel or financial resource commitments of Bidder to other projects.

E Contractor’s Requirement under Article 15-A

At this part of its Administrative Proposal, the Bidder shall include the form set forth in RFP, Appendix C, Part 5, acknowledging its responsibilities under Article 15-A of the Executive Law.

G Equal Employment Opportunity (EEO) Obligations –Certification of Compliance

At this part of its Administrative Proposal, the Bidder shall include the form set forth in RFP, Appendix C, Part 6, certifying its compliance with provisions of the Equal Employment Opportunity Act (EEO).

§ 3.02 TECHNICAL AND MANAGEMENT PROPOSAL

**DO NOT INCLUDE ANY COST DATA IN THE TECHNICAL AND MANAGEMENT PROPOSAL ** SUBMISSION INSTRUCTIONS:

The Bidder must respond to all mandatory sections of the Technical and Management Proposal in the specified format set forth in RFP, Appendix D. The Technical and Management Proposal must be furnished in hard copy,


with electronic version in Microsoft Word, Excel, Project and Visio 2000 and/or Adobe Acrobat, as applicable. In the event of a discrepancy, the hard copy shall govern. The Technical and Management Proposal must contain the following information, in the order enumerated below:

A Organizational Overview

At this part of its Technical and Management Proposal, Bidder must provide an Organizational Overview that contains the information solicited of Bidders as set forth below and in the form contained in RFP, Appendix D, Part 1. The Organizational Overview should consist of a succinct statement outlining corporate/business history including a general mission statement, the overall number of employees per position, and other general information about the Bidder. Specifically, the Bidder must

• Provide evidence that it has maintained an organization capable of providing the experienced

technical personnel sought by this RFP.

• Provide evidence that the Bidder has been in continuous operation for at least the past three (3) years.

• Provide a statement of previous experience that qualifies the Bidder to provide the required

Services.

Note: As noted in Section 3.01(A), above, the Contractor must assume responsibility as Prime Contractor for the performance of the work specified in this RFP. Proposed subcontractors must be identified at time of Proposal submission. All subcontracting is subject to the provisions of Section 5.31, below. Use of any subcontractors not identified in the Proposal is only allowed subject to the prior written approval of CSCIC. In addition, the Bidder must specify its agreement to and, as applicable, explain how it will:

a. Maintain an adequate organizational structure and resources sufficient to discharge its contractual responsibilities including monitoring and completing deliverables, invoicing, and billing issues.

b. Provide for normal day-to-day communications and maintain a Contractor Project Manager, as described in Section A.1.1 of Exhibit A, to maintain proper communication and coordinate the performance of all contractual responsibilities. Bidder shall supply all contact information for its Contractor Project Manager.

d. Attend or participate in meetings as needed relating to Contract performance. e. Cooperate fully with CSCIC’s staff, its advisors, and any other contractors and/or subcontractors

who may be engaged by CSCIC relative to the Services. f. Recognize and agree that any and all work performed outside the scope of the Services as set forth

in the Contract, shall be deemed by CSCIC to be gratuitous and not subject to charge by the Contractor.

B Project Overview

At this part of its Technical and Management Proposal, Bidder must provide a Project Overview that contains the information solicited of Bidders as set forth below and as contained in RFP, Appendix D, Part 2. Services under the Contract will be those described in RFP, Exhibit A. The Project Overview shall be in the form of a narrative description of the concise process that the Bidder proposes be used when providing Services to CSCIC and must include:


a. The Bidder’s Transition Plan, as described in Exhibit A, Section A.2.2.1.6, Deliverable Transition; b. The Bidder’s representation that it will meet all the Monthly Deliverable requirements specified in

Exhibit A no later than twelve (12) months after the Contract is approved by OSC; and c. The project plan to incorporate the street and address data maintenance updates identified in

Appendix D, Part 3.

C Bidder’s Prior or Current Project References In this part of its Technical and Management Proposal, Bidder must provide information which demonstrates that Bidder can successfully undertake and support the timely provision of the Contract Services described in this RFP, in the form contained in RFP, Appendix D, Part 5. The Bidder must provide a minimum of three (3) (maximum of five [5]) prior and/or current project experience(s) (Project Reference) in the specified format provided in the following Project References Table. Project References should reflect the Bidder’s ability to provide services of similar scope, size, and complexity to that as set forth herein this RFP. The Bidder shall be solely responsible for providing contact names and phone numbers for each Project Reference that is readily available to be contacted by CSCIC. If more than three (3) references are provided, CSCIC will attempt to conduct reference checks with only three (3) of the references provided. It will be in CSCIC’s discretion as to which three (3) references are contacted in the event more than three are provided. If CSCIC is unsuccessful in contacting one or more of these three (3) references, CSCIC will attempt to conduct a reference check of a fourth reference, and, if required, a fifth reference in an attempt to conduct at least three (3) reference checks of the Bidder. If CSCIC is unable to conduct three (3) references, a Bidder’s score may be negatively impacted.

§ 3.03 FINANCIAL PROPOSAL

Submission Instructions:

**DO NOT INCLUDE ANY NARRATIVE DESCRIPTION OF THE SERVICES IN THE FINANCIAL PROPOSAL **

The Bidder must respond to all sections of the Financial Proposal in the format specified in the RFP, Appendix E. As noted in Section 1.02, above, Bidders are encouraged to submit Financial Proposals that recognize the value of the highly accurate data provided by CSCIC. Although Bidders may reflect such value in the base cost for the Monthly Deliverable, they may also include Cost Decrease Factors, as described in Appendix E - Part 1, applicable to the Monthly Deliverable. The Financial Proposal must be furnished in hard copy, with electronic version in Microsoft Word and Excel as applicable. In the event of a discrepancy between the hard copy and electronic copy, the hard copy shall govern.


SECTION 4. BID EVALUATION AND AWARD

§ 4.01 EVALUATION/SELECTION PROCESS

CSCIC will evaluate Bidders’ Proposals using the evaluation methods, procedures, and criteria contained in this section. Pursuant to Article XI of the State Finance Law, the basis for award shall be on a “Best Value” basis. As defined in section 163(1)(j) of the State Finance Law, “Best Value” means the basis for awarding Contracts to a responsible and responsive Bidder whose offer optimizes quality, cost, and efficiency, and which is consistent with the best interests of the State. The award of the contract resulting from this RFP will be made to the qualified Bidder whose Proposal is determined to provide the “Best Value” to the State as described in Section 4.02, below. The award shall be based on the objective and quantifiable analysis as described herein this Section 4 of the RFP, with TBD percent (XX%) of the overall award based on the Bidder’s Financial Proposal and TBD percent (XX%) of the overall award based on the Bidder’s Technical and Management Proposal.

§ 4.02 EVALUATION/SELECTION PROCESS

1st Level: Pass/Fail Screening Each Proposal will be screened on a pass/fail basis for completeness and conformance to the submission requirements stated in the RFP. Proposals that do not pass this 1st Level Pass/Fail Screening will be deemed non-responsive and removed from further consideration. 2nd Level: Technical and Management Proposal Evaluation - TBD% of Overall Bid Score The Technical and Management Proposals of those Bidders who pass the 1st Level Pass/Fail Screening will be evaluated based on their content and responsiveness; resumes and references provided; management interviews, if any; and the Bidder’s and its proposed staff’s qualifications, experience, and ability, and scored based on a weighted scoring system. 3rd Level: Financial Proposal Evaluation – TBD% of Overall Bid Score The Financial Proposals of those Bidders who pass the 1st Level Pass/Fail screening will be evaluated by CSCIC. CSCIC shall calculate a “Total Projected Cost” for each Bidder based upon the Bidder’s rates quoted during the initial term of the Contract against predetermined estimated utilization factors. The financial score of each Bidder will be determined based on the total cost for the Monthly Deliverables on the Cost Forms, and based on a formula determined by CSCIC prior to the opening of bids. Final Proposal Ranking The results of the second and third level evaluations will be combined to calculate the Bidder’s Total Combined Score. Contract award will be made to that responsive and responsible Bidder whose Proposal achieves the highest Total Combined Score. Should two (2) or more otherwise responsive and responsible Bidders achieve the highest Total Combined Score, the determining factor for purpose of selection will be Bidders’ Financial Proposal scores. State Rights and Prerogatives: CSCIC reserves the right to:

• at any time prior to Contract execution, withdraw or award the RFP in whole or in part. • at any time prior to Contract execution, accept or reject any and all Proposals, or separable portions of

Proposals, and waive minor irregularities and/or omissions in Proposals if CSCIC determines the best interests of the State will be served.

• in its sole discretion, accept or reject illegible, incomplete or vague Proposals and its decision shall be final.


• during the evaluation process, to seek clarification information from a Bidder for the purpose of assuring CSCIC’s full understanding of the Bidder’s responsiveness to the RFP requirements. This clarification information, if required in writing by CSCIC, must be submitted in writing in accordance with formats as prescribed by CSCIC at the time said information is requested and, if received by the due date set forth in the CSCIC request for clarification, shall be included as a formal part of the Bidder’s Proposal. Failure to provide required information by its associated due date may result in rejection of the Bidder’s Proposal. Both oral and written clarifications, if any, will be considered in the Proposal evaluation process. Nothing in the foregoing shall mean or imply that CSCIC is under any obligation to seek or allow clarifications as provided for herein.

• seek revisions from all Bidders determined to be susceptible of being selected for contract award. • eliminate mandatory requirements unmet by all Bidders, or to negotiate additional terms and conditions in

the Contract which are to the State’s advantage. • amend the RFP. If it becomes necessary to revise any part of the RFP, addenda will be posted to the RFP

pages at www.nysgis.state.ny.us. • conduct contract negotiations with the next Bidder(s) capable of receiving award should CSCIC be

unsuccessful in executing an agreement with the selected Bidder(s) within the timeframe specified; such timeframe to be determined solely by CSCIC based on the best interests of the State.

• for the purpose of ensuring the completeness and comparability of Proposals, to analyze submissions and

make adjustments or normalize submissions in the Proposal(s), including the Bidder’s technical assumptions, and underlying calculations and assumptions used to support the Bidder’s computation of costs, or to apply such other methods, as it deems necessary to make level comparisons across Proposals.

• use the following in the course of evaluation and selection under this RFP: (i) Proposals; (ii) information

obtained through CSCIC’s investigation of Bidder(s), including the Bidder’s and its proposed staff’s qualifications, experience and ability; (iii) Bidders’ financial standing; (iv) any information pertinent to the bid evaluation which may be obtained or received by the State; and (v) any material or information submitted by the Bidder(s) in response to any CSCIC requests for oral or written clarifying information.

• disqualify any Bidder whose conduct and or Proposal fails to conform to the requirements of the RFP.

.

http://www.nysgis.state.ny.us/


SECTION 5. TERMS AND CONDITIONS

The RFP, the Bidder’s Proposal and the contract award that results from this RFP are subject to and incorporate the following terms and conditions. Additionally, the contract that results from the RFP (Contract) between CSCIC and the selected Bidder (Contractor), collectively hereinafter referred to as the Parties, shall substantially contain the terms and conditions set forth in this Section 5 of the RFP:

§ 5.01 CONTRACT TERM

The Contract shall commence upon approval by OSC. The initial term of the Contract shall end on June 30, 2011, with up to two (2) optional one (1) year extension periods. Said optional extensions are exercisable at the sole discretion of CSCIC. Pricing during said extension(s) shall be in accordance with the rates provided in the Contract, or at lower rates as negotiated between CSCIC and the Contractor.

§ 5.02 MODIFICATION OF CONTRACT

CSCIC reserves the right to renegotiate the terms and conditions of the Contract in the event applicable State or Federal laws, statutes, rules, regulations, policies and/or guidelines are altered from those existing at the time the Contract is approved by OSC in order to be in continuous compliance therewith. The Contract is subject to amendment only upon mutual consent of the Parties, reduced to writing, and approved by OSC.

§ 5.03 EXECUTORY PROVISION/CONTRACT FORMATION

Section 112 of the State Finance Law requires that any contract made by a State Agency which exceeds fifty thousand dollars ($50,000) in amount be first approved by OSC before becoming effective. Execution by the successful Bidder shall not be deemed final execution of the Contract. The Parties recognize that the Contract is wholly executory until and unless approved by OSC. The Contract will be deemed executed upon, and will not be considered fully executed and binding until, receipt of approval by the AG and OSC. The State is not liable for any cost incurred by the Contractor in preparation for or prior to the approval of an executed contract by OSC. Additionally, no cost will be incurred by the State for the Contractor’s participation in any pre-contract award activity.

§ 5.04 GOVERNING LAW

The laws of the State shall govern the RFP and the Contract. Actions or proceedings arising therefrom shall be heard in a court of competent jurisdiction in State. The terms of Appendix A, Standard Clauses for New York State Contracts, are expressly incorporated in the RFP and the Contract.

§ 5.05 INTEGRATION, MERGER AND ORDER OF PRECEDENCE

The Contract shall be comprised solely of the following documents which, in the event of an inconsistency or conflicting terms, shall be given precedence in the order indicated:

1. Appendix A (Standard Clauses for New York State Contracts); 2. Any Amendments to the Contract; 3. The body of the Contract; 4. CSCIC Request for Proposal No CSCIC2008-01 , entitled, “Streets Data Maintenance Request

for Proposals,” other than Appendix A (Standard Clauses for New York State Contracts); and 5. Contractor’s Proposal.

Only documents expressly enumerated above shall be deemed a part of the Contract, and references contained in those documents to additional Contractor documents not enumerated above shall be of no force and effect.

All prior agreements, representations, statements, negotiations and undertakings are superseded. All statements made by CSCIC shall be deemed to be representations and not warranties.


§ 5.06 CONTRACTOR RESPONSIBILITIES AND QUALIFICATIONS

The Contractor is responsible for providing Services, in accordance with the Project Scope of Work, as set forth in RFP, Exhibit A, and for meeting all Contract obligations set forth in the Contract, including all exhibits, and any subsequent amendments mutually agreed to in writing between the Parties. Contractor acknowledges that the Contract is being entered into by CSCIC in reliance on Contractor’s representations concerning the particular qualifications, experience, financial standing, management expertise and technical expertise of the Contractor and its staff providing Services under the Contract. Throughout the Term of the Contract, in addition to the requirements of the section 138 of the State Finance Law (requiring CSCIC’s approval of subcontractors), in the event that there is a substantial or material change, as defined below, in the ownership or financial viability of the Contractor, its corporate affiliates, subsidiaries or divisions, the Contractor is required to provide notice and details of any such change to CSCIC in writing immediately when such is first known by Contractor, its corporate affiliates, subsidiaries or divisions, or subcontractors. “Substantial” or “material” change shall be defined to include, but not be limited to, sale, acquisitions, mergers or takeovers involving the Contractor, its corporate affiliates, subsidiaries or divisions or partners which result in a change in the controlling ownership or assets of such entity after the submission of the Proposal; or entry of an order for relief under Title 11 of the United States Code; the making of a general assignment for the benefit of creditors; the appointment of a general receiver or trustee in bankruptcy of Contractor’s, its corporate affiliates, subsidiaries or divisions, or partners’ business or property; or action by Contractor, its corporate affiliates, subsidiaries or divisions, or partners under any state insolvency or similar law for the purposes of its bankruptcy, reorganization or liquidation; or court ordered liquidation against Contractor, its corporate affiliates, subsidiaries or divisions, or partners. Upon CSCIC’s receipt of such notice, CSCIC shall have thirty (30) business days from the date of notice to review the information. The Contractor may not transfer the Contract among corporate affiliates, subsidiaries or divisions or partners without the consent of CSCIC. In addition to any other remedies available at law or equity, CSCIC shall have the right to prospectively cancel the Contract, in whole or in part for cause if it finds that such change materially and adversely affects the delivery of Services solely determined with reference to the best interests of the State.

§ 5.07 REPORTING

Except as otherwise provided in Section 5.18, below, all Status Reports and other documents produced for CSCIC become the property of the State. The Contractor agrees that, it will not discuss such documents with a third party without the express authorization of CSCIC.

§ 5.08 COOPERATION WITH THIRD PARTIES

The Contractor shall cooperate and work in accord with any other contractor(s) that may be engaged by CSCIC.

§ 5.09 INSURANCE

Prior to the commencement of the work to be performed by the Contractor hereunder, the Contractor must obtain and if requested by CSCIC, furnish to CSCIC, Certificates of Insurance evidencing compliance with all insurance requirements contained in the Contract. Such Certificates shall be in form and substance acceptable to the New York State Department of Insurance. Receipt and/or acceptance of Certificates of Insurance by CSCIC shall not diminish any of Contractor’s 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; shall be primary and non-contributing to any insurance or self-insurance maintained by CSCIC and/or the State of New York. Contractor


shall provide to CSCIC within thirty (30) days of receipt bv the Contractor a copy of the notice of the expiration, cancellation, renewal, material alteration/amendment, or reinstatement of such policy or policies, which notice, shall be sent to the CSCIC Project Manager. Nothing in the preceding sentence shall diminish the Contractor’s obligation to maintain the insurance coverage required by this Section 5.09 in continuous force and effect throughout the term of the Contract and any extensions. The insurance policy(ies) shall name the State of New York, its officers, agents, and employees as additional insureds thereunder (General Liability Additional Insured Endorsement shall be on Insurance Service Office’s (ISO) form number CG 20 26 11 85 or an equivalent form acceptable to the New York State Department of Insurance). 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. 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 State 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 the Contract and to remain in full force and effect throughout the term of the Contract and as further required by the 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 CSCIC with updated replacement Certificates of Insurance, and amendatory endorsements. The Contractor, throughout the term of the Contract, or as otherwise required by the 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 the Contract, or as required by law, whichever is greater (limits may be provided through a combination of primary and umbrella/excess policies):

• Commercial General Liability Insurance with a limit of not less than $3,000,000 each occurrence. Such liability shall be written on the ISO occurrence form CG 0001, or a substitute form providing equivalent coverage’s and shall cover liability arising from premises operations, independent contractors, products-completed operations, broad form property damage, personal and advertising injury, cross liability coverage, liability assumed in a contract (including the tort liability of another assumed in a contract) and explosion, collapse and underground coverage.

• 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. Sections 57 and 220 of the New York State Workers’ Compensation Law (WCL) require that CSCIC shall not enter into any contract unless proof of workers’ compensation and disability benefits insurance coverage is produced. Prior to entering into a contract with CSCIC, the successful Bidder shall be required to verify for CSCIC, on forms authorized by the New York State Workers’ Compensation Board, that they are properly insured or are otherwise in compliance with the insurance provisions of the WCL. Any questions relating to either workers’ compensation or disability benefits coverage should be directed to the New York State Workers’ Compensation Board. Further instructions and identification of the forms to be used as proof of compliance with the WCL are included in RFP, Appendix I.

• 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.


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 CSCIC, 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 CSCIC or (ii) any other form of permission for the release of CSCIC.

§ 5.10 CONSIDERATION/PRICING AND PAYMENT PROVISIONS

OSC shall render payment for invoices under the Contract in accordance with ordinary State procedures and practices. CSCIC will make best efforts to process all acceptable invoices within thirty (30) days of their receipt; however, failure to make payment within said timeframe shall not be considered a breach of contract. Timeliness of payment and any interest to be paid to Contractor for late payment shall be governed by Article XI-A of the State Finance Law. Submission of an invoice and payment thereof shall not preclude CSCIC from reimbursement or demanding a price adjustment in any case where the Services, as delivered, are found to deviate from the terms and conditions of the Contract.

5.10.1 Monthly Deliverables Separate payments shall be made for each Monthly Deliverable described in Exhibit A, Section A.2.2.1. Once CSCIC has received and accepted a Monthly Deliverable, the Contractor may submit an invoice for that Monthly Deliverable, provided, however, no payment shall be made for a Monthly Deliverable unless all preceding Monthly Deliverables and Annual Deliverables have been received and accepted. The amount of the invoice for the Monthly Deliverable shall be reduced by the amount of any applicable Cost Decrease Factors. Notwithstanding the foregoing, payment for the final Monthly Deliverable during the Term of the Contract shall be subject to the provisions of Section 5.10.3, below.

5.10.2 Annual Deliverables

No separate payments shall be made for the Annual Deliverables described in Exhibit A, Section A.2.2.2.

5.10.3 Final Deliverable Once CSCIC has received and accepted the final Monthly Deliverable and all preceding Monthly Deliverables, and the Final Deliverable has been created in accordance with Exhibit A, Section A.2.2.4, the Contractor may submit an invoice in the amount of the final Monthly Payment.

§ 5.11 WARRANTIES

Where Contractor generally offers additional or more advantageous warranties than set forth below, Contractor shall offer or pass through any such warranties to the State. Contractor hereby warrants and represents:

A Representations and Warranties The Services rendered by the Contractor shall be performed in accordance with all the terms and conditions, covenants, statements and representations contained in the Contract, including all appendices.

B Workmanship Warranty

Contractor warrants that it performs each Service using a professional and workmanlike manner, in accordance with highest applicable industry standards. For purposes of this Contract, “highest applicable industry standards” shall be defined as the degree of care, skill, efficiency, and diligence that a prudent person possessing technical expertise in the subject area and acting in a like capacity would exercise in similar circumstances.

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 CSCIC that it meets or exceeds all requirements of the Contract and any applicable laws, including but not limited to, permits, insurance coverage, licensing, proof of coverage for workers’ compensation, and shall provide such proof as required by CSCIC. Failure to do so may constitute grounds for CSCIC to cancel or suspend the Contract, in whole or in part, or to take any other action deemed necessary by CSCIC.

D Survival of Warranties

All warranties contained in the Contract shall survive the termination of the Contract.

E Limitations: THE WARRANTIES SET FORTH IN THIS 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.

