NYS Office of General Services (OGS) Procurement Services Group (PSG) INTRODUCES FAST TRACK PROCUREMENTS for Consulting Services Under the OGS PSG Back-Drop Computer Consulting, Systems Integration, & Training Contracts Issue Date: 1/01/01 Date Revised: 06/2008 INSTRUCTIONS FOR FAST TRACK PROCUREMENTS For assistance contact OGS PSG: Dawn Curley, Team Leader (518) 473-2045 firstname.lastname@example.org The Fast Track Procurement A “Fast Track” procurement may be used for the acquisition of various CONSULTING Services in any of the Categories of Expertise as defined by the back-drop contracts to enhance the Issuing Entity's workforce and is based on HOURLY rates. Attached please find the forms that are to be completed by the Issuing Entity (authorized user) and then faxed or e-mailed 1 to those back-drop Contractors who are eligible in the category/ies of expertise on which the project focuses. The back-drop Contractors interested in bidding must submit the requested information to the Issuing Entity. Each “Fast Track” Procurement is limited to 18 MONTHS in duration (Re: term limitations, please refer to the Chief Information Officer/Office for Technology (CIO/OFT) Plan to Procure Policy located at the following web site: http://www.oft.state.ny.us/Policy/NYS‐P08‐001.pdf.) UNLESS OTHERWISE STATED, THE ISSUING ENTITY RESERVES THE OPTION TO AWARD TO MULTIPLE FIRMS SINCE THE FOCUS OF THE AWARD ARE INDIVIDUALS. IF OPTING TO AWARD TO ONE FIRM, THE ISSUING ENTITY WILL STATE THIS ON THE POSITION RECRUITMENT FORM. 1 During the term of the use of this process, the state reserves the right to introduce electronic signatures to facilitate electronic submission of bids. In the interim, bids submitted electronically must be followed up with hard copy bids that are mailed or faxed within three (3) business days of electronic submission. To simplify completion of the required forms, Contractor completes information in the "shaded" blocked sections. Issuing Entity completes information in the "white" blocked sections Issuing Entity replaces [bracketed] text with applicable information, e.g. [Issuing Entity], [mm/dd/yy] is replaced with OGS and 07/31/00, etc. The Fast Track procurement uses the following forms: 1. Position Recruitment Form – Customized for the specific procurement/solicitation by the Issuing Entity. A Contractor responds by completing the appropriate sections of this form for each candidate being proposed and by attaching the candidate’s resume to the form. Contractor completes one “Position Recruitment Form” for each candidate proposed. A new "Entry Level (EL)" Job Title has been added to the previous Levels I, II, and III and are defined as follows: Project Manager (Entry Level) - Less than 2 years experience in overseeing small scaled, non-complex projects, comprised of a small number of deliverables and/or a small number of phases; typically coordinates and delegates the assignments for the consultant project staff numbering up to 5; focal point of contact for Issuing Entity regarding project status, meetings, reporting requirements, scope changes, and issues and concerns raised by consultant staff or Issuing Entity. Programmer/Analyst (Entry Level) - Less than 2 years experience with writing application software, data analysis, data access, data structures, data manipulation, databases, design, programming, testing and implementation, technical and user documentation, software conversions; environments include but are not limited to mainframe, mid range, personal computers, laptops. Specialist (Entry Level) - Less than 2 years experience in a particular technical and/or business application which is beyond the requirements addressed in the Programmer/Analyst (Entry level) Job Classification/Title as defined in a Project Definition/Specifications. 2. Hourly Rate Form - The Contractor completes this form by “bidding” an hourly rate for each candidate proposed. The hourly bid rate may not be higher than the “not-to-exceed back-drop contract rate” in each Contractor’s back-drop contract. This form must be signed by an Authorized Representative of the firm. 3. Contractor Acknowledgement of Receipt Form - If the Issuing Entity requires the return of this form, the Contractor completes this form and returns within one (1) business day of its receipt to notify the Issuing Entity whether or not there is an interest in bidding on the project/assignment. This form must be signed by an Authorized Representative of the firm. The Issuing Entity can make the submission of this form mandatory but: If the submission of this form is mandatory it must be so stated in the solicitation. If three (3) or less bids are submitted, contact (be e-mail or fax) a "significant" number of the Contractors who were solicited originally and request their reasons for not bidding (by e-mail or fax). The results of this follow-up must be documented in the procurement record. The number who are contacted should be substantial enough to demonstrate that the reasons for not bidding were not the result of the solicitation being so restrictive in its design as to consciously limit the number of responses. HELPFUL HINTS E-Mailing Fast Track Solicitations Best Practice #1: It is a "best practices" guideline that when sending the solicitation by e-mail to use the 'Bcc' (Blind Carbon Copy) field for the distribution list of recipients. You can leave the 'To' field blank. If the e-mail list is large (over 200) you may want to consider breaking it up into two (2) or more separate e-mails). I would limit each list to 135-150 recipients. Best Practice #2: You are being urged to clearly identify e-mailed solicitations to the OGS PSG back-drop contractors by entering the following "prefix" into the 'Subject' field of all e-mailed Fast Track Procurements: GROUP # 73012 (followed by entity's project identifier) This has been requested by the Contractors as a means of more easily and expeditiously identifying solicitations under the back-drop contracts. Your cooperation would be greatly appreciated. Bid Submissions - Bids submitted electronically must be followed up with hard copy bids that are mailed or faxed within three (3) business days of electronic submission. Contractor "Selection" - When consultants(s) have been selected, the Issuing Entity notifies the "selected" firms that they are the selected, pending OSC approval before work can commence. Non-selected firms are notified as well (name of selectees is NOT revealed.) Contractor "Award" - Upon OSC approval, Issuing Entity will notify each awardee with an Award Letter and a copy of the approved