APPENDIX E– 2 by liuhongmei

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									          APPENDIX E– 2



   PROJECT DEFINITION TEMPLATE


OPEB ACTUARIAL VALUATIONS
Group79037 – Award #00939                                                                                 Page #
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                            PROJECT DEFINITION TEMPLATE
       OPEB ACTUARIAL VALUATIONS
                                                DESIGNATED CONTACTS:
 [INSERT CONTACT NAME, TITLE]                                        [INSERT CONTACT NAME, TITLE]
 Telephone No. (XXX) XXX-XXXX                                        Telephone No. (XXX) XXX-XXXX
 E-mail address [                                      ]             E-mail address: [                             ]

1.0 GUIDELINES ON PROCUREMENT LOBBYING
    1.1 Procurement Lobbying Termination:
    The User Agency reserves the right to terminate this contract in the event it is found that the
    certification filed by the Offerer/Bidder in accordance with New York State Finance Law §139-k was
    intentionally false or intentionally incomplete. Upon such finding, the User Agency may exercise its
    termination right by providing written notification to the Offerer/Bidder in accordance with the written
    notification terms of this contract.

     1.2 Summary Of Policy And Prohibitions On Procurement Lobbying:
     Pursuant to State Finance Law §§139-j and 139-k, this mini-bid solicitation includes and imposes
     certain restrictions on communications between a User Agency and an Offerer during the mini bid
     procurement process. An Offerer/bidder is restricted from making contacts from the earliest notice of
     intent to solicit offers through the mini bid process [normally when a Project Definition is released]
     through the final award and approval of the Contract by the User Agency and, if applicable, the Office
     of the State Comptroller. The restricted period shall limit contact to other than designated staff unless
     it is a contact that is included among certain statutory exceptions set forth in State Finance Law §139-j
     (3) (a). Designated staff shall be identified on the first page of this mini bid solicitation [Project
     Definition]. User Agency employees are also required to obtain certain information when contacted
     during the restricted period and make a determination of the responsibility of the Offerer/bidder
     pursuant to these two statutes. Certain findings of non-responsibility can result in rejection for contract
     award and in the event of two findings within a four (4) year period; the Offerer/bidder is debarred
     from obtaining governmental Procurement Contracts.

     Further information about these requirements can be found
         http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html.

     1.3 Designated Contacts:
     Contacts are defined as any oral, written or electronic communication with a governmental entity under
     circumstances where a reasonable person would infer that the communication was intended to influence
     the governmental procurement. See State Finance Law §139-j (1) (c). Each User Agency must designate
     person(s) to be contacted by the Offerers during the mini bid process. The Law does not specify the
     number of contact persons that can be designated. Best practices dictate that the contact person(s) have as
     much technical knowledge regarding the procurement as possible.

     The OGS Website Advisory Council on Procurement Lobbying Frequently Asked Questions (link found
     above) will provide guidance in identifying the person(s) to serve as designated contacts during the mini
     bid procurement process.




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2.0        M/WBE UTILIZATION GOAL REQUIREMENTS FOR OGS CENTRALIZED
           CONTRACTS
      In accordance with Article 15-A of the New York State Executive Law and regulations adopted
      pursuant thereto, OGS has established minimum goals for participation of New York State Certified
      minority and women-owned business enterprises for this back drop contract of two (2)% for Minority-
      owned Business Enterprises (MBE) participation and three (3)% for Women-owned Business
      Enterprises (WBE) participation. ___(INSERT AGENCY NAME) is required to implement the
      provisions of Article 15-A and 5 NYCRR Part 143 for all State contracts (1) in excess of $25,000 for
      labor, services, equipment, materials, or any combination of the foregoing and (2) in excess of
      $100,000 for real property renovations and construction. For purposes of this procurement, ________
      (INSERT AGENCY NAME) hereby abides by the minimum goals set forth or establishes increased
      total goals of ___% for Minority-owned Business Enterprises (MBE) participation and ___% for
      Women-owned Business Enterprises (WBE) participation. As a condition of this procurement, the
      contractor and ________ (INSERT AGENCY NAME) agree to be bound by the provisions of §316
      of Article 15-A of the New York State Executive Law regarding enforcement. Contractors must
      document “good faith efforts” to provide meaningful participation by New York State Certified
      M/WBE subcontractors or suppliers in the performance of this contract. For guidance on how
      ________ (INSERT AGENCY NAME) will determine a contractor’s “good faith efforts,” refer to 5
      NYCRR §143.8. Additionally, Offerors must refer to Appendix C located at the following website:
      http://www.ogs.state.ny.us/purchase/bidcreation.asp for a list of forms that must be provided in order
      to fully comply with Article 15-A of the New York State Executive Law and 5 NYCRR Part 143.