§ 5.12 INDEMNIFICATION AND LIMITATION OF LIABILITY

Neither Party shall be liable for any delay or failure in performance resulting from a Force Majeure Event, as defined in Section 5.17 of the RFP. 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, if any, and shall fully indemnify and save harmless the State and CSCIC 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, if any, 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 negligent failure to act of the State. Contractor shall indemnify, defend and hold the State 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 other third party proprietary right in relation to the Products furnished or utilized, provided that CSCIC 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. Where a dispute or claim arises relative to a real or anticipated infringement, CSCIC may require Contractor, at is sole expense, to submit such information and documentation, including formal patent attorney opinions, as the CSCIC Director shall require. For all other claims against the Contractor 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 the Contract for direct damages shall be the greater of the following: (i) one million dollars ($1,000,000), (ii) the estimated dollar amount of the Contract, or (iii) two (2) times the charges rendered by the Contractor under the Contract. Unless otherwise specifically enumerated herein, neither Party shall be liable to the other for special, indirect or consequential damages of any kind which may result directly or indirectly from the performance of the Contract, including, without limitation, damages resulting from loss of use or loss of profit by the State, the Contractor, or by others. The State does not agree to any indemnification provisions that require the State to indemnify or save harmless Contractor or third parties.

§ 5.13 COMPLIANCE WITH LAWS

The Contractor shall comply with all present and future applicable laws, codes, ordinances, statutes, rules and regulations with respect to any of the duties or responsibilities of the Contractor arising from the Contract, including but not limited to the Americans with Disabilities Act (42 USC Section 1202, et seq).


To the extent that CSCIC is the recipient of any federally funded monies relating to the procurement of services or products under the RFP and Contract, Contractor agrees to comply with all applicable federal laws, rules and regulations including but not limited to the following areas as further set forth at Chapters II and XXX of 7 CFR and 45 CFR Parts 74 and 95 relating to:

A Equal Employment Opportunity as set forth in federal Executive Orders 11246 and 11375 as supplemented

by 41 CFR 60, and the nondiscrimination requirements of 45 CFR Parts 80, 84 and 90, and 7 CFR Parts 15, 15b and 15d.

B Copeland "Anti-Kickback Act" (18 USC 874 and 40 USC 276c) which provides that all contracts/subgrants

greater than $2,000 for construction or repair must have a provision requiring compliance with 18 USC 874 as supplemented by 29 CFR Part 3, which prohibit contractors or subrecipients from inducing by any means any person employed in construction, completion or repair of public work to give up any part of compensation to which they are otherwise entitled and that the recipient shall report all suspected/reported violations to the Federal awarding agency.

C Davis-Bacon Act, as amended (40 U.S.C. 276a to a-7) which requires all construction contracts awarded by

recipients of more than $2000 to comply with the Act as supplemented by USDOL Regulations 29 CFR Part 5 requiring all contractors to pay wages to laborers and mechanics at a rate not less than the minimum wage specified by the Federal Secretary of Labor, which wages shall be paid not less than once a week. The recipient shall place a copy of the federally specified wage (the "prevailing wage") in each solicitation and the award of a contract shall be conditioned upon acceptance of such a determination. The recipient must report all suspected/reported violations to the Federal awarding agency.

D Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333) which requires, where applicable, that

all construction contracts and other contracts involving employment of mechanics and laborers require compliance with 40 U.S.C. 327-333 as supplemented by USDOL Regulations 29 CFR 5 when said contracts exceed $100,000, which references require that work in excess of 40 hours/week be recompensed at a rate at least 50% greater than the basic pay rate and that no work be required in unsanitary, hazardous, or dangerous conditions. These requirements do not apply to the purchases of supplies, materials, or articles ordinarily available on the open market or contracts for transportation or transmission of intelligence.

E Rights to Inventions Made under a Contract or Agreement- Contracts or Agreements for the performance of

experimental, developmental, or research work shall provide for the rights of the federal government and the recipient in any in any resulting invention in accordance with 37 CFR Part 401 and any further implementing regulations issued by USDHHS or USDA.

F Ownership Rights in Software of Modifications Thereof – The State shall have all ownership rights in

software or modifications thereof and associated documentation designed, developed or installed with Federal financial participation, and the federal government reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use and to authorize others to use for Federal Government purposes, such software, modifications, and documentation, provided, however, that this sentence shall not apply to ‘proprietary operating/vendor software packages’ within the meaning of 45 CFR 95.617(c) and 7 CFR 277.18(l)(1)(iii).

G Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water Pollution Control Act as amended (33 U.S.C.

1251 et seq.), which require Contracts and subgrants in excess of $100,000 shall require the recipient to comply with the Acts recited herein and that violations must be reported to USDHHS and the appropriate Regional Office of the Federal Environmental Protection Agency.

H Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)- which requires that every contractor under a contract

for more than $100,000 and every tier of contractors or subcontractors thereunder shall file certification, as required, that said contractor will not and has not used any Federal appropriated funds to pay any person or organization for influencing or attempting to influence any federal agency, member of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant, or award


covered by such Amendment. A contractor or subcontractor from any tier shall also disclose any lobbying with non-federal funds that takes place in conjunction with obtaining a federal award, which disclosure shall be forwarded up any applicable tiers to the recipient. (See also 45 CFR 93)

I Debarment and Suspension. (Federal E.O.s 12549 and 12689)- Certain contracts shall not be awarded to parties listed on the non-procurement portion of the U. S. General Services Administration's "Lists of Parties Excluded from Federal Procurement or Nonprocurement Programs" in accordance with E.O.s 12549 and 12689. (See 45 CFR 76.) Contractors with awards that exceed the simplified acquisition threshold shall provide the required certification regarding their exclusion status and that of their principals prior to award.

J Contractor shall insure that the contract provisions specified in 45 CFR 74.48 are included. CSCIC reserves

the right to suspend any or all activities under the Contract, at any time, in the best interests of the State or CSCIC. 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 shall comply with the suspension order. Activity may resume at such time as CSCIC issues a formal written notice authorizing a resumption of work.

§ 5.14 TERMINATION

A For Convenience CSCIC retains the right to cancel the Contract without reason, provided that Contractor is given at least thirty (30) days notice of CSCIC’s intent to cancel. This provision should not be understood as waiving CSCIC’s right to terminate the Contract for cause or stop work immediately for unsatisfactory work, but is supplementary to that provision. In the event of cancellation without cause by CSCIC, CSCIC agrees to negotiate a payment based on the portion of accepted Deliverables.

B For Cause

For any material breach or failure of performance of the Contract by the Contractor, CSCIC may provide written notice of such breach or failure. CSCIC may terminate the Contract if the Contractor does not cure such breach or failure within thirty (30) days after the giving of written notice to cure.

If the Contractor ceases conducting business in the normal course, becomes insolvent, makes a general assignment for the benefit of creditors, suffers or permits the appointment of a receiver for its business or assets or avails itself of or becomes subject to any proceeding under the Federal Bankruptcy Act or any statute of any state relating to insolvency or the protection of rights of creditors, CSCIC, in its sole discretion, may terminate the Contract in accordance with the Contract or exercise such other remedies as shall be available under the Contract, at law and/or equity. No delay or omission to exercise any right, power or remedy accruing to the State or CSCIC upon breach or default by the Contractor under the Contract shall impair any such right, power or remedy, or shall be construed as a waiver of any such breach or default, or any similar breach or default thereafter occurring nor shall any waiver of a single breach or default be deemed a waiver of any subsequent breach or default. All waivers must be in writing.

If, due to default that remains uncured for the period provided herein, a third party shall commence to perform Contractor's obligations under the Contract, CSCIC shall thereafter be released from all obligations to Contractor hereunder, including any obligation to make payment to Contractor, provided however that CSCIC shall continue to be obliged to pay for any and all Services provided prior to any such date. If CSCIC employs a third party to perform Contractor’s obligations under the Contract, Contractor shall be liable for the payment of any cost differential that CSCIC incurs as a result of having to employ such third party to cure or resolve the issue. In the event of the Contractor’s default, in addition to availing itself of specific remedies set forth in the Contract, CSCIC may pursue all legal and equitable remedies for breach. In addition to pursuing any other legal or equitable remedies, CSCIC shall have the right to take one or more of the following actions:


1) terminate the Contract in whole or in part; 2) suspend, in whole or in part, payments due Contractor under the Contract; 3) pursue equitable remedies to compel Contractor to perform. The Contractor shall be liable for any and all excess costs for remedies pursued by CSCIC, and for costs incurred by CSCIC in procuring alternate Services.

C For Violation of Procurement Lobbying Law

CSCIC reserves the right to terminate the Contract in the event it is determined by CSCIC in its sole discretion that the certification filed by the Contractor in accordance with §139-j and/or §139-k of the New York State Finance Law was intentionally false or intentionally incomplete. Upon such finding, CSCIC may, at its sole option, exercise its termination right by providing ten (10) days written notification to the Contractor, or providing notice in accordance with other written notification terms in the Contract.

D For Violation of Section 5-a of the Tax Law CSCIC reserves the right to terminate this Contract in the event that the Contractor fails to file a

certification pursuant to section 5-a of the Tax Law or the Tax Department or CSCIC discovers that the certifications filed by the Contractor pursuant to section 5-a of the Tax Law were false. Upon such finding, CSCIC may exercise its termination right by providing written notification to the Contractor.

E Termination Notice

Notices required by this section shall be delivered to the other party in writing, by certified mail, return receipt requested. The date of notice shall be deemed the date of delivery set forth on the return receipt (“date of return receipt notice”).

F Termination Date Contract termination dates shall be determined as follows: (1) In the event a notice of termination is issued for convenience, the Contract termination date shall be deemed thirty (30) days from the date of delivery set forth on the return receipt notice. (2) Subject to the State’s right to shorten the thirty (30) day period pursuant to paragraph (A), above, in the event a notice of termination is issued for cause, the Contract termination date shall be thirty (30) days from the date of the return receipt notice, or such other extended period of time as has been mutually agreed in writing by the Parties.

G Mitigation of Costs The Contractor shall not undertake any additional or new contractual obligations on or after the date of return receipt notice without the prior written approval of CSCIC. On or after the date of return receipt notice and during the termination notice period, the Contractor shall take all commercially reasonable and prudent actions to close out unnecessary outstanding, existing obligations as economically as possible for CSCIC.

§ 5.15 TRANSITION

CSCIC may require the Contractor to provide uninterrupted Services after Contract termination/expiration as CSCIC deems reasonable and necessary and/or as necessary for CSCIC to comply with all legal requirements for establishing a new contract to continue the provision of Services (Transition Period). Transition Services, as defined below, shall be governed as follows:

A Transition Period The transition period shall be determined by CSCIC, and Contractor will be notified of the period in writing. CSCIC shall consult with the Contractor prior to making such determination. CSCIC reserves the right to subsequently amend the transition period upon thirty (30) days advance written notice to the Contractor.


B No Interruption in Service At all times during the transition period and unless directed otherwise in writing by CSCIC, the Contractor shall continue all contractual obligations set forth in the Contract until such time as CSCIC (i) has approved the Contractor’s proposed transition plan, and (ii) an orderly transition to CSCIC, a third party, or the successor contractor has been completed pursuant to the approved transition plan. The Contractor shall be required to meet its contractual obligations pursuant to this paragraph notwithstanding the issuance of a termination for cause or convenience by CSCIC.

C Transition Plan Within fifteen (15) days of receipt of a notice of termination as set forth in Section 5.15, above, or three (3) months prior to the end of the term of the Contract, whichever event occurs first, the Contractor shall provide for approval by CSCIC a detailed written plan for Transition (Transition Plan) which outlines, at a minimum, the tasks, milestones and deliverables associated with the smooth transition of Services to CSCIC, a third party or the successor contractor. Contractor agrees to amend the Transition Plan to include all other information deemed necessary by CSCIC.

D Contractor Transition Services

“Transition Services” shall be deemed to include Contractor’s responsibility for all tasks and services outlined in the Contract, and for transferring in a planned manner specified in the Transition Plan all tasks and services to CSCIC, a third party or the successor contractor. It is expressly agreed between the Parties that the level of service during the transition period shall be maintained in accordance with and shall be subject to all the terms and conditions of the Contract, provided, however, that where, during the Transition Period, tasks or services are transitioned to or assumed by CSCIC, a third party or the successor contractor, Contractor shall not be held responsible for the negligent acts or negligent omissions of CSCIC, a third party or the successor contractor or for service degradation resulting from the negligent acts or negligent omissions of CSCIC, a third party or the successor contractor.

E Compensation for Transition Services

Contractor shall be reimbursed for Transition Services performed during the Transition Period at the rates set forth in the Contract.

F State Responsibilities for Transition

CSCIC shall assume responsibility for Transition project management. A project manager responsible for coordinating Transition activities, maintaining the transition task schedule, and approving transition deliverables shall be appointed. Weekly project review meetings shall be held with representatives of the Contractor, CSCIC, and the third party or the successor contractor.

§ 5.16 DISPUTE RESOLUTION

The first step of dispute resolution will be through conference between CSCIC and the Contractor. Unresolved disputes will be arbitrated by the CSCIC Director or his/her designee, whose decision will be final and binding. The Parties will endeavor, in good faith, to resolve any disagreement between the Parties with respect to the interpretation of any provision of the Contract or the performance of a Party, and to that end will gather and furnish each other all information relevant to the matter in issue. The Contractor and CSCIC may agree to use the following procedure to review their performance or to resolve disputes:

1. Problems which cannot be solved by staff within five (5) business days from the date on which the

problem arose will be set down in writing and submitted to CSCIC’s Project Manager and Contractor's Sole Point of Contact;

2. If a problem cannot be resolved by CSCIC’s Project Manager and Contractor's Project Manager within

fifteen (15) business days from the date on which the problem arose, either or both may appeal to the CSCIC Director or his/her designee;


3. If the Contractor does not agree with the findings of the CSCIC Director, or his/her designee, it may pursue any legal or equitable remedies it may have; and

4. During the course of any disagreement, or if the Contractor pursues any legal or equitable remedy

outside CSCIC, Contractor shall continue to provide Services according to the Contract until such proceeding is concluded, or an injunction is issued.

§ 5.17 FORCE MAJEURE

In the event that either Party is unable to perform any of its obligations under the Contract because of natural disaster, any act of God, war, civil disturbance, court order, or labor dispute, (Force Majeure Event), or any other acts beyond the reasonable control of either Party, the Party that has been so affected shall immediately give notice to the other Party, and shall exercise every commercially reasonable effort to resume performance, and an extension of the time for performance shall be granted for a period to be agreed to in writing by CSCIC and Contractor. Any delay in performance by either Party resulting from a Force Majeure Event shall not be considered a breach or default under the Contract.

§ 5.18 OWNERSHIP/TITLE TO CONTRACT DELIVERABLES

As provided in Exhibit A, CSCIC agrees that all of the products, deliverables, software or other materials produced or developed by the Contractor in connection with the Contractor’s performance of the Services are the sole property of the Contractor. CSCIC acknowledges and agrees that the Contractor shall have all proprietary rights in and to the Deliverables, including, without limitation, all copyrights, patents, and trade secret rights. Contractor agrees that during the Term of the Contract, CSCIC shall have the rights described in Exhibit A, Section A.3.2.1, Usage During Contract Term. Contractor further agrees that after the end of the Term of the Contract, CSCIC shall have the rights described in Exhibit A, Section A.3.2.2, Usage at Contract Termination, with regard to the Final Deliverable.

§ 5.19 USE OF OFFSHORE PRODUCTION:

Use of production outside of the United States of America or Canada must be approved in writing by CSCIC in advance.

§ 5.20 SECURITY, NON-DISCLOSURE, CONFIDENTIALITY AND PRESS RELEASES

The Contractor shall maintain the security, nondisclosure and confidentiality of all information in accordance with the following clauses in performance of its activities under the Contract. Contractor shall ensure that its personnel, agents, officers and subcontractors, if any are fully aware of the obligations arising under this section and shall take all commercially reasonable steps to ensure compliance. The Contract may be terminated by CSCIC for cause for a material breach of this section.

A Security Procedures and Employee Dishonesty: Contractor will comply fully with all security procedures of CSCIC communicated to it in the performance of this Contract, including, but not limited to, New York State Cyber Security Policy P03-002 (see: http://www.cscic.state.ny.us/lib/policies) and Cyber Security Standard S05-001, as amended from time to time, or their sucessors. Contractor shall hold CSCIC harmless from any loss or damage to CSCIC resulting from the violation by the Contractor, its officers, agents, employees, and subcontractors, if any of such security procedures or policies resulting from any criminal acts committed by such officers, agents, employees, and subcontractors, while providing Services under the Contract. CSCIC may terminate the Contract if it determines that Contractor has violated a material term of this section. The terms of this section shall apply equally to Contractor, its agents and subcontractors, if any. Contractor agrees that all subcontractors, if any and agents shall be made aware of and shall agree to the terms of this section.

B Nondisclosure and Confidentiality

http://www.cscic.state.ny.us/lib/policies/


Except as may be required by applicable law or a court of competent jurisdiction, the Contractor, its officers, agents, employees, and subcontractors, if any, shall maintain strict confidence with respect to any Confidential Information to which the Contractor, its officers, agents, employees, and subcontractors, if any have access. This representation shall survive termination of the Contract. For purposes of the Contract, all State information of which Contractor, its officers, agents, employees, and subcontractors, if any becomes aware during the course of performing Services for CSCIC shall be deemed to be Confidential Information (oral, visual or written). Notwithstanding the foregoing, information that falls into any of the following categories shall not be considered Confidential Information:

1. information that is previously rightfully known to the receiving party without restriction on

disclosure; 2. information that becomes, from no act or failure to act on the part of the receiving party,

generally known in the relevant industry or is in the public domain; and 3. information that is independently developed by Contractor without use of Confidential

Information of the State. Contractor shall hold the State harmless, without limitation, from any loss or damage to the State resulting from the disclosure by the Contractor, its officers, agents, employees, and subcontractors of such Confidential Information.

C Press Releases Contractor agrees that no brochure, news/media/press release, public announcement, memorandum or other information of any kind regarding the Contract shall be disseminated in any way to the public, nor shall any presentation be given regarding the Contract without the prior written approval by the CSCIC Director or his/her designee, which written approval shall not be unreasonably withheld or delayed provided, however, that Contractor shall be authorized to provide copies of the Contract and answer any questions relating thereto to any State or Federal regulators or, in connection with its financial activities, to financial institutions for any private or public offering.

D. Public Information

Disclosure of information related to this Procurement and the Contract(s) shall be permitted consistent with the laws of the State of New York and specifically the Freedom of Information Law (FOIL) contained in Article 6 of the Public Officers Law. The State shall take reasonable steps to protect from public disclosure any of the records relating to this Procurement that are exempt from disclosure. Information constituting trade secrets or critical infrastructure information for purposes of FOIL, must be clearly marked and identified as such by the Contractor upon submission. If the Contractor intends to seek an exemption from disclosure of claimed trade secret materials or claimed critical infrastructure information under FOIL, the Contractor shall at the time of submission, request the exemption in writing and provide an explanation of (i) why the disclosure of the identified information would cause substantial injury to the competitive position of the Contractor, or (ii) why the information constitutes critical infrastructure information which should be exempted from disclosure pursuant to §87(2) of the Public Officers Law. Acceptance of the identified information by the State does not constitute a determination that the information is exempt from disclosure under FOIL. Determinations as to whether the materials or information may be withheld from disclosure will be made in accordance with FOIL at the time a request for such information is received by the State.

E. Federal or State Requirements In the event that it becomes necessary for Contractor to receive Confidential Information, which Federal or State statute or regulation prohibits from disclosure, Contractor hereby agrees to return or destroy all such Confidential Information that has been received from CSCIC when the purpose that necessitated its receipt by Contractor has been completed. In addition, Contractor agrees not to retain any Confidential Information which Federal or State statute or regulation prohibits from disclosure after termination of the Contract.


Notwithstanding the foregoing, if the return or destruction of the Confidential Information is not feasible, Contractor agrees to extend the protections of the Contract for as long as necessary to protect the Confidential Information and to limit any further use of disclosure of that Confidential Information. If Contactor elects to destroy Confidential Information, it shall use reasonable efforts to achieve the same and notify CSCIC accordingly. Contractor agrees that it will use all appropriate safeguards to prevent any unauthorized use or unauthorized disclosure of Confidential Information, which Federal or State statute or regulation prohibits from disclosure. Contractor agrees that it shall immediately report to CSCIC the discovery of any unauthorized use or unauthorized disclosure of such Confidential Information of any New York State agency information directly to that New York State agency. CSCIC may terminate the Contract if it determines that Contractor has violated a material term of this section. The terms of this section shall apply equally to Contractor, its agents and subcontractors, if any. Contractor agrees that all subcontractors, if any and agents shall be made aware of and shall agree to the terms of this section.

§ 5.21 INDEPENDENT CONTRACTOR

It is understood and agreed that the legal status of the Contractor, its agents, officers, and employees under the Contract is that of an independent contractor, and in no manner shall they be deemed employees of the State, or CSCIC, and therefore they are not entitled to any of the benefits associated with such employment. The Contractor agrees, during the term of the 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 workers’ compensation, disability and unemployment insurance, and to provide CSCIC with certification of such insurance upon request. The Contractor remains responsible for all applicable federal, state and local taxes, and all FICA contributions.

§ 5.22 SEVERABILITY

In the event that one or more of the provisions of the Contract shall for any reason be declared unenforceable by a court of competent jurisdiction under the laws or regulations in force, such provision(s) shall have no effect on the validity of the remainder of the Contract, which shall then be construed as if such unenforceable provision was never contained in the Contract.

§ 5.23 TRANSFER OF CONTRACT

CSCIC may transfer/assign the Contract to another state agency at its sole discretion by informing Contractor in writing of such a transfer.