Summary & Affidavit form. Issuing Entity will notify each non-awardee that the project has been approved and the awarded firms names are revealed. "Improprieties" and misleading information found in bid submissions It is suggested that some or all of the following be included in your Fast Track Procurement. All bids should be submitted to the fax number specified in the bid documentation or mailed to the address provided. Hand delivered or bids submitted by e-mail may not be accepted by the Agency and if so should be clearly stipulated. Before submitting the Position Recruitment form remove any shading. Shading makes it extremely difficult to read required information, particularly if the bid is faxed. Please note that Position Recruitment Forms are the actual bid forms and can NOT be modified. Each mandatory and desirable element represents technical criteria the Issuing Entity prefers and each candidate is evaluated on whether the criteria are met. The bidder is responsible for accurately reflecting each proposed candidate's experience and the time frames for such experience as it relates to the solicitation's requirements. Modifying the bid form to reflect the candidate's experience is not acceptable and may result in the proposed candidate's or the Contractor's disqualification. The completed Position Recruitment Form should accurately reflect the specific knowledge and experience being requested (ex. COBOL). For mandatory and desirable experience, dates should be indicative of experience obtained within the period requested. (ex. two years of COBOL within the last three years). Candidates who do not meet the full date requirements should not be given credit by the Contractor for that particular mandatory or desirable element. The candidate's resume MUST support such experience, including the dates that such candidate obtained the experience and dates should not be rounded up in an effort to qualify the candidate for experience not truly obtained. Some bids require submission of certifications required to support mandatory or desirable experience. These certifications MUST be submitted with the candidate's resume as noted on the Position Recruitment Form. Failure to include the attached certification may result in a reduction of the candidate's technical points or disqualification of the candidate. Bidders must verify the experience of the candidate they are submitting for bid. If PSG learns that specific Contractors continue to submit Position Recruitment forms that do not accurately reflect candidate experience, these Contractors may be made inactive or removed from the list of eligible Contractors until further notice. It is necessary to include both the actual number of years of experience as well as the dates of experience (from-to) on the Position Recruitment Form. Incomplete years and dates may result in a reduction of technical points or disqualification of the bid response. Candidates submitted should be available for employment at the time of bid submission. If a candidate becomes unavailable for recruitment prior to the award notification, the Contractor must notify the Issuing Entity immediately. If the Contractor is contacted for bid award for one or more of their candidates, the Contractor is responsible for ensuring the availability of their candidate. If PSG learns that a Contractor has been awarded projects and either their candidates do not report on the agreed start date or the Contractor has notified the Issuing Entity after the agreed upon start date that the candidate was not available, the Contractor may be made inactive or removed from the list of eligible Contractors until further notice. Web Based/Internet Application Services Any custom applications or programming delivered as part of a project shall comply with NYS Office for Technology Policy P04-002 titled Accessibility of State Agency Web-based Intranet and Internet Information and Applications, dated June 21, 2004 which replaces Technology Policy 96-13 Accessibility to Technology and supercedes Technology Policy 99-3 Universal Accessibility for NYS Web Sites (http://www.oft.state.ny.us/policy/p04-002/index.htm), requires that all NYS agencies' web sites provide universal accessibility to persons with disabilities. The State of New York has adopted the W3C Web Content Accessibility Guidelines (http://www.w3.org/TR/WAI-WEBCONTENT) as a means to provide access to NYS agency web sites and the content therein. The Prime Contractor agrees to apply the most current version of these guidelines and conform with level "A" of the guidelines, satisfying all priority one checkpoints, as respects any custom applications or programming delivered pursuant to the project. OSC Travel Guidelines If no travel is anticipated during the course of the project, state this on the Position Recruitment Form and remove the "Travel Associated with Project" form. If travel is anticipated during the course of the project, provide relevant information such as the projected number of trips, the location(s) and estimated distance(s). The Contractor will need to consider the anticipated travel as it bids its all-inclusive hourly rates when there is travel associated with a project. They never separate the travel from the hourly rate. For projects that have some travel, the Contractor should bid 2 different rates: (1) an hourly rate when in "travel status" and (2) an hourly rate when in "at home status". The bid rate cannot exceed the Contractor's contract rate for the job title(s) bid. Additionally, the Contractor will not be reimbursed for any travel time while in transit (on a bus, train, car, etc.). If interested in providing NYS reimbursement allowances, direct Contractors can be directed to the Travel Policy web site at: http://ogsnow/finance/policies/GADirectives/AD0301.pdf for the most current rate information. to give them an idea of State allowances for travel. Note: In a situation where travel was not anticipated and then becomes necessary resulting in an increased to the amount originally encumbered, the Issuing Entity MUST submit a Scope Change Request to OSC or the Contractor invoice reflecting a higher hourly to cover its cost for travel, will not be reimbursed. Scope Changes - Are not an automatic provision and will be given consideration by OSC on a case-by-case basis. The Issuing Entity must be able to justify that the scope change is results from "unforeseen occurrences" and encompasses changes in the quantity, quality or time schedule of the workflow that results in an increase to the original cost of the project. The rates applicable to any