3.0 EMPLOYEE INFORMATION REQUIRED TO BE REPORTED BY CERTAIN
CONSULTANT
     CONTRACTORS AND SERVICE CONTRACTORS:
    Chapter 10 of the Laws of 2006 amended the Civil Service Law and the State Finance Law, relative to
    maintaining certain information concerning contract employees working under State agency service
    and consulting contracts. State agency consultant contracts are defined as “contracts entered into by a
    state agency for analysis, evaluation, research, training, data processing, computer programming,
    engineering, environmental, health and mental health services, accounting, auditing, paralegal, legal,
    or similar services” (“covered consultant contract” or “covered consultant services”). The
    amendments also require that certain contract employee information be provided to the state agency
    awarding such contracts, the Office of the State Comptroller (OSC), and the Department of Civil
    Service (CS). The effective date of these amendments is June 19, 2006.

      To meet these requirements, the Contractor agrees to complete:
      Form A - Contractor’s Planned Employment Form, if required. The State agency using the consultant
      services is required to submit Form A to the Office of the State Comptroller. Note: The agency may
      choose, in its discretion, to require the vendor’s assistance in completing Form A. Agency solicitation
      documents should advise vendors accordingly.
      Form B - Contractor’s Annual Employment Report. Form B must be submitted each year the
      agreement is in effect, to capture the contractor’s historical information detailing actual employment
      information for the most recently concluded state fiscal year (April 1 through March 31) and ever year
      thereafter. Throughout the term of the Contract by May 15 th of each year the contractor agrees to
      report the following information to the State agency awarding the Contract, or if the Contractor has
      provided contract employees pursuant to an OGS centralized contract, such report must be made to the
      State agency purchasing from such Contract. For each covered consultant contract in effect at any
      time between the preceding April 1st through March 31st fiscal year or for the period of time such
      contract was in effect during such prior State fiscal year contractor reports the:
      1.   Total number of employees employed to provide the consultant services, for each employment
           category.
      2.   Total number of hours worked by such employees for each employment category.


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     3.   Total compensation paid to all employees that performed consultant services under such Contract
          for each employment category.*
     *NOTE: The information to be reported is applicable only to those employees who are directly
     providing services or directly performing covered consultant services. However, such information
     shall also be provided relative to employees of Subcontractors who perform any part of the service
     contract or any part of the covered consultant contract. This information does not have to be collected
     and reported in circumstances where there is ancillary involvement of an employee in a clerical,
     support, organizational or other administrative capacity.
     Contractor agrees to simultaneously report such information to the Department of Civil Service and the
     Office of the State Comptroller as designated below:
       Department of Civil Service                          Office of the State Comptroller - Bureau of
                                                            Contracts
       Alfred E. Smith Office Building                      110 State St., 11th Floor
       Albany, NY 12239                                     Albany, New York 12236
       Attn: Counsel’s Office                               Attn: Consultant Reporting
     Contractor is advised herein and understands that this information is available for public inspection and
     copying pursuant to §87 of the New York State Public Officers Law (Freedom of Information Law).
     In the event individual employee names or social security numbers are set forth on a document, the
     State agency making such disclosure is obligated to redact both the name and social security number
     prior to disclosure.
     Further information is available in the Office of the State Comptroller’s Bulletin G-226
     http://www.osc.state.ny.us/agencies/gbull/g-226.htm regarding the Contractor Consultant Law requirements
     and report Forms A and B.

4.0 GENERAL OVERVIEW

     4.1 Introduction
         The issuing agency is [INSERT USER AGENCY NAME]. This Project Definition outlines the
         terms and conditions, and all applicable information required for submitting a bid. Bidders should
         pay strict attention to the bid submission date and time to prevent disqualification. To ensure
         compliance with these mini-bid requirements and to prevent possible disqualification, bidders should
         follow the format and instructions contained in this document.

          In this section you should provide a list of benefits whose liability are to be evaluated. This may
          require authorized users to inventory benefits before issuing the RFP to ensure the list is
          complete. The benefits may include:
                            o Health
                            o Dental
                            o Vision
                            o Life insurance
                            o Other

          Describe the type of plan (e.g. single employer; agent multiple-employer plan; multiple-
          employer cost sharing plan.)

          Describe the size and composition of the plan assets and the provisions of the trust, noting
          whether or not the trust is an irrevocable trust.




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          Describe the benefits and coverage levels that are provided, including historical changes that
          have taken place to modify these amounts. Benefits and coverage levels may be included in
          written plans or may be the result of on-going practices. Benefits may be formal or informal,
          established by charter, employment agreement or simply by governing board action. The
          description of the benefits should include:
          o details on whether each plan is self-insured or fully insured;
          o an indication of what the benefits of the age 65 and over group are and how they
               coordinate with Medicare;
          o current eligibility criteria for post retirement group insurance;
          o cost subsidy policies after retirement; and
          o required employee contribution rates (if any).