§ 5.24 TAXES

All outstanding tax liabilities, if any, against the Contractor in favor of the State of New York must be satisfied prior to Contract execution or a payment schedule arranged for their speedy satisfaction. Except as otherwise provided by applicable Federal and State law and regulations, the State shall not be liable for the payment of any taxes under the Contract however designated, levied or imposed. Purchases made by the State are exempt from New York State local sales and use taxes and, with certain exceptions, Federal excise taxes. To satisfy the requirements of the New York State Sales and Use Tax Law, invoices issued by the Contractor pursuant to the Contract must reference the Contract in order to be considered sufficient evidence that the sale by Contractor was made to the State. The State is an exempt organization under Section 1116(a)(1) of the Tax Law. However, no person, firm or corporation is exempt from paying the State Truck Mileage and Unemployment Insurance taxes and other Federal, State and local taxes to which Contractor is subject. For purposes of tax free transactions under the Internal Revenue Code, the New York State Registration Number is 14740026K. Nothing in this section shall be construed to limit the obligation of the State to reimburse Contractor for approved expenses, including valid State and local taxes, under the Contract. Sales tax registration certification requirement for businesses seeking to contract with New York State agencies:


Section 5-a of the New York Tax Law requires that any contract valued at more than $100,000 entered into by a State agency shall not be valid, effective, or binding against the agency unless the Contractor certifies to the Department of Taxation and Finance (DTF) that it is registered to collect New York State and local sales and compensating use taxes, if the contractor made sales delivered by any means to locations within New York State of tangible personal property or taxable services having a cumulative value in of excess of $300,000, measured over a specified period. In addition, the Contractor must certify to the DTF that each affiliate and subcontractor of such contractor exceeding such sales threshold during a specified period is registered to collect New York State and local sales and compensating use taxes. For the purpose of this requirement, “affiliate” means a person or organization which, through stock ownership or any other affiliation, directly, indirectly, or constructively controls another person or organization, is controlled by another person or organization, or is, along with another person or organization, under the control of a common parent. The Contractor also must certify to the procuring state entity that it filed the certification with the DTF and that the certification is correct and complete. Accordingly, in the event the value of this Contract exceeds $100,000 and Contractor’s sales delivered by any means to locations within New York State of tangible personal property or taxable services have a cumulative value in excess of $300,000, measured over a specific period, the Contractor must file a properly completed Form ST-220-CA with CSCIC and a properly completed Form ST-220-TD with the DTF before the Contract may take effect. In addition, after the Contract has taken effect, the Contractor must file a properly completed Form ST-220-CA with CSCIC if the Contract’s term is renewed. Further, a new Form ST-220-TD must be filed with the DTF if no ST-220-TD has been filed by the Contractor or if a previously filed Form ST-220-TD is no longer correct and complete. Submission of these forms (ST-220CA and ST-220TD) is NOT required, at time of bid, however, the selected Bidder will be required to complete and submit these forms as a condition of contract award.

The following link provides more information the registration requirements: http://www.tax.state.ny.us/pdf/publications/sales/pub223_507.pdf.

§ 5.25 ASSIGNMENT OF CLAIM

Contractor hereby assigns to the State any and all of its claims for overcharges associated with the 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.

§ 5.26 NOTIFICATION

Any notice required by or pertaining to the Contract shall be delivered to the other Party in writing, by overnight mail or by certified mail, return receipt requested. The date of notice shall be deemed the date of delivery set forth on the return receipt or by the overnight mail service.

§ 5.27 NOTICE TO STATE

The Contractor shall immediately notify CSCIC upon learning of any situation that can reasonably be expected to adversely affect the delivery of Services under the Contract. If such notification is verbal, the Contractor shall submit to CSCIC a written description of the situation and a recommendation for its resolution within seven (7) business days of learning of the situation.

§ 5.28 WORK OUTSIDE THE SCOPE OF THE CONTRACT

The Contractor shall refrain from performing work outside the scope of the Contract unless such work is authorized by a properly executed, written amendment to the Contract approved by OSC.

§ 5.29 COOPERATION WITH INVESTIGATIONS AND AUDITS

The Contractor shall cooperate with CSCIC, any other authorized State or Federal Agency, and any law enforcement authority, in the investigation, documentation and litigation of any alleged illegal act, misconduct or unethical behavior related to the RFP and Contract, or in connection with any audit.

http://www.tax.state.ny.us/pdf/publications/sales/pub223_507.pdf


§ 5.30 SUSPENSION OF WORK

CSCIC reserves the right to suspend any or all activities under the Contract, at any time, in the best interests of the State or CSCIC. 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 shall comply with the suspension order. Activity may resume at such time as CSCIC issues a formal written notice authorizing a resumption of work.

§ 5.31 SUBCONTRACTORS

Contractor may subcontract Services provided under the Contract, or any part of it, to subcontractors selected by Contractor and identified in the Proposal. The use of replacement subcontractors or additional subcontractors is subject to CSCIC’s prior written approval. A subcontractor shall be defined as any firm or person who is not a full time employee of the Contractor, engaged or assigned to perform work under the Contract. All agreements between the Contractor and its subcontractors shall be by bona fide written contract. Contractor shall include in all subcontracts, the purpose of which is of the delivery of Services, in such a manner that they will be binding upon each subcontractor with respect to work performed in connection with the Contract, provisions consistent with those found in the Contract, including, but not limited to:

• That the work performed by the subcontractor must be in accordance with the terms of the Contract

including, but not limited to Appendix A; • That subcontractor shall comply with the provisions of section 5-a of the Tax Law; • That nothing contained in such subcontract shall impair the rights of CSCIC; • That nothing contained herein shall create any contractual relation between any subcontractor and

CSCIC; • That subcontractor shall maintain all records with respect to work performed under the

subcontractor in the same manner as required of the Contractor; and • That CSCIC shall have the same authority to audit the records of all subcontractors as it does those

of the Contractor.

Contractor shall be fully responsible to CSCIC for the acts and omissions in the performance of Services under the Contract of the subcontractors and/or persons either directly or indirectly employed by it or by the subcontractors, as it is for the acts and omissions in the performance of Services under the Contract or persons directly employed by the Contractor. Contractor shall not in any way be relieved of any programmatic or financial responsibility under the Contract by its agreement with any subcontractor or by CSCIC’s approval of such an agreement with a subcontractor. CSCIC reserves the right to reject any proposed subcontractor for bona fide business reasons, which may include, but are not limited to: (i) that the proposed subcontractor is on the Department of Labor’s list of companies with which New York State cannot do business; or (ii) CSCIC determines that the proposed subcontractor is not qualified or has previously provided unsatisfactory contract performance or service.

§ 5.32 WAIVER

No term or provision of the Contract shall be deemed waived and no breach excused, unless such waiver or consent shall be in writing and signed by the Party claimed to have waived or consented. No consent by a Party to, or waiver of, a breach under the Contract shall constitute consent to, a waiver of, or excuse for any other, different or subsequent breach. The rights, duties and remedies set forth in the Contract shall be in addition to, and not in limitation of, rights and obligations otherwise available at law or equity.

§ 5.33 CONTRACTOR OBLIGATIONS IN THE EVENT OF A DISASTER OR OTHER EMERGENCY

For purposes of this section, the following definitions shall apply: “state disaster emergency” shall have the same meaning as set forth in section 20(2)(b) of the Executive Law and “other emergency situation” shall refer to a


situation or occurrence which the CSCIC Director, in his sole discretion, has determined poses a risk to health and public safety or the conservation of public resources. In the event of a state disaster emergency or other emergency situation, the Contractor shall be notified that CSCIC is invoking this provision. Notwithstanding any other provision in the Contract, during a state disaster emergency or other emergency situation, CSCIC may, at its discretion, elect to provide and receive notice by means, such as e-mail, facsimile, or hand delivery. Unless the Contractor’s performance would be excused pursuant to the Force Majeure provisions of the Contract, the following terms and conditions shall apply during a state disaster emergency or other emergency situation: The Contractor shall provide the necessary Services to CSCIC on a time is of the essence basis, working on a twenty-four (24) hour a day, seven (7) day a week basis, to restore and/or recover State operations and services, which are critical to the health, safety and welfare of the State, to be determined at the sole discretion of CSCIC. Except as provided in this section, all other provisions of the RFP and Contract remain in full force and effect during a state disaster emergency or other emergency situation.

§ 5.34 TIME IS OF THE ESSENCE

Time is of the essence for the Contractor's performance under the Contract.

§ 5.35 GENERAL PROVISION AS TO REMEDIES

The Parties may exercise their respective rights and remedies at any time, in any order, to any extent, and as often as deemed advisable, without regard to whether the exercise of one right or remedy precedes, concurs with or succeeds the exercise of another. A single or partial exercise of a remedy shall not preclude a further exercise of the right or remedy or the exercise of another right or remedy from time to time. No delay or omission in exercising a right or remedy, or delay, inaction, or waiver of any event of default, shall exhaust or impair the right or remedy or constitute a waiver of, or acquiescence to, an event otherwise constituting a breach or default under the Contract.

§ 5.36 EMPLOYMENT REPORTING

(i) Contractor agrees that it will comply with the reporting requirements of section 163(4)(g) of the State Finance Law throughout the term of the Contract. The Contractor shall file with CSCIC, the Department of Civil Service, and the Office of the State Comptroller reports using forms provided in Appendix H, attached hereto, or such successor forms as are identified by CSCIC.

(ii) Contractor shall include in any subcontract authorized under this Contract a provision requiring the subcontractor to comply with the reporting requirements of section 163(4)(g) of the State Finance Law in the same manner as the Contractor.

(iii)Contractor acknowledges that the reports filed pursuant to this Section 5.36 shall be available for public inspection and copying under the provisions of FOIL.

§ 5.37 INFORMATION SECURITY BREACH AND NOTIFICATION ACT

In accordance with the Information Security Breach and Notification Act (ISBNA) (General Business Law, §889-aa; State Technology Law, §208), Contractor shall be responsible for complying with the provisions of the ISBNA and the following terms contained herein with respect to any private information (as defined in ISBNA) received by Contractor under this Project (Private Information) that is within the control of the Contractor either on the CSCIC’s information security systems or the Contractor’s information security systems (System). In the event of a breach of the security of the System (as defined by ISBNA) Contractor shall immediately commence an investigation, in cooperation with CSCIC, to determine the scope of the breach and restore the security of the System to prevent any further breaches. Contractor shall also notify CSCIC of any breach of the security of the System immediately following discovery of such breach. Except as otherwise instructed by CSCIC, Contractor shall, to the fullest extent possible, first consult with and receive authorization from CSCIC prior to notifying any individuals, the State Consumer Protection Board, the Office of the Attorney General (OAG) or any consumer reporting agencies of a breach of the security of the System or concerning any determination to delay notification due to law enforcement investigations. Contractor shall be responsible for providing the notice to all such required


recipients and for all costs associated with providing such notice. Nothing herein, shall in any way impair the authority of the OAG to bring an action against Contractor to enforce the provisions of ISBNA or limit Contractor’s liability for any violations of the ISBNA. Additional information relative to the law and the notification process is available at: http://www.cscic.state.ny.us/security/securitybreach.

http://www.cscic.state.ny.us/security/securitybreach

DRAFT RFP – Streets Data Maintenance Page 36 of 119

EXHIBIT A – PROJECT SCOPE OF WORK

A.1 SUMMARY OF SERVICES

Bidders are encouraged to submit innovative Proposals to support the continued maintenance of a vector-based street data set and a point-based address data set. The following services and deliverables are encompassed in this project:

• Overall project management; • Conduct required meetings; • Provide status reports; • Monthly deliverables; • Annual deliverables; and • Final deliverable

Each Bidder’s Proposal shall describe its project plan for addressing all of the services above, including a schedule, workflow management, and quality control. Specific requirements are detailed in the discussion of services below. Each Bidder’s Proposal shall also identify the sources of street and address data updates from non-NYS sources that it will incorporate into the data maintenance process such as:

• The Contractor’s own data collection vehicles; • Partnerships with delivery carriers, utilities, and other commercial firms; • US Postal Service address data sets; • Orthoimagery processing; • Address point data processing; and • Parcel boundary data processing

Each Bidder shall describe in its Proposal a project plan for incorporating the data updates from non-NYS sources including verification of a data source’s quality, frequency of incorporation, and conflict resolution with CSCIC-provided source information. Bidders may submit more than one Proposal to provide data maintenance solutions for continued maintenance of statewide Streets and Address Point data sets. Proposals may include solutions that involve direct maintenance of the CSCIC-provided Streets and Address Points data sets. Proposals may also include solutions that involve licensing of the Bidder’s own commercial Streets and Address Point products to CSCIC or any combination thereof. Any solution provided must include:

• A Statewide Streets file that at a minimum includes no fewer public streets in New York State than are contained in the NYS Streets database, with geometry alignments that are at least as positionally accurate as in the NYS Streets database;

• A Statewide Streets file with all street names, alternate street names, route numbers, and address ranges as contained in the NYS Streets database;

• A Statewide Address Points file with points that are at least as positionally accurate and complete as in the NYS Address Points data set ;

• A Statewide Address Points file with all street names and addresses as contained in the NYS Address Points data set;

• Edits from the Contractor’s street and address data maintenance updates such as those described above; • GIS data to support network navigation; and • Statewide Census geography (State, County, Tract, Block Group, Block, MCD, Place).


At the end of the Term of the Contract, CSCIC shall retain a final data deliverable containing Statewide Streets and Statewide Address Points that can be used by CSCIC in the manner described in Exhibit A, Section 3.2.2, Usage At Contract Termination. In addition to media used for the Final Deliverable, the Contractor shall be responsible for supplying access to a secure FTP (File Transfer Protocol) site, or equivalent, for distribution of data between the Contractor and CSCIC. To ensure file integrity, MD5 checksums shall be generated and recorded by the Contractor for each deliverable made for download. This will provide CSCIC with the ability to checksum validate the files on transfer. In addition to the foregoing, solutions may include additional means of accessing or delivering data to CSCIC and Authorized Users, including, but not limited to, live web mapping services and web feature services. The data security requirements specified in Section 5.20 Security, Non-Disclosure, Confidentiality and Press Releases of the Contract shall apply as directed by CSCIC. CSCIC has provided specific requirements in this RFP; however it is likely that over the life of the Contract changes to some requirements will be considered beneficial or necessary. The following specifications are among those that may occur and where CSCIC may approve a change:

• Data model specifications; • GIS file formats; • Delivery method; and • Delivery media.

A.1.1 Overall Project Management The Contractor shall supply one (1) employee to serve as Project Manager and to act as the Contractor’s primary representative for all communications with CSCIC. This individual must be identified in the Proposal. The Contractor’s Project Manager has the overall responsibility for coordinating and tracking work performed by the Contractor and must communicate status and schedule information to CSCIC. The Contractor’s Project Manager shall be the consistent point of contact for CSCIC’s communication with the Contractor and is responsible for ensuring all Contract services and specifications are fulfilled in a timely and consistent manner. During the Term of the Contract, the Project Manager shall notify CSCIC of his or her scheduled time off at least one (1) week in advance of the scheduled time off and provide the name and contact information for the person who will serve as the Contractor’s Project Manager during that time. CSCIC expects the Contractor’s Project Manager to be responsible for successful completion of tasks including, but not limited to, the following:

• Coordinate and facilitate the Project Initiation Meeting, Weekly Status Meetings, Annual Status Evaluation Meetings and other meetings as required to resolve technical issues, including the preparation of notes;

• Provide Weekly Status Reports and Production Schedules; • Provide Monthly Status Reports and an updated Production Schedule to accompany the Monthly Deliverables; • Issue resolution as needed and requested by CSCIC; and • Monthly invoicing and payment tracking.

Upon receipt of deliverables, CSCIC shall make a good faith effort to review the deliverables and identify any discrepancies within the time prescribed in the Production Schedule, which shall be no later than the delivery date for the next Monthly Deliverable. The Contractor’s Project Manager must review CSCIC’s notification of discrepancies and identify any disagreements within five (5) business days of receipt and provide justification for why they disagree. For the other discrepancies the Contractor does agree to correct, the Contractor will provide the date of the Monthly Deliverable that shall contain the corrections.

A.1.2 Conduct Meetings Weekly Status Meetings shall be conducted by conference call. Unless otherwise agreed to by the Parties in writing, all other meetings shall be at CSCIC-designated sites.


A.1.2.1 Project Initiation Meeting The Contractor shall meet with CSCIC within two (2) weeks following Contract approval by OSC to review, clarify, and finalize the project plan and deliverables for the project. The Contractor shall submit a preliminary Production Schedule at this meeting. No later than one (1) week after the Project Initiation Meeting, the Contractor shall submit notes documenting the key points discussed and all action items identified during the meeting for CSCIC’s review and approval.

A.1.2.2 Weekly Status Meeting The Contractor’s Project Manager shall coordinate and facilitate the Weekly Status Meeting. The meeting discussion shall summarize the Contractor’s activities of the previous week as documented in the Weekly Status Report, discuss issues with any CSCIC deliverables and edits submitted the previous week, discuss the number and source of planned CSCIC deliverables and edits for the coming week, identify the Contractor’s expected activities for the upcoming week, review the most recent Production Schedule, and discuss any outstanding issues.

A.1.2.3 Annual Evaluation Meeting Approximately twelve (12) months following Contract approval and annually thereafter, the Contractor shall meet with CSCIC to review and evaluate the activities and deliverables that occurred during the previous year. The purpose of the Annual Evaluation Meeting will be to review and evaluate the Contractor’s compliance with all the requirements of the Contract. CSCIC and the Contractor shall also discuss any potential changes to the Contract requirements. Within one (1) week of the meeting the Contractor shall submit notes for CSCIC’s review and approval documenting the key points discussed, all action items identified during the meeting, and any change in Contract requirements that were mutually agreed to by CSCIC and the Contractor. A.1.2.4 Final Deliverable Status Meeting No fewer than sixty (60) days before the end of the Term of the Contract, CSCIC and the Contractor will use one of the Weekly Status Meetings to review all outstanding items and to set a schedule for final edit resolution. Such schedule shall include, but not be limited to:

• Incorporating all remaining edits; • Resolving incomplete and inaccurate edits; • Establishing a date for final edit submission; • Estimating the volume of final edit submission; and • Specifying the date for delivery of the Final Deliverable (ftp and hard copy)

A.1.3 Provide Status Reports

A.1.3.1 Monthly Status Report and Production Schedule The Contractor shall deliver a Monthly Status Report within two (2) business days following the submission of the Monthly Deliverable to CSCIC. The Monthly Status Report shall summarize the activities completed during the previous month, the activities currently in progress, and new issues encountered during the past month and their current status. The Monthly Status Report shall include a full Production Schedule that summarizes all edits and other data sources CSCIC submitted to the Contractor since Project initiation as well as the planned delivery date of the resultant edits from all CSCIC-submitted items. An example of the Monthly Status Report and Production Schedule is included as Attachment 1 to this Exhibit A.

A.1.3.2 Weekly Status Report and Production Schedule In weeks other than the week in which the Monthly Status Report is delivered, the Contractor shall deliver a Weekly Status Report one (1) business day following the scheduled Weekly Status Meeting. The Weekly Status Report shall document issues discussed during the Weekly Status Meeting, decisions made, and identify assigned action items. Issues shall remain on the Weekly Status Report until they are resolved to CSCIC’s satisfaction. The Weekly Status Report shall include a Production Schedule that summarizes the edits and other data sources CSCIC submitted to the Contractor since the last monthly deliverable as well as the estimated delivery date of the resultant edits from the CSCIC-submitted items. An example of the Weekly Status Report and Production Schedule is included as Attachment 2 to this Exhibit A.


A.2 SUMMARY OF DELIVERABLES

A.2.1 New York State Deliverables

A.2.1.1 Streets from New York State CSCIC will provide to the Contractor a statewide Streets file in ESRI geodatabase format upon approval of the Contract by OSC. In conjunction with this file is an Alternate Street Name Table that can be related to the Streets geodatabase by a unique ID. Detailed information about these files can be found in the Data Model (Attachment 3 to this Exhibit A) and the Data Dictionary (Attachment 4 to this Exhibit A). A sample of the data is available upon request.

A.2.1.2 Address Points from New York State Initial Statewide Submission CSCIC will provide to the Contractor a Statewide Address Points file in ESRI geodatabase format upon approval of the Contract by OSC. The geodatabase contains approximately 3.1 million points. Detailed information about this file can be found in the Data Model (Attachment 3 to this Exhibit A) and the Data Dictionary (Attachment 4 to this Exhibit A). A sample of the data is available upon request. Intermittent Geography-Wide Submissions CSCIC obtains Address Points from county and other local governments. When CSCIC is granted permission to share the Address Points by the owner of the data, they will be sent to the Contractor for processing and inclusion into the Statewide Address Points deliverable. CSCIC may also obtain Parcel Boundary data from county and other local governments as an alternative source to add new and correct existing Address Points. Note that, given the value of the Address Points and Parcel Boundary data, any Address Points or Parcel Boundary data CSCIC obtains and provides to the Contractor shall not be counted among the one thousand five hundred (1,500) edits for the Monthly Deliverable. Processing of the geography-wide Address Points and Parcel Boundary data shall be consistent with dates established in the Production Schedule.

A.2.1.3 Orthoimagery New orthoimagery generated as part of the NYS Digital Orthoimagery Program (NYSDOP) will be provided to the Contractor by CSCIC to be used to update the street geometry in accordance with Exhibit A, Section A.2.3 Data Accuracy and Acceptance. Orthoimagery updates will not be bulk re-alignments of existing streets. Orthoimagery updates will include:

• Identification and addition of new streets; • Deletion of street segments which clearly no longer exist; • Realignment of street segments not falling within the visible edge of pavement; and • Other edits which are mutually agreed upon by CSCIC and the Contractor

More information on NYSDOP is available at: http://www.nysgis.state.ny.us/gateway/orthoprogram/index.cfm

A.2.1.4 Civil Boundaries with GNIS Codes CSCIC will provide to the Contractor Civil Boundaries with GNIS Codes. This will consist of five (5) feature classes within a personal geodatabase called Boundaries_GNIS. The five (5) feature classes are State, County, CityTown, Village and IndianReservation. All feature classes contain a GNIS Code for every boundary. This geodatabase can be used as part of the Contractor’s plan for incorporation of GNIS Codes in delivered products per Exhibit A, Section A.2.2.2.1 Census Geography. A sample of the data is available upon request.