Scope Change will be governed by the rates set forth in the original project scope. Section 73 of the Public Officers Law imposes constraints relative to State employees doing business with the State as follows: a) No State employee shall sell any goods or services having a value in excess of twenty-five dollars to any state agency unless such goods and services are provided pursuant to an award or contract let after public notice (Contract Reporter) and competitive bidding. b) Where the competitive bidding process is not followed to meet an agency's need for goods & services, action should be taken during the procurement to determine whether the seller is a State employee. c) If it is determined that the seller is a State employee, the procurement should be cancelled or suspended. The recommended resolution in most instances is to seek to make the pruchase from an alternative source, avoiding the appearance of either a conflict of interest or favoritism to the State employee. G-221: OSC Bulletin Vendor Responsibility: Standards, Procedures, and Documentation Requirements: On November 1, 2004, OSC issued Bulletin No. G-221 Vendor Responsibility: Standards, Procedures, and Documentation requirements. These requirements took effect for all contracts received at OSC for approval on or after January 1, 2005. OGS PSG is responsible for evaluating Vender Responsibility before a recommendation of a back-drop contract award is made. To be awarded a back-drop contract each Vendor responds 17 questions which, in part, address the Vendor's financial and organizational capabilities in determining whether or not they qualify for a back-drop contract award. If any responses are YES to particular questions, OGS requests a Dun & Bradstreet report. Upon review by OGS an opinion is rendered as to whether or not the firm should be considered for a contract award or if already on contract should that firm be permitted to retain its contract (i.e. annual re-filing). State agencies may do their own Vendor Responsibility investigation if they deem that their procurement is of such a nature to warrant additional research and VR confirmation. Procurement Lobbying State Finance Law sections 139-j and 139-k (Procurement Lobbying Law) set forth a series of requirements that the Issuing agency must address in its Project Definition. The Issuing Entity should use its agency-developed forms and language on Procurement Lobbying or may elect to use the model forms and language provided by the Advisory Council on Procurement Lobbying, available at http://www.ogs.state.ny.us/aboutogs/regulations/advisoryCouncil/ModelLang.html. In summary, the Procurement Lobbying Law requires the Issuing Entity to: develop and distribute a policy/summary of policy on permissible contacts; designate employees who may be contacted by an offerer during the restricted period; record contacts in the procurement record; obtain required certifications and affirmation; incorporate a required termination clause; and obtain information regarding prior non-responsibility determinations. Mercury-Added Consumer Products Offerers are advised that effective January 1, 2005, Article 27, Title 21 of the Environmental Conservation Law bans the sale or distribution free of charge of fever thermometers containing mercury except by prescription written by a physician and bans the sale or distribution free of charge of elemental mercury other than for medical pre-encapsulated dental amalgam, research, or manufacturing purposes due to the hazardous waste concerns of mercury. The law further states that effective July 12, 2005, manufacturers are required to label mercury-added consumer products that are sold or offered for sale in New York State by a distributor or retailer. The label is intended to inform consumers of the presence of mercury in such products and of the proper disposal or recycling of mercury- added consumer products. Offerers are encouraged to contact the Department of Environmental Conservation, Bureau of Solid Waste, Reduction & Recycling at (518) 402-8705 or the Bureau of Hazardous Waste Regulation at 1-800-462-6553 for questions relating to the law. Offerers may also visit the Department's web site for additional information: http://www.dec.state.ny.us/website/dshm/redrecy/c145home.html. Contractor Consultant Law: Applies to State Agencies, Public Benefit Corporations, and Public Authorities only 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. 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. The PD Attachments packet has been updated to include the Consultant Contractor Law Forms A & B - Attachment 21 and 22 respectively. Information Security Breach and Notification Act Section 208 of the State Technology Law (STL) and Section 899-aa of the General Business Law (GBL) require that State entities and persons or businesses conducting business in New York who own or license computerized data which includes private information including an individual's unencrypted personal information plus one or more of the following: social security number, driver's license number or non-driver ID, account number, credit or debit card number plus security code, access code or password which permits access to an individual's financial account, must disclose to a New York resident when their private information was, or is reasonably believed to have been, acquired by a person without valid authorization. Disclosure of breach of that private information to all individuals affected or potentially affected must occur in the most expedient time possible without unreasonable delay, after necessary measures to determine the scope of the breach and to restore integrity, but with delay if law enforcement determines it impedes a criminal investigation. When notification is necessary, the State entity or person or business conducting business in New York must also notify the following New York State agencies: the Attorney General, the Office of Cyber Security & Critical Infrastructure Coordination (CSCIC) and the Consumer Protection Board (CPB). Information relative to the law and the notification process is available at: http://www.cscic.state.ny.us/security/securitybreach/ Guidelines for Issuing Entity: THE ISSUING ENTITY MUST DEFINE ITS SPECIFIC EVALUATION CRITERIA, SELECTION PROCESS, & METHOD OF AWARD IN EACH FAST TRACK PROCUREMENT. Procuring Consulting Services Using the Fast Track Process Evaluation and Selection Process The objective of the evaluation/selection process is to develop and apply evaluation criteria to ensure that: Contractor responses are evaluated objectively; and The Issuing Entity selects the Contractor(s) proposing staff that provides the “Best Value” (combination of technical skills, experience and cost). To accomplish this objective, the process must ensure: The evaluation criteria and methodology are completed prior to issuing each Fast Track procurement he method of award must be clearly stated in the solicitation The evaluation criteria are not altered after opening the responses. The evaluation criteria are applied equally and uniformly in the evaluation of responses. Specific Procedures Follow: The evaluation will be conducted according to the following process, depending on the volume of responses received, followed by Contractor selection. 