          Identify the beneficiaries (e.g. all employees, certain unions, retirees, etc.) and describe the
          demographics of the beneficiaries (e.g. population size, number of covered lives, breakdown of
          active, retiree members, and number of Medicare eligible beneficiaries).

          Identify what information about the covered population will be readily available to the
          contractor for analysis. Having this information available may impact the cost of the study.

          Provide copies of any current documentation describing the plan such as:
          o a copy of the plan or a summary plan description;
          o state or local laws;
          o union contracts;
          o employee manual;
          o trust document; and
          o other documents such as communication of plan benefits with members.

          Identify the appropriate contact people that will be able to provide information about the plan.

     4.2 Scope of Services
         Before completing this section be sure to decide what the scope of services should be. We have
         attempted to differentiate between what is considered “required” and what is considered
         “optional”; however, depending on local circumstances an “optional” item may be critically
         important. Regardless of what items you decide to include, the Scope of Services should be
         explained as clearly and specifically as possible.

          The successful contractor will be expected to analyze the data to asses any inconsistencies and
          make recommendations for enhancing data quality.

          The successful contractor will be expected to prepare an actuarial valuation following GASB45
          standards.

          A. The following are listed as Required Items to be included in the Project Definition:
             o the actuarial present value of total projected benefit;
             o actuarial accrued liability;
             o actuarial value of assets;
             o the unfunded actuarial accrued liability;
             o normal cost;
             o annual required contribution of the employer(s) as a level of dollar amount and as a
                 level percentage of covered payroll; and
             o net OPEB obligation (for employer disclosure under GASB statement 45 if necessary).




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          B. The following are listed as Optional Items that may or may not be included in the Project
             Definition. Remember, depending on local circumstances, an item that is included in this
             “optional” list may be critically important to the successful actuarial valuation.
             o prepare a cash flow analysis (the “pay-as-you-go-cost”);
             o prepare a sensitivity analysis showing the impact of alternative assumptions on the
                 employer‟s contributions;
             o if a trust has not been established, determine the difference in liability based upon the
                 investment returns under a diversified portfolio;
             o provide recommendations on managing the OPEB liability, this may include changes
                 in plan design;
             o review and update plan documents and design and make recommendations as to
                 formalizing informal plans; and
             o list any other non-routine services.

     4.3 Expected Deliverables
         A contract with the [INSERT AGENCY NAME] will include, but may not be limited to the
         following deliverables:

          The issuing agency should include all the items the bidder will be expected to provide in order to
          consider this engagement complete (e.g. describe the overall approach of the valuation,
          including objectives, scope of work to be performed, and methodologies to be used; describe
          how the firm will work with the authorized user to determine the proper actuarial cost method;
          actuarial asset valuation method; amortization method, and key assumptions to the valuation
          based on relevant accounting and actuarial standard; will the actuary be required to make a
          formal presentation to a governing body? etc.)

     4.4 Project Objectives
         To perform an actuarial valuation of the [INCLUDE NAME OF GOVERNMENTAL ENTITY]
         “other post employment benefits” (OPEB) liability in accordance with the requirements set forth
         in GASB 45.

          The issuing agency should also briefly describe the goals or course of actions associated with
          this engagement.

     4.5 Inquiries/Issuing Office:
         All inquiries concerning the BID will be addressed to:
                  AGENCY CONTACT NAME
                  TITLE
                  AGENCY NAME / DIVISION
                  ADDRESS ONE (INCLUDE ROOM NUMBER)
                  ADDRESS TWO
                  CITY, STATE ZIP CODE
                  TELEPHONE NUMBER
                   FACSIMILE NUMBER
                   EMAIL ADDRESS

          All questions should be submitted in writing, citing the particular Project Definition section and
          paragraph number. Prospective contractors should note that all clarifications and exceptions
          including those relating to the terms and conditions of the contract are to be resolved prior to the
          award of a proposal. Answers to all questions of a substantive nature will be given to all
          contractors in the form of a formal addendum which will be annexed to and become part of the
          ensuing contract.




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     4.6 Key Events/ Dates

           Project Definition Release                     INSERT DATE BID IS ACTUALLY RELEASED
           Closing Date for Inquiries (OPTIONAL)
           Pre-Bid Conference (OPTIONAL)
           Bid                                                                                            11:00 A.M.
           Times Estimates/Goals:
           Bid Evaluation and Selection
           Contract Award

     4.7 Pre Bid Conferences
         If the issuing agency feels there may be a need to further explain the components of the project
         to the potential bidders, then the user agency may choose to have a pre-bid conference.
         However, this is optional. If you do choose to hold a pre-bid conference, use the language
         below in your project definition.