A.2.1.5 Monthly Edits Edit Coordination

http://www.nysgis.state.ny.us/gateway/orthoprogram/index.cfm


CSCIC will provide centralized coordination of street and address edits through the data maintenance partnerships CSCIC has developed with the following authorized agents:

• State Agencies; • County governments; • Other local governments; and • Other authorized users as defined in Exhibit A, Section A.3.2 Usage

CSCIC will coordinate the submission of street and address edits, reviewing them for clarity, consistency, duplication, and validity prior to submission to the Contractor. Any conflict in edit requests from agents will be thoroughly investigated before an edit is sent to the Contractor. Edit Submission Methods used by CSCIC for submitting edits to the Contractor include but are not limited to the following:

• New York State’s on-line Map Maintenance, Notification, and Tracking (MMNT) application. MMNT is maintained and supported by CSCIC. Once an edit submitted by an authorized agent is reviewed and approved by CSCIC, the Contractor will use the editor roll of MMNT to view specifics, request clarification as needed, and update the status of the edit call. Additional information about MMNT is available on the RFP web page;

• New York State’s on-line Street Name Editor (SNE) application. The Contractor will not use SNE directly, however, on a weekly basis, a shape file of street name changes generated with SNE will be delivered to the Contractor for correction. SNE is maintained and supported by CSCIC. A sample SNE shape file is available on the RFP web page; and

• Any editing tool provided and supported by the Contractor which is mutually agreed upon by CSCIC and the Contractor.

A.2.1.5.1 Monthly Street Edits Attribution Edits Attribution based edits to existing streets will involve either single segments or several contiguous segments. Several types of attribute corrections (street, address, classification, etc) may be included as part of one edit. Street Name Edit Street name edits may include but not be limited to:

• Adding a primary name; • Adding an alternate (alias) name; • Correcting an inaccurate name; • Changing an alternate name to a primary name; • Changing a primary name to an alternate name; and • Deleting a name

Route (Interstate, Federal, State, County) Shield and Highway Number Edit New York State has the authority to assign route numbers to roadways in the State Touring Route System and to reassign State Touring Routes on to other roadways. County governments have the authority to create and maintain county route networks and assign county route numbers. Route shield/number edits may include but not be limited to:

• Adding a new route to the existing network; • Deleting a route from the existing network; • Correcting a route shield or route number; • Re-directing routes over other street segments; • Assigning route shield and number as the primary name; • Assigning route shield and number to the alternate names list; and • Assigning route shield and number to ramps, roundabouts, rotaries and traffic circles when these features

carry a numbered route Address Range Edit


Address range edits usually include all segments between two road intersections. Occasionally, address range edits may include all segments of a street between a civil boundary and a road intersection. Edits may be made to correct any one or all four of the address values (L-From, L-To, R-From, R-To). Street address range edits may include but are not limited to:

• Refining existing address ranges; • Deleting existing address ranges; • Adding address ranges; • Changing parity of addresses; • Changing direction of address ranges; and • Adjusting address ranges when a segment is broken for a new boundary

Feature Classification Edit Feature Classification edits may include but are not limited to:

• Changing existing street segments to trails or driveways; • Changing existing driveways or trails to streets; • Changing streets to pedestrian walkways; • Changing walkways to streets; • Classifying gated roads; • Classifying private roads; and • Classifying parking lots

Boundary Node Edit CSCIC will be updating the existing municipal civil boundaries (State, County, City/Town, Village and Indian reservation) to reflect any new incorporation, annexation or dissolution. CSCIC will also be refining the existing boundaries to reflect that of improved sources. Boundary node edits may include but are not limited to:

• Adding a node in the streets file wherever a street segment crosses a new boundary; and • Relocating the existing street node to reflect the correct position on the relocated boundary

Geometry Edits Geometry based edits will be made using the most up-to-date NYSDOP imagery available or other sources obtained from CSCIC authorized agents. Geometry based edits will include but are not limited to:

• Adding new street alignments; • Deleting inaccurate street alignments; and • Realigning of existing streets to match the new imagery

A.2.1.5.2 Monthly Address Point Edits Attribution Edits Attribution based edits to existing Address Points will involve changes to the address attributes and the TYPE attribute in the Address Points file. These Address Point edits will also be used to adjust address ranges in the Streets file when mutually agreed upon by CSCIC and the Contractor. Geometry Edits Geometry based edits will be made using the most up-to-date NYSDOP imagery available or other sources obtained from CSCIC authorized agents. Geometry based edits will include but are not limited to:

• Adding new Address Points; • Deleting invalid Address Points; and • Moving existing Address Points

A.2.1.6 Miscellaneous Data

CSCIC will provide the following digital data upon Contractor’s request:

• NYS DOT as-built plans of major construction projects;


• Census boundaries (to the block level); and • CSCIC’s NYS Hydrography data set (1:24,000 scale)

A.2.2 Contractor Deliverables

Unless otherwise agreed to by the Parties in writing, all Deliverables shall be provided in ESRI geodatabase format 9.1.

A.2.2.1 Monthly Deliverables The Contractor will provide one (1) update per month (Monthly Deliverable) according to a standard schedule (Production Schedule) agreed upon in writing by CSCIC and the Contractor. The Contractor must provide the capacity to process at least one thousand five hundred (1,500) edits for the Monthly Deliverable. The Contractor may process additional individual edits over the one thousand five hundred (1,500) monthly edits without incremental cost to CSCIC and may, consistent with the terms of the Financial Proposal, offer a reduction in the cost of the Monthly Deliverable for such additional individual edits. Up to one thousand five hundred (1,500) edits submitted to the Contractor by the close of business (COB) on the submission date established in the Production Schedule must be included in the next Monthly Deliverable, which shall be delivered no more than six (6) weeks following the submission date established in the Production Schedule. Edits delivered after the COB on the submission date established in the Production Schedule shall be delivered in the following Monthly Deliverable. Edits submitted by CSCIC in excess of one thousand five hundred (1,500) that the Contractor does not process as part of the next Monthly Deliverable shall be delivered in the following Monthly Deliverable. For example, if CSCIC and the Contractor have agreed upon a submission date of the 15th of the month, edits CSCIC provides by the COB on the 15th of April would be required to be included in the Monthly Deliverable delivered in the last week of the May. However, edits delivered on the 16th of April would not be required to be included in the Monthly Deliverable to be delivered in the last week of the May, but would be required to be included in the Monthly Deliverable to be delivered in the last week of June. Similarly, if CSCIC delivers One thousand seven hundred (1,700) edits by the COB on the 15th of April, a minimum of one thousand five hundred (1,500) of those edits would be required to be included in the Monthly Deliverable delivered in the last week of the May. The remaining two hundred (200) edits would be required to be included in the Monthly Deliverable to be delivered in the last week of June.

A.2.2.1.1 Streets All information (geometry and attribution) in the CSCIC-provided statewide Streets and Alternate Street Name files, as identified in Exhibit A, Section A.2.1.1 Streets from New York State, must be included with each Monthly Deliverable starting with the first Monthly Deliverable. CSCIC-provided edits, as referenced in Exhibit A, Section A.2.1.5.1 Monthly Street Edits, must be included with each Monthly Deliverable starting with the first Monthly Deliverable. All edits must meet the specifications as described in Exhibit A, Section A.2.3 Data Accuracy and Acceptance. The Contractor must, no later than the end of the first year of the Term of the Contract, incorporate edits from other Contractor sources in the Monthly Deliverable, including, but not limited to:

• The Contractor’s own data collection vehicles; • Partnerships with delivery carriers, utilities, and other commercial firms; • US Postal Service address data sets; • Orthoimagery (usage as mutually agreed upon); • Parcel boundary data; and • Address Points


Contractor-provided edits must meet the specifications as described in Exhibit A, Section A.2.3 Data Accuracy and Acceptance.

A.2.2.1.2 Record of Street Changes Each Monthly Deliverable must include a GIS file denoting all additions, deletions, realignments, and attribute edits that occurred on the corresponding Streets data deliverable. This file will describe these CSCIC and Contractor-provided edits including change type, segment(s) affected, and attribute value(s), before and after the edit.

A.2.2.1.3 Address Points All information (geometry and attribution) in the CSCIC-provided statewide Address Points geodatabase, as identified in Exhibit A, Section A.2.1.2 Address Points from New York State, must be included in each Monthly Deliverable starting with the first Monthly Deliverable. The Contractor will incorporate CSCIC-provided edits as referenced in Exhibit A, Section A.2.1.5.2 Monthly Address Point Edits. All edits must meet the specifications as described in Exhibit A, Section A.2.3 Data Accuracy and Acceptance. CSCIC-provided edits must be included in each Monthly Deliverable starting with the first Monthly Deliverable. The Contractor will incorporate edits from other Contractor sources, including but not limited to:

• Parcel boundary data; • Orthoimagery (usage as mutually agreed upon); and • Partnerships with delivery carriers, utilities, and other commercial firms

Contractor-provided edits must meet the specifications as described in Exhibit A, Section A.2.3 Data Accuracy and Acceptance. Contractor-provided edits must be included in each Monthly Deliverable starting with the first Monthly Deliverable.

A.2.2.1.4 Dispute Resolution of Incomplete Edits In the event that inaccurate corrections or incomplete edits cannot be resolved using the process provided in Exhibit A, Section A.2.3.4, Deliverable Acceptance, or after discussions at the Weekly Status Meeting and the number of such inaccurate corrections or incomplete edits that have not been corrected or completed within two (2) months of the planned delivery date identified in the Production Schedule equals or exceeds two hundred (200), then CSCIC and the Contractor shall schedule a separate meeting, which may take place by conference call, to resolve the inaccurate corrections or incomplete edits. If the separate meeting does not result in the reduction of the number of inaccurate corrections or incomplete edits identified by CSCIC below one hundred (100), then CSCIC and the Contractor will employ the Dispute Resolution process provided in Section 5.16 Dispute Resolution of the Contract.

A.2.2.1.5 Monthly Edit Prioritization In establishing its Production Schedule, the Contractor will give priority to the completion of MMNT edits. To the extent that CSCIC submits edits in excess of one thousand five hundred (1,500) monthly edits per month and such excess edits are to be included in a subsequent Monthly Deliverable, the Contractor will revise its Production Schedule to process the pending edits according to the following priorities:

• any MMNT edits from prior months; • any new MMNT edits submitted by CSCIC; • any general edits (e.g., SNE or those submitted using a Contractor-approved tool) from prior months; • any new general edits

Upon review of the planned delivery dates identified in the Production Schedule, CSCIC may request a re-prioritization of edits that remain to be processed. The Contractor will use commercially reasonable efforts to comply with such a request.

A.2.2.1.6 Deliverable Transition Recognizing that a Bidders’ existing processes for updating street address databases may not initially conform to the requirements specified in this RFP, the Contractor may require a transition period during which the Contractor


modifies its existing processes and, if necessary, increases its capacity in order to meet the Monthly Deliverable requirements specified in Exhibit A, Section A.2.2.1 Monthly Deliverables. Each Bidder shall provide a Transition Plan for Monthly Deliverables in their Proposal. A maximum of twelve (12) months from approval of the Contract by OSC will be allowed for the transition period. For the purposes of preparing the proposed transition plan, the Bidder should assume CSCIC will provide no more than one thousand five hundred (1,500) edits per month. At a minimum, the Transition Plan proposed shall include for each specified month:

• Which Streets file will be delivered: o NYS’ Streets file with the CSCIC-provided edits incorporated; or o Contractor’s Streets file with the CSCIC-provided edits incorporated (must include all

information – geometry and attributes – that exist in NYS’ Streets file as provided in Exhibit A, Section A.2.1.1 Streets from New York State)

• How many of the one thousand five hundred (1,500) CSCIC-provided monthly edits will be delivered; • To the extent that one thousand five hundred (1,500) edits cannot be delivered, the Contractor shall

provide the estimated delivery date of the remaining edits; and • When Contractor-provided edits will begin to be incorporated into the Monthly Deliverable (The

Contractor has up to one year to develop a process to include their edits);

A.2.2.2 Annual Deliverables The first Monthly Deliverable and the first Monthly Deliverable of each succeeding year during the Term of the Contract (Annual Deliverable) must include the Contractor’s standard commercial product of the following data sets.

A.2.2.2.1 Census Geography Census Geography will include the following: Census State, Census County, Census Place, Census MCD, Census Tract, Census Block Group and Census Block. The Census Geography will be vertically integrated, sharing alignments, with all delivered products. The US Census Bureau has replaced Federal Information Processing Standards (FIPS) Codes with Geographic Names Information System (GNIS) Codes. US Census will continue to assign and carry FIPS Codes until the completion of the 2010 Census, this is projected as sometime in 2012. At that point FIPS will be discontinued. US Census recommends converting from FIPS to GNIS as soon as possible. The Bidder shall provide a detailed plan and timeline for their solution to incorporate GNIS codes in their products.

A.2.2.2.2 Neighboring State Streets Street segments from the counties in surrounding states immediately adjacent to New York State with attributes to support network navigation and address geocoding.

A.2.2.3 Final Deliverable Upon delivery and acceptance of the final Monthly Deliverable during the Term of the Contract, CSCIC shall create, on DVD or other mutually agreeable media, a file including the deliverables as identified in Exhibit A, Section A.2.2.1 Monthly Deliverables. Such file shall constitute the Final Deliverable under the Contract. A copy of the DVD or other media shall be delivered to the Contractor within ten (10) business days of the acceptance of the final Monthly Deliverable. As provided in Exhibit A, Section A.3 Data Ownership and Usage, CSCIC shall have a perpetual, fully paid up, enterprise license to use, execute, reproduce, display, perform, adapt, and distribute all the deliverables encompassed within the Final Deliverable to fully effect the general business purposes and mission of CSCIC, including, but not limited to, permitting use by any successor contractors engaged by CSCIC to provide services similar to those provided by Contractor.

A.2.3 Data Accuracy and Acceptance

A.2.3.1 Geometry Accuracy All street segments must fall within the edge of pavement as visualized on NYSDOP orthoimagery. Usage of any alternative source imagery to add new alignments or update existing alignments must be mutually agreed upon. Other data sources such as parcel boundaries or highway construction contracts that have a more recent source


date than existing orthoimagery may be used to add and modify streets. Streets segments that have been confirmed to fall within the visible edge of pavement will be attributed with GEOM_ACC=T. No feature will cross another feature (street, hydrography, boundary, etc) without a node present at the intersection.

A.2.3.2 Attribute Accuracy The Contractor will assume that all CSCIC-provided attribute edits are from the most authoritative source and are correct. If conflicts arise with source information, the Contractor will work with CSCIC to resolve the conflict. CSCIC will consult with county and other local governments as appropriate to resolve the issue. Street Names CSCIC obtains street name attribute edits directly from county and other local governments and state agencies that have the authority and responsibility to assign street names and route numbers. Street name edits from counties and other local governments are often name changes or honorary street names enacted by local ordinances. It is important to note that CSCIC-provided primary street name edits will always be from authoritative sources. These edits must be reflected as the primary street name and not as an alternate street name. Street names and alternate street names can also contain route shield and highway numbers as valid street names (e.g., I 90, US Hwy 20, State Hwy 5, County Rte 55). The following rules will be used for representing route numbers as a street name:

• When a street segment has no other primary street name, the highest order route type will be attributed as the primary street name as in the hierarchy described below unless otherwise directed by CSCIC:

Route Hierarchy Interstate

Federal Highway

State Touring Highway

Unsigned 900 State Routes

State Parkway

County Touring Route

County Road

• When a street segment has no other primary street name but carries multiple routes with the same type,

the lower route number will be used. For example, if both State Hwy 8 and State Hwy 26 are assigned to a street segment, the primary street name will be State Hwy 8.

• All routes not assigned to the primary street name shall be attributed in the Alternate Street Names table. • The following standard naming convention shall be used for all route names. These route names must

exist as either the primary street name or as an alternate street name although other variations may exist as an alternate street name:

Route Number Standardized Street Name Interstate I 90 Federal Highway US HWY 4 State Touring Highway STATE HWY 7 Unsigned 900 State Routes STATE RTE 984A State Parkway STATE PKWY 987G County Touring Route COUNTY RTE 75 County Road COUNTY HWY 55


Route Shield and Highway Numbers (Interstate, Federal, State, County) Route networks are street segments where major connectivity is required, as in the case of the Interstate Highway System or the State Touring Route System. Route shield and highway numbers must maintain a hierarchy to indicate which route takes precedence over others. New York State has the authority to assign route numbers to streets in the State Touring Route System and to redirect any State Touring Route onto other streets. County governments have the authority to create county route networks and assign county road numbers. The following rules will be used for route shield and highway number edits:

• Any addition or change in route type and/or route number is to be attributed to the Shield and HWY_NUM fields.

• When multiple route types are assigned to a street segment, the hierarchy described in the Route Hierarchy table above will be used to attribute the Shield and HWY_NUM fields.

• When multiple routes with the same type but different numbers are assigned to a street segment, the lower route number will be used to attribute the HWY_NUM field. For example, if both State Hwy 8 and State Hwy 26 are assigned to a street segment, the HWY_NUM field will be attributed with 8.

• All street segments regardless of their functional classification values will be assigned Shield and HWY_NUM attributes whenever they are included in a State Touring Route network, County Touring Route network or County Road Numbering system.

Address Ranges The Contractor will assume that all address range edits submitted by CSCIC to be the most authoritative source but may adjust the first and last street segment address ranges to meet Postal Potential ranges. For example, if CSCIC submits authoritative address ranges of 3-11, 13-57, and 59-77, the Contractor may adjust the address range to match the Postal Potential range of 1-11, 13-57, and 59-99. Address ranges shall not contain gaps from street segment to street segment within a municipality unless a null address range is assigned to a non-addressable area (e.g. bridge, park, cemetery). The segments to either side of the street segment with the null addresses should have continuous address ranges. In addition there may be gaps when addressing moves from one jurisdiction to another. Street segments coincident with municipal boundaries may have different address ranges on each side of the street and may also have different address range directions.

A.2.3.3 Boundary Node Accuracy The Contractor will assume that all CSCIC-provided Boundary node edits are from the most authoritative source and are correct. The following rules shall be followed when making any boundary node edits:

• When new municipal boundaries are generated the Contractor shall place a node where street segments cross the new boundary.

• When refinements to existing civil boundaries are made the Contractor shall relocate the existing street segment nodes to the new boundary locations.

A.2.3.4 Deliverable Acceptance Monthly Edits Upon receipt of deliverables, CSCIC shall make a good faith effort to review the deliverables and return any inaccurate corrections or incomplete edits as agreed to in the Production Schedule, which shall be no later than the delivery date for the next Monthly Deliverable. The Contractor must review the returned corrections and edits, identify any disagreements and show reason for non-compliance within five (5) business days of receipt. Once issues are mutually resolved the Contractor shall provide the date of the monthly deliverable that will contain the agreed upon corrections. A Monthly Deliverable will be considered accepted only if the Contractor has delivered 100% (maximum one thousand five hundred [1,500]) of the CSCIC-submitted monthly edits and at least 95% of the completed CSCIC-submitted monthly edits meet the data accuracy standards detailed above. Notwithstanding the foregoing, during the Transition Period, a Monthly Deliverable will be considered accepted only if the Contractor has delivered 100% of the planned and backlogged CSCIC-submitted monthly edits and at least 95% of the completed CSCIC-submitted monthly edits meet the data accuracy standards detailed above.


Geometry Should the Contractor provide its licensed commercial product as the Monthly Deliverable, CSCIC reserves the right to validate the geometry accuracy and completeness of the delivered product using the ANSI Sampling Procedures and Tables for Inspection by Attributes (ANSI/ASQ Z1.4-2003), Single Sampling Plan for Tightened Inspection. The delivered geometry in a Monthly Deliverable must meet the criteria for a 96% acceptance rate in the ANSI standard.

A.3 DATA OWNERSHIP AND USAGE

A.3.1 Ownership Subject to the licensing rights described in Section 3.2.2, below, CSCIC agrees that all of the products, deliverables, software or other materials produced or developed by the Contractor in connection with the Contractor’s performance of the services are the sole property of the Contractor. CSCIC acknowledges and agrees that the Contractor shall have all proprietary rights in and to the deliverables, including, without limitation, all copyrights, patents and trade secret rights.

A.3.2 Usage

A.3.2.1 Usage During Contract Term At a minimum, CSCIC shall have the right to use the Deliverables to fully effect the general business purposes and mission of CSCIC, as described in Section 1.01 of the RFP. In addition, CSCIC shall have the right to provide the Deliverables under this Contract to all New York State governmental entities (including but not limited to State agencies, counties, and other local governments) and all members of the New York State GIS Data Sharing Cooperative (Cooperative), none of which are commercial firms, hereinafter referred to as Authorized Users. Usage by the Authorized Users is subject to the terms and conditions of the Cooperative’s Data Sharing Agreement. A copy of the Data Sharing Agreement is available at: http://www.nysgis.state.ny.us/coordinationprogram/cooperative/agreement.cfm. In the event of a conflict or inconsistency between the terms of this Contract and those of the Cooperative’s Data Sharing Agreement, the terms of this Contract shall prevail. CSCIC may also provide the Deliverables to other contractors providing services to CSCIC in furtherance of the general business purposes and mission of CSCIC, provided, however, that CSCIC shall take all necessary and appropriate steps to ensure that the Deliverables are protected against unauthorized use, copying, reproduction, and marketing by such contractors, their agents, employees, or subcontractors. Further, during any “state of emergency” declared by the Governor of the State of New York, official activation of New York State’s State Emergency Management Office, or as authorized in writing by the Contractor, CSCIC shall have the right to share the Deliverables with State and Federal regulated utilities operating in the State of New York; provided, however, that:

• The use of such data is limited to purposes relating to the “state of emergency” unless otherwise authorized in

writing by the Contractor; • Such utilities agree to return all such data to CSCIC within two (2) weeks after the end of such “state of

emergency” unless otherwise authorized in writing by the Contractor; • CSCIC promptly provides the Contractor with a list of all utilities that are provided with such data; and • Any such sharing of the Deliverables shall be in accordance with the customary terms and conditions of the

Cooperative’s Data Sharing Agreement. Each county will also have the right to share deliverables with the towns, cities, and villages located within its limits. CSCIC may provide the Deliverables under this Contract to the United States Bureau of Census in support of any cooperative program to maintain Census geography.

http://www.nysgis.state.ny.us/coordinationprogram/cooperative/agreement.cfm


A version of the Streets deliverable will be made available to the general public on an annual basis. This version will not include address or routing information, similar to the version CSCIC currently makes available at: http://www.nysgis.state.ny.us/gisdata/inventories/details.cfm?DSID=932.