1. Prescreen for the following: The bid must have been submitted on time: Position Recruitment Form Hourly Rate Form One resume per candidate is required At lease two references are needed The hourly rate cannot be greater than the Contractor’s not-to-exceed back-drop contract rate for the Job Title The Position Recruitment Form must indicate that the candidate’s experience meets or exceeds the mandatory qualifications for the position. If there is no advantage given for submitting a candidate whose experience exceeds the mandatory qualifications, this must be stated on the Position Recruitment Form. Failure to adequately address any of these requirements will disqualify the candidate from further consideration. To facilitate the review of the resumes, you can require that each bidder include the "Contractor Technical Skill Checklist" for each candidate being proposed. The form is attached. Feel free to modify it so that it addresses the Fast Track requirements. If you opt to include this form, communicate this to the bidders. At the top of the Position Recruitment Form, the instruction says: " ATTACH CANDIDATES RESUME TO FORM" You can change it to say "ATTACH CANDIDATES RESUME TO FORM & CONTRACTOR TECHNICAL SKILL CHECKLIST FOR EACH CANDIDATE PROPOSED." 2. Financial Evaluation Component: For each candidate who passes the prescreen process, the hourly rate will be used to determine the points received by the Contractor. The lowest hourly rate for each candidate will be awarded the maximum score of 100 points (or whatever value is used to signify the highest score.). Other bids will be scored using a percentage based on the lowest rate. For example, if the low bid is $60/hr. and a second offer is $80/hr., the second bid would achieve a financial score of 75 (60 / 80 = 75%). Note: OSC will not approve zero (0) points to be assigned to any bid.) 3. Technical Evaluation Component: For both Mandatory and Desirable criteria, the evaluation methodology must define the standards that will be applied to the criteria. The Mandatory criteria will be evaluated on a Pass/Fail basis only. The Desirable criteria will be evaluated on a scoring of standards basis. These standards must be established and defined in such a way that the reviewer will be able to determine and assign an objective, quantifiable score. The Technical Evaluation has two (2) parts: Part 1. Review the Position Recruitment Form and the accompanying resume for each candidate. Part 2. Reference check and personal interview of the top candidates Part 1: For each candidate that passes the prescreen process: (a) A review team will evaluate the candidate's Desirable technical experience, utilizing information presented in the Position Recruitment Form and the candidate's resume. (b) Because the solicitation included the order of importance of the Desirable technical experiences, the candidates are aware of the relative value of each of these Desirables (c) Each Desirable was assigned a weighted value prior to the solicitation. (d) A preliminary technical score will be calculated for each candidate based on the evaluation of his/her Desirable technical experience (e) Candidates will be ranked based on their preliminary Technical and Financial scores. Part 2: For each candidate references will be contacted to confirm the information on the Position Recruitment Form and resume: (a) If the references confirm the information, each candidate will be scheduled for a personal interview. (b) The personal interview will be used to further evaluate the top candidates' technical expertise, as well as inter-personal and communication skills. (c) If the number of candidates is so voluminous as to cause timeframe delays or other administrative concerns, the entity may elect to limit the number of candidates whose references will be checked and who will be interviewed. The "formula" to determine the minimum number of candidates to be interviewed must be established prior to the solicitation and detailed within the solicitation. This is based on the number of candidates requested by the mini-bid and either the value of the personal interview process or a pre- determined number of interviewees. Example #1: If an entity needs one resource, and the personal interview is worth 10 points, any candidate within 10 points of the top score should be interviewed, etc. Example #2: If an entity needs one resource, it should give itself leeway to interview several potential candidates who are "in the running". This allows for limiting the number of interviews to perspective awardees. If this statement is not included in the Fast Track solicitation, the issuing entity leaves itself open to interviewing all candidates who were not rejected up to the interview phase. Including a statement such as "<ENTITY> reserves the right to interview up to the 5 (or whatever # deemed appropriate) highest scores resulting from the initial evaluation. If two resources are needed, it should allow for a larger pool of candidates such as "up to 7 highest scores" (or whatever realistic number you determine); If three resources, it could include "up to9 highest scores", etc. as the number increases. The phrase "up to" should be used to address situations where the number you could interview were less than the number you expected to interview. (d) Candidates can be disqualified as a result of either the reference check or the personal interview. If an entity needs two resources, and the personal interview is worth 10 points, any candidate within 10 points of the second highest score should be interviewed, etc. These points must be established prior to the solicitation and detailed within the solicitation. The Issuing Entity must document its justification for any candidate that it disqualifies as a result of the reference check or personal interview. (e) Any revision in the qualification or ranking of the candidates after either the reference check or the personal interview must be fully documented as to the reason(s) for the change in scoring/ranking. Final Ranking is based on a maximum score of 100 points and is determined as follows: (a) Add together points given after the resume review + reference checks + personal interviews (b) This becomes the candidates Final Technical Score Make certain that you include the statement to OSC that "the winner(s) rates did not exceed their contract rates for the job titles proposed". 