          Attendance at the Pre-Bid Conference is strongly encouraged (or mandatory).

          The [INSERT USER AGENCY NAME] will require all persons to sign an attendance roster. The
          pre-bid conference will be held on (INSERT DATE, TIME, and LOCATION). Notify the Agency
          Contact Person identified in Section 1.5 Inquiries/Issuing Office of your plans to attend this
          conference one week prior to the scheduled date.

          Specific questions concerning this mini bid shall be submitted in writing (facsimile will be
          accepted) to the agency contact person identified in Section 1.5 Inquiries/Issuing Office,
          approximately five days prior to the conference so they can be answered at the conference.
          Although questions will be permitted at the conference, answers may be deferred and included in
          the formal summary of the pre-bid conference; a copy of which will be sent to each contractor
          participating in this mini bid process.

     4.8 Staff Qualifications and Experience
         Following are the minimum required qualifications the firms applying for this category shall
         possess to perform this service:
         o The contractor’s staff should have familiarity with pension related fiduciary duties as
             specified in The Employee Retirement Income Security Acts of 1974 (ERISA).
         o The contractor’s staff should be able to perform legal fiduciary duties.
         o The ensuing actuary report for GASB 45 should be able to withstand the scrutiny of an audit.

          The person certifying any actuarial valuations performed under this contract shall be an Enrolled
          Actuary in accordance with guidelines established by the Employee Retirement Income Security
          Acts of 1974 (ERISA).

     4.9 Interview Schedule for Staff Assigned to this Engagement
          As part of this mini bid process, the [INSERT USER AGENCY NAME] reserves the right to
          interview any and all staff proposed for an engagement and to approve or reject their participation
          in the engagement.

5.0 TECHNICAL REQUIREMENTS
    In addition to the items listed below, the issuing agency will specify the mandatory processes to be used
    to successfully complete this project. This is the point at which you should define the audit standards
    you will expect the contractor to use.




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     The contractor’s staff should at a minimum have the ability to:
      analyze the data provided by the governmental entity to assess any inconsistencies and make
         recommendations for enhancing data quality;
      prepare the necessary material for the comprehensive annual financial report to comply with
         GASB OPEB reporting and disclosure requirements;
      prepare the annual gain/loss analysis to determine reasons for changes in the unfunded actuarial
         accrued liability whenever prior actuarial valuation is available to support this;
      determine the implicit rate subsidy if any and the impact it would have on the OPEB liability;
      prepare an analysis to determine how establishing a trust or equivalent arrangements would affect
         the interest rate assumption;
      ability to communicate audit findings clearly and effectively;
      ability to organize and prepare written material; and
      have a working knowledge of pertinent rules, regulations and laws governing the industry under
         review.

     While it is not possible for an auditing / accounting firm to perform the actuarial valuations required
     by GASB 45, it is recommended that the governmental entities using this contract be aware that they
     should involve their independent auditors during the procurement process to ensure that the actuarial
     services being requested/received meet the requirements of GASB 45.

6.0 SPECIAL TERMS AND CONDITIONS
     The issuing agency will define any special terms and/or conditions associated with the project.

     6.1 Term of Engagement
         The issuing agency will indicate the projected beginning and ending dates for the project.

     6.2 Price Escalation
         On each anniversary date of the contract, the Contractor may be granted an increase or decrease in
         his/her bid dependent upon fluctuations in the latest published copy of the Consumer Price Index
         for all urban consumers as published by the U S. Department of Labor, Bureau of Labor Statistics,
         Washington, D.C. 20212. The index is also available through the Internet at the Bureau of Labor
         Statistics web site at “http://stats.bls.gov/. Click "data", then click "economy at a glance" and then
         scroll down to "Consumer Price Index.”

          The price adjustment shall be calculated as follows. The base index shall be the index for 3
          months prior to the month of the start date of the contract. An adjusted index shall be calculated
          by averaging the 12 seasonally adjusted months, ending 3 months prior to the anniversary date of
          the contract. The average adjusted index is then compared with the base index, and the resulting
          percentage of increase or decrease shall be applied to the next contract year, effective on the
          anniversary date of the contract. The adjusted index shall become the base index for the next
          subsequent contract adjustment period.

          All Agency Project Definition agreements will be entered into at prices not exceeding those
          applicable for the then current year of the contract, and will then be adjusted on the anniversary
          date of the Agency Project Definition agreement in like manner as specified above. In no
          instance should a CPI adjustment exceed five percent (5%) of the current contract’s hourly rate.