3.2.2 Usage at Contract Termination At a minimum, CSCIC shall have a perpetual, fully paid up, enterprise license to use, execute, reproduce, display, perform, adapt, and distribute the deliverables encompassed within the Final Deliverable to fully effect the general business purposes and mission of CSCIC, including, but not limited to, permitting use by any successor contractors engaged by CSCIC to provide services similar to those provided by Contractor pursuant to contracts with terms and conditions equivalent to those in this RFP.

http://www.nysgis.state.ny.us/gisdata/inventories/details.cfm?DSID=932


Attachment 1 to Exhibit A -- Monthly Status Report and Production Schedule


Attachment 2 to Exhibit A -- Weekly Status Report and Production Schedule

WEEKLY STATUS REPORT COVER SHEET

WEEKLY STATUS REPORT

CSCIC PROJECT NAME: Streets Data Maintenance

CSCIC PROJECT CODE: CSCIC 2008-01

PERIOD COVERED: <Month-Day-Year> THRU <Month-Day-Year>

DATE PREPARED: <Month-Day-Year>

PREPARED BY: <Name of Consultant that prepared the report>

<Contractor name and address>

PREPARED FOR: NYS Office of Cyber Security & Critical Infrastructure Coordination


WEEKLY STATUS REPORT OUTLINE

I. ACTIVITIES THIS PERIOD A. Summary of Tasks Completed

B. Summary of Tasks in Progress C. Status of CSCIC Street Edits Not Yet Completed:

CSCIC Initial Delivery Date

Total Number of Edit Calls

Scheduled Monthly Deliverable To

Contain the Edits

Actual Monthly Deliverable

Containing the Edits

Date of CSCIC Acceptance or

Rejection Number of Edits in

Dispute

II. PROBLEMS/ISSUES/CONCERNS ENCOUNTERED THIS PERIOD A. Outstanding Problems Affecting Edit Progress and/or Completion

• Identify each in detail, discuss potential impacts, and progress to resolve B. Issues with CSCIC Deliverables and Edits Submitted This Period

• Identify each and discuss; include progress made to resolve issue D. CSCIC Street Edits in Dispute for More Than Six Months (LIST ALL)

CSCIC Initial Delivery Date

Unique-Id CSCIC Edit Call Description Reason for Dispute

Date Resolved

Total Edits Still In Dispute

III. GOALS SCHEDULED FOR COMPLETION NEXT PERIOD A. Edits

• Proposed Work Plan to resolve any disputed street edits • Denote any edit backlog and set goals to eliminate it • Discuss any needed reprioritization of edits

B. Upcoming Deliverable(s) Planned for Submission • Date to be delivered. • Set phone conference schedule for next 3 weeks

C. Miscellaneous


Attachment 3 to Exhibit A – Data Model

Geodatabase Reporter.NET Developed by The Applications Prototype Lab, ESRI® Redlands

Schema Creation Creation Date 2006-3-9 13:21:45 Creator phil3682/AVWORLD

on PHILIPR System Information

Operating System Microsoft Windows NT 5.1.2600.0

.Net Framework 1.1.4322.2032 Reporter 1.0.1743.32643 Geodatabase Workspace Type Personal Geodatabase

Table Of Contents

Domains

Listing of Coded Value and Range Domains. ObjectClasses

Listing of Tables and FeatureClasses. Relationships

Listing of Geodatabase Relatioships. Spatial Reference Listing of Spatial References used by FeatureClasses and FeatureDatasets.

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Domains Domain Name Owner Domain Type dAngle dBdyStyle dCoincident dDirection dJurisdiction dLeftRight dMilePost dNameFlag dNameType dOneWay dShield dStType dTrueFalse dYesNo

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dAngle

Owner Description Domain Type esri:RangeDomain Field Type Double

http://www.esri.com/


Merge Policy Default Value Split Policy Duplicate Domain Members Name Value MinValue -179.99 MaxValue 180

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dBdyStyle

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value National NATIONAL State STATE County COUNTY City CITY Town TOWN Village VILLAGE Indian Reservation INDRES Adirondak or Catskill Park ADKCATPK Federal Non-Recreation FEDNONREC Federal Recreation FEDREC State Non-Recreation NYSNONREC State Recreation NYSREC Airport AIRPORT State Campground NYSCAMP County Recreation COUNTYREC Municipal Recreation MUNIREC Miscellaneous MISC

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dCoincident

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value Hydrography HYDRO Road ROAD Railroad RAIL Not Coincident-Verified NOTCOINC Not Coded <null>

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dDirection


Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value North N South S East E West W Northeast NE Northwest NW Southeast SE Soutwest SW No Directional <null>

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dJurisdiction

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value State Route 01 County Road 02 Town Road 03 Thruway & Berkshire Spur 06 Unknown Roadway Type 09 Parking Lot 10 City Street 12 Village Street 13 Private Road 14 Off Road 15

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dLeftRight

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value Left L Right R Both B Other <null>


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dMilePost

Owner Description Domain Type esri:RangeDomain Field Type Double Merge Policy Default Value Split Policy Default Value Domain Members Name Value MinValue 0 MaxValue 999.9

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dNameFlag

Owner Description Domain Type esri:RangeDomain Field Type Integer Merge Policy Default Value Split Policy Duplicate Domain Members Name Value MinValue 0 MaxValue 15

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dNameType

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value Primary Routing Name R Primary Geocoding Name G Other <null>

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dOneWay

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members


Name Value FromTo FT ToFrom TF Other <null>

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dShield

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value Trans-Canada T Interstate I Interstate Connector IC US Highway U US Highway Business Route UB US Highway Connector UC State Highway S State Highway Connector SC Autoroute A County C Other <null>

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dStType

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value Alley ALY Annex ANX Arcade ARC Avenue AVE Beach BCH Burg BG Burgs BGS Bluff BLF Bluffs BLFS Boulevard BLVD Bend BND Branch BR Bridge BRG Brook BRK Brooks BRKS Bottom BTM Bypass BYP Bayou BYU


Circle CIR Circles CIRS Club CLB Cliff CLF Cliffs CLFS Common CMN Commons CMNS Corner COR Corners CORS Camp CP Cape CPE Crescent CRES Creek CRK Course CRSE Crest CRST Causeway CSWY Court CT Center CTR Centers CTRS Courts CTS Curve CURV Cove CV Coves CVS Canyon CYN Dale DL Dam DM Drive DR Drives DRS Divide DV Estate EST Estates ESTS Expressway EXPY Extension EXT Extensions EXTS Fall FALL Field FLD Fields FLDS Falls FLS Flat FLT Flats FLTS Ford FRD Fords FRDS Forge FRG Forges FRGS Fork FRK Forks FRKS Forest FRST Ferry FRY Fort FT Freeway FWY Garden GDN Gardens GDNS Glen GLN Glens GLNS Green GRN Greens GRNS Grove GRV Groves GRVS Gateway GTWY Harbor HBR


Harbors HBRS Hill HL Hills HLS Hollow HOLW Heights HTS Haven HVN Highway HWY Inlet INLT Island IS Isle ISLE Islands ISS Junction JCT Junctions JCTS Knoll KNL Knolls KNLS Key KY Keys KYS Land LAND Lock LCK Locks LCKS Lodge LDG Loaf LF Light LGT Lights LGTS Lake LK Lakes LKS Lane LN Landing LNDG Loop LOOP Mall MALL Meadow MDW Meadows MDWS Mews MEWS Mill ML Mills MLS Manor MNR Manors MNRS Mission MSN Mount MT Mountain MTN Mountains MTNS Motorway MTWY Neck NCK Overpass OPAS Orchard ORCH Oval OVAL Overlook OVLK Park PARK Pass PASS Path PATH Pike PIKE Parkway PKWY Place PL Plain PLN Plains PLNS Plaza PLZ Pine PNE Pines PNES Prairie PR Port PRT


Ports PRTS Passage PSGE Point PT Points PTS Radial RADL Ramp RAMP Road RD Ridge RDG Ridges RDGS Roads RDS River RIV Ranch RNCH Row ROW Rapid RPD Rapids RPDS Rest RST Route RTE Rue RUE Run RUN Shoal SHL Shoals SHLS Shore SHR Shores SHRS Skyway SKWY Summit SMT Spring SPG Springs SPGS Spur SPUR Square SQ Squares SQS Street ST Station STA Stravenue STRA Stream STRM Streets STS Terrace TER Turnpike TPKE Track TRAK Trace TRCE Trafficway TRFY Trail TRL Trailer TRLR Thruway TRWY Tunnel TUNL Union UN Unions UNS Underpass UPASS Viaduct VIA Vista VIS Ville VL Village VLG Villages VLGS Valley VLY Valleys VLYS View VW Views VWS Walk WALK Wall WALL Way WAY Ways WAYS


Well WL Wells WLS Crossing XING Crossroad XRD Crossroads XRDS

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dTrueFalse

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value True T False F

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dYesNo

Owner Description Domain Type esri:CodedValueDomain Field Type String Merge Policy Default Value Split Policy Duplicate Domain Members Name Value Yes Y No N

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ObjectClasses

ObjectClass Name Type Geometry Subtype AddressPoints SR

AddressPoint

Simple FeatureClass Point -

Boundaries SR

CityTown

Simple FeatureClass Polygon City

Town County

Simple FeatureClass Polygon -

IndianReservation


State


Village



Transportation SR

StreetSegment

Simple FeatureClass Polyline -

AltStreetName_Tbl Table - -

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AddressPoint

Alias AddressPoint Dataset Type FeatureClass FeatureType Simple

Geometry:Point Average Number of Points:0Has M:NoHas Z:NoGrid Size:1000

Field Name Alias Name Model Name Typ e Precn. S ale c Length Nu llOBJECTID OBJECTID OBJECTID OID 0 0 4 No Shape Shape Shape Geometry 0 0 0 Yes DateMod Date 0 0 8 Yes PointID Integer 0 0 4 Yes Lon Integer 0 0 4 Yes Lat Integer 0 0 4 Yes Add_SegID Integer 0 0 4 Yes Rte_SegID Integer 0 0 4 Yes Side String 0 0 1 Yes Loc_Pct Double 0 0 8 Yes Add_Number String 0 0 10 Yes Streetname String 0 0 70 Yes City String 0 0 30 Yes State String 0 0 2 Yes Postal String 0 0 5 Yes Type String 0 0 3 Yes Source String 0 0 30 Yes Subtype Name Default Value Domain Index Name Asc nding e Unique Fields FDO_OBJECTID Yes Ye s OBJECTID GDB_52_Poin D tI Yes No PointID Shape_INDEX Yes No Shape

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AltStreetName_Tbl

Alias AltStreetName_Tbl Dataset Type Table FeatureType

Field Name Alias Name Model Name Typ e Precn. S ale c Length Nu llOBJECTID OBJECTID OBJECTID OID 0 0 4 No StName_ID Integer 0 0 4 Yes Dynamap_ID Integer 0 0 4 Yes Sequence Integer 0 0 4 Yes FullStName String 0 0 68 Yes PreDir PreDir PreDir String 0 0 6 Yes StreetName String 0 0 40 Yes Street_Type Street_Type Street_Type String 0 0 6 Yes Suffix_Cont String 0 0 6 Yes PostD ir PostD ir PostD ir String 0 0 6 Yes Shield Shield Shield String 0 0 6 Yes


Hwy_Num String 0 0 5 Yes Name_Type Name_Type Name_Type String 0 0 6 Yes Name_Flag Name_Flag Name_Flag Intege r 0 0 4 Yes Navigation_Dir Navigation_Dir Navigation_Dir String 0 0 6 Yes Name_Srce String 0 0 30 Yes DateMod Date 0 0 8 Yes Subtype Name Default Value Domain ObjectClass PreDir dDirection Street_Type dStType PostDir dDirection Shield dShield Name_Type dNameType Name_Flag dNameFlag Navigation_Dir dDirection Index Name Asc nding e Unique Fields FDO_OBJECTID Yes Ye s OBJECTID GDB_2_Dynamap_ID Yes No Dynamap_ID

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CityTown

Alias CityTown Dataset Type FeatureClass FeatureType Simple

Geometry:Polygon Average Number of Points:0Has M:NoHas Z:NoGrid Size:1000

Field Name Alias Nam e Model Name Typ e Precn. S ale c Length Nu llOBJECTID OBJECTID OBJECTID OID 0 0 4 No Shape Shape Shape Geometry 0 0 0 Yes DateMod Date 0 0 8 Yes Name String 0 0 40 Yes Pop1990 Integer 0 0 4 Yes Pop2000 Integer 0 0 4 Yes Geocode String 0 0 4 Yes CT_Type Integer 0 0 4 Yes FillTint FillTint FillTint Integer 0 0 4 Yes GNIS_ID Text 0 0 9 Yes Shape_Leng th Shape_Leng h t Shape_Leng th Double 0 0 8 Yes Shape_Area Shape_Area Shape_Area Do ble u 0 0 8 Yes Subtype Name Default Value Domain ObjectClass CT_Type 1 FillTint 1 City (CT Type=1) [Default] _CT_Typ e 1 - FillTint 1 - Town (C _Type=2) TCT_Typ e 2 - FillTint 1 - Index Name Asc nding e Unique Fields FDO_OBJECT D I Yes Yes OBJECTID Shape_INDEX Yes Yes Shape

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County

Alias County Dataset Type FeatureClass FeatureType Simple


Field Name Alias Name Model Name Type Precn. Scale Length Null


OBJECTID OBJECTID OBJECTID OID 0 0 4 No Shape Shape Shape Geometry 0 0 0 Yes DateMod Date 0 0 8 Yes Name String 0 0 40 Yes Abbreviation String 0 0 3 Yes Pop1990 Integer 0 0 4 Yes Pop2000 Integer 0 0 4 Yes SP_Zone String 0 0 11 Yes GNIS_ID Text 0 0 9 Yes Shape_Leng th Shape_Leng h t Shape_Leng th Double 0 0 8 Yes Shape_Area Shape_Area Shape_Area Do ble u 0 0 8 Yes Subtype Name Default Value Domain Index Name Asc nding e Unique Fields FDO_OBJECT D I Yes Yes OBJECTID Shape_INDEX Yes Yes Shape

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IndianReservation

Alias IndianReservation Dataset Type FeatureClass FeatureType Simple


Field Name Alias Nam e Model Name Typ e Precn. S ale c Length Nu llOBJECTID OBJECTID OBJECTID OID 0 0 4 No Shape Shape Shape Geometry 0 0 0 Yes DateMod Date 0 0 8 Yes Name String 0 0 40 Yes Pop1990 Integer 0 0 4 Yes Pop2000 Integer 0 0 4 Yes Geocode String 0 0 4 Yes GNIS_ID Text 0 0 9 Yes Shape_Leng th Shape_Leng h t Shape_Leng th Double 0 0 8 Yes Shape_Area Shape_Area Shape_Area Do ble u 0 0 8 Yes Subtype Name Default Value Domain Index Name Asc nding e Unique Fields FDO_OBJECT D I Yes Yes OBJECTID Shape_INDEX Yes Yes Shape

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State

Alias State Dataset Type FeatureClass FeatureType Simple


Field Name Alias Name Model Name Typ e Precn. S ale c Length Nu llOBJECTID OBJECTID OBJECTID OID 0 0 4 No Shape Shape Shape Geometry 0 0 0 Yes DateMod Date 0 0 8 Yes Name String 0 0 40 Yes Abbreviation String 0 0 2 Yes GNIS_ID Text 0 0 9 Yes Shape_Leng th Shape_Leng h t Shape_Leng th Double 0 0 8 Yes Shape_Area Shape_Area Shape_Area Do ble u 0 0 8 Yes Subtype Name Default Value Domain Index Name Asc nding e Unique Fields FDO_OBJECT D I Yes Yes OBJECTID Shape_INDEX Yes Yes Shape

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StreetSegment

Alias StreetSegment Dataset Type FeatureClass FeatureType Simple

Geometry:Polyline Average Number of Points:0Has M:NoHas Z:NoGrid Size:1000

Field Name Alias Name Model Name Typ e Precn. S ale c Length Nu llOBJECTID OBJECTID OBJECTID OID 0 0 4 No Shape Shape Shape Geometry 0 0 0 Yes DateMod Date 0 0 8 Yes Dynamap_ID Integer 0 0 4 Yes L_F_Add String 0 0 11 Yes L_T_Add String 0 0 11 Yes R_F_Add String 0 0 11 Yes R_T_Add String 0 0 11 Yes FullStName String 0 0 68 Yes PreDir PreDir PreDir String 0 0 6 Yes StreetName String 0 0 40 Yes Street_Type Street_Type Street_Type String 0 0 6 Yes Suffix_Cont String 0 0 6 Yes PostD ir PostD r i PostD ir String 0 0 6 Yes Parity Parity Parity String 0 0 1 Yes Shield Shield Shield String 0 0 6 Yes Hwy_Num String 0 0 5 Yes Name_Type Name_Type Name_Type String 0 0 6 Yes Name_Flag Name_Flag Name_Flag Intege r 0 0 4 Yes Navigation_Dir Navigation_Dir Navigation_Dir String 0 0 6 Yes FCC String 0 0 3 Yes ACC String 0 0 1 Yes Speed Integer 0 0 4 Yes One_Way One_Way One_Way String 0 0 6 Yes F_Zlev Integer 0 0 4 Yes T_Zlev Integer 0 0 4 Yes FT_Dir FT_Dir FT_Dir String 0 0 6 Yes TF_Dir TF_Dir TF_Dir String 0 0 6 Yes FT_Cost Double 0 0 8 Yes TF_Cost Double 0 0 8 Yes Postal_L String 0 0 5 Yes Postal_R String 0 0 5 Yes State00_L String 0 0 2 Yes State00_R String 0 0 2 Yes County00_L String 0 0 3 Yes County00_R String 0 0 3 Yes MCD00_L String 0 0 5 Yes MCD00_R String 0 0 5 Yes Place00_L String 0 0 5 Yes Place00_R String 0 0 5 Yes Geom_Acc String 0 0 1 Yes Geom_Srce String 0 0 30 Yes Name_Srce String 0 0 30 Yes Addr_Srce String 0 0 30 Yes Jurisdiction Jurisdiction Jurisdiction String 0 0 6 Yes StateAbbr String 0 0 2 Yes MCD_L_Current String 0 0 5 Yes MCD_R_Current String 0 0 5 Yes Place_L_Current String 0 0 5 Yes Place_R_Current String 0 0 5 Yes


ZipName_L Text 0 0 28 Yes

ZipName_R Text 0 0 28 Yes

G_PlaceName_L Text 0 0 20 Yes

G_PlaceName_R Text 0 0 20 Yes Shape_Length Shape_Length Shape_Length Do ble u 0 0 8 Yes Subtype Name Default Value Domain ObjectClass PreDir dDirection Street_Type dStType PostDir dDirection Parity dYesNo Shield dShield Name_Type dNameType Name_Flag dNameFlag Navigation_Dir dDirection One_Way dOneWay FT_Dir dDirection TF_Dir dDirection Jurisdiction dJurisdiction Index Name Asc nding e Unique Fields FDO_OBJECTID Yes Ye s OBJECTID GDB_41_Dyn ap_I am Yes No Dynamap_ID GDB_41_FCC Yes No FCC Shape_INDEX Yes No Shape

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Village

Alias Village Dataset Type FeatureClass FeatureType Simple


Field Name Alias Nam e Model Name Typ e Precn. S ale c Length Nu llOBJECTID OBJECTID OBJECTID OID 0 0 4 No Shape Shape Shape Geometry 0 0 0 Yes DateMod Date 0 0 8 Yes Name String 0 0 40 Yes Pop1990 Integer 0 0 4 Yes Pop2000 Integer 0 0 4 Yes Geocode String 0 0 4 Yes FillTint FillTint FillTint Integer 0 0 4 Yes GNIS_ID Text 0 0 9 Yes Shape_Leng th Shape_Leng h t Shape_Leng th Double 0 0 8 Yes Shape_Area Shape_Area Shape_Area Do ble u 0 0 8 Yes Subtype Name Default Value Domain ObjectClass FillTint 1 Index Name Asc nding e Unique Fields FDO_OBJECT D I Yes Yes OBJECTID Shape_INDEX Yes Yes Shape

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These Object Classes and/or information about these Object Classes are available upon request:

Census Boundaries State County MCD


Place Tract Block Group Group

Hydrography Area Linear

Relationships

Name Origin Destination At ibutedtr Co positem Ru sleStreetToAddress StreetSegment AddressPoint No No No

StreetToAltName StreetSegment AltStreetName_Tbl No No No

StreetToAddress

Composite No Cardinality One To Many Notificatio n None Attributed No Origin Destination Obj ctClass e StreetSegment AddressPoint Key Dynama _ID (Origin Primary Key) p PointID (O igin Foreign Key) rLabels ToStreet ToAddress

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StreetToAltName

Composite No Cardinality One To Many Notificatio n None Attributed No Origin Destination Obj ctClass e StreetSegment AltStreetName_Tbl Key Dynama _ID (Origin Primary Key) p Dynamap_ID (Origin Foreign Key) Labels ToStreet ToAltName

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Spatial References

Dimension Minimum Precision AddressPoints X -10000 Y -10000 100000

M 0 100000 Z 0 100000 Coordinate System Description Boundaries X -10000 Y -10000 100000

M 0 100000 Z 0 100000 Coordinate System Description Transportation X -10000 100000


Y -10000 M 0 100000 Z 0 100000 Coordinate System Description

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Geodatabase Reporter.NET is prototype application and is not supported by ESRI. The commands assoicated with this application and the output generated by those commands are not to be used in a production environment. ESRI is not reponsible for errors, ommission or any damages resulting from the use of application and associated output. Use of this application is conditional on the acceptance of this statement.