4. Selection: Financial and Final Technical scores must be weighted using the percentages listed on the Position Recruitment Form. For example, if the bid informed the bidders that the relative weights would be 60% / 40%, respectively, for technical and financial scores, a final score for overall rankings would be computed as follows: Technical Score - 90 points (example of a final technical score) Financial Score - 70 points (example of a financial score) (90 x .60 = 54 points) + (70 x .40 = 28 points) = 82 overall points Awards are then made based on the candidate(s) with the highest overall point total. 5. Alternative Evaluation Process: "Best Value" can be the lowest cost It is an acceptable evaluation method to evaluate the lowest cost bid first. If that bid (including reference checks and interviews) satisfies all the mandatory requirements for the requested position AND there were no desirable criteria, then the evaluation process can end with that bid. THERE IS NO NEED TO REVIEW ANY OTHER BID SUBMISSIONS. Documentation of the evaluation results must be precise and detailed. This can only be used when there are Pass/Fail mandatory criteria. It does not work when there are optional or desirable criteria that may be subject to a point system. To support the reasonableness of the price of the selected bidder, consider the following: (a) A comparison of similar services with comparable pricing previously approved by OSC, research statistics that show the average rates across the industry for comparable services that are in line with proposed rates by selected Contractor, etc. (b) This survey can be downloaded from the IT Services web site at: http://www.ogs.state.ny.us/purchase/snt/awardnotes/73012S960275can.htm Click on Download Guidelines, Forms, Templates for all Procurement Options. The Survey is included on all of the Procurement Options drop-down lists. Select and copy and paste to your desktop. LESSONS LEARNED & PITFALLS TO AVOID Here are some helpful hints and suggestions from our users: Feel free to e-mail me (email@example.com) with other issues or "things that worked") Mandatory versus optional requirements Using the term "should” or "may" versus "must" and "will" If the requirement is prefaced with "should/may, etc.", then the submission/return of the form is optional. If the requirement is prefaced with "must/will, etc.", then the submission/ return the form is mandatory and if omitted, bid will be disqualified from further consideration. Changing personnel To minimize a firm from changing personnel ("bait and switch") before or during the project period, include a statement that reminds bidders to submit resumes of staff that they are fairly certain will be available on the projected start date Multiple resumes submitted State explicitly whether you will accept more than the required number of resumes? If yes, describe the process you will use in reviewing the resumes. If no, and a Contractor submits more than the required number of resumes, contact the Contractor and instruct them to select the candidate(s) to be considered or explain how you will select the resume(s) on which you will base your evaluation. Multiple submission of same consultant The consultant should be aware that his/her name has been submitted by multiple firms. You review the resume within each submission, ensuring that the resumes are identical. The rates proposed may be different and are based on the contract rates each firm has on its contract. Awarding to a single Contractor - multiple positions If opting to award to one firm, include language that sets up a minimum 'passing' score for each Job Title below which a firm will no longer be considered for award. Submission date and time Close of business is very generic. It is preferable to state a specific time of day after which bids will no longer be accepted. Faxing or e-mail The submission MUST be mailed (Fed Ex or US Mail) within 3, 4 or -5 (your choice) business days. POSITION RECRUITMENT FORM [Issuing Entity Name] For [Project/Assignment Name] Release Date: [mm/dd/yy] FOR THE FOLLOWING CATEGORY (IES) OF EXPERTISE: [List Categories] _________________________ ______________________ _________________ DESIGNATED CONTACT(S): Mandatory Job Title or already contracted Ancillary Title: ATTACH CANDIDATES RESUME TO FORM ________________________________________________________ Contractor Name: _________________________ Number of Positions: Up to _______ Candidate's Name: Is this position (s) currently filled by a Consultant? First: ____________________________________ Y ____ N _____ Expected Duration of Project/Assignment/Scope of Work: ______ Last: ____________________________________ [hours] or [months] Targeted Start Date: ____________________________________ Actual # of Years Dates of Bid Submission Due Date: [mm]/[dd]/[yy] Of Experience Experience MANDATORY # of Original Copies Required: [# of copies] MANDATORY Requirements (add additional sheets if necessary): _______________ _______________ NOTE: CANDIDATES WHO DO NOT MEET ALL MANDATORY REQUIREMENTS WILL NOT BE CONSIDERED FOR FURTHER _______________ _______________ EVALUATION _______________ _______________ _______________ _______________ 1. REFER TO “PROCUREMENT LOBBYING” INFORMATION " ON A FOLLOWING PAGE FOR MANDATORY PROCUREMENT _______________ _______________ LOBBYING SUBMISSIONS 2. DESIRABLE ____________________________________________________________ 3. _______________ _______________ ____________________________________________________________ 4. ____________________________________________________________ _______________ _______________ NOTE: If Travel is anticipated, provide details on attached page. DESIRABLE Experience Listed in order of importance: (add _______________ _______________ additional sheets if necessary): 1. _______________ _______________ ____________________________________________________________ 2. _______________ _______________ ____________________________________________________________ 3. EVALUATION INFORMATION ____________________________________________________________ 4. The