          The contractor has the sole responsibility to submit invoices at the adjusted rate on the applicable
          anniversary date and shall provide a copy of the index and other supporting documentation
          necessary to support the increase or decrease to the User Agency, as appropriate. Should the
          contractor fail to submit adjusted invoices and/or supporting documentation within three (3)
          months after the applicable anniversary date, the contractor shall be deemed to have waived its
          right to any increase in price, but the State shall not be barred from making the appropriate
          adjustment in the case of a decrease determined in accordance with the above methodology.


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7.0 ADMINISTRATIVE REQUIREMENTS
    7.1 Assessment of Workspace Required
        The issuing agency will indicate the type of workspace the contractor will have access to during this
        project (e.g. desks, chairs, telephone lines, photocopying facilities, FAX machines, etc.); define the
        business hours that this „workspace‟ will be available for use; and advise the bidders if it will be
        necessary to break out the costs associated with the use of this „workspace‟.

     7.2 Identification of any Project Related Travel
         The issuing agency will indicate if the terms of the engagement will require the successful
         Bidder to travel. The paragraph below suggests language to be used to identify the
         reimbursement methods used for travel related to this project.

          Reimbursement for contractor’s travel and meals/lodging expenses is subject to the same
          limitations, which apply to New York State Management/Confidential (M/C) employees. These
          limitations including the current available rates may be found by accessing the following web site:
          http://nysosc3.osc.state.ny.us/agencies/travel/travel.htm.

     7.3 Insurance
         At the time of the award, the Contractor shall file with the User Agency, Certificates of Insurance
         evidencing compliance with all requirements contained in Appendix D - Contract Insurance
         Requirements. Such Certificates shall be of form and substance acceptable to the User Agency.
         For engagements with other than state agencies, contractors will need to consult with that agency
         as to their specific insurance requirements.

          The Contractor is also responsible for providing worker's compensation insurance pursuant to state
          law. The state has the option to require proof of current worker's compensation insurance or proof
          of exemption if applicable.

8.0 EVALUATION CRITERIA (Best Value)
    User Agency may also elect to award on the basis of lowest cost.

     OSC suggests relative weights for evaluating contracts of this type to be 60 points for the Technical
     Requirements and 40 points for the Cost. However, OSC also recognizes that as the level of
     expertise/specialization increases, the importance of technical weight increases. In the event the
     service required by your agency is highly technical in nature you may want to assign 70 points for
     the Technical Requirements and 30 points for the Cost. Consult your agency purchase officer
     and/or the Office of the State Comptroller Contract Audit Unit for suggestions on how to assign
     these evaluation criteria. If an interview is used, it must be factored into the evaluation criteria.

     [INSERT USER AGENCY NAME] will award the contract based upon evaluation of all aspects of
     the project according to the needs of the user agency and the best interests of the State. The award will
     go to the bidder whose proposal provides the best value as determined by the user agency. If two
     offers are found to be substantially equivalent, price shall be the basis for determining the award
     recipient. The basis for determining the award shall be documented in the procurement record.

     The following criteria will be graded on each proposal:

     8.1 Technical Requirements including Experience [INSERT POINT VALUE]
         The evaluation criteria to be used to evaluate the Technical Requirements may include, but not be
         limited to, such things as:
          Qualifications, including financial resources
          Relevant Experience
          Quality of Past Work (Past Performance)
          References
          Technical Capabilities


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              Approach to the specific project (Understanding the scope)
              Staffing Offered/Resumes
              Staff Interviews (if applicable)

     8.2 Cost [INSERT POINT VALUE]
         The basis for the cost proposal evaluation rankings will be the total price offer received from each
         offerer. This "Total Price" shall be based on job titles x hourly rates, plus the number of hours
         estimated to complete the engagement. The total price offers will be ranked with the low bid
         awarded the maximum total of [INSERT POINT VALUE] points. The remaining bids will be
         assigned scores based on the following formula:

           Step One:
           Lowest Bid Being Evaluated (Bidder A) shall receive the maximum number of points allowed

           Step Two:

           Lowest Bid Being Evaluated (Bidder A)      x   Maximum Number of Points Available through Weighted Criteria
              Next Lowest Bid (Bidder B)

          Example:
          The lowest cost proposal will receive the maximum 40 points. Each successively higher cost
          proposal will receive a proportionately lower rating corresponding to how much more costly the
          proposal is compared to the low bidder. The following table illustrates ratings with the low bid
          receiving 40 points (fractions have been rounded).
                 Bidder                  Bid Total                       Calculation                40 maximum points
                    A                    $100,000                                                        40 points
                    B                    $110,000                  $100,000/$110,000 x 40                36 points
                    C                    $125,000                  $100,000/$125,000 x 40                32 points
                    D                    $150,000                  $100,000/$150,000 x 40                26 points

          Ratings are calculated as follows:

              Bidder B:      Bidder A = $100,000
                                    $110,000              =   36 points

              Bidder C:      Bidder A = $100,000          =   32 points
                                    $125,000

              Bidder D:      Bidder A = $100,000
                                    $150,000              =   26 points

     CONTRACT NO.______________
     (To be completed by Agency)




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                                   MINI BID PROPOSAL FORM

Bidder’s Name:

NOTE: Bid Proposal Form must be completed and signed in triplicate herein.