Attachment 4 to Exhibit A – Data Dictionary Data Dictionary

New York State Data Product Office of Cyber Security & Critical Infrastructure

Coordination Layers Document Description The purpose of this document is to provide basic definition to the GIS data attribute information. This document contains the attribute field names and descriptions for the Office of Cyber Security & Critical Infrastructure Coordination layers in the New York State Data Product (NYSDP); layers are organized alphabetically. In addition, where applicable, field domains are also provided, which can be used in conjunction with the geodatabase design document. Fields where additional information is available in Appendix A are in bold. Note that the FCC attribute exists in many datasets but may not yet be populated. A list representing all possible Feature Class Codes is in Table 2 at the end of this document. Document Last Updated: 03/11/2008 AddressPoint

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECT_ID OID 4 Unique feature record number NA DateMod Date 8 Last modified date NA PointID String 10 ID of address point NA Lon Integer 4 Longitude of Address Point NA Lat Integer 4 Latitude of Address Point NA

Add_SegID Integer 4 Dynamap_ID of street which point is associated NA

Rte_SegID Integer 4 Dynamap_ID of street which point is associated for routing NA

Side String 1 Side of street with which point is associated (R/L) NA

Loc_Pct Double 8 Point location percentage along the associated segment NA

Add_Number String 10 Address number NA Streetname String 40 Address name NA City String 30 Address city NA State String 2 Address state abbreviation NA Postal String 5 Address postal code NA

Type String 3

Address Point Type: P02 = Parcel Centroid P05 = Building Centroid P07 = Street Frontage Point

NA

Source String 30 Address point source NA

FIPS String 15 Concatenation of State, County, MCD and Place FIPS codes where the address point is located

NA

County String 11 County in which address point is located NA


G_PREDIR String 2 Standardized street directional prefix from the Streetname field for use with ESRI geocoding locators

NA

G_PRETYPE String 8

Standardized abbreviation of US highway, State highway, and County Route name from the Streetname field for use with ESRI geocoding locators

NA

G_ST_NAME String 40 Standardized street name from the Streetname field for use with ESRI geocoding locators

NA

G_ST_TYPE String 6 Standardized street type from the Streetname field for use with ESRI geocoding locators

NA

G_SUF_CONT String 6

Standardized street type continuation from the Streetname field for use with ESRI geocoding locators

NA

G_POSTDIR String 2 Standardized street directional suffix from the Streetname field for use with ESRI geocoding locators

NA

AltStreetName_Tbl

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECTID OID 4 Unique feature record number NA StName_ID Integer 4 Blank - Reserved for future use NA

Dynamap_ID Integer 4 Unique record identifier assigned by Tele Atlas NA

Sequence Integer 4 Street sequence number NA FullStName String 68 Full/concatenated street name NA PreDir String 6 Street directional prefix dDirectionStreetName String 40 Street name NA Street_Type String 6 Street type dStType Suffix_Cont String 6 Street type continuation NA Post_Dir String 6 Street directional suffix dDirectionShield String 6 Route shield type dShield

Hwy_Num String 5 Number, number with letter, or blank NA

Name_Type String 6 “R”, “G”, or blank dNameTypeName_Flag Integer 4 Name metadata flag dNameFlag

Navigation_Dir String 6 General travel direction along a divided highway dDirection

Name_Srce String 30 Name data source NA Date_Mod Date 8 Last modified date NA

G_PREDIR String 2 Standardized street directional prefix from the FullStName field for use with ESRI geocoding locators

NA


Field Name

Field Type

Field Length

Field Description

Domain Values

G_PRETYPE String 8

Standardized abbreviation of US highway, State highway, and County Route name from the FullStName field for use with ESRI geocoding locators

NA

G_ST_NAME String 40 Standardized street name from the FullStName field for use with ESRI geocoding locators

NA

G_ST_TYPE String 6 Standardized street type from the FullStName field for use with ESRI geocoding locators

NA

G_SUF_CONT String 6

Standardized street type continuation from the FullStName field for use with ESRI geocoding locators

NA

G_POSTDIR String 2 Standardized street directional suffix from the FullStName field for use with ESRI geocoding locators

NA

CityTown

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECTID OID 4 Unique feature record number NA DateMod Date 8 Last modified date NA Name String 40 City or town name NA Pop1990 Integer 4 Population 1990 NA Pop2000 Integer 4 Population 2000 NA

Geocode String 4

Minor civil division unique geographic code assigned by NYSDOT to facilitate the processing of highway mileage data

NA

MCD_FIPS Text 10 Major Civil Division unique identifier NA

CT_Type Integer 4 City or town type; Subtype values: 1=City; 2=Town NA

FillTint Integer 4 Designated fill tint code (1, 2, 3) to distinguish between adjacent cities NA

DoS_LL Text 7 NYS Dept of State Local Law identification number NA

DoS_LL_Date Date Date NYS Dept of State Local Law was filed NA

GNIS_ID Text 9 Geographic Names unique identifier NA

County

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECTID OID 4 Unique feature record number NA


Field Name

Field Type

Field Length

Field Description

Domain Values

DateMod Date 8 Last modified date NA Name String 40 County Name NA

Abbreviation String 3 3 letter NYSDOT county abbreviation NA

Pop1990 Integer 4 Population 1990 NA Pop2000 Integer 4 Population 2000 NA COUNTY_FIPS Text 5 County unique identifier NA SP_Zone String 11 Sate Plane Zone NA



GNIS_ID Text 9 Geographic Names unique identifier NA Indian Reservation

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECTID OID 4 Unique feature record number NA DateMod Date 8 Last modified date NA Name String 90 Indian Reservation name NA Pop1990 Integer 4 Population 1990 NA Pop2000 Integer 4 Population 2000 NA

Geocode String 4


NA



GNIS_ID Text 9 Geographic Names unique identifier NA State

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECTID OID 4 Unique feature record number NA DateMod Date 8 Last modified date NA Name String 90 State name NA Abbreviation String 2 State alphanumeric abbreviation NA GNIS_ID Text 9 Geographic Names unique identifier NA StreetSegment

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECT_ID OID 4 Unique feature record number NA DateMod Date 8 Last modified date NA


Field Name

Field Type

Field Length

Field Description

Domain Values

DYNAMAP_ID Integer 4 Unique record identifier assigned by Tele Atlas NA

L_F_ADD String 11 Left from address NA L_T_ADD String 11 Left to address NA R_F_ADD String 11 Right from address NA R_T_ADD String 11 Right to address NA FullStName String 68 Full/concatenated street name NA PreDir String 6 Street directional prefix dDirectionStreetName String 40 Street name NA Street_Type String 6 Street type dStType Suffix_Cont String 6 Street type continuation NA Post_Dir String 6 Street directional suffix dDirectionParity String 1 Blank - Reserved for future use dYesNo Shield String 6 Route shield type dShield

Hwy_Num String 5 Number, number with letter, or blank NA

Name_Type String 6 “R”, “G” or blank dNameTypeName_Flag Integer 4 Name metadata flag dNameFlag

Navigation_Dir String 6 General travel direction along a divided highway dDirection

FCC String 3 Feature Class Code NA ACC String 1 Arterial Classification Code NA

Speed Integer 4 Average travel speed in miles per hour NA

One_Way String 6 One way status/direction dOneWay

F_Zlev Integer 4 From node elevation (0 = ground level) NA

T_Zlev Integer 4 To node elevation (0 = ground level) NA

FT_DIR String 6 From_To Direction dDirectionTF_DIR String 6 To_From Direction dDirectionFT_COST Double 8 From-To Impedance in minutes NA TF_COST Double 8 To-From Impedance in minutes NA Postal_L String 5 Postal code (ZIP or FSA) left NA Postal_R String 5 Postal code (ZIP or FSA) right NA State00_L String 2 2000 state/province FIPS left NA State00_R String 2 2000 state/province FIPS right NA County00_L String 3 2000 county FIPS left NA County00_R String 3 2000 county FIPS right NA MCD00_L String 5 2000 FIPS MCD/CCD left NA MCD00_R String 5 2000 FIPS MCD/CCD right NA Place00_L String 5 2000 FIPS Place left NA Place00_R String 5 2000 FIPS Place right NA


Field Name

Field Type

Field Length

Field Description

Domain Values

Geom_Acc String 1 Y/N indicates if the geometry was verified against orthoimagery or other high resolution data source

NA

Geom_Srce String 30 Geometry data source NA Name_Srce String 30 Name data source NA Addr_Srce String 30 Address data source NA

Jurisdiction String 6 Code representing owner of the street NA

StateAbbr String 2 State abbreviation NA

G_PREDIR String 6 Standardized street directional prefix from the FullStName field for use with ESRI geocoding locators

NA

G_PRETYPE String 8

Standardized abbreviation of US highway, State highway, and County Route name from the FullStName field for use with ESRI geocoding locators

NA

G_ST_NAME String 40 Standardized street name from the FullStName field for use with ESRI geocoding locators

NA

G_ST_TYPE String 6 Standardized street type from the FullStName field for use with ESRI geocoding locators

NA

G_SUF_CONT String 6 Standardized street type continuation from the FullStName field for use with ESRI geocoding locators

NA

G_POSTDIR String 6 Standardized street directional suffix from the FullStName field for use with ESRI geocoding locators

NA

ZIPNAME_L String 28 Name of Zip code area left NA ZIPNAME_R String 28 Name of Zip code area right NA G_PlaceName_L String 28 Name of Village, City or Town left NA G_PlaceName_R String 28 Name of Village, City or Town right NA Village

Field Name

Field Type

Field Length

Field Description

Domain Values

OBJECTID OID 4 Unique feature record number NA DateMod Date 8 Last modified date NA Name String 40 Village name NA Pop1990 Integer 4 Population 1990 NA Pop2000 Integer 4 Population 2000 NA


Field Name

Field Type

Field Length

Field Description

Domain Values

Geocode String 4


NA

FillTint Integer 4 Designated fill tints to distinguish between adjacent villages NA



GNIS_ID Text 9 Geographic Names unique identifier

NA

These layers and/or information about these layers are available upon request: Census Boundaries

State County MCD Place Tract Block Group Group

Hydrography Area Linear


STREETSEGMENT and ALTSTREETNAME_TBL ATTRIBUTES ACC: The set of Arterial Classification Codes (ACCs) is a system for categorizing roads according to the level of travel mobility—“circulation”—that they provide in the road network. Mobility refers to the volume of traffic that a stretch of road carries and the length of trip that it serves. Roads at the highest level of mobility serve the greatest number of trips and the longest trips. Conversely, high-mobility roads provide the lowest level of access to property. Low-level, local roads serve that function. This system uses a six-level system, with 6 as the lowest level, 1 as the highest. A list of the Arterial Classification Codes can be found in Table 1 at the end of this document. Ascending through the levels, each step represents an increase in relative importance to routing—an increase in the number and length of routes using the road. In general, a step up also represents an increase in traffic-volume capacity of the road, an increase in vehicle operating speed, and a decrease in travel time. (This system is similar to, but not tied to, the Federal Highway Administration’s Highway Functional Classification System.) The primary use of ACCs is in automated routing. Using ACCs, a routing program calculates the maximum use of the highest-level roads that are appropriate to the scale of the desired trip. This is analogous to the route planning of a typical driver, who uses the highest-speed road available, within the geographic range established by the origin and destination points. The hierarchical nature of the ACC levels allows for more efficient access to relevant routing networks for a given route, and in turn reduces system requirements. The implementation of ACC also supports its usage for map rendering. Using ACC as a cartographic tool allows for a variety of enhancements including:

1. The display of “important” roads. 2. Reduction of line density and visual clutter based on scale of map 3. "Visual Routing" on paper maps (the end user chooses a route based on ACC display) 4. Effective zoom layering in digital applications

FCC: This series of Tele Atlas created Feature Class Codes (FCC) provides more detailed information on the classification of a line segment. A list representing all possible Feature Class Codes is in Table 2 at the end of this document. Addr_Srce: This attribute is an indication of the address resource used to populate that segment. The source used for the address was identified as the best possible value and was chosen by CSCIC with consultation by Tele Atlas. FT_Dir and TF_Dir: These fields convey information about the described direction of travel along roads. This directional is distinct from the existing directional suffix field in that it is not part of the recognized street name. While the navigation direction can correspond to the actual geographic direction of the street, it can and does deviate. For example, I-90 Westbound runs south along Lake Erie. To accommodate single carriageway streets, two fields are used. Values are N,S,E,W,NE,SE,NW,SW.

FT_Cost and TF_Cost: Represents From-To and To-From Impedance in minutes. Cost is calculated by dividing the distance by the speed. Distance is stored in the Shape_Leng field in meters. Average travel speed is stored in the Speed field in miles per hour. Therefore the travel time can be calculated as follows:

Cost = [Shape_leng] / [Speed]

The following formula is used to calculate the time cost in meters per minute which is how the data is stored in these fields:

FT_Cost or TF_Cost = [Shape_leng] * 60/ [Speed] *1609


F_zlev and T_zlev: All segments will contain node elevation (segment-end elevation) values to indicate planar connectivity. The default value is 0, but can range from -8 to 99 as needed. Negative zlev values (except -9, which is reserved for alternate names), represent features which are underground. A feature at zlev=0 is on the surface of the Earth, whether or not it is under a manmade structure. i.e. a bridge spanning a river or street would have a zlev >=1. Multi-level bridges, such as the George Washington Bridge, will be represented by multiple chains. Chains will be duplicated as necessary to maintain traffic flow for each level. Node elevation values will be used to distinguish each layer from the next. These segments will each have unique Dynamap_IDs, not equal to layers above or below them. This will be represented by parallel segments with a separation of .00003 (30 micro degrees, approximately 10 feet.). Geom_Acc: In most cases, when Geom_Acc = T the street segment has a positional accuracy error of less than or equal to 12 meters. If Geom_Acc = F then the street segment was not found on the resource used for re-alignment but has been confirmed by Tele Atlas to exist. This only indicates that its accuracy is unknown. Geom_Srce: This attribute is an indication of the geometry resource used to align that segment. The source used for geometry alignment was identified as the best possible value and was chosen by CSCIC with consultation by Tele Atlas. Name_Flag: Provides additional information about the primary and alternate names along streets. To accommodate the expansion of the name attribute metadata, as well as the fact that a single name can be one or more of these types, NAME_FLAG values are bit-wise “ored” together. Each flag value is represented as a power of two (a unique binary “bit”) and are added together to provide the single integer representation. The following table represents the number applied to each flag. Name_Flag values Flag Value Description Routing 1 Name is most appropriate for statewide or cross-country directions Geocoding 2 The name is appropriate for geocoding applications Local 4 The name is most appropriate for local directions Historical 8 The name was once valid, but has been changed Unused 16 Flag not currently used E911 32 Name was obtained from an E911 source Name_Srce: This attribute is an indication of the street name resource used to populate that segment. The source used for the street name was identified as the best possible value and was chosen by CSCIC with consultation by Tele Atlas. Name Type: There Name_type field indicates whether each name is “R” = interstate routing name, “G” = geocoding name, or <null> = other local street name which is not a geocoding or routing name. One_way: One ways are stored as a two character one-way field named ONE_WAY. “TF” = one-way in the To-From direction; “FT” indicates one-way in the From-To direction; blank indicates that travel is permitted in both directions Sequence: This number represents the number of alternate names a segment has. It will start at 1 and increase to the number of the last alternate name. For example, if the segment has five alternate names then the sequence number will be 1- 5 for that segment id. Shield: There will be a Shield field to indicate what shield should be used to represent each name based on its Primary Highway Name. “T” = Trans-Canada, “I” = Interstate, “IC” = Interstate Connector, “U” = US Highway, “UB” = US Highway Business Route, “UC” = US Highway Connector, “S” = State Highway, “SC” = State Highway Connector, “A” = Autoroute and blank = other.


Jurisdiction: Code representing the ownership of a street segment. Missing codes are codes that have been retired. Description Code State Route 01 County Road 02 Town Road 03 Thruway & Berkshire Spur 06 Unknown Roadway Type 09 Parking Lot 10 City Street 12 Village Street 13 Private Road 14 Off Road 15


Table 1 – Generalized ACC Level Descriptions

Feature Geographic Routing Cities Intersection Guidelines Significance Importance Connected Controls

(95% Rule) (Ranked by Population)

- Limited Access- Divided- 1 & 2 Digit Interstates - Largest / Longest Highways- 4+ Lanes - Connect Major / Largest Cities- 65+ MPH Maximum Speed Limit - "Coast-to-Coast" Origin to Destination- 45+ MPH Minimum Speed Limit - Interstate Commerce / Travel- Dedicated HOV Lanes - Intrastate Commerce / Travel- Allows Truck / Commercial Traffic- May Have Tolls- Non-Commercial POI's

- Limited Access- Divided- 3 Digit Interstates, Freeways, Expressways & Beltways - Long / Large Highways- 4+ Lanes - Beltways / Secondary Freeways- 55+ MPH Maximum Speed Limit - Connect Major Cities- 45+ MPH Minimum Speed Limit - State / Region - Connect Major Suburbs with Metro Core- Dedicated HOV Lanes - Inter-Metropolitan Area - Intrastate Commerce- Allows Truck / Commercial Traffic - Recreational Travel- May Have Tolls- Non-Commercial POI's- Regulated Access / Ramp Controls

- Dedicated Turn Lanes- 2-6 Lanes- 45-55 MPH Maximum Speed Limit - Medium Highways- Numerous Intersections / Maintains Right-of-Way - Intra-State - US/State Highway Network- Scenic Highways - Intra-Metropolitan Area - Connect Minor Cities- Commercial / Non-Commercial POI's - Intrastate Commerce- Allows Truck / Commercial Traffic - Recreational Travel- Dedicated Turn Lanes- Overwhelmingly Commercial

- 2-4 Lanes- 35-45 MPH Maximum Speed Limit- Dedicated Turn Lanes - Local Arteries- Numerous Intersections / Numerous Stops - Retail Commerce- Defined "Grid" - Recreational Activities - Traffic Lights- Commercial / Non-Commercial POI's - Initial Route Origin / Final Destination - Stop Signs- Connects the Non-Limited & Limited Access Network- Restricted Truck / Commercial Traffic- Rarely Dirt- Predominately Mixed Use (Commercial / Residential)

- Rarely Divided- 2 Lanes- 25-35 MPH Maximum Speed Limit- Few Dedicated Turn Lanes - Neighborhood / Community Access- Restricted Truck / Commercial Traffic - Initial Route Origin / Final Destination- Commercial / Non-Commercial POI's- "Every Fourth Street"- Predominately Residential

- Very Rarely Divided- 1-2 Lanes- 15-25 MPH or Unposted Maximum Speed Limit- Highly Restricted Tuck / Commercial Traffic - Intraneighborhood Travel- Lacks Dedicated Turn Lanes - Initial Route Origin / Final Destination - Stop Signs- Rarely has POI's - Uncontrolled- Includes Apartment Developments / Private Drives- Overwhelming Residential- Includes "Business Parks" / Commercial Developments

6 - Residential N/A

AC

C C

lass

Approach

150 - Limited Access

5 - Neighborhood N/A - Stop Signs

3 20,000 - Traffic Lights

4 - City / County - Every town / village

600 - Limited Access

1 - North America / Continental

2


Table 2 – Feature Class Codes (FCC) Descriptions

A ROADS A00 Road, major and minor categories unknown A01 Road, unseparated A02 Road, unseparated, in tunnel A03 Road, unseparated, underpassing A04 Road, unseparated, with rail line in center A05 Road, separated A06 Road, separated, in tunnel A07 Road, separated, underpassing A08 Road, separated, with rail line in center A09 not used

A1 PRIMARY HIGHWAY WITH LIMITED ACCESS

A10 Primary road with limited access, major category A11 Primary road with limited access or interstate hwy, unseparated A12 Primary road with limited access or interstate hwy, unseparated in tunnel A13 Primary road with limited access or interstate hwy, unseparated underpassing A14 Primary road with limited access or interstate hwy, unseparated rail line in center A15 Primary road with limited access or interstate hwy, separated A16 Primary road with limited access or interstate hwy, separated in tunnel A17 Primary road with limited access or interstate hwy, separated underpassing A18 Primary road with limited access or interstate hwy, separated rail line in center A19 not used

A2 PRIMARY ROAD WITHOUT LIMITED ACCESS

A20 Primary Highways without limited access, major category A21 Primary Highways without limited access, unseparated A22 Primary Highways without limited access, unseparated in tunnel A23 Primary Highways without limited access, unseparated underpassing A24 Primary Highways without limited access, unseparated rail line in center A25 Primary Highways without limited access, separated A26 Primary Highways without limited access, separated in tunnel A27 Primary Highways without limited access, separated underpassing A28 Primary Highways without limited access, separated rail line in center A29 not used

A3 SECONDARY and CONNECTING ROAD

A30 Secondary state and county highways, major category A31 Secondary state and county highways, unseparated A32 Secondary state and county highways, unseparated in tunnel A33 Secondary state and county highways, unseparated underpassing A34 Secondary state and county highways, unseparated rail line in center A35 Secondary state and county highways, separated A36 Secondary state and county highways, separated in tunnel A37 Secondary state and county highways, separated underpassing A38 Secondary state and county highways, separated rail line in center A39 not used

A4 LOCAL, NEIGHBORHOOD, and RURAL ROAD

A40 Local, neighborhood, rural road, city street, major category A41 Local, neighborhood, rural road, city street, unseparated


A42 Local, neighborhood, rural road, city street, unseparated in tunnel A43 Local, neighborhood, rural road, city street, unseparated underpassing A44 Local, neighborhood, rural road, city street, unseparated rail line in center A45 Local, neighborhood, rural road, city street, separated A46 Local, neighborhood, rural road, city street, separated in tunnel A47 Local, neighborhood, rural road, city street, separated underpassing A48 Local, neighborhood, rural road, city street, separated rail line in center A49 not used

A5 VEHICULAR TRAIL

A50 Vehicular (4WD) Trail, major category A51 Vehicular (4WD) Trail, unseparated A52 Vehicular (4WD) Trail, unseparated in tunnel A53 Vehicular (4WD) Trail, unseparated underpassing A54-A59

not used

A6 ROADS with SPECIAL CHARACTERISTICS

A60 At-grade ramp or connecting road not associated with a limited access highway A61 Cul-de-Sac, the closed end of a road that forms a loop or turn around A62 Traffic Circle, the portion of a road or intersection of roads forming a roundabout A63 Access Ramp, the portion of a road that forms a cloverleaf or limited access interchange A64 Service Road, provides access to businesses and rest areas A65 Ferry Crossing, Passenger, Seasonal A66 Ferry Crossing, Passenger, Year-Round A67 not used A68 Ferry Crossing, Vehicular, Seasonal A69 Ferry Crossing, Vehicular, Year-Round

A7 ROAD as OTHER THOROUGHFARE

A70 Other Thoroughfare major category A71 Walkway, for pedestrians, usually unnamed A72 Stairway, stepped road for pedestrians, usually unnamed A73 Alley, road for service vehicles, located at the rear of buildings A74 Driveway, usually privately owned and unnamed A75 Road, parking area


APPENDIX A - STANDARD CLAUSES FOR NYS CONTRACTS

APPENDIX A

STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS

PLEASE RETAIN THIS DOCUMENT FOR FUTURE REFERENCE.