technical evaluation will constitute [X%] of the total evaluation and consist of the following factors: ____________________________________________________________ (1) Mandatory criteria will be evaluated on a Pass/Fail basis TWO (2) REFERENCES: only; (2) Desirable experience is listed in the order of preference and will be scored; 1. NAME: ______________________________________________ (3) Top ranking candidates will be interviewed to confirm resume information and inter-personal and communication skills. PHONE: _____________________________________________ (4) References will be contacted. The financial evaluation will constitute [X%] ** of the total evaluation and consist of the following factors: 2. NAME: ______________________________________________ (1) Hourly rates that are equal to or below contract rates, (2) Selected candidate(s) rates are considered to be reasonable for the expe PHONE: _____________________________________________ and skills required. Attach Special/Additional Requirements if applicable (e.g. Security procedures, confidentiality policies, etc.) PSG Fast Track form (2/06) TRAVEL ASSOCIATED WITH PROJECT Travel is anticipated during the course of this project as detailed in the table below. Please propose 2 sets of rates: (1) "At Home" rates and (2) "Travel" rates # of Trips Location(s) Distance (miles) HOURLY RATE FORM Contractor Name: _______________________________________________________________________ ISSUING ENTITY MUST CONFIRM IN WRITING THAT THEY HAVE VERIFIED THAT THE HOURLY RATE PROPOSED DOES NOT EXCEED THE CONTRACT RATE. Proposed Hourly Rate For This Bid Must Not Exceed Contract Ceiling Rate 1 Cross Reference the Fast Proposed Contract Candidate Name (list all candidates proposed) Track Position to the OGS Hourly Rate/ Ceiling ** Include a Position Recruitment Form for each proposed candidate PSG Contracted Job Hourly Rate (Must Not Classification/Title Exceed e.g. Oracle Database Contract Specialist/Specialist Level I) Rate) 1 Employers are required by Federal law to verify that all employees are legally entitled to work in the United States. Accordingly, this Issuing Entity reserves the right to request legally mandated employer held documentation attesting to the same for each consultant assigned work under any project awarded as a result of this solicitation. In accord with such laws, this Issuing Entity does not discriminate against individuals on the basis of national origin or citizenship. EACH RESUME MUST REFLECT THE INFORMATION PROVIDED ON THE POSITION RECRUITMENT FORM SO IT IS CONSISTENT IN TERMS OF YEARS OF EXPERIENCE AND DATES OF EXPERIENCE. __________________________________________________ ________ / ________ / ________ Signature of Bidder’s Authorized Representative Date CONTRACTOR TECHNICAL SKILL CHECKLIST Contractor/Firm Name: ________________________________________________________ Job Classification/Title: <MANDATORY OR ANCILLARY JOB CLASSIFICATION TITLE> Proposed Candidate Name: ____________________________________________________ THE FOLLOWING EXPERIENCE IS MANDATORY NOTE: Candidates who do not meet minimum mandatory requirements will be considered non- responsive. Mandatory Skill/Expertise Actual # of Years Dates of Where Experience Employment Employed 1. 2. 3. 4. 5. THE FOLLOWING EXPERIENCE IS DESIRABLE BUT NOT REQUIRED: Desirable Skill/Expertise Actual # Years Dates Where Experience of Employment Employed 1. 2. 3. 4. 5. Use additional sheets if necessary. Provide a Checklist for each proposed candidate. PROCUREMENT LOBBYING INFORMATION FOR CONTRACTORS State Finance Law §139-k, Disclosure of Contacts and Responsibility of Offerers State Finance Law §139-K provides for disclosure of contacts between contractors and the Issuing Entity. Specifically, this section requires contractors to disclose prior findings of non-responsibility and penalizes contractors that fail to disclose prior findings of non responsibility or that provide false and incomplete information by disqualifying them from being awarded the procurement contract. Further, this section requires the Issuing Entity employees to record in the procurement record certain information about the persons who appear before them on governmental procurements. Procurement Lobbying Restrictions Pursuant to §139-j and §139-k of the State Finance Law, this solicitation includes and imposes certain procurement lobbying limitations. Bidders/Offerers are restricted from making contacts from issuance of the solicitation through approval of the project by the Office of the State Comptroller (this timeframe is known as the “restricted period”) to other than designated staff unless it is a contact that is included among certain statutory exceptions (referred to as permissible contacts). Staff identified within a solicitation or in the Cover Letter of the solicitation are the "designated contacts." Authorized Users are also required to obtain certain information when there are communications during the restricted period that constitute a “contact” as defined in the statute and make a determination of the responsibility of the Bidder/Offerer pursuant to these two statutes. Findings of non-responsibility result in rejection for contract award and in the event of two findings within a four year period, results in a finding of Bidder/Offerer being ineligible to submit a proposal on or be awarded any procurement contract for four years from the date of the second finding of non-responsibility. Further information about these requirements can be found on the OGS website: http://www.ogs.state.ny.us/aboutOgs/regulations/defaultAdvisoryCouncil.html Procurement Lobbying Termination The Issuing Entity reserves the right to terminate this project in the event it is found that the certification filed by the Bidder/Offerer in accordance with New York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such finding, the Issuing Entity may exercise its termination right by providing written notification to the Bidder/Offerer in accordance with the written notification terms of the project definition. TRACKING HOURS WORKED THE FORMS THAT FOLLOW ARE OPTIONAL. THEY MAY BE HELPFUL IN TRACKING/VERIFYING THE ACTUAL HOURS WORKED AGAINST INVOICES SUBMITTED BY CONTRACTORS. FEEL FREE TO MODIFY THEM TO SUIT YOUR NEEDS. Purpose of TDR: The issuing entity may request the Contractor Project Manager to record project time distribution for each consultant working on the project. Use a separate form for each consultant. Purpose of Sign-In/Out Log: The issuing entity may require the Contractor firm to keep a daily sign in/out log to track