 All Bidders must submit a fixed hourly rate for each specified title, within each region for which they are
 submitting a bid. Hourly rates must be inclusive of all overhead, profit and all other costs not expressly
 specified to be reimbursable.


                                                 Job Title                            Hourly Rate

         TITLE I

         TITLE II

         TITLE III

         TITLE IV

         TITLE V

         TITLE VI

The hourly rate shall also include overhead, profit, and all other costs not expressly specified to be
reimbursable. The budget will be calculated by multiplying the hours by the discounted hourly rate for
each job title. Travel expenses are not to be included in the hourly rate. These costs will be reimbursed at
State rate and will be separate costs in the engagement budget.

It is understood that the contractor represents and warrants to the State that the rates and charges set forth
by this contract are, and during the period of this contract shall remain, the lowest rates and charges being
offered by the contractor to others for the performance of generally similar services.


Firm Submitting Bid:

Name:

Title:

Date:




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                                   Attachment 1 – Bid List Region

LIST OF REGIONS
Outlined below are the various regions included with the contract and the counties within
each region. The regions are based upon geographic standard statistical metropolitan
centers and distribution of eligible entity facilities. Actual specific locations for services
will be determined by the user agency utilizing this contract and the contractor will be
paid at the rate bid in the region within which the audit is being performed.

Region No. 1 – Long Island
Nassau and Suffolk Counties

Region No. 2 – New York Region
Bronx, Kings, New York, Queens and Richmond Counties

Region No. 3 – Lower Hudson Valley
Dutchess, Orange, Putnam, Rockland, Sullivan, Ulster, and Westchester Counties.

Region No. 4 – Capital Region
Albany, Clinton, Columbia, Delaware, Essex, Franklin, Fulton, Greene, Hamilton, Herkimer, Montgomery,
Otsego, Rensselaer, Saratoga, Schenectady, Schoharie, St. Lawrence, Warren, and Washington Counties.

Region No. 5 – Central New York Region
Broome, Cayuga, Chemung, Chenango, Cortland, Jefferson, Lewis, Madison, Oneida, Onondaga, Oswego,
Schuyler, Seneca, Tioga, Tompkins, and Wayne Counties.

Region No. 6 – Western New York Region
Allegany, Cattaraugus, Chautauqua, Erie, Genesee, Livingston, Monroe, Niagara, Ontario, Orleans, Steuben,
Wyoming and Yates Counties.




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                                               APPENDIX D

                           CONTRACT INSURANCE REQUIREMENTS
PLEASE NOTE: Appendix A - Standard Clauses for New York State Contracts, dated June 2006
and Appendix B - General Specifications are included as part of the RFP. These items have not been
included with this Award document. If a contractor needs to reference these documents they should
refer to the original RFP. An amendment has been approved wherein the 2006 version of Appendix
B replaces the 1999 version of Appendix B initially included with this contract. All terms and
conditions included in 2006 version of Appendix B are effective October 4, 2006. The terms and
conditions are NOT retroactive.

Contract Insurance Requirements

Prior to the commencement of the work to be performed by the Contractor hereunder, the Contractor shall
file with The People of the State of New York, Office of General Services (hereinafter referred to as
“OGS”), Certificates of Insurance evidencing compliance with all requirements contained in this Contract.
Such Certificates shall be of form and substance acceptable to OGS.

Acceptance and/or approval by OGS do not and shall not be construed to relieve Contractor of any
obligations, responsibilities or liabilities under the Contract.

All insurance required by the Contract shall be obtained at the sole cost and expense of the Contractor;
shall be maintained with insurance carriers licensed to do business in New York State, and acceptable to
OGS; shall be primary and non-contributing to any insurance or self insurance maintained by OGS; shall be
endorsed to provide written notice be given to OGS at least thirty (30) days prior to the cancellation, non-
renewal, or material alteration of such policies, which notice, evidenced by return receipt of United States
Certified Mail; shall be sent to Office of General Services, Tower Building, G.N.A.R. Empire State Plaza,
Albany, NY 12242 and shall name The People of the State of New York, its officers, agents, and
employees as additional insureds thereunder.

The Contractor shall be solely responsible for the payment of all deductibles and self-insured retentions to
which such policies are subject. Deductibles and self-insured retentions must be approved by OGS. Such
approval shall not be unreasonably withheld.