STANDARD CLAUSES FOR NYS CONTRACTS APPENDIX A


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


1 June, 2006

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 $50,000 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended, exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid, effective or binding upon the State until it has been approved by the State Comptroller and filed in his office. Comptroller's approval of contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law Section 163.6.a). 4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of this contract for the benefit of such employees as are required to be covered by the provisions of the Workers' Compensation Law. 5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions, the Contractor will not discriminate against any employee or applicant for employment because of race, creed, color, sex, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, or marital status. Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration or repair of any public building or public work or for the manufacture, sale or distribution of materials, equipment or supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that neither it nor its subcontractors shall, by reason of race, creed, color, disability, sex, or national origin: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a building service contract as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof, Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex or disability: (a) discriminate in hiring against any New York State

citizen who is qualified and available to perform the work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract. Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239 as well as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent violation. 6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes, except as otherwise provided in the Labor Law and as set forth in prevailing wage and supplement schedules issued by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by the State Labor Department in accordance with the Labor Law. 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


2 June, 2006

other person or entity authorized to conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the Records during normal business hours at an office of the Contractor within the State of New York or, if no such office is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute") provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to discovery in any pending or future litigation. 11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. (a) 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 and 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


3 June, 2006

undeliverable. Contractor must promptly notify the State, in writing, of each and every change of address to which service of process can be made. Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after service hereunder is complete in which to respond. 18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all wood products to be used under this contract award will be in accordance with, but not limited to, the specifications and provisions of 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 Fax: 518-292-5884 http://www.empire.state.ny.us

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

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

The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable, Contractors certify that whenever the total bid amount is greater than $1 million: (a) The Contractor has made reasonable efforts to encourage the participation of New York State Business Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on this project, and has retained the documentation of these efforts to be provided upon request to the State; (b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended; (c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of employment opportunities on this project through listing any such positions with the Job Service Division of the New York State Department of Labor, or providing such notification in such manner as is consistent with existing collective bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said documentation to the State upon request; and (d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a result of this contract and agrees to cooperate with the State in these efforts. 21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their principal place of business is located in a country, nation, province, state or political subdivision that penalizes New York State vendors, and if the goods or services they offer will be substantially produced or performed outside New York State, the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming, Louisiana and Hawaii. Contact NYS Department of Economic Development for a current list of jurisdictions subject to this provision. 22. 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.


APPENDIX B - NYS ETHICS COMPLIANCE

ETHICS COMPLIANCE SECTIONS 73(5) AND 74(2) and (3)

OF NEW YORK STATE PUBLIC OFFICERS LAW

§ 73(5) 5. No statewide elected official, state officer or employee, individual whose name has been submitted by the governor to the Senate for confirmation to become a state officer or employee, member of the legislature or legislative employee shall, directly or indirectly, solicit, accept or receive any gift having a value of seventy-five dollars or more whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise, or in any other form, under circumstances in which could reasonably be inferred that the gift was intended to influence him, or could reasonably be expected to influence him, in the performance of his official duties or was intended as a reward for any official action on his part. No person shall, directly or indirectly, offer or make any such gift to a statewide elected official, or any state officer or employee, member of the legislature or legislative employee under such circumstances. Certain applicable subdivisions of §74 2. Rule with respect to conflict of interest. No officer or employee of a state agency, member of the legislature or legislative employee should have any interest , financial or otherwise, direct or indirect, or engage in any business or transaction or professional activity or incur any obligation of any nature, which is in substantial conflict with the proper discharge of his duties in the public interest. 3. Standards. ..... d. No officer or employee of a state agency, member of the legislature or legislative employee should use or attempt to use his official position to secure unwarranted privileges or exemptions for himself or others. ..... f. An officer or employee of a state agency, member of the legislature or legislative employee should not by his conduct give reasonable basis for the impression that any person can improperly influence him or unduly enjoy his favor in the performance of his official duties, or that he is affected by the kinship, rank, position or influence of any party or person. ..... h. An officer or employee of a state agency, member of the legislature or legislative employee should endeavor to pursue a course of conduct which will not raise suspicion among the public that he is likely to be engaged in acts that are in violation of his trust.


I

APPENDIX C - ADMINISTRATIVE PROPOSAL

ADMINISTRATIVE PROPOSAL

INSTRUCTIONS FOR COMPLETION The Bidder’s Administrative Proposal must contain completed and executed copies of all of the documents contained in this Appendix C, including the following:

APPENDIX C – ADMINISTRATIVE PROPOSAL APPENDIX - PART CONTENTS Appendix C – Part 1 Bidder’s Formal Offer Letter Appendix C – Part 2 Bidder Qualification Certification Appendix C – Part 3 Bidder Responsibility Certification and Questionnaire Appendix C – Part 4 Conflicts of Interest Appendix C – Part 5 Contractor’s Requirement under Article 15-A Appendix C – Part 6 Equal Employment Opportunity (EEO) Obligations –

Certification of Compliance


AAPPPPEENNDDIIXX CC -- PPAARRTT 11–– FFOORRMMAALL OOFFFFEERR LLEETTTTEERR

[TO BE COMPLETED ON BIDDER’S LETTERHEAD]

Date New York State Office of Cyber Security and Critical Infrastructure Coordination Attn: _________________ 30 South Pearl Street Albany, NY 12207-3425

RE: New York Streets Data Maintenance Program

RFP No. CSCIC2008-01 – Firm Offer to the State of New York Dear ______________: [INSERT BIDDER NAME] hereby submits this firm and binding offer to the State of New York in response to New York State Request for Proposals (RFP) No. CSCIC2008-01, issued by the Office of Cyber Security and Critical Infrastructure Coordination entitled “New York Streets Data Maintenance Program.” The Proposal hereby submitted meets or exceeds all terms, conditions, and requirements set forth in the above-referenced RFP. The Bidder substantially accepts the terms and conditions as set forth in RFP, Section 5, and Standard New York State Appendix A and agrees to enter into a contractual agreement that shall substantially contain the terms and conditions set forth therein. This formal offer will remain firm and non-revocable for a minimum period of 365 days from the Proposal Due Date and Time as set forth in RFP, § 2.01. In the event that a contract is not approved by the Office of the State Comptroller (OSC) within the 365 day period, this offer shall remain firm and binding beyond the 365 day period and until a contract is approved by OSC, unless [INSERT BIDDER NAME] delivers to the CSCIC written notice of withdrawal of its Proposal. [INSERT BIDDER NAME]’s complete offer is set forth as follows:

Administrative Proposal: Total of six (6) hard copy volumes, with one (1) electronic copy in (disk, CD Rom) format.

Technical and Management Proposal: Total of six (6) hard copy volumes, with one (1) electronic copy in (disk, CD Rom) format.

Financial Proposal: Total of six (6) hard copy volumes, with one (1) electronic copy in (disk, CD Rom) format.

The undersigned affirms and swears s/he has the legal authority and capacity to sign and make this offer on behalf of, [INSERT BIDDER NAME] and possesses the legal authority and capacity to act on behalf of Bidder to execute a contract with the State of New York. The undersigned affirms and swears as to the truth and veracity of all documents included in this offer.

_________________________________________ Signature

[INSERT BIDDER NAME] [INSERT TITLE]

[INSERT COMPANY NAME]

Formal Offer Letter in Response to RFP No. CSCIC2008-01 Page 1 of 2


CORPORATE OR PARTNERSHIP ACKNOWLEDGMENT

STATE OF } : SS.: COUNTY OF } On the ____ day of ___________________in the year 2008, 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 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 the purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name and on behalf of said partnership as the act and deed of said partnership.

________________________________________________ Notary Public

Formal Offer Letter in Response to RFP No. CSCIC2008-01 Page 2 of 2


AAPPPPEENNDDIIXX CC -- PPAARRTT 22 -- BBIIDDDDEERR QQUUAALLIIFFIICCAATTIIOONN CCEERRTTIIFFIICCAATTIIOONN An authorized representative of the Bidder who is legally authorized to certify the information requested in the name of and on behalf of the Bidder is required to complete and sign the Bidder Qualification Certification and provide all requested information. Bidder’s authorized representative must certify as to the truth of the representations made by signing where indicated, below. CERTIFICATION: The Bidder: (1) recognizes that the following representations are submitted for the express purpose of assisting the State of New York in making a determination to award a contract; (2) acknowledges and agrees by submitting the Certification, that the State may in its discretion, verify the truth and accuracy of all statements made herein; (3) certifies that the information submitted in this certification and any attached documentation is true, accurate and complete.

Appendix C – Part 2 – Bidder Qualification Certification Name of Business

Entity Submitting Bid:

Entity’s Legal Form: Corporation Partnership Sole Proprietorship Other __________________ No. RFP Ref. RFP Requirement:

1. § 1.03 (1)a At time of bid submission, Bidder represents and warrants that it: is is not

a duly organized, validly existing, and authorized to do business in NYS. If not authorized to do business in NYS, at time of bid, the Bidder represents and warrants that it:

has has not

filed an application for authority to do business in NYS with the NYS Secretary of State. No. RFP Ref. RFP Requirement:

2.

§ 1.03 (1)b

At time of bid submission, Bidder represents and warrants that it: has has not

completed, obtained or performed all registrations, filings, approvals, authorizations, consents and examinations required by any governmental authority for the provision of Services and that it will, in order to perform said Services during the term of the Contract, comply with any requirements imposed upon it by law.

No. RFP Ref. RFP Requirement: 3. § 1.03 (2)a

At time of bid submission, Bidder represents and warrants that it:

possesses does not possess

adequate staffing resources, financial resources and organization to perform the type, magnitude and quality of work specified herein the RFP.

BIDDER QUALIFICATION CERTIFICATION - Proposal in Response to RFP No. CSCIC2008-01 1 OF 2


Appendix C – Part 2 – Bidder Qualification Certification – Continued

No. RFP Ref. RFP Requirement: 4. § 1.03 (2)b

At time of bid submission, Bidder represents and warrants that it:

possesses does not possess

at least five (5) years softcopy photogrammetry production experience and at least three (3) years digital orthoimagery production experience performing the type, magnitude, and quality of work sought by this RFP for the benefit of its customers.

(Note: Evidence that Bidder has maintained an organization capable of performing the work, in continuous operation for at least the indicated minimum periods is to be provided in the Bidder’s Organizational Overview section of the Bidder’s Technical and Management Proposal.)

_________________________________________

Signature [INSERT BIDDER NAME]

[INSERT TITLE] [INSERT COMPANY NAME]

CORPORATE, PARTNERSHIP OR INDIVIDUAL ACKNOWLEDGMENT STATE OF } : SS.: COUNTY OF } On the ____ day of ___________________in the year 2008 , 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 the purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name and on behalf of said partnership as the act and deed of said partnership.

________________________________________________ Notary Public

BIDDER QUALIFICATION CERTIFICATION - Proposal in Response to RFP No. CSCIC2008-01 2 OF 2


AAPPPPEENNDDIIXX CC -- PPAARRTT 33 –– BBIIDDDDEERR RREESSPPOONNSSIIBBIILLIITTYY CCEERRTTIIFFIICCAATTIIOONN AANNDD QQUUEESSTTIIOONNNNAAIIRREE Bidder is required to submit an executed Bidder Responsibility Certification and Questionnaire in the form set forth in this Part 3. The certification must be executed by a person duly authorized to bind the Bidder. The executed certification must be included as part of the Bidder’s Administrative Proposal at this section. Any subcontractors included in the proposal with its subcontract expected to equal or exceed $100,000 over the life of the contract must complete the Questionnaire. These completed forms must be submitted as part of the Bidder’s Administrative Proposal at this section.


BBIIDDDDEERR RREESSPPOONNSSIIBBIILLIITTYY CCEERRTTIIFFIICCAATTIIOONN AANNDD QQUUEESSTTIIOONNNNAAIIRREE An authorized representative of the Bidder who is legally authorized to certify the information requested in the name of and on behalf of the Bidder is required to complete and sign the Bidder Responsibility Certification and Questionnaire and provide all requested information. Bidder’s authorized representative must certify as to the truth of the representations made by signing where indicated, below.

BIDDER PROFILE Business Entity Name: Form of Legal Entity: Corporation Partnership Sole Proprietorship Other _____________

State of Incorporation: Main Office Address:

Federal Tax ID #: NYS Certifications, if

any: Minority-Owned

Business Enterprise (MBE)

Women-Owned Business Enterprise (WBE)

Small Business Enterprise (SBE)

Name and Title of Contact Person

Authorized to represent Bidder in all matters

relating to the submission of this

Proposal and regarding execution of a resulting

contract, if any:

Address:

Phone: Fax:

e-mail:

BIDDER RESPONSIBILITY CERTIFICATION AND QUESTIONNAIRE - Proposal in Response RFP No. CSCIC2008-01- PAGE 1 OF 6


NEW YORK STATE NON-COLLUSIVE BIDDING CERTIFICATION

In accordance with New York State Finance Law, Section 139-d, by submitting its bid, each bidder and each person signing on behalf of any other bidder certifies, and in the case of a joint bid, each party thereto certifies as to its own organization, under penalty of perjury, that to the best of his or her knowledge and belief: 1. The prices of this bid have been arrived at independently without collusion, consultation, communication, or

agreement for the purpose of restricting competition, as to any matter relating to such prices with any other bidder or with any competitor;

2. Unless otherwise required by law, the prices which have been quoted in this bid have not been knowingly disclosed by the bidder and will not knowingly be disclosed by the bidder prior to opening, directly or indirectly, to any other bidder or to any competitor; and

3. No attempt has been made or will be made by the bidder to induce any other person, partnership or corporation

to submit or not to submit a bid for the purpose of restricting competition.

NONDISCRIMINATION IN EMPLOYMENT IN NORTHERN IRELAND [MACBRIDE FAIR EMPLOYMENT PRINCIPLES]

In accordance with New York State Finance Law, Section 165, the Contractor/Bidder certifies that it or any individual or legal entity in which the Contractor/Bidder holds a 10% or greater ownership interest, or any individual or legal entity that holds a 10% or greater ownership interest in the Contractor/Bidder, either (answer yes or no to one or both of the following, as applicable):

(1) have business operations in Northern Ireland, No _____ Yes ______, and if yes:

(2) shall take lawful steps in good faith to conduct any business operations in Northern Ireland in accordance with the MacBride Fair Employment Principles relating to nondiscrimination in employment and freedom of workplace opportunity regarding such operations in Northern Ireland, and shall permit independent monitoring of compliance with such principles.

No _____ Yes ______

BIDDER RESPONSIBILITY CERTIFICATION AND QUESTIONNAIRE - RFP No. CSCIC2008-01 PAGE 2 OF 6


BIDDER RESPONSIBILITY QUESTIONNAIRE

INSTRUCTIONS: Complete this form answering every question. A “Yes” answer to any question requires a written explanation on a separate sheet of paper. A. GENERAL QUESTIONS: QUESTION: YES NO 1. Within the past five years, has your firm, any affiliate, any owner or officer or major stockholder (5% or

more shares) or any person involved in the bidding or contracting process with New York State been the subject of any of the following:

(a) a judgment or conviction for any business-related conduct constituting a crime under local, state or federal law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing, or bid collusion?

(b) a criminal investigation or indictment for any business-related conduct constituting a crime under local, state or federal law including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing, or bid collusion?

(c) an unsatisfied judgment, injunction or lien obtained by a government agency including, but not limited to, judgments based on taxes owed and fines and penalties assessed by any government agency?

(d) an investigation for a civil violation by any local, state or federal agency? (e) a grant of immunity for any business-related conduct constituting a crime under local, state or federal law

including, but not limited to, fraud, extortion, bribery, racketeering, price-fixing, or bid collusion?

(f) a local, state, or federal suspension, debarment or termination from the contract process? (g) a local, state or federal contract suspension or termination for cause prior to the completion of the term of

a contract?

(h) a local, state, or federal denial of award for non-responsibility? (i) an agreement to a voluntary exclusion from bidding/contracting? (j) an administrative proceeding or civil action seeking specific performance or restitution in connection

with any local, state or federal contract?

(k) a State Labor Law violation deemed willful? (l) a firm-related bankruptcy proceeding? (m) a sanction imposed as a result of judicial or administrative proceedings relative to any business or

professional license?

(n) a denial, de-certification, revocation or forfeiture of Women’s Business Enterprise, Minority Business Enterprise or Disadvantaged Business Enterprise status?

(o) a rejection of a bid on a local, state or federal contract for failure to meet statutory affirmative action or M/WBE requirements on a previously held contract?

(p) a federal, state or local government enforcement determination involving a violation of federal, state or local government laws?

(q) an occupational Safety and Health Act citation and Notification of Penalty containing a violation classified as serious or willful?

(r) a rejection of a bid on a New York State contract for failure to comply with the MacBride Fair Employment Principles?

(s) a citation, notice, violation order, pending administrative hearing or proceeding or determination for violations of: federal, state or local health laws, rules or regulations; unemployment insurance or workers’ compensation coverage or claim requirements; ERISA (Employee Retirement Income Security Act); Federal, state or local human rights laws; Federal or state security laws; Federal INS and Alienage laws; and/or Sherman Act or other federal anti-trust laws

(t) agency complaints or reports of contract deviation received within the past two years for contract performance issues arising out of a contract with any federal, state or local agency?



(u) disputes within the past two years concerning your company’s failure to provide commodities or services

to political subdivisions within the past two years pursuant to centralized contracts with the New York State Office of General Services?

QUESTION: YES NO 2. Employee Identification No., Social Security No., Name, DBA, trade name or abbreviation previously or

currently used by your business that is different from that listed on page one of this submission?

QUESTION: YES NO 3. If Bidder is a foreign corporation, has a certificate of authority been obtained to do business in this State? B. STATE CONTRACTING INFORMATION QUESTION: YES NO 1. Does Bidder hold any current or prior contracts with any New York State department, agency, board, office

or commission? If yes, please list the name of the agency(ies) which signed the contract(s), as well as the contract name(s) and number(s). (If necessary, insert additional rows or attach additional pages)

State Entity Contract Name Contract No. QUESTION: YES NO 2. Are any of the current owners, shareholders, partners or directors of your company, or any employee

involved in the bid submission or project team currently employed, or have they ever been employed, by any agency, department, office, public authority or public benefit corporation of the State of New York? If yes, provide names, dates of employment, and name of department or employer in the space below:

QUESTION: YES NO 3. Is any current state employee OR employee of the agency(ies) or department(s) issuing this Procurement

under active discussion and consideration for employment with your firm or company? If yes, provide names, dates of employment, and name of department or employer in the space below:

C. PROCUREMENT LOBBYING LAW INFORMATION I. Disclosure Of Prior Contract Terminations And Findings Of Non-Responsibility Under The Procurement Lobbying

Law: QUESTION: YES NO 1. Has any “governmental entity” as defined in State Finance Law sections 139-j and 139-k terminated a

procurement contract with Bidder due to the intentional provision of false or incomplete information required by such laws and/or the failure to comply with the requirements of State Finance Law section 139-j(3) relating to permissible contacts? (If yes, fill in the following information. (If necessary, insert additional rows or attach additional pages)

Governmental Entity Contract Name Contract No. QUESTION: YES NO 2. Has any “governmental entity,” as defined in State Finance Law sections 139-j and 139-k, made a finding in

the last four years that the Bidder was not responsible?



QUESTION: YES NO 3. If yes, was the basis for any such finding(s) the intentional provision of false or incomplete information

required by State Finance Law sections 139-j and 139-k, and/or the failure to comply with the requirements of State Finance Law section 139-j(3) relating to permissible contacts? If yes, please provide details regarding each finding of non-responsibility below. (If necessary, insert additional rows or attach additional pages)

Governmental Entity Details (including the basis and exact date of each finding)

II. Affirmation relating to procedures governing permissible contacts: (Bidder Must Check Applicable Box) Bidder:

affirms does not affirm that it understands and has to date and agrees hereinafter to comply with CSCIC’s procedures relating to permissible contacts

pursuant to §139-j(3) of the New York State Finance Law. III. Certification relating to Prior Non-Responsibility Determinations: (Bidder Must Check Applicable Box) Bidder:

certifies does not certify that all information provided to CSCIC in accordance with §139-j and/or §139-k of the New York State Finance Law is complete,

true and accurate. CERTIFICATION: The undersigned: (1) recognizes that this Bidder Certification is submitted for the express purpose of assisting the State of New York in making a determination to award a contract; (2) acknowledges and agrees by submitting the Bidder Certification, that the State may in its discretion, by means which it may choose, verify the truth and accuracy of all statements made herein; (3) acknowledges that intentional submission of false or misleading information may constitute a felony under Penal Law Section 210.40 or a misdemeanor under Penal Law Section 210.35 or Section 210.45, and may also be punishable by a fine of up to $10,000 or imprisonment of up to five years under 18 USC Section 1001; and (4) certifies that the information submitted in this questionnaire and any attached pages is true, accurate and complete. ________________________________________________ Signature of Bidder’s Authorized Representative ____________________________________ Printed Name _________________________________ Title _________________________________ Bidder’s Name



CORPORATE, PARTNERSHIP OR INDIVIDUAL ACKNOWLEDGMENT

STATE OF } : SS.: COUNTY OF } On the ____ day of ___________________in the year 2008, 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 ____________________________________,



________________________________________________ Notary Public



AAPPPPEENNDDIIXX CC -- PPAARRTT 44 –– CCOONNFFLLIICCTTSS OOFF IINNTTEERREESSTT Bidder affirmatively states that at the time of bid submission, Bidder knows of no factors existing at time of bid submission or which are anticipated to arise thereafter, which would constitute a potential conflict of interest in successfully meeting the contractual obligations set forth herein, including but not limited to:

(1) No potential for conflict of interest on the part of the Bidder due to prior, current, or proposed

contracts, engagements, or affiliations; and

(2) No potential conflicts in the sequence or timing of the proposed award under this RFP relative to the timeframe for service delivery, or personnel or financial resource commitments of Bidder to other projects.