attendance and contract hours. PROJECT CONTROL TIME DISTRIBUTION REPORT (TDR) CONSULTANT NAME: ______________________________________________________ DATE PROJECT TIME HOURLY REMARKS RATE CONSULTANT SIGN IN/OUT LOG CONSULTANT NAME DATE TIME TIME IN OUT __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ __________________________ ____________ _________ _________ Bidder’s Candidate Certification I ____________________ (Contractor Name) certify that all information concerning all candidates experience and background information presented in this proposal submission is accurate and complete. All candidates prior to being submitted have been interviewed and information regarding their experience and previous history has been verified. I understand that knowingly making a false written statement on this form, or any attachment may result in disqualification. Discovery of false information subsequent to candidate engagement may result in dismissal from this engagement. I agree to accept this condition and hereby certify that all statements made on this application or any attachments are true and complete, to the best of my knowledge. Date: ______________________ Signature: ___________________________________________ Bidder’s Authorized Representative *Note to Bidder: Any firm submitting inaccurate or misleading information may be disqualified and reported to the Office of General Services. If specific firms continue to submit inaccurate or misleading information, such firms may be made inactivate or removed from the list of eligible firms until further notice. THIS FORM IS OPTIONAL. YOU ARE NOT REQUIRED TO SEND AS PART OF THE FAST TRACK. IF YOU SEND IT, THEN YOU CAN MAKE IT MANDATORY OR MAKE IT OPTIONAL THAT IT BE RETURNED. [Issuing Entity] CONTRACTOR ACKNOWLEDGEMENT OF RECEIPT OF POSITION RECRUITMENT FORM RELEASE DATE: [mm/dd/yy] ## OF OPENINGS: [________] DATE BIDS DUE: [mm/dd/yy] PROJECT/ASSIGNMENT: [Project/Assignment Name] (PRINT Contractor Name) confirms receipt of notification of opening(s) for consulting. With regard to this solicitation (check one of the following: __ we ARE INTERESTED & MAY submit a bid response __ we ARE NOT INTERESTED & WILL NOT submit a bid response because: ___________________________________________________________________________________________ ___________________________________________________________________________________________ _ ___________________________________________________________________________________________ _ ___________________________________________________________________________________________ _ ____________________________________________________________________________________________ Signature of Authorized Representative ____________________________________________________________________________________________ Title _________/ __________ /_________ Date SELECT ONE: IT IS IT IS NOT MANDATORY** TO RETURN TO [ISSUING ENTITY] WITHIN ONE (1) BUSINESS DAY OF THE DISTRIBUTION OF THIS PROCUREMENT. FORM MAY BE FAXED, E-MAILED OR SENT VIA OVERNIGHT EXPRESS TO ** If it is mandatory to return the Contractor Acknowledgement of Receipt form you will be precluded from submitting a proposal and you will not receive the questions & answers: [Issuing Entity Name] [Address] FAX#: [Fax #] E-MAIL: [E-Mail Address] PREPARING THE COVER LETTER Fast Track Cover Letter <DATE> Dear Contractor: The <ENTITY NAME> is initiating a Fast Track Procurement for <PROJECT NAME> and <PROJECT CODE>. This is being sent to the OGS Procurement Services Group (PSG) Consulting Services Contractors based on Hourly rates for the following Category(ies) of Expertise: < list CATEGORY(IES) OF EXPERTISE & specify "and" or "or" if multiple categories>. Since a Pre-Proposal Conference WILL NOT be held, upon receipt of this Fast Track Procurement, you will be afforded the opportunity to mail, fax, e-mail questions regarding the technical scope of the project to <DESIGNATED CONTACT(s)> by the contractor query deadline. It will be <ENTITY NAME> responsibility to respond to your questions in writing. NOTE: If you include the "Acknowledgement of Receipt" form, then add the following paragraph. If you do not include it, then omit the following paragraph. The return of the “Acknowledgement of Receipt ” form < IS MANDATORY> or <IS NOT MANDATORY>. (Note: If mandatory, questions and associated answers will be sent to all contractors who receive this Fast Track Procurement and return an “Acknowledgement of Receipt ” form indicating they may be submitting a bid.) < ENTITY CONTACT INFORMATION:> <ENTITY NAME AND CONTACT> <ADDRESS> <FAX #> <E-MAIL ADDRESS> At the termination of the question and answer period, you will submit your Fast Track bid response forms to <ENTITY NAME> for evaluation. Upon selecting the contractor(s), <ENTITY NAME> will forward the bid documentation to the Office of the State Comptroller (OSC) for final approval. Please be aware that any expenses your firm incurs in the preparation and submission of the proposal(s) will not be reimbursed by the State. Your firm's continued interest in providing service to the State of New York is appreciated. Sincerely, <ENTITY CONTACT NAME> <TITLE> Enclosure cc: Project File PREPARING THE DOCUMENTATION TO OSC Sample Cover Letter to OSC Date: [mm/dd/yy] Mr. Dan Ryan Office of the State Comptroller Contracts Unit, 11th Floor 110 State Street Albany, New York 12236 Dear Mr.: Ryan Attached for your review and approval are the documents in support of this agency's request for a FAST TRACK Procurement [project/assignment]. The AC340 reflects the dollar amount for [each contractor firm name], contract #, [each CMS _ _ _ (B-Z)or CMT _ _ _ (B-Z) contract number] for [start date to end date]. AC340 - contract Encumbrance Request Form [for each award, if multiple awards] Procurement Record Checklist [for each award if multiple awards] Summary & Affidavit - 1 original & 2 copies Certificate of Bid Opening Solicitation List Successful Contractors Bid All Rejected Bids Hourly Rate Form - two (2) copies Selection & Summary of Evaluation Form A – State Consultant Services Contractor’s Planned Employment Upon the written approval by OSC, [agency name] will notify each awardee with an Award Letter and a copy of the approved Summary & Affidavit form. If there are any questions, please contact me at [agency contact name] or by email [e-mail address]. Sincerely, cc: New York State Office of General Services Procurement Services Group PROCUREMENT RECORD CHECKLIST-AGENCY BID Group: 73012 Project/Assignment: Solicitation Type: IFB# N/A RFP# N/A Bid Opening Date: Negotiated