The Contractor shall require that any subcontractors hired, carry insurance with the same limits and
provisions provided herein.

Each insurance carrier must be rated at least “A-” Class “VII” in the most recently published Best’s
Insurance Report. If, during the term of the policy, a carrier’s rating falls below “A-” Class “VII”, the
insurance must be replaced no later than the renewal date of the policy with an insurer acceptable to the
Department and rated at least “A-” Class ”VII” in the most recently published Best’s Insurance Report.

The Contractor shall cause all insurance to be in full force and effect as of the commencement date of this
Contract and to remain in full force and effect throughout the term of this Contract and as further required
by this Contract. The Contractor shall not take any action, or omit to take any action that would suspend or
invalidate any of the required coverages during the period of time such coverages are required to be in
effect.

Not less than thirty (30) days prior to the expiration date or renewal date, the Contractor shall supply OGS
updated replacement Certificates of Insurance, and amendatory endorsements.




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The Contractor, throughout the term of this Contract, or as otherwise required by this Contract, shall obtain and
maintain in full force and effect, the following insurance with limits not less than those described below and as
required by the terms of this Contract, or as required by law, whichever is greater (limits may be provided
through a combination of primary and umbrella/excess policies):

     a)   Commercial General Liability Insurance with a limit of not less than $2,000,000 each occurrence.
          Such liability shall be written on the ISO occurrence form CG 00 01, or a substitute form
          providing equivalent coverages and shall cover liability arising from premises operations,
          independent contractors, products-completed operations, broad form property damage, personal &
          advertising injury, cross liability coverage, liability assumed in a contract (including the tort
          liability of another assumed in a contract) and explosion, collapse & underground coverage.

     b) Workers Compensation, Employers Liability, and Disability Benefits as required by New York
        State. If employees will be working on, near or over navigable waters, US Longshore and Harbor
        Workers Compensation Act endorsement must be included.

     c)   Comprehensive Business Automobile Liability Insurance with a limit of not less than $1,000,000
          each accident. Such insurance shall cover liability arising out of any automobile including owned,
          leased, hired and non-owned automobiles.

     d) Employee dishonesty coverage on money, securities or property other than money and securities
        including property in your care, custody or control in an amount of $1,000,000. The coverage shall
        include all employees including contract and temporary, whether identified or not, acting alone or in
        collusion with others.

     e)   If providing professional services, the Contractor shall maintain, or if subcontracting professional
          services, shall certify that Subcontractor maintain, errors and omissions liability insurance with a limit
          of not less than $5,000,000 per loss.

     Such insurance shall apply to professional errors, acts, or omissions arising out of the scope of services
     covered by this Contract and may not exclude bodily injury, personal injury, or property damage.

If coverage is written on a claims-made policy, the Contractor warrants that any applicable retroactive date
precedes the effective date of this Contract; and that continuous coverage will be maintained, or an
extended discovery period exercised, for a period of not less than 2 years from the time worked under this
Contract is completed.




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                        MINI BID CONTRACTOR DISCLOSURE FORM
1.    MINI BID CONTRACTOR DISCLOSURE OF PRIOR NON-RESPONSIBILITY DETERMINATIONS Pursuant to
      Procurement Lobbying Law (SFL §139-j)
      (a)    Has any Governmental Entity made a finding of non-responsibility regarding the individual or entity seeking to
             enter into the Procurement Contract in the previous four years?
                  Yes                No
          If yes, please answer the following question:
      (b)    Was the basis for the finding of non-responsibility due to a violation of State Finance Law
              §139-j?
                  Yes                No

      (c)      If “Yes” was the basis for the finding of non-responsibility due to the intentional provision of false or
               incomplete information to a governmental entity?
                    Yes                No
               If “Yes”, please provide details regarding the finding of non-responsibility:
                  Governmental Entity:
                  Date of Finding of Non-Responsibility:
                  Basis of Finding of Non-Responsibility (attach additional sheets if necessary):

       (d)       Has any governmental entity terminated or withheld a procurement contract with the above-named individual
                 or entity due to the intentional provision of false or incomplete information?
                     Yes                  No
             If yes, provide details:
             Governmental Entity:
             Date of Termination or Withholding of Contract:
                     Basis of Termination or Witholding: (add additional pages if necessary)



Name of Contractor’s Firm/Company:

Contractor Address:


Contractor’s signature:
                                                  I understand that my signature represents that I am signing and responding
                                                  to the certification listed above

Print Name:
Occupation of Person signing this form:

Email Address:




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                          CORPORATE ACKNOWLEDGMENT FORM
The bid must be fully and properly executed by an authorized person. By signing you certify your
express authority to sign on behalf of yourself, your company, or other entity and full knowledge and
acceptance of this INVITATION FOR BIDS, Appendix A (Standard Clauses For New York State
Contracts), Appendix B (General Specifications), and State Finance Law §139-j and §139-k
(Procurement Lobbying), and that all information provided is complete, true and accurate. By
signing, bidder affirms that it understands and agrees to comply with the OGS procedures relative to
permissible contacts as required by State Finance Law §139-j (3) and §139-j (6) (b). Information may
be accessed at:
         Procurement Lobbying:
http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html


               INDIVIDUAL, CORPORATION, PARTNERSHIP, OR LLC ACKNOWLEDGMENT

STATE OF                                          
                                                  : SS.:
COUNTY OF                                         

On the ____ day of ___________________ in the year 20 __ , before me personally appeared
_______________________________________ , known to me to be the person who executed the foregoing
instrument, who, being duly sworn by me did depose and say that _he resides at
_____________________________________________________________,
Town of ______________________________________________ , County of _______________________________ ,
State of ______________________________ ; and further that:

[Check One]

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

(    If      a        corporation):      _he         is      the       _________________________________             of
     ____________________________________ , the corporation described in said instrument; that, by authority of
     the Board of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the
     corporation for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing
     instrument in the name of and on behalf of said corporation as the act and deed of said corporation.

(    If       a       partnership):          _he       is       the      ________________________________          of
     ___________________________________, the partnership described in said instrument; that, by the terms of said
     partnership, _he is authorized to execute the foregoing instrument on behalf of the partnership for purposes set
     forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on
     behalf of said partnership as the act and deed of said partnership.


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




Notary Public
Registration No.                                                           State of:



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                                   MINI BID APPROVAL PAGE
Certification and Affirmation:
The bid must be fully and properly executed by an authorized person. By signing you certify your
express authority to sign on behalf of yourself, your company, or other entity and full knowledge and
acceptance of this INVITATION FOR BIDS, Appendix A (Standard Clauses For New York State
Contracts), Appendix B (General Specifications), and State Finance Law §139-j and §139-k
(Procurement Lobbying), and that all information provided is complete, true and accurate. By
signing, bidder affirms that it understands and agrees to comply with the OGS procedures relative to
permissible contacts as required by State Finance Law §139-j (3) and §139-j (6) (b). Information may
be accessed at:
         Procurement Lobbying:
http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html


IN WITNESS WHEREOF, the parties have executed this Agreement by their authorized signatories as of the
date first written above.

                          CONTRACTOR AUTHORIZED SIGNATURE:
          The Contractor has Accepted and Affirmed the Conditions of This Project Definition.

By:                                                                                      Date:

Print Name:

Title:

                         THE PEOPLE OF THE STATE OF NEW YORK

USER AGENCY APPROVAL:

By:                                                                                      Date:

Print Name:

Title:

OFFICE OF THE STATE COMPTROLLER:

By:                                                                                      Date:

Print Name:

Title:

Approved:                             Approved as Amended                          Disapproved




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                  INSTRUCTIONS FOR COMPLETING FORMS A AND B

Form A and Form B should be completed for contracts for consulting services in accordance with the
following:

Form A - Contractor’s Planned Employment Form (available from and submitted to the using agency, if
necessary. The using agency is the agency to whom the consultant services are provided.)
Form B - Contractor’s Annual Employment Report. (To be completed by May 15th of each year for each
consultant contract in effect at any time between the preceding April 1st through March 31st fiscal year and
submitted to the Department of Civil Service, Office of the State Comptroller and the procuring agency.)

   Scope of Contract: choose a general classification of the single category that best fits the predominate
    nature of the services provided under the contract.
 Employment Category: enter the specific occupation(s), as listed in the O*NET occupational
    classification system, which best describes the employees providing services under the contract.
(Note: Access the O*NET database, which is available through the US Department of Labor’s Employment
and Training Administration, on-line at online.onetcenter.org to find a list of occupations.)
 Number of Employees: enter the total number of employees in each employment category employed
    to provide services under the contract during the report period, including part time employees and
    employees of subcontractors.
 Number of Hours: enter the total number of hours worked during the report period by the employees
    in each employment category.
 Amount Payable under the Contract: enter the total amount paid by the State to the State contractor
    under the contract, for work by the employees in each employment category, for services provided
    during the report period.




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                                                                      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:     /     /


                                                   Number of           Number of hours to be     Amount Payable Under
         Employment Category                       Employees                worked                   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


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                                                                                    OSC Use Only:
FORM B
                                                                                    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

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




             Total this page                                        0                        0                           $ 0.00
              Grand Total

Name of person who prepared this report:
Preparer's Signature:___________________________________________________
Title:                                                Phone #:
Date Prepared:     /   /
Use additional pages if necessary)                                                                Page    of




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