_________________________________________

Signature [INSERT BIDDER NAME]

[INSERT TITLE] [INSERT COMPANY NAME]

CORPORATE, PARTNERSHIP OR INDIVIDUAL ACKNOWLEDGMENT

STATE OF } : SS.: COUNTY OF } On the ____ day of ___________________in the year 2008, 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 ____________________________________,



_____________________________________________ Notary Public

CONFLICT OF INTEREST DISCLOSURE - RFP No. CSCIC2008-01 1 OF 1


AAPPPPEENNDDIIXX CC -- PPAARRTT 55 –– CCOONNTTRRAACCTTOORR’’SS RREEQQUUIIRREEMMEENNTT UUNNDDEERR AARRTTIICCLLEE 1155--AA

Article 15-A of the Executive Law has been in existence since July 1988. This legislation, in conjunction with Executive Order 21, which was promulgated in August of 1983, provides specific rules, regulations and procedures for minority and women business participation in certain State contracts.

NYS agencies are required to implement the provisions of Article 15-A for all of its contracts (1) in excess of $25,000 for labor, services, supplies, equipment, materials, or any combination of the foregoing and (2) for contracts in excess of $l00,000 for real property renovation and construction. For purposes of this contract, the agency hereby establishes a goal of 1% for minority business enterprises (MBE) participation and a goal of 1% for women owned business enterprises (WBE) participation.

In order to be awarded a contract with NYS, every Bidder must comply with the requirements, rules and regulations outlined in Article l5-A. POLICY AND PROVISIONS

It is the policy of the State of New York to promote equality of economic opportunity for minority and women-owned business enterprises (M/WBE’s) in State contracting. In order to comply with the State’s objectives, the Contractor shall use “good faith efforts” to provide meaningful participation by M/WBE subcontractors or suppliers in the performance of this contract.

For the purpose of determining a Contractor's good faith effort to comply with the requirements of Article 15-A or to be entitled to a waiver therefrom, the contracting agency shall consider:

(a) Whether the Contractor has advertised in general circulation media, trade association publications, minority-focus and

women-focus media. In such event, (i) whether or not certified minority or women-owned businesses which have been solicited by the

Contractor exhibited interest in submitting proposals for a particular project by attending a pre-bid conference; and

(ii) whether certified businesses which have been solicited by the Contractor have responded in a timely

fashion to the Contractor's solicitations for timely competitive bid quotations prior to the CSCIC's bid date; and

(b) Whether there has been written notification to appropriate certified businesses that appear in the directory of certified

businesses prepared pursuant to paragraph (f) of subdivision three of section three hundred eleven of this article; and (c) Whether the Contractor can reasonably structure the amount of work to be performed under subcontracts in order to increase the likelihood of participation by certified businesses.

All questions regarding compliance to Article 15-A requirements or copies of the forms should be addressed to

CSCIC. The telephone numbers and addresses for New York State Department of Economic Development are as follows:

New York State Department of Economic Development 633 3rd Avenue New York, New York 10017 Telephone: (212) 803-2200

New York State Department of Economic Development Division of Minority & Women's Business Development One Commerce Plaza Albany, New York 12245 Telephone: (518) 474-0375

Bidder Acknowledgement: __________________________________________ Authorized Signature


AAPPPPEENNDDIIXX CC -- PPAARRTT 66 –– Equal Employment Opportunity (EEO) Obligations –Certification of Compliance

The Bidder must demonstrate its compliance with the Equal Employment Opportunity Act (EEO) by affirming to CSCIC that the Bidder’s EEO Policy Statement contains, at a minimum, language consistent with the provisions of numbered paragraphs 1, 2, 3, and 4. Failure to comply with this provision will result in rejection of the Bidder’s proposal.

1. The Bidder shall not discriminate against any employee or applicant for employment because of race, creed, color, national origin, gender, age, disability, or marital status; shall undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal employment opportunities without discrimination; and shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on the Contract.

2. The Bidder shall state in all solicitations or advertisements for employees that, in the performance of the Contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of race, creed, color, national origin, gender, age, disability, or marital status.

3. The Bidder shall not do business with any employment agency, labor union, or authorized representative of workers with which it has a collective bargaining or other agreement or understanding, that discriminates on the basis of race, creed, color, national origin, gender, age, disability, or marital status.

4. At the request of CSCIC, the Bidder agrees to require any 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, gender, age, disability, or marital status and that such union of representative will affirmatively cooperate in the implementation of the Bidder’s obligation under the Contract.

The undersigned states that the affirmative statements contained in this certification are true, accurate and complete.

Date:____________ _________________________________________ Signature

[INSERT OFFEROR NAME] [INSERT TITLE]

[INSERT COMPANY NAME]

CORPORATE OR PARTNERSHIP ACKNOWLEDGMENT STATE OF } : SS.: COUNTY OF } On the ____ day of ___________________in the year 2008, 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 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 the purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name and on behalf of said partnership as the act and deed of said partnership.

________________________________________________ Notary Public


APPENDIX D - TECHNICAL AND MANAGEMENT PROPOSAL

TECHNICAL AND MANAGEMENT PROPOSAL INSTRUCTIONS FOR SUBMISSION

* DO NOT INCLUDE ANY PRICE SCHEDULE DATA

IN THE TECHNICAL AND MANAGEMENT PROPOSAL * The Technical and Management Proposal must contain the following information, in the order enumerated below:

APPENDIX D – TECHNICAL AND MANAGEMENT PROPOSAL APPENDIX - PART CONTENTS Appendix D – Part 1 Organizational Overview Appendix D – Part 2 Project Overview Appendix D – Part 3 Bidder’s Street and Address Data Maintenance Feeds Appendix D – Part 4 Project References


AAPPPPEENNDDIIXX DD -- PPAARRTT 11 -- OORRGGAANNIIZZAATTIIOONNAALL OOVVEERRVVIIEEWW At this part of its Technical and Management Proposal, Bidder must provide an Organizational Overview that contains the information solicited of Bidders as set forth below and in the form contained in RFP, Appendix D, Part 1 and which addresses all of the following requirements: The Organizational Overview should consist of a succinct statement outlining corporate/business history including a general mission statement, the overall number of employees per position, and other general information about the Bidder. (This includes the Bidder acting as a Prime Contractor as well as any and all subcontractors.) Specifically, the Bidder must:

• Provide evidence that it has maintained an organization capable of providing the experienced technical

personnel sought by this RFP for the Lot or Lots for which the Bidder is submitting a Proposal.

• Provide evidence that the Bidder has been in continuous operation for at least the past three (3) years.

• Provide a statement of previous experience that qualifies the Bidder to provide the required Services

Note: The Contractor must assume responsibility as Prime Contractor for this engagement. Subcontracting, consistent with the provision of Section 5.31 of the RFP, Subcontractors, some or all of the proposed Services is only allowed subject to the prior written approval of the State. Proposed subcontractors must be identified at time the Proposal is submitted.

In addition, the Bidder must specify its agreement to and, as applicable, explain how it will:

a. Maintain an adequate organizational structure and resources sufficient to discharge its contractual responsibilities including monitoring and completing of deliverables, invoicing, billing and personnel issues.

b. Provide for normal day-to-day communications and maintain a Contractor Project Manager as necessary for proper communication and performance of all contractual responsibilities. Bidder shall supply all contact information for its Contractor Sole Point of Contact.

c. Attend meetings as needed relating to Contract performance. e. Cooperate fully with State’s staff, its advisors and any other contractors and/or subcontractors who

may be engaged by the State relative to the Services. f. Recognize and agree that any and all work performed outside the scope of the Services as set forth

in the Contract, shall be deemed by the State to be gratuitous and not subject to charge by the successful contractor.

The Bidder must complete the following forms:


Bidder and Subcontractors Firm Name: 1.a. Bidder Name and Address:

Name, Title, Telephone, Email of Contact: Address of Contact (if different from 1.a)

1.b. Subcontractor Name and Address:

Name, Title, Telephone, Email of Contact: Address of Contact (if different from 1.b)

1.c. Subcontractor Name and Address:

Name, Title, Telephone, Email of Contact: Address of Contact (if different from 1.c)

1.d. Subcontractor Name and Address:

Name, Title, Telephone, Email of Contact: Address of Contact (if different from 1.d)

1.e. Subcontractor Name and Address:

Name, Title, Telephone, Email of Contact: Address of Contact (if different from 1.e)

1.f. Subcontractor Name and Address:

Name, Title, Telephone, Email of Contact: Address of Contact (if different from 1.f)

[USE ADDITIONAL SHEETS IF NECESSARY]]


APPENDIX D - PART 2 - PROJECT OVERVIEW At this part of its Technical and Management Proposal, Bidder must provide a Project Overview that contains the information solicited of Bidders as set forth below and as contained in RFP, Appendix D, Part 2. In general, the Bidder should follow the structure of Exhibit A when describing in providing the Project Overview. The Bidder must describe how it will deliver the Services described in Exhibit A “Project Scope of Work” of this RFP, including its Transition Plan, as described in Exhibit A, Section A.2.2.1.6. The Project Overview must also include the Bidder’s representation that it will meet all the Monthly Deliverable requirements specified in Exhibit A no later than twelve (12) months after the Contract is approved by OSC.


AAPPPPEENNDDIIXX DD -- PPAARRTT 33 –– Bidder’s Street and Address Data Maintenance Feeds At this part of its Technical and Management Proposal, Bidder must identify their street and address data maintenance updates from sources not provided by CSCIC that they will incorporate into the data maintenance process and provide a Project Plan for incorporating these data updates. The Project Plan must include information on the frequency of incorporation of each data feed, how the quality of a data source will be verified, and the conflict resolution process with CSCIC-provided source information that contains the information solicited of Bidders as set forth below and as contained in RFP, Appendix D, Part 3.

Street and Address Data Maintenance Feed

Frequency of Incorporation

Project Plan to Incorporate the Data Maintenance Feed into the Data Maintenance Process


AAPPPPEENNDDIIXX DD -- PPAARRTT 44 ––PPRROOJJEECCTT RREEFFEERREENNCCEESS At this part of its Technical and Management Proposal, Bidder must provide information which demonstrates that Bidder can successfully undertake and support the timely availability of consultants with the expertise as set forth in this RFP, in the form contained in RFP, Appendix D, Part 3. The Bidder must provide a minimum of three (3) (maximum of five [5]) prior and/or current project experience(s) (hereinafter “Project Reference”) in the specified format provided in the following Project References Table. Project References should reflect the Bidder’s ability to provide services of similar scope, size, and complexity to that as set forth herein this RFP. The Bidder shall be solely responsible for providing contact names and phone numbers for each Project Reference that is readily available to be contacted by the State. CSCIC will use the references as described in RFP, Section 3.02. (Bidders are reminded that CSCIC intends to perform reference checks of those Project References provided by the Bidder between ________________, 2008, and _____________, 2008. As previously stated Bidders shall be solely responsible for providing contact names and phone numbers for each Project Reference that is readily available to be contacted by the State.)


Project References Table

Using the table below, provide at least three (3), but no more than five (5) current or former client references within the last three (3) years. Firm Name: Project Name and Location Nature of Responsibility Project Reference and

Contact Information [telephone, e-mail]

Start and End Date (month/year)

Project Value/ Firm’s Value ($)


APPENDIX E - FINANCIAL PROPOSAL

FINANCIAL PROPOSAL

INSTRUCTIONS FOR SUBMISSION

**DO NOT INCLUDE ANY NARRATIVE DESCRIPTION OF THE SERVICES IN THE FINANCIAL PROPOSAL **

The Bidder must respond to all sections of the Financial Proposal in the format specified in, Appendix E, Part 1. The Financial Proposal must be furnished in hard copy, with electronic version in Microsoft Word and Excel, as applicable. In the event of a discrepancy between the hard copy and electronic copy, the hard copy shall govern. The Financial Proposal must contain the following information, in the order enumerated below:

APPENDIX E – FINANCIAL PROPOSAL APPENDIX - PART CONTENTS Appendix E - Part 1 Monthly Deliverables


APPENDIX E - PART 1 – MONTHLY DELIVERABLES

INSTRUCTIONS FOR COMPLETION The Bidder is required to supply values for the Monthly Deliverables and any applicable Cost Decrease Factors for Monthly Deliverables. Monthly Deliverable: _ $_________________ Cost Decrease Factor(s)* for edits in excess of 1,500 per month: $_________________ *The Cost Decrease Factor(s) may be expressed as a single rate for each edit in excess of 1,500 (e.g., $X per edit) or as a scale providing different rates based on edit volumes (e.g., $X per edit for each edit from 1,501 to 2,000; $Y per edit for each edit from 2,001 to 2,500; and $Z per edit for each edit in excess of 2,500).


APPENDIX F - EXTRANEOUS TERMS

Extraneous Terms (Instructions for Documentation and Submission)

In compliance with RFP, Section 2.10, Extraneous Terms, the Bidder shall identify all extraneous terms in the attached table, and shall adhere to all instructions below for preparing the table. INSTRUCTIONS: RFP Location The Bidder must insert the exact RFP part, section, and paragraph number of the requirement(s)

that the Bidder is proposing to modify. The Bidder must insert the nature of the proposed change and its impact on the Requirement.

Description The Bidder must insert a concise description of the requirement(s) that the Bidder is proposing

to modify. Type The Bidder must insert a one-word description, of the type of modification permitted by RFP, §

2.11 to each of the requirement(s) that the Bidder is proposing to modify, selected from the following list:

□ Additional; □ Supplemental; □ “Or Equal”; or □ Alternative

Proposed Extraneous Term:

The one-word description must be followed by proposed alternate wording of the requirement(s). Next, the comments should describe the impact of the alternate wording. Then, the comments should explain how the modification(s) would benefit the State and provide best value. If there is a corresponding impact on the Administrative, Technical or Financial Proposal(s), that impact should be explained here with reference(s) to the parts of the volume(s) that are affected. However, DO NOT INCLUDE ANY COST DATA IN THE ADMINISTRATIVE OR TECHNICAL AND MANAGEMENT PROPOSALS.

The Bidder must use the table format described above and detailed on the following page to summarize its Proposals for extraneous terms. The Bidder may refer to more voluminous narratives, tables, figures and appendices that more fully describe aspects of the extraneous terms, provided that the additional material is fully cross-referenced by this required table.


EXTRANEOUS TERM(S)

No. RFP Volume, Part and Section Reference

RFP Requirement Proposed Extraneous Term Type

1. . □ Additional; □ Supplemental; □ “Or Equal”; or □ Alternative

Proposed Extraneous Term(s): Impact on RFP Requirement:

I


APPENDIX G - QUESTION TEMPLATE

RRRFFFPPP QQQuuueeessstttiiiooonnnsss TTTeeemmmppplllaaattteee

Question Number

RFP Page #

Section and Sub-Section

Reference Question


APPENDIX H - CONSULANT DISCLOSURE FORMS As stated in Section 5.36 of the RFP, Contractor agrees that it will comply with the reporting requirements of section 163(4)(g) of the State Finance Law throughout the term of the Contract. Within ten (10) days of the notice of award, the Contractor shall file with CSCIC for inclusion in the procurement record a report using Form A attached hereto, or such successor forms as are identified by CSCIC. In addition, the Contractor shall file with CSCIC, the Department of Civil Service, and the Office of the State Comptroller reports using Form B provided attached hereto, or such successor forms as are identified by CSCIC. Contractor shall include in any subcontract authorized under this Contract a provision requiring the subcontractor to comply with the reporting requirements of section 163(4)(g) of the State Finance Law in the same manner as the Contractor. Contractor acknowledges that the reports filed pursuant to Section 5.36 of the RFP shall be available for public inspection and copying under the provisions of FOIL.


OSC Use Only:

Reporting Code:

Category Code:

Date Contract Approved:

FORM A

State Consultant Services - Contractor's Planned Employment From Contract Start Date Through The End Of The Contract Term

State Agency Name: Agency Code: Contractor Name: Contract Number: Contract Start Date: / / Contract End Date: / /

Employment Category Number of Employees

Number of hours to be worked

Amount Payable Under the Contract

Total this page 0 0 $ 0.00 Grand Total Name of person who prepared this report: Title: Phone #: Preparer's Signature: Date Prepared: / / (Use additional pages, if necessary) Page of


FORM B

OSC Use Only: Reporting Code: Category Code:

State Consultant Services

Contractor’s Annual Employment Report Report Period: April 1, to March 31,

Contracting State Agency Name: Agency Code: Contract Number: Contract Term: / / to / / Contractor Name: Contractor Address: Description of Services Being Provided:

Scope of Contract (Choose one that best fits): Analysis Evaluation Research Training Data Processing Computer Programming Other IT consulting Engineering Architect Services Surveying Environmental Services Health Services Mental Health Services Accounting Auditing Paralegal Legal Other Consulting

Employment Category Number of Employees Number of Hours Worked Amount Payable Under the Contract

Total this page

Grand Total

Name of person who prepared this report: Preparer's Signature:___________________________________________________ Title: Phone #: Date Prepared: / /

Use additional pages if necessary) Page of


APPENDIX I - COMPLIANCE WITH NYS WORKERS’ COMPENSATION LAW Sections 57 and 220 of the New York State Workers’ Compensation Law (WCL) provide that CSCIC shall not enter into any contract unless proof of workers’ compensation and disability benefits insurance coverage is produced. Prior to entering into a contract with CSCIC, successful bidders will be required to verify for CSCIC, on forms authorized by the New York State Workers’ Compensation Board, the fact that they are properly insured or are otherwise in compliance with the insurance provisions of the WCL. The forms to be used to show compliance with the WCL are listed below. CSCIC would prefer bidders to submit this insurance verification information with their bids if possible. Any questions relating to either workers’ compensation or disability benefits coverage should be directed to the State of New York Workers’ Compensation Board, Bureau of Compliance at (518)486-6307. Failure to provide verification of either of these types of insurance coverage by the time winning bids have been selected and contracts are ready to be executed will be grounds for disqualification of an otherwise successful bid. Workers’ Compensation Requirements under WCL § 57: To comply with coverage provisions of the WCL, businesses must:

A) be legally exempt from obtaining workers’ compensation insurance coverage; or B) obtain such coverage from insurance carriers; or C) be self-insured or participate in an authorized group self-insurance plan.

To verify your compliance with the above, CSCIC must receive one of the following properly executed Workers’ Compensation Board forms from the Contractor, the Contractor’s insurance carrier or the Workers’ Compensation Board, depending on which form is appropriate:

1) WC/DB-100, Affidavit For New York Entities And Any Out Of State Entities With No Employees, That New York State Workers’ Compensation And/Or Disability Benefits Insurance Coverage Is Not Required; OR

2) WC/DB-101, Affidavit That An OUT-OF-STATE OR FOREIGN EMPLOYER Working in New York

State Does Not Require Specific New York State Workers’ Compensation And/Or Disability Benefits Insurance Coverage; OR

3) C-105.2, Certificate of Workers’ Compensation Insurance. (The Contractor’s insurance carrier will send

this form to CSCIC upon the Contractor’s request.) Please Note: The State Insurance Fund provides its own version of this form, the U-26.3; OR

SI-12, Certificate of Workers’ Compensation Self-Insurance (the Workers’ Compensation Board’s Self Insurance Office will send this form to CSCIC upon the Contractor’s request), OR GSI – Certificate of Participation in Workers’ Compensation Group Self-Insurance (the Contractor’s Group Self-Insurance Administrator will send this form to CSCIC upon the Contractor’s request). Disability Benefits Requirements under WCL § 220(8): To comply with the coverage provisions of the Disability Benefits Law, businesses must:

A) be legally exempt from obtaining disability benefits insurance coverage; OR B) obtain such coverage from insurance carriers; OR C) be self-insured.

To verify your compliance with the above, CSCIC must receive one of the following properly executed Workers’ Compensation Board forms from the Contractor, the Contractor’s insurance carrier or the Workers’ Compensation Board, depending on which form is appropriate:

1) WC/DB-100, Affidavit For New York Entities And Any Out Of State Entities With No Employees, That New York State Workers’ Compensation And/Or Disability Benefits Insurance Coverage Is Not Required; OR


2) WC/DB-101, Affidavit That An OUT-OF-STATE OR FOREIGN EMPLOYER Working in New York State Does Not Require Specific New York State Workers’ Compensation And/Or Disability Benefits Insurance Coverage; OR

Either the DB-120.1 – Certificate of Disability Benefits Insurance OR the DB-820/829 Certificate/Cancellation of Insurance (the Contractor’s insurance carrier will send one of these forms to CSCIC upon the Contractor’s request); OR

4) DB-155 – Certificate of Disability Benefits Self-Insurance (the Workers’ Compensation Board’s Self Insurance Office will send this form to CSCIC upon request the Contractor’s request).


APPENDIX J - LISTING OF OTHER RFP MATERIALS The following materials are provided separate from this document, but are considered part of the RFP package. Potential bidders are responsible for making sure they have obtained the latest versions of each file. Additional files, including any amendments and/or addendums to the RFP, will be made available separately from this document.

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