Contract Term As Specified X Fast Track Bid Piggyback Contract #: CMS or CMT (circle one) __ __ __ (B-Z) Contractor(s): ___________________________ __________________________________ Contract Period: Begin End Method/Type of Award - (Check all that apply) Lowest Price Item Single Source * X Best Value * Group/Category/Lot Sole Source * Multiple Award Grand Total Emergency * Continuous Recruitment Recycled Preference Other * Competition: - Award on single bid: Yes* No N/A - Price increase greater than 25% over previous year? Yes* No N/A - Previous contractor solicited Yes No* N/A - Vendor responses - Number of: Vendors Solicited Rejections* ______ Bids Received Disputes/Complaints** No Bids/No Replies Contract Overlap: Yes* Unknown N/A Required Documentation: N/A Signed affidavit X Copy of IFB or RFP and related documents X Bidders List X All Required Bids N/A Contract Award Notification (2) X Memo(s) of explanation (if required) X Signed Contract Letters (select/non-select N/A Attorney General Approval (if required) letters) X P Data Sheets/AC 340 N/A Need Statement (if required) X Bid Tabulation X AC 340 Batch # ___________(if required) Procurement Opportunities Newsletter (Contract Reporter): X Advertisement Notice Attached - (RFP#S960275-E advertise in CR) OSC Exemption Attached Exempted Per Statute Prepared by: Phone: Date: Reviewed & Approved by: Reviewed & Approved by: Reviewed & Approved by: Reviewed & Approved by: OSC Auditor: Date: SUMMARY AND AFFIDAVIT for OGS Consulting, Systems Integration, Training Services, On-Going Services, Maintenance & Support PROJECT CODE/NAME: ____________________________________________________________________________ ******************************************************************************************************** Section 1: Identification of Authorized Personal Services Name of Initiative: __________________________________________________________________________________ Authorized User: _________________________________________________________________________________________ Contractor Name: _________________________ Contract Number: CMS or CMT (circle one) __ __ __ (BZ) Federal Id # ______________________ Project Period: ________ to ________ ___ Consulting Project ___ SI Project ___ Training Project __ Emergency Project ___ Original Bid ___ Original Re-Bid ___ Discretionary Purchase X Fast Track ___ Scope Change/Extension ___ Equipment Maintenance ____ Support Services Authorized Amount for Services: $ _______________________________ Authorized Amount for Products (SI Project only) N/A (hardware, software and other related goods) TOTAL COST FOR PROJECT: $ ________________________________ Payment Cycle: _______ Hourly N/A Deliverable ** ** Training is always by Deliverable ********************************************************************************************************** Section 2: Approvals/Signatures Authorized User: _________________________________ _________________________________________ ________ Project Manager (Print) Signature Date Authorized User: _________________________________ _________________________________________ ________ Fiscal Officer (Print) Signature Date ********************************************************************************************************** OSC APPROVAL: _____ Approved: _____ Disapproved: ____________________________ ___________ Signature Date ********************************************************************************************************** Section 3: Attachments (check all that apply) ___ Project Definition/Specifications (includes Fast Track & Discretionary) ___ Request for Training Services ____ On-Going Services, Maintenance & Support ___ Scope Change/Extension ___ List of Bidders ___ Other (See Bid Packet) It is the responsibility of the New York State agencies, local government, and other authorized users to retain mini-bid project related documentation including all proposals, "No Bid" Response forms, scope changes, etc. for their Procurement Log. Documentation should be retained for a period of not less than seven (7) years. CERTIFICATE OF BID OPENING This is to certify that I, ______________________________________________________ have been duly authorized (Authorized User Signature) to open bids for Project __________________________________________________. Such bids were received and (Project Name or Assignment) opened at ______________________________________________________________________________________ (Location) on _______________________________ at ______________________ A.M. P.M. in accordance with the (Date) (Time) Policy & Procedures for administration of the Computer Consulting, Systems Integration and Training Back-Drop Contracts administered by the New York State (NYS) Office of General Services (OGS) Procurement Services Group (PSG). Witness(es) present at the bid opening: (at least one signature required): _____________________________________________ ____________________________________ _____________________________________________ ____________________________________ CONFIDENTIALITY LIABILITY NOTICE The statutory requirements surrounding the Freedom of Information Law (FOIL) prevent anyone in the State who has a right to see bid submissions from disclosing confidential information delivered as part of the bids to anyone who does not have that right. While contracting agencies and other Authorized Users of these back-drop contracts in the bid process are entitled to see that information, they are bound by the same statutory requirements to protect that information that also restrict OGS from disclosing the information to unauthorized parties. The confidentiality claim and statutory requirements are not waived just because the contracting agency has been given the documents from OGS. The winning bidder(s) has/have no right to see losing bids anymore than the losing bidder gets to have a copy of the winning bid if a claim of confidentiality has been made on the materials submitted. If the procurement package contains information where a claim of confidentiality has been made, no one may obtain these documents - winning or losing bidders - unless a formal request under FOIL has been made and a determination on the merits of the confidentiality claim has been resolved. TO ALL AUTHORIZED USERS: It is the responsibility of the New York State agencies, local government, and other authorized users to retain bid/project related documentation including all proposals, No Bid Response forms, scope changes, etc. for their Procurement Log.
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